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SEC News Digest, 05-05-1977
n- I sec news ---igest LIBR f Issue 77-87 (SEC Docket, Vol. 11, No. 20 - May l7) May 5, 1977 MAY 6 1977 RULES AND RELATED MATTERS u.s. SECURITIES AND REVISED PROPOSED RULEMAKING REGARDING EXCHANGE COMMISSION INVESTMENT CONCENTRATIONS IN SECURITY INVESTMENTS The SEC announced reV1S10ns of proposals to require disclosure of concentrations in security investments to make the proposed rules applicable only to commercial and industrial companies. (ReI. 33-5825) DECISIONS IN ADMINISTRATIVE PROCEEDINGS NICHOLAS CUIOLA SANCTIONED The Commission has announced the issuance of an order imposing a remedial sanction upon Nicholas Chiola (Chiola). Chiola was employed at Mesirow & Co. (MesirowJ, Chicago, Illinois, a registered broker-dealer, from 1968 to May, 1975, as cashier and later as operations manager. The Commission's order was entered pursuant to an offer of settlement by which Chiola consented, without admitting or denying, to cer- tain findings and a sanction. The Commission found that from May, 1973 to May, 1975, Chiola wilfully aided and abetted violations of Section l7(a) of the Exchange Act and Rule l7a-3 thereunder in that Chiola caused false entries to be made to certain accounts of Mesirow's books and records to conceal diversions in excess of $100,000 from Mesirow's bank accounts to his own account. The Commission also found that on September 14, 1976, by an order of judgment and commitment entered in the U.S. District Court for the Northern District of Illinois, Chiola was committed to the custody of the Attorney General for a period of two years following the entry of a plea of guilty to a one-count indict- ment alleging violations of Sections l7(a) and 32tal of the Securities Exchange Act of 1934. -
B-1 John W Barriger III Papers Finalwpref.Rtf
A Guide to the John W. Barriger III Papers in the John W. Barriger III National Railroad Library A Special Collection of the St. Louis Mercantile Library at the University of Missouri St. Louis This project was made possible by a generous grant From the National Historical Publications and Record Commission an agency of the National Archives and Records Administration and by the support of the St. Louis Mercantile Library at the University of Missouri St. Louis © 1997 The St. Louis Mercantile Library Association i Preface and Acknowledgements This finding aid represents the fruition of years of effort in arranging and describing the papers of John W. Barriger III, one of this century’s most distinguished railroad executives. It will serve the needs of scholars for many years to come, guiding them through an extraordinary body of papers documenting the world of railroading in the first two-thirds of this century across all of North America. In every endeavor, there are individuals for whom the scope of their involvement and the depth of their participation makes them a unique participant in events of historical importance. Such was the case with John Walker Barriger III (1899-1976), whose many significant roles in the American railroad industry over almost a half century from the 1920s into the 1970s not only made him one of this century’s most important railroad executives, but which also permitted him to participate in and witness at close hand the enormous changes which took place in railroading over the course of his career. For many men, simply to participate in the decisions and events such as were part of John Barriger’s life would have been enough. -
