Securities and Exchange Commission Suspends Trading in the Securities of Five Issuers for Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on March 10, 2011 and terminating at 11:59 p.m. EDT on March 23, 2011.
The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64067)
Rose Romero, Director of Fort Worth Regional Office, to Leave SEC
On March 9, 2011, the Securities and Exchange Commission announced that Rose Romero, Director of the SEC’s Fort Worth Regional Office, will be leaving the agency in mid-April after 21 years of government service as a federal prosecutor and securities regulator.
As Regional Director in Fort Worth since March 2006, Ms. Romero oversaw all aspects of the office’s operations including its enforcement, regulation, and litigation programs. She is planning to practice law in the private sector. Prior to joining the SEC staff, Ms. Romero served for 16 years as an Assistant U.S. Attorney in the Northern District of Texas.
Robert Khuzami, Director of the SEC’s Division of Enforcement, said, “I want to thank Rose for her years of dedicated service to the law enforcement in general, and her leadership of the SEC’s Fort Worth Regional Office in particular. The many successful cases brought by the Fort Worth office are a testament to her commitment and ability, and I wish her continued success in her new endeavors.”
Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “I want to thank Rose for her teamwork and collaboration in support of the exam program. Under her leadership, the Fort Worth office’s examination program integrated the management structure of its broker-dealer and investment management units to better respond to the changes in the financial services industry. Rose also played an important role in our recent self-assessment and restructuring to improve coordination across the National Exam Program. We wish Rose the best of luck in her future career.”
Ms. Romero said, “I am blessed to have had the opportunity to work with the talented and dedicated professionals in the Fort Worth office. Their commitment to the mission of finding and prosecuting fraud has been remarkable. I will be forever grateful for their dedicated service and their unwavering support.”
Under Ms. Romero’s leadership, the Fort Worth office brought highly significant cases covering the full range of the SEC’s enforcement program, including:
During her tenure with the government, Ms. Romero has received commendations and awards from numerous agencies including the Federal Bureau of Investigation, Internal Revenue Service, U.S. Customs Service, U.S. Postal Inspection Service, and Drug Enforcement Administration.
A veteran of the U.S. Air Force, Ms. Romero received her BA degree from Texas Christian University and her JD from Southern Methodist University.
(Press Rel. 2011-63)
Statement from Chairman Schapiro on Independent Consultant Study of SEC Organization and Operations
An independent consultant today presented Congress with a report examining the organization and operations of the Securities and Exchange Commission, as required by Section 967 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
The consultant, the Boston Consulting Group, focused its attention on four broad areas: organization structure, personnel and resources, technology and resources, and the SEC’s relationship with self-regulatory organizations.
In response to the report, SEC Chairman Mary L. Schapiro issued the following statement:
In the Matter of Neal R. Greenberg
The U.S. Securities and Exchange Commission announced the dismissal of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and (k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 against Neal R. Greenberg. The dismissal is part of a settlement with Greenberg that involved Greenberg’s consent to a United States District Court Final Judgment enjoining him from violations of Sections 206(2) and 206(4) of the Advisers Act and Rules 206(4)-2, 206(4)-7, and 206(4)-8 thereunder. See SEC v. Greenberg, Civil Action No. 1:11-cv-00313-JLK. (LR-21852I)
In addition to the final judgment, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Advisers Act, Making Findings, and Imposing Remedial Sanctions (Order) against Neal R. Greenberg on February 18, 2011. That Order barred Greenberg from acting as a broker, dealer, or investment adviser. (34-63932; IA-3164)
Greenberg consented to the final judgment and issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rels. 33-9196; 34-64066; IA-3172; IC-29598; File No. 3-14033)
Commission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic Filings
In conjunction with today’s trading suspension, the Commission also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64068; File No. 3-14291)
In the Matter of Stephen Cina
On March 10, 20111, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Stephen Cina (Cina). The Order finds that Cina was a founding member and the Executive Vice President of Business Development at Jadis Capital, Inc., a New York corporation. Jadis Capital was the sole owner of Jadis Investments, LLC (Jadis Investments), a Delaware limited liability company and Uniondale, Long Island-based investment adviser registered with the Commission.
The Order further finds that Cina pled guilty to conspiracy to commit securities fraud, in violation of Title 18 United States Code, Section 371 before the United States District Court for the Eastern District of New York. On Sept. 15, 2010, a judgment was entered against Cina. He was sentenced to six months of home detention, five years probation, and 150 hours of community service and ordered to make restitution in the amount of $3,303,207.99.
