Stock Exchange Practices: Hearings Before the Committee on Banking and ... - United States. Congress. Senate. Committee on Banking and Currency - Google 도서

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COMMITTEE ON BANKING AND CURRENCY

DUNCAN U. FLETCHER, Florida, Chairman

CARTER GLASS, Virginia

PETER NORBECK, South Dakota ROBERT F. WAGNER, New York

PHILLIPS LEE GOLDSBOROUGH, Maryland ALBEN W. BARKLEY, Kentucky

JOHN G. TOWNSEND, JR., Delaware ROBERT J. BULKLEY, Ohio

FREDERIC C. WALCOTT, Connecticut THOMAS P. GORE, Oklahoma

ROBERT D. CAREY, Wyoming
EDWARD P. COSTIGAN, Colorado

JAMES COUZENS, Michigan
ROBERT R. REYNOLDS, North Carolina FREDERICK STEIWER, Oregon
JAMES F. BYRNES, South Carolina HAMILTON F. KEAN, New Jersey
JOHN H. BANKHEAD, Alabama
WILLIAM GIBBS MCADOO, California
ALVA B. ADAMS, Colorado

WILLIAM L. HILL, Clerk
R. H. SPARK MAN, Acting Clerk

SUBCOMMITTEE ON STOCK EXCHANGE PRACTICES

DUNCAN U. FLETCHER, Florida, Chairman CARTER GLASS, Virginia

PETER NORBECK, South Dakota ALBEN W. BARKLEY, Kentucky 1

JOHN G. TOWNSEND, JR., Delaware EDWARD P. COSTIGAN, Colorado

JAMES COUZENS, Michigan ALVA B. ADAMS, Colorado

1 Alternate, Thomas P. Gore, Oklahoma.
* Alternate, Phillips Lee Goldsborough, Maryland.

IT

CONTENTS

Page

Altschul, Frank, New York City, chairman of the committee on stock

list, New York Stock Exchange--

----- 6186, 6286

Bowers, Henry S., partner in Goldman, Sachs & Co., New York City-- 6282

Brown, Russell R., chairman of the board, American Commercial

Alcohol Corporation, New York, N.Y.

-------- 6171, 6206

Day, Henry Mason, Syosset, Long Island, member of the firm of Red-

mond & Co., New York----

-- 6218, 6233, 6242, 6279

Gibson, Frank J., auditor of Redmond & Co., New York City --------

Groesbeck, C. E., chairman of the board of Electric Bond & Share

Co., New York, N.Y-------

Harris, George U., member brokerage firm Harris, Upham & Co. and

member publicity committee New York Stock Exchange------- 6347, 6391

Johnston, Ernest H., Westfield, N.J., vice president Cities Service Co.,

New York, N.Y---

Levis, William E., Toledo, Ohio, president Owens-Illinois Glass Cor-

poration ----------

Porter, Seton, New York, president National Distillers Product Cor-

--------- 6246, 6265

Resor, R, P., Bronxville, N.Y., assistant treasurer, Standard Oil Co.,

Inc., New Jersey----

Sinclair, Harry F., Great Neck, Long Island, N.Y., chairman of the

executive committee of Consolidated Oil Corporation, New York

(Italics indicate page on which exhibit was admitted into the record. Roman type

indicates page on which exbibit is printed.)

62. An application to the New York Stock Exchange for an additional

listing of common stock by the American Commercial Alcohol

Corporation, 6171--------

63. Paper marked “Supplemental ” application of the American Alco-

hol Corporation, dated November 23, 1933, to the committee on

stock list of the New York Stock Exchange, 6183_------

64. Comment by Mr. Tirrell, meeting of July 24, 1933, produced by

Mr. Altschul--------

65. Transcript from minutes of executive committee meeting of Ameri-

can Commercial Alcohol Corporation of July 19, 1923, 6194------ 6195

66. Certificate of correctness and authenticity of resolutions adopted

by board of directors of American Commercial Alcohol Cor-

poration on August 8, 1933----

67. Copy of option, June 1, 1933, Libby-Owens Securities Corporation

to Redmond & Co., 6220---

68. Tabulation of profits of Libbey-Owens-Ford Syndicate accounts,

69. Letter dated June 1, 1933, addressed to Kuhn, Leob & Co

70. Letter dated June 5, 1913, from Kuhn, Leob & Co. to Redmond & Co. 6235

71. Copy of letter, Kuhn-Leob & Co, to Redmond & Co., June 16, 1933.-- 6244

72. Letter dated February 15, 1932, from Redmond & Co. to National

Distillers Products Corporation ----------

----

* Not printed because of length or for reasons given in text.

