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Byrnes, Joe H. (In

vestors Mortgage

Corp.).
Cage, Ben Jack

(Bankers Bond Co.,

Inc.).
Cannon, Jr., Thomas

P. (Capital Funds,

Inc.).
Canter, Michael

(Belmont Oil

Corp.).
Carroll, Howard P.

(H. Carroll & Co.).

6 | Southern District | Feb. 26, 1962 | Secs. 5(a)(2), 17(a) 1933 Act; | All defendants found guilty and sentences imposed ranging from 18 months of Florida.

Secs. 371 and 1341, Title to 3 years June 18, 1963.

18, U.S.C.
6 Northern District Apr. 22, 1960 Sec. 17(a), 1933 Act; Secs. 371 $10,000 bond set for five defendants. One defendant deceased and one
of Texas.

and 1341, Title 18, U.S.C. defendant dismissed. Pending as to the four remaining defendants.
5 Alaska.

Mar. 29, 1962 Secs. 5(a) (2) and 17(a), 1933 Order entered Dec. 27, 1962, dismissing the indictment as to one defendant.

Act; Secs. 371 and 1341, Notice of appeal filed to the USSC from the order entered Dec. 27, 1962.
Title 18, U.S.C.

Pending.
4 Southern District May 14, 1964 Secs. 5(a) (2), 17(a) and 24, Pending.
of New York.

1933 Act; Secs. 2 and 371

Title 18, U.S.C.
2 Southern District May 23, 1962 Sec. 17(a), 1933 Act.

Both defendants found guilty on all counts of the indictment; corporate
of California.

defendant fined a nominal fine of $50 since company is defunct; remaining
defendant fined $2,500 and placed on probation for 1 year. Appeal filed

by individual defendant. Convictiins affirmed by CA-9.
6 New Jersey. Oct. 30, 1963 Secs. 17(a), 17(a)(2), 1933 Pending.

Act; Secs. 2, 1341 and 371

Title 18, U.S.C. 3 Southern District June 21, 1962 Sec. 1621 Title 18, U.S.C... Indictment nolle prossed.

of New York.

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Chron, Robert T. Cohn, David M.

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..do. June 24, 1963 Secs. 17(a) and 24, 1933 Act; Pending.

Secs. 9(a)(2) and 32(a),

1934 Act.
Kansas.

Aug. 19, 1963 Secs. 5(a)(2) and 17(a), 1933 Do.

Act; Sec. 1341 Title 18,
U.S.C. and Sec. 371 Title

18, U.S.C.
New Hampshire.. May 27, 1963 Sec. 17(a), 1933 Act and Sec. Do.

1341 Title 18, U.S.C.
Eastern District Sept. 6, 1962 Secs. 6(a)(1), 5(a)(2) and Defendant found guilty on 10 counts of an 11-count indictment chargin
of Arkansas.

17(a), 1933 Act; Sec. 15(a), violations of Secs. 5(a) and 17(a) of 1933 Act; Sec. 15(a) of 1934 Act and
1934 Act; Sec. 1341 Title mail fraud statutes. Remaining count dismissed. Defendant sentenced
18, U.S.C.

to 30 days confinement and fined $10,000.
Southern District May 31, 1961 Secs. 5(a)(1), 5(a)(2), 5(c) Fifteen defendants convicted: various sentences and fines ranging from $200
of Florida.

and 17(a), 1933 Act; Secs. to $36,000 were imposed. One defendant was dismissed: three defendants 371 and 1341, Title 18, were acquitted and five defendants appealed from their convictions. U.S.C.

CA-5 affirmed judgment of district court. Pending as to four defendants. (Nov. 30, 1961

(Informa- Rule 10b-5, 1934 Act. Closed.

tion).
...do

(Jan. 11, 1962
(Informa-
do.

Do.
tion).
Jan. 12, 1962
(Informa- Rule 10.6(3), 1934 Act.

Do. tion).

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TABLE 16.Indictments returned for violation of the acts administered by the Commission, the Mail Fraud Statute (Sec. 1341, formerly

Sec. 338, Title 18, U.S.C.) and other related Federal statutes (where the Commission took part in the investigation and development of the case) which were pending during the 1964 fiscal year-Continued

Name of principal

defendant

Number

of de-
fendants

U.S. District

Court

Indictment
returned

Charges

Status of case

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do.
Feb. 26, 1962 Sec. 17(a), 1933 Act; Sec. Defendant apprehended May 2, 1963. Pending.

1341, Title 18, U.S.C.
Eastern District Aug. 2, 1962 Secs. 5(a)(1), 5(c) and 17(a), Both defendants pleaded guilty to 2 counts of the indictment for violations
of Louisiana

1933 Act; Secs. 371 and of 1933 Act and mail fraud statutes. Sentencing deferred. Pending.

1341, Title 18, U.S.C.
Southern District Oct. 10, 1963 Secs. 371, 1001 and 2 Title 18. Pending.
of New York.