A History of Nationalization in the United States 1917–2009
A HISTORY OF NATIONALIZATION IN THE UNITED STATES 1917–2009 Thomas M. Hanna A HISTORY OF NATIONALIZATION IN THE UNITED STATES 1917-2009 Thomas M. Hanna 1 Icon: USA by Roussy lucas from the Noun Project The Rich History of Nationalization in the United States Climate change is an unprecedented global social, political, and economic crisis. Without drastic action, the United States will likely experience rising sea levels that will regularly flood major cities, more intense weather patterns that will destroy homes and businesses, longer and deeper droughts that will dis- rupt agricultural production, and an increase in disease that will put stress on the healthcare system. Domestic and international climate refugees will have to be resettled and the effects of increasing global strife contained. In both human and economic terms, the costs will be unlike anything the country has previously faced. Moreover, the economy is facing a significant problem of stranded assets—specifically fossil fuel reserves and infrastructure, the full value of which simply cannot be realized if the world is to avoid the most catastrophic ef- “ 1 The United States has a fects of global warming. long and rich tradition of nationalizing private In order to navigate these intersecting ecological and enterprise, especially economic crises within the necessary (and shorten- during times of economic and social crisis. ing) time frames, we will likely need to take over and decommission the large fossil fuel extraction corpora- ” tions that are both one of the leading causes of climate change and one of the primary institutional impediments to addressing it. On its face, this seems absurdly radical and improbable in the type of capitalist system that exists in the United States. -
The Lake Shore and Michigan Southern Railway Company December 31
FORTY-FOURTH ANNUAL REPORT OF THE BOARD OF DIRECTORS or THE LAKE SHORE AND MICHIGAN SOUTHERN RAILWAY COMPANY TO THE STOCKHOLDERS FOR THE YEAR ENDED DECEMBER 31 1913 CLEVELAND OHIO 0 BO It CIA n- .1 J. FORTY-FOURTH ANNUAL REPORT OF THE BOARD OF DIRECTORS OF THE LAKE SHORE AND MICHIGAN SOUTHERN RAILWAY COMPANY TO THE STOCKHOLDERS FOR THB YEAR KNDBD DECEMBER 31 1913 CLEVELAND OHIO ORGANIZATION OF THE LAKE SHORE AND MICHIGAN SOUTHERN RAILWAY COMPANY DECEMBER 31. 1913 DIRECTORS J. PIERPONT MORGAN WILLIAM K. VANDERBILT JAMES STILLMAN Tarm R>p i. •• LEWIS CASS LEDYARD Turin Expire" GEORGE F. BAKER WILLIAM ROCKEFELLER May 1915 W. SEWARD WEBB MARVIN HUGHITT FREDERICK W, VANDERBILT \ WILLIAM K. VANDERBILT. JR CHAUNCEY M. DEPEW Term Expire* WILLIAM H. NEWMAN May 1916 WILLIAM C. BROWN EXECUTIVE COMMITTEE CHAUNCKV M. DEPEW, Chairman of the Board of Directors* WILLIAM C. BR.HVN, President*' WILLIAM K. VANDERBILT LEWIS CASS LED YARD FREDERICK W. VANDERBILT GEORGE F. BAKER WILLIAM ROCKEFELLER J. PIERPI'NT MORGAN WILLIAM H. NEWMAN * Members ex-ojficio OFFICERS President WILLIAM C. BROWN New York Senior Vice President ALFRED H. SMITH New York Vice President WILLIAM K. VANDERBILT, JR New York Vice President JMHN CARSTENSEN New York Vice President ALBERT II. HARRIS New York Vice President CHARLES F. DALY New York Vice President JOHN J. BERNET Chicago Assistant Vice President EDWARD T. GLKNNON Chicago Secretary DWIGHT W. PARDEE New York Treasurer MILTON S. BAUGER New York Local Treasurer RUDOLPH P. AHRENS Cleveland General Auditor Rlt HARD M. HUDDLESTON Chicago Auditor GEORGE M. GLAZIER Cleveland General Counsel FRANK J. -