Based on the above, the Order bars Cina from association with any investment adviser. Cina consented to the issuance of the Order without admitting or denying any of the findings in the Order, except for the Commission’s jurisdiction over him and the subject matter of the proceedings and his criminal conviction, which he admitted. (Rel. IA-3173; File No. 3-14292)
SEC Charges Operator of Trading Themed Ponzi Scheme
On March 7, 2011 the Securities and Exchange Commission filed an injunctive action in the United States District Court for the District of Colorado against Larry Michael Parrish in connection with a Ponzi scheme.
The Commission alleges that from about November 2005 through October 2009, Parrish raised approximately $9.2 million from 70 investors in 3 states. Parrish, and his company, IV Capital, solicited investors for his “Trading Program” and promised returns of at least 60% per year. The Commission alleges that investors received monthly payments which Parrish told them were profits from successful trading. However, the majority of funds that came into IV Capital bank accounts were from new investors, not from any actual profit-generating activity. The complaint alleges that Parrish, who had no other employment or legitimate source of income, funded his personal life at the expense of investors, misappropriating at least $780,000 for his personal benefit.
Parrish is a recidivist who was a named defendant in a previous SEC action. In April 2005 the SEC brought an action against Parrish for his involvement in a Prime Bank Scheme, SEC v. Larry Michael Parrish, et al., 05 Civ. 1031 (D. Md., filed April 14, 2005). Parrish was subsequently enjoined from violating securities laws and he also consented to the entry of an administrative order barring him from associating with any broker-dealer with a right to reapply for association after five years. 2007 SEC LEXIS 1031.
In the current action, the SEC's complaint alleges that Parrish violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b), 15(a), and 15(b)(6)(B)(i) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206 (1), (2), and (4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. [SEC v. Larry Michael Parrish, Civil Action No. 11-CV-00558-WJM-MJW (D. Colo.)] (LR-21881)
Final Judgment Entered Against Former Prudential Registered Representative Jason N. Ginder Concerning Deceptive Market Timing Practices
The Securities and Exchange Commission announced today that on March 9, 2011, the U.S. District Court for the Southern District of New York entered a final judgment by consent against Jason N. Ginder, a defendant in a civil injunctive action filed by the Commission in August 2006. The Commission's Complaint charged that Ginder, 47, of New Fairfield, Connecticut, was a registered representatives associated with broker-dealer Prudential Securities, Inc., who defrauded mutual fund companies and the funds' shareholders in order to place market timing trades at mutual funds that were trying to detect and block such trading. Without admitting or denying the allegations in the Commission's Complaint, Ginder consented to the entry of a final judgment enjoining him from violating the antifraud provisions of the federal securities laws and ordering him to pay a civil penalty of $300,000.
The Commission's Complaint alleged that, from at least January 2001 until September 2003, certain mutual fund companies tried to detect and block market timing activity. The Complaint alleged that Ginder defrauded mutual fund companies by hiding his and his hedge fund customers' identities through the use of multiple customer account numbers and broker identification numbers. The Complaint alleged that, among other deceptive practices, when mutual funds succeeded in identifying and attempted to block Ginder's trading activity under one customer account or broker identification number, Ginder often simply switched to a different customer account for the same customer or a different broker identification number and continued placing market timing trades.
The final judgment imposed a permanent injunction prohibiting Ginder from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Ginder was also ordered to pay a civil monetary penalty of $300,000. Ginder has also consented to be suspended from association with a broker, dealer, investment adviser, municipal securities dealer, and transfer agent, and from participating in any offer of penny stock, for a period of nine months in related administrative proceedings to be instituted after entry of the permanent injunction.
Two other defendants in the same enforcement action previously settled with the Commission. The Commission's action remains pending against a fourth defendant, Frederick O'Meally. [SEC v. Frederick O'Meally, et. al., United States District Court for the Southern District of New York, Civil Action No. 1:06-cv-06483-LTS] (LR-21882)
Capital International, Inc., et al.
An order has been issued on an application filed by Capital International, Inc. (Capital International), et al. to exempt certain limited partnerships and other investment vehicles formed for the benefit of eligible employees of Capital International and its affiliates from certain provisions of the Investment Company. Each partnership or other investment vehicle will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-29596 – March 8)
Riverside Casualty, Inc.
