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NOMINATION OF WILLIAM J. CASEY

HEARINGS

BEFORE THE

COMMITTEE ON

BANKING, HOUSING AND URBAN AFFAIRS
UNITED STATES/SENATE

NINETY-SECOND_CONGRESS

FIRST SESSION

ON

THE NOMINATION OF WILLIAM J. CASEY TO BE A MEMBER
OF THE SECURITIES AND EXCHANGE COMMISSION

57-426

FEBRUARY 10 AND MARCH 9, 1971

Printed for the use of the Committee on Banking, Housing
and Urban Affairs

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1971

AN

BCF

LWU

COMMITTEE ON BANKING, HOUSING AND URBAN AFFAIRS

JOHN SPARKMAN, Alabama, Chairman

WILLIAM PROXMIRE, Wisconsin

HARRISON A. WILLIAMS, JR., New Jersey
THOMAS J. MCINTYRE, New Hampshire
WALTER F. MONDALE, Minnesota
ALAN CRANSTON, California

ADLAI E. STEVENSON III, Illinois
DAVID H. GAMBRELL, Georgia

JOHN G. TOWER, Texas

WALLACE F. BENNETT, Utah

EDWARD W. BROOKE, Massachusetts
BOB PACKWOOD, Oregon

WILLIAM V. ROTH, JR., Delaware

BILL BROCK, Tennessee
ROBERT TAFT, JR., Ohio

DUDLEY L. O'NEAL, Jr., Staff Director and General Counsel
JOHN R. EVANS, Minority Staff Director

(II)

CONTENTS

(Attention should be drawn to a committee print published by this committee,
entitled "Compilation of Material Relevant to Considering the Nomination of
William J. Casey," dated March 8, 1971, which contains additional material
of interest in this matter.)

LIST OF WITNESSES

Edward J. Brady, attorney, New York City. -

ADDITIONAL MATERIAL RECEIVED FOR THE RECORD

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127

Casey, William J., etc.-Continued
Letters-Continued

Senator Sparkman, February 10, information regarding the Fields

case_

Senator Sparkman, dated February 11, copies of the complaint and
the answer in the Field v. Prentice Hall case

Senator Sparkman, dated February 26, inclosing telegram received
from Thomas Diskin...

Senator Sparkman, March 1, statement of personal professional,
business, and financial activities..

List of companies in which Mr. Casey served as officer or director___.
Prepared statement.__

Page

133

134

145

105, 649

126

45

Review of matters raised since inception of confirmation hearing-
Review of security holdings and investment activities__.
Telegram concerning preparation of filing of transcript_

117

111

146

Cherne, Leo, Research Institute of America, statement before the committee__

70

Craven, J. Braxton, Jr. U.S. judge:

Letters:

Kenneth McLear, staff member_..

147

Senator Proxmire, dated February 18, concerning Mr. Fields_-
Senators Sparkman and Proxmire, dated February 24, advised of
entered order in Fields case.

141

143

Senator Sparkman, dated February 16, requesting information
pertaining to the Fields v. Casey case-

137

Senator Sparkman, dated February 25, information regarding
Fields v. Casey case-.-.

143

Prepared statement...

29

Telephone statement, dated February 11, to Mr. McLean

140

Doherty, Gregory H., statement of...

456

Diskin, Thomas A.:

Letter from Mr. Casey, dated February 10, regarding Fields case..
Order directing preparation of transcript in Fields case, copy of..
Telegram concerning preparation and filing of transcript___

[blocks in formation]

Answers of the plaintiff to interrogatories proposed by defend-
ants--

[blocks in formation]

Information regarding the Fields case begins at..

Notice of motion to modify interrogatories and to stay furnishing of them until completion of taking of defendant's depositions__

Pretrial order.

Proceedings in robing room

Justice, Department of, letter to committee...

Kalvar case:

133

172

178, 257

404

419

[blocks in formation]

Pretrial depository of Ward J. Koepenick, president of Standard
Office Systems_

686

Proxy statement..

653

Statement of Harry McCall, Jr., general counsel.

78

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Northwest Utilities, table showing transactions on the Chicago Stock
Exchange

Persky, Robert S., letter to Senator Sparkman..

Proxmire, William, U.S. Senator from the State of Wisconsin:

Letters:

Page

76

76

724

652

730

729

455

428

Casey, dated February 19, requesting list of companies..
Casey, dated February 22, enclosing list of companies.
Casey, dated March 1, list of directorships Mr. Casey held.
Craven, Judge, dated February 18, concerning Mr. Fields.
Craven, Judge, dated February 24, advised of entered order in
Fields case.

Casey, dated February 12, requesting legal documents on the
Boggs case

424

126

126

127

141

143

SEC, dated February 22, requesting list of individuals connected
with alleged SEC violations_

131

SEC, dated February 26, indicating that Mr. Casey was not
connected with any SEC violations___

131

SEC, dated March 1, check of computer files regarding com-
panies in which Mr. Casey was connected.

697

SEC, dated March 8, regarding companies involved in SEC
action..

128

SEC, dated March 8, inquiries with respect to status of companies
in which Mr. Casey is shareholder_

[blocks in formation]

Senator Proxmire, dated February 22, requesting list of individ-
uals connected with alleged SEC violations..
Senator Proxmire, dated February 26, indicating that Mr. Casey
was not connected with any SEC violations.

131

131

Senator Proxmire, dated March 1, check of computer files regard-
ing companies in which Mr. Casey was associated
Senator Proxmire, dated March 8, regarding companies involved
in SEC action.___

Senator Williams, dated February 24, requesting information
regarding Mr. Casey's investments.

129

128

695

128, 426

Senator Williams, dated March 8, inquiries with respect to status
of companies in which Mr. Casey was shareholder_
Senator Sparkman, exchange regarding the Roosevelt Raceway

case..

Reprints of releases_

130

432

Sparkman, John, U.S. Senator from the State of Alabama, letters:
Judge Craven, dated February 16, requesting information pertaining
to the Fields case..

137

Judge Craven, dated February 24, advised of entered order in Fields

case

143

Richard B. Smith, Acting Chairman, SEC, exchange of letters regarding
Roosevelt Raceway case_-

130

Robert S. Persky, regarding Boggs case.

428

Securities and Exchange Commission, dated February 8, from Phillip
A. Loomis, Jr., General Counsel. -

104

William J. Casey, dated February 9, regarding his investments_
William J. Casey, dated February 10, with information on Fields

103

case.

133

William J. Casey, dated February 26, enclosing telegram received
from Thomas Diskin..........

145

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