George E. Tillitson Collection on Railroads M0165
http://oac.cdlib.org/findaid/ark:/13030/tf1j49n53k No online items Guide to the George E. Tillitson Collection on Railroads M0165 Department of Special Collections and University Archives 1999 ; revised 2019 Green Library 557 Escondido Mall Stanford 94305-6064 [email protected] URL: http://library.stanford.edu/spc Guide to the George E. Tillitson M0165 1 Collection on Railroads M0165 Language of Material: English Contributing Institution: Department of Special Collections and University Archives Title: George E. Tillitson collection on railroads creator: Tillitson, George E. Identifier/Call Number: M0165 Physical Description: 50.5 Linear Feet(9 cartons and 99 manuscript storage boxes) Date (inclusive): 1880-1959 Abstract: Notes on the history of railroads in the United States and Canada. Conditions Governing Access The collection is open for research. Note that material is stored off-site and must be requested at least 36 hours in advance of intended use. Provenance Gift of George E. Tillitson, 1955. Special Notes One very useful feature of the material is further described in the two attached pages. This is the carefully annotated study of a good many of the important large railroads of the United States complete within their own files, these to be found within the official state of incorporation. Here will be included page references to the frequently huge number of small short-line roads that usually wound up by being “taken in” to the larger and expending Class II and I roads. Some of these files, such as the New York Central or the Pennsylvania Railroad are very big themselves. Michigan, Wisconsin, Oregon, and Washington are large because the many lumber railroads have been extensively studied out. -
Economic and Social Effects of Railway Abandonments: with Special
This dissertation has been 62-762 microfilmed exactly as received DURR# Frederick R. E., 1921- ECONOMIC AND SOCIAL EFFECTS OF RAILWAY ABANDONMENTS WITH SPECIAL REFERENCE TO LAND USE AND TAXATION. The Ohio State University, Ph.D., 1961 Economics, finance University Microfilms, Inc., Ann Arbor, Michigan ECONOMIC AND SOCIAL EFFECTS OF RAILWAY ABANDONMENTS WITH SIECIAL REFERENCE TO LAND USE AND TAXATION DISSERTATION Presented In Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Frederick R. E. Durr, A.B., M.A. * MW* The Ohio State University 1961 Approved by CONTENTS Page LIST OF TABLES....................................................................................................... iv LIST OF ILLUSTRATIONS..................................................................................... vi Chapter I. INTRODUCTION ................................................................................................................... 1 The Problem I I . THE EVOLUTION OF RAILROAD ABANDONMENT REGULATION . l6 The Public In te r e st Charters and Franchises Public Aid The Question of Profitability State Regulation Federal Regulation of Abandonments Summary H I. ANALYSIS OF THE CAUSES OF RAILROAD ABANDONMENTS . Competition Competition from Other Railroads Highway Competition Competition from Pipelines Competition from Waterways Air-Carrier Competition Competition - A Summary The Subsidy Question Readjustments in Railroad Operating Practices Decline in the Source -
