QUESTION 5 (a) State whether you participated in the profits and/or losses in any syndicate, pool, and/or joint account during the years 1929 to 1933, inclusive. If your answer is in the affirmative and you were the manager or acted for the manager or managers for such accounts, furnish a photostatic copy of each of said syndicate, pool, and/or joint account agreements. (b) State whether any syndicate, pool, and/or joint accounts have been maintained on your books during the years 1929 to 1933, inclusive, in which you had no proprietary interest. If your answer is in the affirmative and you were the manager or acted for the manager or managers for such accounts, furnish a photostatic copy of each of such syndicate, pool, and/or joint account agreements. NOTE. For the purposes of this questionnaire, a syndicate, pool, or joint account shall be deemed to be an account in which two or more parties participated, for the purpose of trading actively in a single security listed on the New York Stock Exchange, and in which account more than 10,000 shares were bought or sold. Number of individual members who participated in the profits and/or losses in syndicate, pool, and/or joint accounts: 20. Number of individual members on whose books any syndicate, pool, and/or joint accounts were maintained in which the individual member thereof had no proprietary interest: None. Issues of stock listed on the New York Stock Exchange, which were subject to one or more syndicate, pool, and/or joint accounts, in which individual members participated in the profits and/or losses and were the managers or acted for the managers of such accounts: Have you acted as promoter, organizer, officer, director, or manager under contract, of any investment trust of the management type during the period 1929 to 1933, inclusive? If your answer to this question is in the affirmative, state the name of such investment trust or trusts, and describe your relationship, stating the period during which such relationship existed. Number of individual members who acted as promoter, organizer, officer, director, or manager under contract of any investment trust of the management type: 6. Number of investment trusts for which individual members acted as promoter, organizer, officer, director, or manager under contract: 6. EXHIBIT B New York Stock Exchange claims of nonmembers considered by the arbitration 1 Claim arising out of partnership formerly existing between parties. 2 Heard without deposit by claimant of cost, on plea of financial inability to do so. 8 Uncollected. lected). EXHIBIT C New York Stock Exchange-Claims of nonmembers considered by the arbitration committee, 1932 1 Claim arising out of partnership formerly existing between parties. Heard without deposit of costs by claimant, on plea of financial inability to do so. 3 Photostatic work. 8/4/32 Re-accounting in dissolution of partnership approx. $514, 000. 6 claimant for арргох. In favor of spondent. tween ties. $1,600, equally $220. 50 divided be- 3 $75.30 tween claim ants and re $200, against divided be par spondent. None. Approximately 5 In favor of re- claimant. $91.75 claimant. |