An order has been issued on an application filed by Riverside Casualty, Inc., a single purpose holding company, to exempt it and its affiliates from certain provisions of the Investment Company Act. Riverside Casualty, Inc. will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-29597 – March 8)
Immediate Effectiveness of Proposed Rule Changes
The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2011-01) under Section 19(b)(1) of the Exchange Act to notify participants that the Mortgage Backed Securities Division intends to move the time at which it runs its daily morning pass (also referred to as the “AM Pass”) from 10:30 am to 2:00 pm (EST). The proposed rule change became effective upon filing. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64053)
A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-036) to modify NASDAQ Options Market Rules Chapter VII, various sections, dealing with market maker obligations, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64054)
A proposed rule change filed by BATS Y-Exchange related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2011-005) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64055)
A proposed rule change filed by the NASDAQ OMX PHLX relating to the extension of a pilot program concerning disseminated quotations (SR-Phlx-2011-29) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64056)
A proposed rule change filed by Chicago Board Options Exchange (SR-CBOE-2011-019) to modify the CBOE Fees Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64057)
A proposed rule change (SR-C2-2011-006) filed by C2 Options Exchange relating to the Opening System has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64058)
A proposed rule change filed by NASDAQ OMX BX to modify fees for co-location services (SR-BX-2011-013) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64059)
A proposed rule change filed by The NASDAQ Stock Market to modify fees for co-location services (SR-NASDAQ-2011-035) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64060)
A proposed rule change filed by NASDAQ OMX PHLX to modify fees for co-location services (SR-Phlx-2011-30) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64061)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 FUSION-IO, INC., 6350 SOUTH 3000 EAST, 6TH FLOOR, SALT LAKE CITY, UT, 84121, 801-424-5500 - 0 ($150,000,000.00) Equity, (File 333-172683 - Mar. 9) (BR. 03A) S-8 JAZZ PHARMACEUTICALS INC, 3180 PORTER DRIVE, PALO ALTO, CA, 94304, 650-496-3777 - 2,345,666 ($57,891,036.88) Equity, (File 333-172684 - Mar. 9) (BR. 01A) S-1 Charlie GPS Inc, 101 RIDGE RD, NORTH ARLINGTON, NJ, 07031, 201-998-2523 - 6,000,000 ($60,000.00) Equity, (File 333-172685 - Mar. 9) (BR. 05) S-3 ARCA biopharma, Inc., 8001 ARISTA PLACE, SUITE 200, BROOMFIELD, CO, 80021, 720-940-2200 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-172686 - Mar. 9) (BR. 01B) S-8 DALECO RESOURCES CORP, 17 WILMONT MEWS, 5TH FLOOR, WEST CHESTER, PA, 19382, 6104290181 - 2,400,000 ($360,000.00) Equity, (File 333-172687 - Mar. 9) (BR. 