Lake Shore & Michigan Southern
25m ANNUAL REPORT OF THE Lake Shore & Michigan Southern RAILWAY COMPANY. 1894. Twenty-fifth Annual Report or THtf BOARD OF DIRECTORS Lake Shore & Michigan Southern RAILWAY COMPANY TO THE STOCKHOLDERS, FUB TDF FISCAL YEAR ENDING DECEMBER 31, 1894. CLEVELAND. 0. THE IIVKHAMUBS, BR0TURE. 3 CU. CONTENTS. PAGK DIRECTORS AND OFFICERS - 3 REPORT OF THE BOARD OF DIRECTORS 5 INCOME ACCOUNT - 13 CONDENSED BALANCE SHEET _ 14 EARNINGS AND EXPENSES IN DETAIL • __ 16 EARNINGS AND EXPENSES BY MONTHS — 13 FUNDED DEBT _ _ 20 MILEAGE STATISTICS -- 22 CHIEF ENGINEER'S REPORT — 23 TABLE OF ROAD OPERATED 24 TABLE OF TRACKS IN EACH STATE _ 25 EQUIPMENT—CAR DEPARTMENT - 26 LOCOMOTIVE DEPARTMENT STATISTICS —- - 27 EARNINGS OF SYSTEM BY ROADS 28 FREIGHT STATISTICS- --- 20 PASSBNGER STATISTICS_ _ - 33 NEW EQUIPMENT PURCHASED AND BUILT L__.35 CHRONOLOGICAL LIST OF DIRECTORS --- 36 REPORT OF MAHONING COAL RAILROAD COMPANY— — -- 37 3 ORGANIZATION OP THE Lake Shore & Michigan Southern RAILWAY COMPANY. MAY 1, 1895. ANNUAL MEETING FIRST WEDNESDAY IN MAY, AT CLEVELAND, 0. DIRECTORS (13). WILLIAM K. VANDERBILT -—-NEW YORK. CORNELIUS VANDERBILT- — NEW YORK. FREDERICK W. VANDERBILT- NEW YORK. Samuel P. barger NEW YORK. DARIUS O. MILLS __ NEW YORK. EDWIN D. WORCESTER NEW YORK. HAMILTON McK. TWOMBLY — —NEW YORK. CHAUNCEY M. DEPEW NEW YORK. DANIEL W. CALDWELL CLEVELAND, 0. CHARLES M. REED - ERIE, PA. RASSELAS BROWN... WARREN, PA. JOHN DE KOVEX -..CHICAGO. JAMES H. REED._ PITTSBURGH, PA. OFFICERS. OFFICE. CHAIRMAN OF THE BOARD WILLIAM K. VANDERBILT NEW YORK. PRESIDENT DANIEL W. CALDWELL CLEVELAND. VICE PRES'T, TREAS. AND SEC'Y.-EDWIN D. WORCESTER NEW YORK. -
Supreme Court of the United States
; MONDAY, OCTOBEE 5, 1931 1 SUPREME COURT OF THE UNITED STATES Present: The Chief Justice, Mr. Justice Holmes, Mr. Justice Van Devanter, Mr. Justice McReynolds, Mr. Justice Brandeis, Mr. Jus- tice Sutherland, Mr. Justice Butler, Mr. Justice Stone, and Mr. Jus- tice Roberts. Dayton E. Van Vactor, of Klamath Falls, Oreg. ; Charles L. Carr, of Kansas City, Mo. ; Martin Sack, of Jacksonville, Fla. ; James B. Searcy, of Springfield, 111. ; D. Niel Ferguson, of Ocala, Fla. ; Alonzo H. Garcelon, of Boston, Mass. ; David W. Jacobs, of Boston, Mass. Alma M. Myers, of San Francisco, Calif. ; Norman A. Bailie, of Los Angeles, Calif. Harpole, of Superior, Mont. ; Lon E. Blank- ; Eugene enbecker, of Houston, Tex.; John F. Sharp, jr., of Oklahoma City, Okla. ; J. Andrew West, of Prescott, Ariz. ; Elbert Hooper, of Fort Worth, Tex. ; and J. Mark Trice, of Washington, D. C, were admitted to practice. No. 41. Painters District Council No. 14 of Chicago, etc., appel- lants, v. The United States of America. Suggestion of a diminu- tion of the record and motion for a writ of certiorari submitted by Mr. Solicitor General Thacher for the appellee. No. 287. The Atchison, Topeka and Santa Fe Railway Company et al., appellants, v. The United States of America et al. Joint motion to advance submitted by Mr. Solicitor General Thacher in that behalf. No. 391. T. Binford et al., appellants, v. J. H. McLeaish & Com- pany et al. Motion to advance submitted by Mr. A. L. Reed for the appellants. No. 263, October term, 1930. Maas & Waldstein Company, peti- tioner, v. The United States of America. -
Annual Report
