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NOMINATION OF WILLIAM J. CASEY

AN
ВСЕ
LWU

HEARINGS

BEFORE THE

LCOMMITTEE 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

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

57-426

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COMMITTEE ON BANKING, HOUSING AND URBAN AFFAIRS

JOHN SPARKMAN, Alabama, Chairman WILLIAM PROXMIRE, Wisconsin

JOHN G. TOWER, Texas HARRISON A. WILLIAMS, JR., New Jersey WALLACE F. BENNETT, Utah THOMAS J. MCINTYRE, New Hampshire EDWARD W. BROOKE, Massachusetts WALTER F. MONDALE, Minnesota

BOB PACKWOOD, Oregon ALAN CRANSTON, California

WILLIAM V. ROTH, JR., Delaware ADLAI E. STEVENSON III, Illinois

BILL BROCK, Tennessee
DAVID H. GAMBRELL, Georgia

ROBERT TAFT, JR., Ohio
DUDLEY L. O'NEAL, Jr., Staff Director and General Counsel

JOHN R. Evans, Minority Staff Director

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

Page

William J. Casey, nominee, to be a member of the Securities and 'Exchange

Commission..

3, 45

J. Braxton Craven, Jr., U.S. judge, Fourth Circuit Court of Appeals,

Asheville, N.C..

29

Leo Cherne, Research Institute of America.-

70

Milton Katz, professor, Harvard Law School, Cambridge, Mass -

76

Harry McCall, Jr., general counsel, Kalvar Corp-

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

100

ADDITIONAL MATERIAL RECEIVED FOR THE RECORD

Advancement Devices, Inc.:

Audit of books.-

481

Balance sheet.

482

Biographical sketches of staff.

502

Statement by George Doundoulakis, president.

493, 613
Stockholders meeting, minutes of..-

479, 488, 622
William J. Casey, letter to other stockholders.

595
Beacon Oil:
Adding machine, reprint of tape.-

694
Excerpt from tax return of Mr. Casey-

693
Letter to Senator Sparkman..

693

Boggs case:

Biographical sketch of Roland H. Boggs..

594

List of exhibits.--.

455

Justice Department letter.

419

Notice of motion.-

464

Plaintiff's memorandum

629

Transcript of proceedings.

527

White House letters...

416

Brady, Edward J., attorney, statement before committee.

100

Brooke, Edward W., U.S. Senator from the State of Massachusetts,

answers to questions submitted to Mr. Casey ..

Business Week, article from.----

784

Casey, William J., nominee to be a member of the Securities and Exchange

Commission:

Answers to questions of Senator Brooke-

14

Biographical sketch...

3

Letters:

Diskin, Thomas A., dated February 10, regarding Fields v. Casey

case.

136

Senator Proxmire, dated February 12, introducing Boggs case. 424

Senator Proxmire, dated February 19, requesting list of companies 126

Senator Proxmire, dated February 22, enclosing list of companies. 126

Senator Proxmire, dated March 1, list of directorships Mr. Casey
held.---

127

Senator Sparkman, dated February 9, regarding conflict of in-

terest.

103

Casey, William J., etc.—Continued
Letters—Continued
Senator Sparkman, February 10, information regarding the Fields Page

133
Senator Sparkman, dated February 11, copies of the complaint and
the answer in the Field v. Prentice Hall case.

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

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

105, 649 List of companies in which Mr. Casey served as officer or director. 126 Prepared statement

45 Review of matters raised since inception of confirmation hearing 117 Review of security holdings and investment activities-

111 Telegram concerning preparation of filing of transcript.

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--- 141 Senators Sparkman and Proxmire, dated February 24, advised of entered order in Fields case.

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. 136
Order directing preparation of transcript in Fields case, copy of

144 Telegram concerning preparation and filing of transcript ---

146 Dupont case.

698 Fields case: Casey book, copy of

169 Casey, William J., examination before trial.

178 Court proceedings:

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

154 Civil action.

346 Complaint.

148 Examination before trial.

178 Excerpts from trial.

260 Fields manuscript, copy of_

164 Information regarding the Fields case begins at...

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

172 Pretrial order

178, 257 Proceedings in robing room_

404 Justice, Department of, letter to committee

419 Kalvar case: Complaint procedings

671 Degree of preliminary injunction

690 Letter to shareholders.

685 Motion to modify decree.

692 Order granting preliminary injunction -

691 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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Katz, Milton, professor, Harvard Law School:

Page Biographical sketch of..

76 Statement before the committee.

76 Moyed, Ralph S., reprint of articles by...

724 Newspaper articles: New Orleans Times-Picayune.

652 New York Times..

730 Wall Street Journal..

729 Northwest Utilities, table showing transactions on the Chicago Stock Exchange --

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

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

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

424 Casey, dated February 19, requesting list of companies.

126 Casey, dated February 22, enclosing list of companies.

126 Casey, dated March 1, list of directorships Mr. Casey held.

127 Craven, Judge, dated February 18, concerning Mr. Fields

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

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 SEĆ violations.

131 SEC, dated March 1, check of computer files regarding companies 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 696 in which Mr. Casey is shareholder

712 List of items requiring clarification..-

695
Rooserelt Raceway case.
Securities and Exchange Commission:
Letters:

Senator Proxmire, dated February 22, requesting list of individ-
uals connected with alleged SEC violations..

131
Senator Proxmire, dated February 26, indicating that Mr. Casey
was not connected with any SEC violations...

131 Senator Proxmire, dated March 1, check of computer files regarding companies in which Mr. Casey was associated.

129 Senator Proxmire, dated March 8, regarding companies involved in SEC action.--

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

695 Senator Williams, dated March 8, inquiries with respect to status of companies in which Mr. Casey was shareholder

128, 426 Senator Sparkman, exchange regarding the Roosevelt Raceway

130 Reprints of releases..

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

103 William J. Casey, dated February 10, with information on Fields

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

145

case.

case.

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