310

73. Letter dated May 3, 1932, from Seton Porter, president National

Distillers Products Corporation, to Redmond & Co.---

74. Letter dated April 28, 1933, from National Distillers Products Cor-

poration to William B. Levis-----

75. Letter dated April 28, 1933, from Seton Porter, president National

Distillers Products Corporation, to Illinois Glass Consolidated

Corporation------

76. Letter dated April 28, 1933, from Seton Porter, president National

Distillers Products Corporation, to Redmond & Co--------------

77. Copy of draft of letter, April 27, 1933, National Distillers to Red-

mond & Co., 6274----

78. Copies of options given to Redmond & Co., 1929 to 1933, 6281------ 6290

79. Letter dated August 4, 1933, from Goldman, Sachs & Co. to secre-

tary committee on Business Conduct, New York Stock Exchange - 6283

80. Application of Kelsey-Hayes Wheel Co., dated February 1, 1933, to

committee on Stock List, New York Stock Exchange, 6284-------

81. Letter dated February 7, 1933, from Goldman, Sachs & Co., and

Lehman Bros. to committee on stock list, New York Stock Ex-

82. Minutes of meeting of February 6, 1933, of committee on stock

83. An excerpt from the monthly letter on economic conditions to the

executive committee of Henry L. Doherty & Co. for December

1928_--

84. Printed document entitled “ Confidential. Monthly Letter on Eoco-

nomic Conditions to the Executive Committee, Henry L. Doherty

& Co., January 1929" 6312------

85. Paper entitled “Further Developments in Brokers' Loans "--------

86. Letter dated November 1, 1933, from W. A. Jones to Ferdinand

Pecora, together with accompanying data, 6319---------

87. Letter dated November 9, 1933, from A. C. Ray, treasurer Electric

Bond & Share Co., to Ferdinand Pecora, counsel, Committee on

Banking and Currency, 6328_------

88. Letter dated November 9, 1933, from A. C. Ray, treasurer American

& Foreign Power Co., Inc., to Ferdinand Pecora, counsel Com-

mittee on Banking and Currency, 6329------

89. Copy of communication, November 3, 1933, Teagle to Pecora, 6332-- 6362

90. Statement entitled “ Interest on Jesup & Lamont deposit account

for the year 1929 ", 6335_------

91. Answers made by the Consolidated Oil Corporation to the ques-

tionnaire sent by the committee, 6339------

92. The recapitulation made by members of the investigating staff of the

committee, entitled “ Total number and amount of street loans

made by private corporations for the year 1929 in the call money

market of New York City", 6342---

93. Answer of the American Can Co. to the committee's question-

naire, 6342--------

94. Answer made by the Anaconda Copper Mining Co. to the commit-

tee's questionnaire, 6342--------

95. Answer by the Auburn Automobile Co. to the committee's question-

naire, 6342------

96. Answer by the Bethlehem Steel Corporation to the committee's

questionnaire, 6343 ----

97. Answer by the Chrysler Corporation to the committee's question-

naire, 6343------

98. Answer of the General Foods Corporation to the committee's ques-

tionnaire, 6343 ------------

99. Answer of the General Motors Corporation and subsidiaries to the

committee's questionnaire, 6343--------

100. Return made by the International Nickel Co. of Canada, Ltd., 6343_ 6380

101. Return made by the Pan American Petroleum & Transport Co. to the

committee's questionnaire, 6343_-------

102. Return made by the Radio Corporation of America to the committee's

questionnaire, 6344-------

• Not printed because of length or for reasons given in text.

103. Answer submitted by the Radio-Keith-Orpheum Corporation to the

committee's questionnaire, 6344-------

104. Return made by the Tri-Continental Corporation to the committee's

questionnaire, 6344-------

105. Answer made by the United Corporation to the committee's question-

naire, 0344------

106. Answer made by the United Gas Improvement Co. to the committee's

questionnaire, 6344------

107. Return to questionnaire, dated November 6, 1933, from L. H. Seagrave,

president American Founders Corporation, to Ferdinand Pecora,

counsel, Committee on Banking and Currency, and supplemental

return from L. H. Seagrave to Ferdinand Pecora, dated February

21, 1934, 63.46 -----------

6389

108. Constitution, rules, together with amendments thereto, of the New

York Stock Exchange, 6348_------

109. Statement (copy of) entitled “ Schedule C, Committee on Publicity",

1929 to 1933, both inclusive, 6355------

110. Copy of letter, February 14, 1934, Whitney to Stock Exchange

members, 6402_-

111. Copy of letter, February 14, 1934, Whitney to member corporations,

112. Copy of undated, unsigned, memorandum in re effect of National

Securities Act, 6405------

113. Document entitled "Answers Submitted by the New York Stock Ex-

change to the Questions Asked of It by Counsel for the United States

Senate Committee on Banking and Currency, 6416----------------

114. Letter dated November 27, 1933, from Charles E. Hudson, president

San Francisco Mining Exchange, to Ferdinand Pecora, together

with accompanying data, 6416----

115. Document purporting to be statement of Mr. Richard Whitney before

the House Committee on Interstate and Foreign Commerce, 6419.-- (**)

116. Document purporting to be final proof of statement or proposal of Mr.

Richard Whitney before the House Committee on Interstate and

Foreign Commerce, 6419-

* Not printed because of length or for reasons given in text.
(**) Exhibits No. 110-116 appear in vol. 15.

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