SEVn iNTH ANNUAL REPORT PRESIDENT AND DIRECTORS :LAKE SHORE MICHIGAN SOUTHERN RAILWAY COMPANY TO THE STOCKHOLDERS, Fiscal Year ending Der. 31, 1876. CLEVELAND: FAIRBANKS & CO., PRINTERS, HERALD OFFICE 1877. SEVENTH ANNUAL REPORT PRESIDENT AND DIRECTORS LAKE SHORE MICHIGAN SOUTHERN RAILWAY COMPANY TO THE STOCKHOLDERS, Fiscal Year ending Dec. 31, 1876. CLEVELAND: FAIRBANKS & CO., PRINTERS, HERALD OFFICE 1877. O R &AN I Z AT I O NT LAKE SHORE & MICHIGAN SOUTHERN RAILWAY COMPANY. MAY 1, 1877. Directors. H. WILLIAM VANDERBILT _ New York. SAMUEL F. BARGER New York. AUGUSTUS SCHELL _ "."."."."."."newYork! ROBERT L. CRAWFORD New York. JOHN E. BURRILL _ _ NewYork. FRANCIS P. FREEMAN //..."..____"" New York! ANDREW D. WHITE Syracuse, N. Y.' HENRY B. PAYNE Cleveland, 0. AMASA STONE Cleveland, O. WILLIAM L. SCOTT Erie , Pa> CHARLES M. REED _ Erie, Pa. ALBERT KEEP ....Chicago, III. One vacancy, caused by death of Cornelius Vanderbilt. Officers. President First Vice President WILLIAM H. VANDERBILT NewYork. Second Vice President AUGUSTUS SCHELL New York. Treasurer and Secretary EDWIN D.WORCESTER NewYork. Ass'tSec. & Ass't Treas. pro tem....N. BARTLETT Cleveland, O. Auditor C. P. LELAND Cleveland, O. General Manager JOHN NEWELL Cleveland, O. General Superintendent CHARLES PAINE Cleveland, O. General Freight Agent ADDISON HILLS Cleveland, O. Ass't General Freight Agent... .CHARLES M. GRAY Chicago, III. Ass't General Freight Agent ....GEORGE H. VAILLANT Cleveland, O. Ass't General Freight Agent ....J. T. R. McKAY .....Cleveland, O. General Ticket Agent J. W. CARY Cleveland, O. Chief Engineer L. H. CLARKE Cleveland, O. General Master Mechanic JAMES SEDGLEY Cleveland, O. Master Car Builder JOHN KIRBY Cleveland, O. -
The New York Central Railroad Company
The New York Central Railroad Company Report of the Board of Directors to the Stockholders for the year ended December 31, 1920 Grand Central Terminal New York ORGANIZATION OF THE NEW YORK CENTRAL RAILROAD COMPANY DECEMBER 31, 1920 DIRECTORS Elected at the annual meeting of the stockholders held at Albany, New York, January 28, 1920 CHAUNCEY M. DEPEW, Chairman FREDERICK W. VANDERBILT ALFRED H. SMITH WILLIAM ROCKEFELLER FRANK J. JEROME GEORGE F. BAKER EDWARD S. HARKNESS WILLIAM K. VANDERBILT SAMUEL MATHER HAROLD S. VANDERBILT ALBERT H. HARRIS ROBERT S. LOVETT BERTRAM CUTLER OGDEN MILLS (One vacancy) FINANCE COMMITTEE WILLIAM K. VANDERBILT GEORGE F BAKER WILLIAM ROCKEFELLER HAROLD S. VANDERBILT ROBERT S. LOVETT CORPORATE OFFICERS President ALFRED H. SMITH New York Vice President IBA A. PLACE New York Vice President ABRAHAM T. HABDIN New York Vice President ALBERT H. HABBIS New York Vice President GEOBGE H. INGALLS New York Vice President JOHN CARSTENSEN New York Vice President PATRICK E. CROWLEY New York Vice President HOWARD M. BISCOE Boston Assistant Vice President EDWARD T. GLENNON Chicago Assistant Vice President FRANK J. JEBOME Cleveland Assistant Vice President CHABLES C. PAULDING New York Assistant Vice President RAYMOND D. STAEBTJCK New York Assistant Vice President CHABLES J. BEISTEE Chicago Secretary EDWAED F. STEPHENSON New York Assistant Secretary JOSEPH M. O'MAHONEY New York General Treasurer MILTON S. BARGEE New York Assistant General Treasurer HABRY G. SNELLING New York Assistant General Treasurer EDGAR FREEMAN New York Comptroller WILLIAM C. WISH ART New York Assistant Comptroller LEBOY V. POETEB New York Assistant Comptroller FEEDERICK H. MEEDEE New York The annual meeting of the stockholders for the election of directors is held in the City of Albany, New York, on the fourth Wednesday in January. -