04A) S-8 PARAMETRIC TECHNOLOGY CORP, 140 KENDRICK STREET, NEEDHAM, MA, 02494, 7813705000 - 4,500,000 ($103,500,000.00) Equity, (File 333-172689 - Mar. 9) (BR. 03B) S-8 FRANKLIN WIRELESS CORP, 5440 MOREHOUSE DR. #1000, SAN DIEGO, CA, 92121, 858-623-0000 - 2,000,000 ($5,700,000.00) Equity, (File 333-172690 - Mar. 9) (BR. 11A) S-4 UNIVERSAL AMERICAN SPIN CORP., SIX INTERNATIONAL DRIVE, SUITE 190, RYE BROOK, NY, 10573, 914-934-5200 - 0 ($608,810,258.88) Equity, (File 333-172691 - Mar. 9) (BR. 01) S-8 AMERICAN INTERNATIONAL INDUSTRIES INC, 601 CIEN ST, SUITE 235, KEMAH, TX, 77565-2701, 2813349479 - 600,000 ($318,000.00) Equity, (File 333-172693 - Mar. 9) (BR. 08C) S-8 VITESSE SEMICONDUCTOR CORP, 741 CALLE PLANO, CAMARILLO, CA, 93012, 8053883700 - 0 ($13,250,000.00) Equity, (File 333-172694 - Mar. 9) (BR. 10C) S-3ASR CONSOL Energy Inc, C/O CONSOL INC, 1800 WASHINGTON RD, PITTSBURGH, PA, 15241, 724-485-4000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-172695 - Mar. 9) (BR. 04A) S-8 RIGHTNOW TECHNOLOGIES INC, 136 ENTERPRISE BLVD., BOZEMAN, MT, 59718, 406 522 2952 - 0 ($27,162,716.00) Equity, (File 333-172696 - Mar. 9) (BR. 03C) S-8 ORTHOFIX INTERNATIONAL N V, 7 ABRAHAM DE VEERSTRAAT, CURACAO, NETHERLANDS ANTILLES, P8, 00000, 450,000 ($14,269,500.00) Equity, (File 333-172697 - Mar. 9) (BR. 10B) S-3 GULF POWER CO, ONE ENERGY PLACE, PENSACOLA, FL, 32520, 8504446111 - 390,000,000 ($390,000,000.00) Unallocated (Universal) Shelf, (File 333-172698 - Mar. 9) (BR. 02A) S-8 COACH INC, 516 WEST 34TH ST, NEW YORK, NY, 10001, 2125941850 - 30,000,000 ($1,630,800,000.00) Equity, (File 333-172699 - Mar. 9) (BR. 09A) F-1 Sprott Physical Silver Trust, STE 2700, SOUTH TOWER, ROYAL BANK PLAZA, 200 BAY STREET, TORONTO, A6, M5J 2J1, 416-362-7172 - 0 ($243,591,430.00) Other, (File 333-172701 - Mar. 9) (BR. 04) S-8 BJs RESTAURANTS INC, 7755 CENTER AVENUE, SUITE 300, HUNTINGTON BEACH, CA, 92647, (714) 500-2440 - 1,200,000 ($43,548,000.00) Equity, (File 333-172703 - Mar. 9) (BR. 05A) S-1 SCIQUEST INC, 6501 WESTON PARKWAY, SUITE 200, CARY, NC, 27513, 9196592100 - 0 ($66,392,409.00) Equity, (File 333-172705 - Mar. 9) (BR. 03A) S-8 DGT Holdings Corp., 100 PINE AIRE DRIVE, BAY SHORE, NY, 11706, 631 231-6400 - 0 ($3,800,000.00) Equity, (File 333-172706 - Mar. 9) (BR. 10A) S-1 Accretive Health, Inc., 401 NORTH MICHIGAN AVENUE, SUITE 2700, CHICAGO, IL, 60611, 312-324-7820 - 0 ($151,069,750.00) Equity, (File 333-172707 - Mar. 9) (BR. 08A) S-1 NEWGISTICS, INC, 2700 VIA FORTUNA, SUITE 300, AUSTIN, TX, 78746, 512-225-6000 - 0 ($86,250,000.00) Equity, (File 333-172709 - Mar. 9) (BR. )
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 1ST SOURCE CORP IN 1.01,9.01 03/09/11 22nd Century Group, Inc. NV 5.02 03/04/11 ACADIA REALTY TRUST MD 1.01,5.02,9.01 03/03/11 Acantha Acquisition Corp. DE 1.01,5.02,9.01 03/08/11 ACETO CORP NY 5.05,9.01 03/07/11 Activision Blizzard, Inc. DE 5.02 03/03/11 Advanced Messaging Solutions Inc. NV 1.01,9.01 03/08/11 AECOM TECHNOLOGY CORP DE 5.02,5.07,9.01 03/03/11 AGENUS INC DE 7.01,9.01 03/09/11 Aircastle LTD