TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1964

Oct. 31, 1962 Sec. 17(a) (3), 1933 Act; Secs.

10(b), 15(c) (1), 15(c)(3),
and 17(a) and Rules 10b-5,
15c1-2, 15c1-5, 15c3-1 and
17a-3, 1934 Act.

Sec. 10(b) and Rule 10b-5,
1934 Act.

Secs. 15(c) (1), 15(c)(3) and
Rules 15c1-2 and 15c3-1,
1934 Act.

Secs. 5(a) and 5(c), 1933 Act.
Sec. 17(a) (3), 1933 Act..

Secs. 5(a) (1), 5(a) (2) and
5(c), 1933 Act.

Aug. 11, 1961
Dec. 21, 1960

Mar. 6, 1964

District of Colum- May 31, 1962 bia.

Sec. 17(a), 1933 Act.

American Molybdenum Corp.

6 Oregon.

Jan.

Sec. 15(c) (3) and Rule 15c3-1,
1934 Act.

Complaint and request for the appointment of a receiver filed Oct. 31, 1962.
Final judgment by consent entered Nov. 13, 1962. Order June 5, 1964
revoking broker-dealer and investment adviser registrations and request
for appointment of receiver not warranted. Closed.

Complaint filed Aug. 11, 1961. Stipulation extending the time for filing
note of issue to Jan. 6, 1964. Pending.

Complaint and request for the appointment of a receiver filed Dec. 21, 1960.
Final judgment by consent as to three defendants entered Dec. 22, 1960.
Receiver appointed Feb. 27, 1961. Pending.

Complaint filed and final judgment by consent entered Mar. 6, 1964.
Closed.

Complaint and request for the appointment of a receiver filed May 31, 1962.
Order appointing a receiver entered June 8, 1962. Final judgment by
default as to the defendant entered Jan. 16, 1963. Order entered Nov. 8,
1963 discharging receiver. Closed.

Complaint filed May 11, 1964. Final judgment by consent entered May 14,
1964, as to all defendants. Closed.

Final judgment by consent entered Apr. 13, 1961. Order entered appoint-
ing a receiver Apr. 25, 1961. Order entered referring action to the referee
in bankruptcy Sept. 14, 1961. On Oct. 20, 1961, final report of equity
receiver filed. Order entered approving receiver's final account and
discharging equity receiver Apr. 24, 1963. Closed.

Secs. 5(a), 5(c) and 17(a), Complaint filed Mar. 22, 1961. Default judgment entered as to three de-
1933 Act.

Secs. 5(a) (1) and 5(c), 1933
Act; Sec. 15(a), 1934 Act.

fendants May 31, 1961. Order entered Nov. 21, 1963, dismissing the action as to the remaining defendant. Closed.

Complaint filed Sept. 12, 1963. Final judgment by consent entered Mar. 18, 1964, as to all defendants. Closed. G

Complaint filed Aug. 5, 1963. Final judgment by consent as to four de-
fendants entered Aug. 20, 1963. Final judgment by consent
entered as to one defendant Aug. 23, 1963. Final judgment by default
entered as to one defendant Aug. 28, 1963. Closed.

6, 1964 Secs. 5(a), 5(c) and 17(a), Complaint filed Jan. 6, 1964. Final judgment by consent as to five de

1933 Act.

fendants and order of dismissal as to one defendant entered Feb. 17, 1964. Closed.

TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1964-Con.

American Orbitronics
Corp.

19

District of
Columbia.

Aug. 16, 1961

Status of case

Mar. 9, 1962

Secs. 17(a) (2) and (3), 1933
Act.

Secs. 5(a) and (c) and 17(a), Complaint filed Aug. 16, 1961. Action dismissed as to two defendants
1933 Act.
Oct. 16, 1961. Final judgment by consent entered as to five defendants
Oct. 30, 1961. Final judgments by consent entered as to six defendants
Sept. 18, 1962; as to one defendant Oct. 9, 1962 and as to one defendant
Oct. 17, 1962. Final judgment by default entered as to one defendant
July 8, 1963. Action dismissed as to two defendants and final judgment
by consent entered as to remaining defendant Feb. 4, 1964. Closed.
Conservator appointed June 30, 1960, as to one corporate defendant and
one related corporation enjoined in a prior case. Petition under Chapter
X filed and approved by court. Final judgment by consent as to cor-
porate defendant entered June 19, 1963. Pending as to remaining de-
fendant.
Complaint filed Mar. 9, 1962. Final judgment by default as to one defend-
ant entered May 16, 1962. Pending as to remaining defendants.
Complaint and request for the appointment of a receiver filed June 1, 1961.
Final judgment by consent as to all defendants and order appointing a
receiver entered June 1, 1961. Receivership pending.
Complaint and request for the appointment of a receiver filed Feb. 15, 1962.
Receiver appointed Feb. 26, 1962. Final judgment by consent entered
as to two defendants May 25, 1962. Final judgment by the court entered
as to the remaining defendant Aug. 27, 1962. Pending as to receiver.
Complaint and request for the appointment of a receiver filed Feb. 27, 1961.
Receiver appointed Apr. 10, 1961. Final judgment by consent entered
as to two defendants Dec. 19, 1961. Receivership pending.