Corporate Records Subseries 1—Akron & Barberton Belt Railroad
The John W. Barriger III Papers- Series 1- Corporate Records Subseries 1—Akron & Barberton Belt Railroad Company Subseries 2—Akron, Canton & Youngstown Railroad Company Subseries 3—Alabama Great Southern Railroad Subseries 4—Alabama, Tennessee & Northern Railroad Subseries 5—Alaska Railroad Subseries 6—Algoma Central & Hudson Bay Railway Company Subseries 7—Alleghany Corporation Subseries 8—Alton and Southern Railroad Subseries 9—Alton Railroad Company Subseries 10—American Railroad Company of Porto Rico Subseries 11—Amoskeag Company Subseries 12—Amtrak (National Railroad Passenger Corporation) Subseries 13—Ann Arbor Railroad Company Subseries 14—Apache Railway Company Subseries 15—Ashley, Drew & Northern Railway Company Subseries 16—Atchison, Topeka & Santa Fe Railway Subseries 17—Atlanta & St. Andrew’s Bay Railway Subseries 18—Atlanta and West Point Railroad Company Subseries 19—Atlanta, Birmingham and Coast Railroad Company Subseries 20—Atlantic and North Carolina Railroad Subseries 21—Atlantic Coast Line Railroad Subseries 22—Baltimore & Ohio Railroad Subseries 23—Baltimore & Sparrows Point Railroad Subseries 24—Baltimore, Chesapeake & Atlantic Railway Subseries 25—Bangor & Aroostook Railroad Subseries 26—Bangor Punta Subseries 27—Barnegat Railroad Company Subseries 28—Beech Creek Railroad Company Subseries 29—Bellefonte Central Railroad Company Subseries 30—Belt Railway Company of Chicago Subseries 31—Bessemer and Lake Erie Railroad Company Big Four Route—see Cleveland, Cincinnati, Chicago & St. Louis Ry. Subseries 32—Bingham and -
The New York Central Railroad Company
The New York Central Railroad Company Report of the Board of Directors to the Stockholders for the year ended December 31, 1926 New York Central Building 466 Lexington Avenue New York ORGANIZATION OF THE NEW YORK CENTRAL RAILROAD COMPANY DECEMBER 31, 1926 DIRECTORS CHAUNCEY M. DEPEW, Chairman OGDEN MILLS WARREN S. HAYDEN FREDERICK W. VANDERBILT FRANK-J. JEROME JACKSON E. REYNOLDS GEORGE F. BAKER EDWARD S. HARKNESS PATRICK E. CROWLEY WILLIAM K. VANDERBILT ALBERT H. HARRIS MYRON C. TAYLOR HAROLD S. VANDERBILT BERTRAM CUTLER CHARLES B. SEGER The annual meeting of the stockholders for the election of directors is held in the city of Albany, New York, on the fourth Wednesday in January FINANCE COMMITTEE ALBERT H. HARRIS, Chairman GEORGE F. BAKER HAROLD S. VANDERBILT WILLIAM K. VANDERBILT JACKSON E. REYNOLDS CHARLES B. SEGER OFFICERS President PATRICK E. CROWLEY New York Assistant to President HOWARD L. INGERSOLL New York Assistant to President FRANK H. HARDIN New York Executive Assistant to President MARTIN J. ALGER New York Engineering Assistant to President RICHARD E. DOUGHERTY New York Vice President IRA A. PLACE New York Vice President ALBERT H. HARRIS New York Vice President GEORGE H. INGALLS New York Vice President RAYMOND D. STARBUCK New York Vice President HOWARD M. BISCOE Boston Vice President JOHN L. BURDETT New York Vice President JOHN G. WALBER New York Assistant Vice President EDWARD T. GLENNON Chicago Assistant Vice President FRANK J. JEROME Cleveland Assistant Vice President CHARLES C. PAULDING New York Assistant Vice President CHARLES J. BRISTER Chicago Assistant Vice President JOHN K. GRAVES New York Assistant Vice President TIMOTHY W.