U.S.C.
...do..
July 21, 1961 Secs, 17(a) and 24, 1933 Act; Do.

Secs. 2,371 and 1341, Title

18, U.S.C. Massachusetts. July 2, 1963 Sec. 17(a), 1933 Act; Sec. All defendants arraigned July 17, 1963; pleaded not guilty and posted bond

1341 Title 18, U.S.C. and of $1,000. Pending.

Sec. 371 Title 18, U.S.C. Northern District Apr. 21, 1964 Secs, 5(a)(2) and 17(a), 1933 Pending. of Texas.

Act; Secs. 371 and 1341,

Title 18, U.S.C.
Southern District Mar. 13, 1964 Secs. 17(a) and 24, 1933 Act; Do.
of New York

Secs. 371, 1341, 1343 and 2,

Title 18, U.S.C.
Massachusetts. May 26, 1964 Sec. 17(a), 1933 Act; Sec. Do.

10(b) and Rule 100-5, 1934
Act; Sec. 1341 Title 18,

U.S.C.
Southern District May 28, 1962 Secs. 2, 371 and 2314, Title 18, Three defendants were given sentences ranging from 6 months to 2 years
of New York

U.S.C.

and fines of $2,500 and $10,000 imposed on said defendants. One defendant

deceased. Pending as to the remaining three defendants.
Southern District Aug. 23, 1962 Sec. 17(a), 1933 Act; Secs 371 Closed.
of Florida.

and 1341 Title, 18 U.S.C.
Nov. 19, 1962 .do.

One defendant pleaded guilty to violating the anti-fraud provisions of 1933
do.
(Supersed-

Act and mail fraud statute and sentenced to 3 years. Two defendants ing)

found guilty Apr. 17, 1953, sentenced to 5 years imprisonment and one defendant fined $10,000. Indictment dismissed as to the remaining

defendant in June 1963. Kansas

Sept. 20, 1962 Secs. 5(a)(1), 5(a) (2), 17(a), Defendant found guilty on 7 counts of the indictment in violation of Sec.

1933 Act; Sec. 1341 Title 18, 17(a) of 1933 Act and 8 counts of Sec. 1341. Sentenced to 15 years imprisonU.S.C.

ment. Pending appeal.

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787-903-03-14

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Southern District Mar. 8, 1961 Sec. 17(a)(1), 1933 Act; Secs. Closed. of California.

371 and 1341, Title 18,

U.S.C.
Dec. 10, 1961 do.

One defendant found not guilty. Two defendants found guilty on 32
(Super-

counts of indictment; one defendant sentenced to a total of 10 years and
soding

fined $86,500; the other defendant sentenced to a total of 4 years and indict

fined $52,000. Appeal filed by two defendants. Decision by CA-9 ment).

affirming the convictions. Western District Dec. 14, 1962 Secs. 5(a)(1), 5(a)(2), 17(a) One defendant convicted and sentenced to 5 years in prison and fined of Tennessee.

and 5(c), 1933 Act; Sec. $2,500. Remaining defendant deceased. Appeal filed.
1341 Title 18, U.S.C. and

Sec 371 Title 18, U.S.C.
Southern District Jan. 21, 1964 Secs. 17(a), 2 and 24, 1933 Pending.
of New York.

Act; Sec. 371 Title 18,

U.S.C.
New Mexico. Apr. 25, 1963 Secs. 5(a)(2) and 17(a), 1933 Do.

Act; Sec.15(a) and Sec. 24,
1934 Act; Sec. 1341 Title
18, U.S.C. and Sec. 371

Title 18, U.S.C.
Northern District Feb. 28, 1963 Sec. 17(a), 1933 Act. and Do.
of Illinois.

Sec. 1341 Title 18, U.S.C.
Southern District Apr, 13, 1961 | Secs. 5(a), 5(e), 17(a), 1933 One defendant pleaded guilty; sentencing deferred. Pending.
of New York.

Act; Secs. 371 and 1341,

Title 18, U.S.C.
do.
July 14, 1961 Secs. 5(a)(1) and 24, 1933 Nineteen defendants found guilty on various counts of the indictment; one

Act; Secs. 9(a) (2), 9(a) (6) defendant pleaded nolo contendere, and four defendants appealed from
and 32(a), 1934 Act; Secs. their convictions. CA-2 affirmed judgments of district court. Pending

2 and 371, Title 18, U.S.C. as to 13 defendants.
do
June 28, 1962 Secs. 5(a)(i), 17(a), 24, 1933 Pending.