D0 7.01,9.01 03/08/11 AMERICAN AIRLINES INC DE 8.01,9.01 03/09/11 AMERICAN EAGLE OUTFITTERS INC DE 5.02,7.01,9.01 03/09/11 AMERICAN INTERNATIONAL GROUP INC DE 1.01,3.03,5.03,9.01 03/09/11 AMERICAN LITHIUM MINERALS, INC. 7.01,9.01 03/08/11 AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,9.01 12/31/10 American Water Works Company, Inc. DE 7.01 03/09/11 AMR CORP DE 8.01,9.01 03/09/11 ANGEION CORP/MN MN 2.02,9.01 03/09/11 Answers CORP 8.01,9.01 03/07/11 ante5, Inc. DE 8.01,9.01 02/22/11 AMEND Approach Resources Inc DE 2.02,7.01,9.01 03/08/11 Archipelago Learning, Inc. DE 2.02,9.01 03/09/11 ARYx Therapeutics, Inc. DE 5.02,8.01,9.01 03/03/11 Asia Carbon Industries, Inc. MD 2.02,9.01 03/09/11 ATLAS PIPELINE PARTNERS LP DE 7.01,9.01 03/08/11 ATMOS ENERGY CORP TX 7.01,9.01 03/09/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 03/09/11 BANCORPSOUTH INC MS 7.01,9.01 03/09/11 BANK OF NEW ENGLAND CORP MA 1.03 02/28/11 BERKSHIRE INCOME REALTY INC 1.01 03/08/11 AMEND BERTHEL GROWTH & INCOME TRUST I DE 2.01,8.01,9.01 03/03/11 Big Bear Mining Corp. NV 7.01,9.01 03/08/11 BIG LOTS INC OH 2.02,9.01 03/03/11 BIOPHARM ASIA, INC. NV 4.01,9.01 01/20/11 AMEND Birmingham Bloomfield Bancshares MI 5.02 03/07/11 BlackRock Kelso Capital CORP DE 7.01 03/09/11 BLOUNT INTERNATIONAL INC DE 2.02,9.01 03/09/11 BON TON STORES INC PA 2.02,9.01 03/09/11 BOND LABORATORIES, INC. NV 2.02,8.01,9.01 03/09/11 Bonds.com Group, Inc. DE 1.01,3.02 03/03/11 BOVIE MEDICAL CORP DE 1.01,9.01 03/03/11 BreitBurn Energy Partners L.P. DE 2.02,9.01 03/09/11 Brooklyn Federal Bancorp, Inc. X1 3.01,9.01 03/07/11 BUTLER NATIONAL CORP DE 5.07 03/08/11 CAMPBELL FUND TRUST DE 3.02 03/09/11 CANTEL MEDICAL CORP DE 2.02,9.01 03/09/11 Cardium Therapeutics, Inc. DE 8.01,9.01 03/08/11 CAVIUM NETWORKS, INC. DE 1.01,2.01,9.01 03/04/11 CENTERLINE HOLDING CO DE 5.02 03/04/11 Changda International Holdings, Inc. NV 8.01 03/07/11 Chatham Lodging Trust MD 7.01,8.01,9.01 03/09/11 CHEESECAKE FACTORY INC DE 5.02 03/03/11 Chemtura CORP DE 5.02,9.01 03/03/11 CHEMUNG FINANCIAL CORP NY 8.01 03/09/11 CHILDRENS PLACE RETAIL STORES INC 1.01,2.02,8.01,9.01 03/03/11 China Integrated Energy, Inc. DE 8.01,9.01 03/04/11 China Wi-Max Communications, Inc. NV 7.01,9.01 03/07/11 Circle Entertainment, Inc. DE 1.01,3.02,9.01 03/03/11 CISCO SYSTEMS INC CA 8.01,9.01 03/09/11 CITIGROUP INC DE 7.01,9.01 03/09/11 CITY NATIONAL BANCSHARES CORP NJ 1.01,5.02,9.01 02/28/11 CKX, Inc. DE 2.02,9.01 03/08/11 CLAIRES STORES INC DE 1.01,2.03,8.01,9.01 03/04/11 Clean Coal Technologies Inc. NV 7.01,9.01 03/09/11 CLICKER INC. NV 1.01,2.03,3.02,5.02, 12/10/09 9.01 CLOUD PEAK ENERGY INC. DE 5.02,9.01 03/08/11 CMS ENERGY CORP MI 7.01,9.01 03/09/11 COEUR D ALENE MINES CORP ID 7.01 03/09/11 COLDWATER CREEK INC DE 2.02,9.01 03/09/11 COLOMBIA CLEAN POWER & FUELS, INC NV 5.02,9.01 03/03/11 Commercial Vehicle Group, Inc. DE 1.01,1.02,3.03,9.01 03/08/11 COMMONWEALTH BIOTECHNOLOGIES INC VA 8.01 12/31/10 COMPLETE GENOMICS INC DE 5.02 03/03/11 COMPX INTERNATIONAL INC DE 8.01 03/09/11 COMVERGE, INC. DE 2.02,9.01 03/09/11 