Secs. 5 (a) and (c) and 17(a),
1933 Act; Sec. 10(b) and
Rule 10b-5, 1934 Act.
Sec. 17(a), 1933 Act; Secs.
10(b), 15(a) and Rule 10b-
5, 1934 Act.
Feb. 15, 1962 Sec. 17(a) and Rule 17a-3,
1934 Act.

Feb. 27, 1961 Sec. 17(a) (3), 1933 Act; Secs.
15(c) (1), 15(c)(3) and
Rules 15c1-2, 15c3-1, 1934
Act.

Sec. 15(c)(3) and Rule 15c3

1, 1934 Act.

Complaint filed and temporary restraining order signed, Oct. 18, 1963.
Preliminary injunction entered Feb. 10, 1964, as to the defendant.
Pending.

Aug. 25, 1960 Sec. 17(a) and Rule 17a-3, Complaint filed and preliminary injunction by consent entered Aug. 25,
1934 Act.

1960. Receiver appointed Dec. 20, 1960. Commission's motion to certify
the case for the ready calendar was granted over defendants' objections.
Defendant's motion to dismiss denied. Final judgment entered by the
court Mar. 13, 1964, as to all defendants. Receivership pending.
Nov. 27, 1962 Secs. 5(a) and 17(a), 1933 Complaint filed Nov. 27, 1962. Preliminary injunction entered as to two

Act.

Preliminary injunction entered as to seven de-
Final judgment by consent entered as to two
Pending as to the remaining 11 defendants.

June 1, 1961

Oct. 18, 1963

Belmont Oil Corp.

10

Southern District of New York.

Aug. 3, 1959 | Sec. 17(a), 1933 Act..

Sec. 5, 1933 Act.

Final judgment by consent entered as to one defendant Dec. 8, 1959.
Preliminary injunction entered as to seven defendants Dec. 15, 1959.
Notice of appeal from the order of preliminary injunction filed by one
defendant Jan. 7, 1960. Opinion rendered Oct. 27, 1960, by CA-2 affirm-
ing order of the district court entered Dec. 15, 1959. Final judgment
by consent entered as to one defendant June 12, 1963. Final judgment
by default entered as to three defendants July 8, 1963. Order entered
May 13, 1964 dismissing the action as to one defendant. Pending as to
the remaining four defendants.
Final judgment by consent entered as to two defendants Nov. 6, 1959.
Appeal filed by one defendant Jan. 7, 1960. Opinion rendered Oct. 27,
1960, by CA-2 affirming the order of the district court entered Dec. 15,
1959. Final judgment by consent entered as to one defendant June 12,
1963. Final judgment by default entered as to seven defendants July 8,
1963. Final judgment by default entered May 12, 1964, as to two de-
fendants and final judgment by consent entered May 13, 1964, as to one
defendant. Pending.

Secs. 5(a) and 5(c), 1933 Act. Complaint filed Apr. 16, 1964. Final judgments by consent entered on
various dates as to 16 defendants. Closed.
Sec. 17(a), 1933 Act.

Secs. 5(a), 5(c) and 17(a), 1933 Act.

..do..

Secs. 5(a) and (c), 17(a) (1),
17(a)(2) and 17(a) (3), 1933
Act; Sec. 10(b) and Rule
10b-5, 1934 Act.

Secs. 5(b) and 17(a), 1933
Act; Secs. 15(c) (1) and (3)
and Rules 15c1-2 and
15c3-1, 1934 Act.
Sec. 17(a), 1933 Act.

Secs. 10(b), 15(c) (1), 17(a)
and Rules 10b-5, 15cl-2
and 17a-3, 1934 Act.

Secs. 5(a) and 5(c). 1933 Act.

Final judgment by default entered as to
Closed.

Complaint and request for the appointment of a receiver filed May 21,
1962. Appointment of receiver denied. Final judgment by consent
entered as to three defendants Apr. 2, 1963.
Complaint filed July 1, 1963. Final judgment by default entered as to
one defendant Aug. 23, 1963. Final judgment by consent entered as to
three defendants Sept. 24, 1963. Closed.
Complaint filed Feb. 5, 1963.
both defendants Nov. 14, 1963.
Complaint filed Dec. 13, 1961. Final judgment by consent as to two defend-
ants entered Jan. 29, 1962. Final judgment by consent as to one defend-
ant entered Apr. 3, 1963. Judgment denied Dec. 30, 1963, as to three
defendants. Final judgment by the court entered Jan. 17, 1964. as to 19
defendants. Order entered Mar. 16, 1964, dismissing the action as to one
defendant. Appeals filed on various dates by 14 defendants from the
memorandum opinion entered Dec. 30, 1963, and the judgment entered
Jan. 17, 1964. Pending.
Final judgment by consent as to two
Pending.

