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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

FEBRUARY 10 AND MARCH 9, 1971

Printed for the use of the Committee on Banking, Housing

and Urban Affairs

U.S. GOVERNMENT PRINTING OFFICE

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

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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

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-

78

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

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 --

14

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-

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

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131

12, requesting legal documents on the

424 19, requesting list of companies.

126 'y 22, enclosing list of companies

126 1, list of directorships Mr. Casey held.

127 d February 18, concerning Mr. Fields..

141 ved February 24, advised of entered order in

143 uary 22, requesting list of individuals connected EC violations.

131 bruary 26, indicating that Mr. Casey was not ith any SEĆ violations.

131 March 1, check of computer files regarding comhich Mr. Casey was connected.

697 March 8, regarding companies involved in SEC

128 March 8, inquiries with respect to status of companies 696 h Mr. Casey is shareholder

712 requiring clarification...

695 1 case. xchange Commission: or Proxmire, dated February 22, requesting list of individis connected with alleged SEC violations.ator Proxmire, dated February 26, indicating that Mr. Casey was not connected with any SEC violations

131 nator 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

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

case.

case.

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