COMVERGE, INC. DE 5.02 03/03/11 COMVERSE TECHNOLOGY INC/NY/ NY 5.02,9.01 03/03/11 CONOLOG CORP DE 1.01,2.03 01/24/11 CONOLOG CORP DE 4.01,9.01 03/03/11 AMEND CONTINENTAL RESOURCES INC OK 1.01,7.01,9.01 03/03/11 COPsync, Inc. DE 4.01 03/09/11 CORCEPT THERAPEUTICS INC DE 2.02,7.01,9.01 03/09/11 COST PLUS INC/CA/ CA 2.02,9.01 03/08/11 COVENTRY HEALTH CARE INC DE 5.02,8.01,9.01 03/09/11 CSX CORP VA 5.02,8.01,9.01 03/03/11 CUBIST PHARMACEUTICALS INC DE 5.02,9.01 03/03/11 CUMBERLAND PHARMACEUTICALS INC 2.02,9.01 03/08/11 DEL MONTE FOODS CO DE 7.01,9.01 03/09/11 DGT Holdings Corp. NY 2.02,9.01 03/07/11 DGT Holdings Corp. NY 5.02,5.07,9.01 03/08/11 DIGIRAD CORP DE 2.02,9.01 03/09/11 Discover Card Execution Note Trust DE 8.01 03/08/11 DIXIE GROUP INC TN 2.02,9.01 03/09/11 DIXIE GROUP INC TN 7.01,9.01 03/09/11 DOLLAR FINANCIAL CORP DE 1.01,2.03,9.01 03/03/11 Dr Pepper Snapple Group, Inc. DE 7.01,9.01 03/09/11 Dresser-Rand Group Inc. DE 8.01,9.01 03/09/11 DUPONT FABROS TECHNOLOGY, INC. MD 1.01,3.02,5.03,9.01 03/08/11 DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 03/08/11 DYNEX CAPITAL INC VA 1.01,8.01,9.01 03/04/11 EASTMAN KODAK CO NJ 8.01,9.01 03/09/11 EDEN ENERGY CORP NV 5.03,7.01,9.01 03/08/11 EMERITUS CORP\WA\ WA 5.02,9.01 03/07/11 ENCOMPASS HOLDINGS, INC. NV 8.01 03/09/11 ENERGIZER HOLDINGS INC MO 2.05 11/01/10 AMEND ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 5.02 03/04/11 Essex Rental Corp. DE 8.01,9.01 03/07/11 EV Energy Partners, LP DE 7.01,9.01 03/03/11 EXELON CORP PA 7.01,9.01 03/09/11 Federal Home Loan Bank of Atlanta X1 5.02,9.01 03/03/11 Federal Home Loan Bank of Dallas 2.03,9.01 03/03/11 Fifth Street Finance Corp DE 8.01,9.01 03/09/11 FIFTH THIRD BANCORP OH 7.01,9.01 03/09/11 FIRST DATA CORP DE 7.01 03/09/11 FIRST HORIZON NATIONAL CORP TN 8.01 03/09/11 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 03/08/11 First Surgical Partners Inc. DE 8.01,9.01 03/08/11 FLUIDIGM CORP DE 2.02,9.01 03/09/11 FORCE PROTECTION INC NV 2.02,7.01,9.01 03/09/11 Forestar Group Inc. DE 7.01,9.01 03/09/11 Forex International Trading Corp. NV 5.02,9.01 03/04/11 FOX PETROLEUM INC. NV 2.01,4.01,5.02,8.01, 03/08/11 9.01 FPIC INSURANCE GROUP INC FL 2.02,9.01 03/09/11 Fresh Harvest Products, Inc. 1.01,1.02,3.02,3.03, 03/02/11 5.02,5.03,9.01 FUEL TECH, INC. DE 2.02,9.01 03/09/11 GAIAM, INC CO 2.02,9.01 03/09/11 GENTIVA HEALTH SERVICES INC DE 1.01,2.03,2.04,7.01, 03/09/11 9.01 Glen Rose Petroleum CORP DE 5.02 03/04/11 Global Telecom & Technology, Inc. DE 2.02,9.01 03/09/11 GLOBALSCAPE INC DE 8.01 03/09/11 GOLD STANDARD MINING CORP. NV 4.01,9.01 02/25/11 AMEND Good Earth Land Sales CO FL 1.01,9.01 03/09/11 Green Energy Management Services Hold DE 1.01,9.01 03/03/11 Guggenheim Enhanced Equity Income Fun MA 7.01,9.01 03/07/11 GULFMARK OFFSHORE INC DE 7.01,9.01 03/03/11 H&R BLOCK INC MO 1.01,2.02,9.01 03/04/11 HAMPTON ROADS BANKSHARES INC VA 2.02,7.01,9.01 03/09/11 HARMONIC INC DE 5.02 03/03/11 HEADWATERS INC DE 8.01,9.01 03/08/11 HEALTH CARE REIT INC /DE/ DE 9.01 03/09/11 AMEND Healthient, Inc. 8.01 