TABLE 12.-Summary of actions instituted against the Commission, petitions for review of Commission orders, cases in which the Commission participated as intervenor or amicus curiae, and reorganization cases under Chapter X in which the Commission participated on appeal TABLE 13.-A 32-year summary of criminal cases developed by the Commission 1934 through 1965 by fiscal year 1 (See table 14 for classification of defendants as broker-dealers, etc.) Fiscal year Number Number of persons Number of these Number as to of such Number defend- Number of cases whom cases in of de- Number Number ants as to of these referred prosecu- which fendants of these of these whom pro defendto Dept. tion was indict- indicted defend- defend- ceedings ants as to of Justice recom- ments in such ants con- ants ac- have been whom in each mended have cases ? victed quitted dismissed cases are year in each been on motion pending: year obtained of United States 1934. 1935. 1936 1937 1938. 1939. 1940. 1941. 1942 1943 1944. 1945 1946. 1947 1948 1949. 1950. 1951. 1952. 1953. 1954. 1955. 1956. 1957 1958 1959 1960. 1961. 1962 1963 1964. 1965. 3 13 20 19 21 37 17 0-6838000060-టలురాయినంత జటిలం 5 18 29 14 18 19 8 17 26 15 45 10 36 6 6 11 10 11 26 48 12 48 20 11 0 33 52 13 44 80 37 234 207 276 152 115 157 51 44 12 43 132 51 217 281 240 191 168 164 167 28 35 17 116 113 132 80 64 39 3 30 4 72 35 110 14 24 104 48 3 1 The fiures given for each year reflect actions taken and the status of cases as of the end of the most recent fiscal year with respect to cases referred to the Department of Justice during the year specified. For example, convictions obtained in fiscal 1965 with respect to cases referred during fiscal 1964 are included under fiscal 1964. While the table shows only 3 convictions under 1965, the total number of convictions for cases referred during that year and prior years was 106, as noted in the text of this report. The number of defendants in a case is sometimes increased by the Department of Justice over the number against whom prosecution was recommended by the Commission. Also more than one indictment may result from a single reference. 3 See Table 10 for breakdown of pending cases. Thirty-five of these references involving 116 proposed defendants, and 18 prior references involving 89 proposed defendants, were still being processed by the Department of Justice as of the close of the fiscal year. 8 779 of these cases have been completed as to i or more defendants. Convictions have been obtained in 629 or 81 percent of such cases. Only 150 or 19 percent of such cases have resulted in acquittals or dismissals as to all defendants; this includes numerous cases in which indictments were dismissed without trial because of the death of defendants or for other administrative reasons. See note 5, infra. Includes 80 defendants who died after indictment. TABLE 14.-A 32-year summary classifying all defendants in criminal cases developed by the Commission—1934 to June 30, 1965 1 Includes persons registered at or prior to time of indictment. 2 The persons referred to in this column, while not engaged in a general securities business, were almost without exception prosecuted for violations of law involving securities transactions. TABLE 15.--A 32-year summary of all injunction cases instituted by the Commis sion—1934 to June 30, 1965, by calendar year 1934. 2 17 36 91 73 61 42 36 20 18 14 21 15 20 15 24 56 108 211 153 165 99 90 54 72 35 57 34 47 26 55 71 43 50 68 62 43 89 93 158 179 222 272 229 303 352 122 59 73 67 103 41 59 54 122 192 408 206 270 368 403 358 276 180 27 20 22 23 53 58 71 58 99 84 99 91 76 38 17 18 23 22 19 42 32 51 71 84 85 82 98 88 32 Total. 1, 420 4,816 1 These columns show disposition of cases by year of disposition and do not necessarily reflect the disposition of the cases shown as having been instituted in the same years. Includes 26 cases which were counted twice in this column because injunctions against different defendants in the same cases were granted in different years. 3 Includes 31 defendants in 8 cases in which injunctions have been obtained as to 36 co-defendants. • Includes (a) actions dismissed (as to 798 defendants); (b) actions discontinued, abated, abandoned, stipulated or settled (as to 67 defendants); (c) actions in which judgment was denied (as to 39 defendants); (d) actions in which prosecution was stayed on stipulation to discontinue misconduct charged (as to 4 defendants). U.S. GOVERNMENT PRINTING OFFICE: 1966 |
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