Act; Secs. 18(a), 32(a),
1934 Act; Secs. 2, 1341, 1343

and 2314, Title 18, U.S.C.
Northern District

9, 1963 Sec. 10(b) and Rule 105-5, Do.
of Ohio.

1934 Act; Sec. 1341 Title

18, U.S.C. Southern District May 2, 1963 Secs. 5(a) (2), 17(a), 24 and One defendant entered plea of guilty. Pending as to remaining 14 defendof New York.

2, 1933 Act; Sec. 371, ants.

Title 18, U.S.C.
Southern District June 14, 1961 Sec. 17(a), 1933 Act; Secs. Ten defendants found guilty on all counts of the indictment; sentences
of Florida.

371 and 1341, Title 18, ranging from 1 to 20 years. Appeal filed by each defendant from their
U.S.O.

convictions. Remaining defendant not yet apprehended. Pending.
Northern District | Sept. 19, 1961 Secs. 5(a)(1), 17(a), 1933 On pleas of guilty both defendants placed on probation for 2 years.
of Illinois.

Act; Sec. 1341, Title 18,

U.S.C.
Southern District Aug. 2, 1961 | Sec. 17(a), 1933 Act; Secs. One defendant acquitted May 23, 1962. One defendant on plea of guilty
of Florida.

371 and 1341, Title 18, sentenced to 1 year, suspended and placed on probation and fined $500.
U.S.C.

Two defendants sentenced to 3 years imprisonment; filed notice of
appeal on their convictions. Opinion rendered affirming the convictions
of March 29, 1983. Petition for writ of certiorari filed by one defendant.
Pending as to three defendants.

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Oct.

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TABLE 16.Indictments returned for violation of the acts administered by the Commission, the Mail Fraud Statute (Sec. 1941, formerly

Sec. 338, Title 18, U.S.C.) and other related Federal statutes (where the Commission took part in the investigation and development of the case) which were pending during the 1964 fiscal year—Continued

Name of principal

defendant

Number

of de-
fendants

U.S. District

Court

Indictment
returned

Charges

Status of case

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50 Connecticut May 18, 1960 Secs. 5(a) (1) and (2) and Judgments of guilty were entered as to 25 defendants, 1 defendant dismissed

Sec. 17(a), 1933 Act; Secs. and 3 defendants deceased as noted in previous report. One defendant 371 and 1341, Title 18, sentenced to 3 years, execution of sentence suspended after 5 months and U.S.C.

placed on probation for 5 years. Court revoked probation of two de-
fendants, and sentenced them to 1 year. Pending as to remaining 20

defendants.
2

Sept. 15, 1960 Secs. 5(a)(1), 5(a)(2), 5(c) Pending as to one defendant.

and 17(a), 1933 Act; Secs.
371 and 1341, Title 18,

U.S.C.
2 Southern District Feb. 6, 1961 Sec. 371, Title 18, U.S.C...-- On plea of guilty one defendant sentenced to 1 year and 1 day and fined
of New York.

$15,000; placed on probation for 2 years after serving sentence. Pending

as to one defendant. 2 .do.

do.
Secs. 5(a) (1), 5(a)(2) and

Do.
17(a), 1933 Act: Secs. 2

and 371, Title 18, U.S.C.
28 New Hampshire. Sept. 21, 1961 | Secs. 5(a) (1) and (2) and One defendant arraigned and pleaded guilty to counts 11 and 12 of Sec

17(a), 1933 Act; Secs. 371 1341, Title 18, U.S.C., sentence of 1 year imposed and suspended and
and 1341, Title 18, U.S.C. defendant placed on probation for a period of 2 years. One defendant

acquitted. Pending as to remaining 26 defendants.
4 Southern District Aug. 3, 1962 Sec. 17(a), 1933 Act; Sec. One defendant acquitted; one'defendant received a 2-year prison sentence
of Florida.

1341, Title 18, U.S.C. on his plea of guilty; one defendant received a 3-year suspended sentence

and placed on probation for 5 years. Remaining defendant sentenced

to 3 years imprisonment.
8 Southern District Aug. 25, 1959 Secs. 17(a) and 24, 1933 Act; One defendant pleaded guilty. Imposition of sentence suspended and
of New York.

Secs. 13, 14, 20(c), 32(a), defendant placed on 5 years probation.
1934 Act and Sec. 371,

Title 18, U.S.C. do. Nov. 2, 1960 Secs. 5(e) (1) and 24, 1933 Do.

Act: and Sec. 371, Title 18,

U.S.C.
1 do.

Mar. 12, 1964 Sec. 6(a)(1) and Sec. 24, Pending.

1933 Act; Sec. 2, Title 18,

U.S.C. 2 | Northern District Nov. 30, 1961 Sec. 17(a), 1933 Act; Secs. One defendant sentenced to 2 years and remaining defendant sentenced to of Illinois.