03/02/11 Heelys, Inc. DE 2.02,9.01 03/09/11 HERBALIFE LTD. E9 1.01,1.02,2.03,8.01, 03/09/11 9.01 HERCULES OFFSHORE, INC. DE 2.02,9.01 03/09/11 HESKA CORP DE 2.02,9.01 12/31/10 Horizon Lines, Inc. 2.02,7.01,9.01 03/03/11 HORTON D R INC /DE/ DE 1.01,2.03,9.01 03/04/11 Huifeng Bio-Pharmaceutical Technology NV 7.01,9.01 03/08/11 Huifeng Bio-Pharmaceutical Technology NV 4.02 03/09/11 AMEND Huntsman CORP DE 1.01,2.03,9.01 03/07/11 ID SYSTEMS INC DE 2.02,9.01 03/09/11 IDENTIVE GROUP, INC. DE 5.02,9.01 03/09/11 IMAGE SENSING SYSTEMS INC MN 8.01 03/08/11 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 5.02,8.01,9.01 03/03/11 INTREorg SYSTEMS INC. TX 5.02 02/09/11 IRONWOOD PHARMACEUTICALS INC 4.02 03/03/11 ITT Corp IN 5.02 03/03/11 JAZZ PHARMACEUTICALS INC DE 5.02 03/09/11 JO-ANN STORES INC OH 2.02,9.01 03/09/11 Juma Technology Corp. 1.01,2.03,3.02,9.01 03/04/11 JUNIATA VALLEY FINANCIAL CORP PA 5.02,9.01 03/09/11 KERYX BIOPHARMACEUTICALS INC DE 2.02,9.01 03/08/11 KODIAK ENERGY, INC. DE 5.02 03/09/11 KORN FERRY INTERNATIONAL DE 2.02,9.01 03/09/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 03/09/11 Legacy Bancorp, Inc. 7.01,9.01 03/09/11 Legend Oil & Gas, Ltd. CO 8.01 03/09/11 LGL GROUP INC DE 8.01,9.01 03/07/11 LIBERTY MEDIA CORP 8.01,9.01 03/08/11 LifeCare Holdings, Inc. DE 5.02,9.01 03/03/11 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 8.01 03/04/11 Lightstone Value Plus Real Estate Inv MD 8.01 03/04/11 LIHUA INTERNATIONAL INC. DE 2.02,9.01 03/09/11 LMP CAPITAL & INCOME FUND INC. 7.01,9.01 03/09/11 LSI CORP DE 1.01,2.02,8.01,9.01 03/09/11 LUNA INNOVATIONS INC DE 1.01,9.01 03/07/11 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 03/09/11 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 03/09/11 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 03/09/11 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 03/09/11 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 03/09/11 Main Street Capital CORP MD 8.01,9.01 03/09/11 MANNATECH INC TX 2.02,9.01 03/09/11 MARLIN BUSINESS SERVICES CORP 2.02,9.01 03/08/11 MATERION Corp 7.01,9.01 03/09/11 MAXSYS HOLDINGS, INC. 1.01,9.01 03/05/11 MCDONALDS CORP DE 7.01,9.01 03/08/11 MediaMind Technologies Inc. DE 8.01 03/09/11 MEMC ELECTRONIC MATERIALS INC DE 8.01,9.01 03/03/11 MENS WEARHOUSE INC TX 2.02,9.01 03/09/11 METABOLIX, INC. 2.02,9.01 03/09/11 METLIFE INC DE 8.01,9.01 03/08/11 MICROPAC INDUSTRIES INC DE 5.03,9.01 03/08/11 MIDDLESEX WATER CO NJ 2.02,9.01 03/09/11 Molycorp, Inc. DE 2.02,9.01 03/09/11 MONEYGRAM INTERNATIONAL INC 1.01,3.02,3.03,9.01 03/07/11 MONEYGRAM INTERNATIONAL INC 8.01,9.01 03/08/11 NACCO INDUSTRIES INC DE 5.02,9.01 03/04/11 NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 03/09/11 NATIONAL RURAL UTILITIES COOPERATIVE DC 5.02 03/07/11 NAVISTAR INTERNATIONAL CORP DE 2.02,7.01,9.01 03/08/11 NEOPHOTONICS CORP DE 5.02 03/04/11 NetApp, Inc. CA 7.01,9.01 03/09/11 NETWORK EQUIPMENT TECHNOLOGIES INC DE 5.02 10/20/10 New Generation Biofuels Holdings, Inc FL 5.07 03/03/11 NEWPARK RESOURCES INC DE 7.01,9.01 03/09/11 NEWPARK