Receiver appointed July 21, 1958.
defendants entered July 22, 1958.

Complaint filed May 1, 1962. Final judgments by consent entered as to
three defendants May 24, 1962. Final judgments by consent entered as
to three defendants May 28, 1963. Final judgments by default entered
as to two defendants July 8, 1963. Final judgment by default entered
Sept. 10, 1963, as to the remaining defendant. Closed.

Complaint and request for the appointment of a receiver filed May 28, 1964.
Final judgment by consent entered June 3, 1964, as to the defendant.
Pending as to receiver.

Complaint filed May 10, 1963. Preliminary injunction entered as to two
defendants, May 17, 1963. Pending.

TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1964-Con.

Secs. 5(a), 5(c) and 17(a),
1933 Act: Secs. 10(b), 15(a)
and Rules 10b-5(2) and
(3), 1934 Act.

Secs. 5(a) and 5(c), 1933 Act.
Secs. 5(a), 5(c) and 17(a),
1933 Act.

Cloud Nine, Inc.

12 Utah.

Nov. 2, 1962 Secs. 5(a), 5(c), and 17(a), | Complaint filed Nov. 2, 1962. Final judgment by consent entered Nov. 1933 Act.

Secs. 13, 15(d) and 20(c), 1934 Act.

July 19, 1960 Sec. 17(a), 1933 Act; Sec. 15(c)(3) and Rule 15c3-1, 1934 Act.

Secs. 8(c), 8(d), 10(b),
15(c) (1) and Rules 8c-1,
10b-5 and 15c1-2, 1934 Act.

Secs. 10(b) and 15(c) (1) and
Rules 10b-5 and 15c1-2,
1934 Act.

Secs. 15(c) (3), 17(a) and
Rules 15c3-1 and 17a-3,
1934 Act.

June 22, 1962 Secs. 15(c) (1), 15(c)(3) and
17(a), Rules 15c1-2, 15c3-1
and 17a-3, 1934 Act.
Sec. 15(c)(3) and

14, 1962, as to one defendant. Final judgment by consent as to three
defendants entered Dec. 26, 1962. Final Judgment by consent as to
seven defendants entered Feb. 20, 1963. Final judgment by default as
to the remaining defendant entered May 14, 1963. Closed.
Final judgment by consent entered as to five defendants May 2, 1961.
Order entered Dec. 6, 1961, appointing a receiver. Pending as to receiver.
Complaint filed Apr. 1, 1963. Final judgment by consent entered as to
all defendants. Closed.

Complaint filed May 4, 1964. Final judgment by consent entered June 16,
1964 as to two defendants. Closed.

Complaint and request for the appointment of a receiver filed July 30,
1963. Order entered Aug. 15, 1963, appointing receiver. Appeal filed
Sept. 16, 1963, by two defendants from the order entered Aug. 15, 1963,
appointing a receiver. Interlocutory judgment granting permanent
injunction and accounting on default entered Nov. 13, 1963, as to three
defendants. Supplemental complaint filed Nov. 14, 1963, adding one
additional defendant. Order entered Nov. 22, 1963, appointing a receiver
for the additional defendant. Stipulation and order entered June 23,
1964, dismissing action as to three defendants. Pending.
Complaint filed Mar. 30, 1963. Mandatory judgment entered as to one
defendant and appointing a conservator; default judgment entered as to
three defendants and order dismissing action as to two defendants Apr.
8, 1963. Order entered Oct. 22, 1963, dismissing action as to three de-
fendants. Pending as to the remaining defendant.
Complaint filed July 19, 1960. Complaint amended to include additional
violations and appointment of receiver requested, Aug. 17, 1960. Final
judgment by consent as to three defendants and dismissal as to one de-
fendant entered Sept. 8, 1960. Order entered Sept. 19, 1960, appointing
a new receiver. Pending.
Complaint and request for the appointment of a receiver filed Sept. 17,
1960. Receiver appointed Sept. 17, 1960. Final judgment as to two de-
fendants entered Sept. 26, 1960. Final decree entered by the court Dec.
19, 1963, discharging receiver. Closed.
Complaint and request for appointment of a receiver filed Apr. 15, 1963.
Final judgment by consent entered and receiver appointed Apr. 15, 1963.
Pending.
Complaint filed Nov. 6, 1962. Final judgment by consent entered as to
two defendants, Jan. 23, 1964. Closed.

Complaint and request for the appointment of a receiver filed June 22, 1962.
Application for receiver denied. Order entered Mar. 13, 1964, dismissing
the complaint for injunction. Closed.
Complaint and request for the appointment of a receiver filed Mar. 29,
1962. Receiver appointed Mar. 30, 1962. Final judgment by default
entered Aug. 9, 1963, as to one defendant. Final judgment by consent
entered June 2, 1964, as to one defendant. Final judgment by the court
entered June 30, 1964, as to two defendants and order entered June 30,
1964, dismissing the action as to the remaining defendant. Pending as
to receiver.