371 and 1341, Title 18, 3 years. U.S.O.

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1 Colorado...---- Dec. 7, 1960 Sec. 17(a), 1933 Act; Sec. Defendant found guilty and sentenced to serve a maximum of 3 years im.

1001, Title 18, U.S.C. prisonment. Appeal filed Apr. 27. 1964. Pending.
13 Southern District Nov. 18, 1960 Secs. 6(a)(1), 5(a)(2), 17(a) Two defendants pleaded guilty; sentencing deferred. Six other defendants
of New York.
and 24, 1933 Act; Secs. 2 pleaded not guilty and

were admitted to bail in amounts ranging from
and 371, Title 18, U.S.C. $500 to $15,000. One defendant sentenced to 18 months imprisonment.

Appeal pending.
1 Western District Apr. 15, 1964 Sec. 17(a), 1933 Act and Sec. Pending.
of Washington.

1341, Title 18, U.S.C.
3 Northern District Sept. 12, 1962 Seu. 17(a), 1933 Act; Secs. One defendant pleaded guilty and was sentenced to 5 years imprisonment,
of Ohio.

371, 1341, Title 18, U.S.C. suspended and placed on probation. Corporate defendant fined $25,000.

Pending as to the remaining defendant.
1 Southern District Oct. 10, 1962 Secs. 1341, 1343 and 2314, Defendant pleaded guilty Dec. 21, 1962, to 3 counts of a 6-count indictment
of Florida.

Title 18, U.S.C.

and was sentenced to 3 years imprisonment.
4 Southern District Feb. 6, 1963 Sec. 10(b) and Rule 10b-5, Defendant pleaded guilty and received suspended 7-year prison sentence
of Texas.

1934 Act; Sec. 1341 Title and placed on probation for 5 years. Pending as to remaining three
18, U.S.C.

defendants.
1 Massachusetts. June 27, 1963 Sec. 10(b) and Rule 10b-5, Defendant pleaded guilty to 4 counts of the indictment and received sen-

1934 Act.

tence of 6 months imprisonment.
2 do.

June 27, 1963 Sec. 17(a), 1933 Act; 1341 One defendant pleaded guilty to counts 1 through 10 of the indictment and

Title 18, U.S.C. and Sec. was sentenced to 6 months imprisonment; the remaining defendant
371, Title 18, U.S.C.

received a fine of $1 on his plea of guilty.
20 Southern District Dec.

7, 1959 Secs. 5(a)(1), 17(a) and 24, Five defendants given imprisonment ranging from 6 months to 3 years; of New York.

1933 Act; Secs. 2 and 371, six defendants suspended sentences from 1 year to 6 years; one defendant
Title 18, U.S.C.

sentence suspended and fined $5,000; sentencing deferred as to one de-
fendant; one defendant acquitted and two deceased. Appeal filed by
three defendants from the judgment of their convictions. CA-2 affirmed
judgment. Writ of certiorari filed and denied. One defendant found

guilty and sentence deferred. Pending as to three defendants.
do.

Mar. 25, 1960 Sec. 1621, Title 18, U.S.C.. Pending.
Colorado.

Oct. 25, 1962 Secs. 5(a) (2), 17(a), 1933 Act; Two defendants sentenced to 34 years and fined $5,000. Sentence and all

Secs. 371, 1341, Title 18, except $2,000 of the fine suspended; one defendant given a sentence of 1
U.S.C.

year and 1 day, suspended and placed on probation for 2 years; one de
fendant sentenced to 3 years and suspended. Remaining two defendants

dismissed.
4 Southern District Mar. 19, 1963 Sec. 17(a), 1933 Act; Sec. All defendants found guilty on nolo contendere pleas and sentenced to
of Indiana.

10(b), 1934 Act and Sec. various fines.

371, Title 18, U.S.C. 7 Eastern District Jan.

9, 1963

Secs.5(a)(2), 17(a), 1933 Indictment dismissed as to all defendants Jan. 29, 1964.
of Missouri.

Act; Sec. 1)(b), 1934 Act;
Secs. 371 and 1341, Title

18, U.S.C.
6 Southern District Sept. 14, 1961 Secs. 5(a) (1) and 24, 1933 Two defendants pleaded guilty to Count 1 of Sec. 371, Title 18, U.S.C.
of New York.

Act; Secs. 371 and 1341, Pending.

Title 18, U.S.C.
21 Ohio

Apr. 19, 1960 Secs. 5(a) (1) and (2), 5(c) Sentencing imposed on 13 defendants ranging from 18 months to 2 years

and 17(a), 1933 Act; Secs. with various conditions for probation as to some defendants, fines from 371 and 1341, Title 18, $1,000 to $3,500; four defendants dismissed and one deceased. Pending. U.S.C.

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