RESOURCES INC DE 1.01 03/04/11 nFinanSe Inc. 1.01,9.01 03/03/11 NORTHSTAR REALTY 1.01,2.03,3.02,9.01 03/09/11 NUVASIVE INC DE 5.02 03/04/11 Oasis Petroleum Inc. DE 2.02,9.01 03/08/11 OLD REPUBLIC INTERNATIONAL CORP DE 8.01,9.01 03/09/11 OLIN CORP VA 7.01,9.01 03/09/11 ON-AIR IMPACT, INC. NV 4.01,9.01 03/08/11 ONE Bio, Corp. 1.01,3.02,9.01 12/31/10 Oneida Financial Corp. MD 8.01,9.01 03/08/11 OPHTHALMIC IMAGING SYSTEMS CA 1.01,2.03 03/03/11 OPTI INC CA 1.01,9.01 12/06/10 AMEND ORANCO INC NV 5.02 03/09/11 ORB Automotive E9 2.01,5.07,9.01 11/02/10 AMEND PAB BANKSHARES INC GA 3.01 03/08/11 PENN VIRGINIA CORP VA 1.01,7.01,9.01 03/08/11 Pepper Rock Resources Corp. 5.02 03/08/11 Perfumania Holdings, Inc. FL 7.01,9.01 03/03/11 Pet Airways Inc. IL 5.02,9.01 03/04/11 PHOENIX FOOTWEAR GROUP INC DE 5.02,9.01 03/02/11 PHOTOTRON HOLDINGS, INC. DE 2.01,3.02,5.01,5.02, 03/09/11 5.03,5.06,9.01 PIEDMONT NATURAL GAS CO INC NC 5.02,5.07 03/04/11 PIONEER NATURAL RESOURCES CO DE 7.01 03/07/11 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 03/09/11 POZEN INC /NC 2.02,9.01 03/09/11 PRICELINE COM INC DE 5.02,9.01 03/04/11 Primo Water Corp DE 1.01,2.02,3.02,7.01, 03/08/11 9.01 PRO PHARMACEUTICALS INC NV 5.02,9.01 03/07/11 PROGENICS PHARMACEUTICALS INC DE 5.02,9.01 03/03/11 PROVIDENCE SERVICE CORP DE 2.02,7.01,9.01 03/09/11 PUBLIX SUPER MARKETS INC FL 2.02,9.01 03/09/11 Pzena Investment Management, Inc. DE 8.01,9.01 02/28/11 QUALITY DISTRIBUTION INC FL 2.02,9.01 03/09/11 QUESTCOR PHARMACEUTICALS INC CA 4.01,9.01 03/04/11 RADIO ONE, INC. DE 1.01,9.01 03/03/11 RadNet, Inc. DE 2.02,9.01 03/08/11 RAE SYSTEMS INC DE 5.02 03/03/11 RBC LIFE SCIENCES, INC. DE 2.02 03/08/11 Real Goods Solar, Inc. CO 2.02,9.01 03/09/11 REGENCY CENTERS CORP FL 7.01 03/09/11 REGIONS FINANCIAL CORP DE 7.01,9.01 03/09/11 Reliance Bancshares, Inc. MO 4.02 03/04/11 Resource Capital Corp. MD 2.02,9.01 03/08/11 RLJ Acquisition, Inc. NV 8.01,9.01 03/08/11 ROSETTA STONE INC 2.02 02/28/11 AMEND ROYALE ENERGY INC CA 2.02,9.01 03/09/11 S&W Seed Co DE 1.01,5.02,9.01 03/08/11 SAFETY INSURANCE GROUP INC DE 2.02,9.01 03/09/11 SAFEWAY INC DE 9.01 03/08/11 AMEND SAPIENT CORP DE 5.02 03/04/11 SAVE THE WORLD AIR INC NV 5.02,8.01,9.01 03/01/11 SAVVY BUSINESS SUPPORT INC NV 4.01,9.01 03/08/11 SCHAWK INC 2.02,9.01 03/09/11 SEABOARD CORP /DE/ DE 2.02,9.01 03/09/11 Seagate Technology plc L2 5.02 03/08/11 SEMTECH CORP DE 2.02,7.01,9.01 03/09/11 SENIOR HOUSING PROPERTIES TRUST MD 8.01 03/08/11 Silicon Graphics International Corp DE 1.01,2.01,9.01 03/07/11 Solanbridge Group, Inc. 1.01,9.01 03/03/11 Solar Power, Inc. CA 9.01 07/29/10 AMEND SOLUTIA INC DE 1.01,2.03,9.01 03/03/11 SONUS NETWORKS INC DE 5.02 03/03/11 SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 03/07/11 SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 03/09/11 SS&C Technologies Holdings Inc DE 5.02,9.01 03/03/11 STAGE STORES INC NV 2.02,8.01,9.01 03/08/11 STERLING BANCORP NY 8.01,9.01 03/09/11 STERLING GROUP VENTURES INC NV 1.01,9.01 10/18/10 AMEND STERLING GROUP VENTURES INC NV 1.01,9.01 11/10/10 AMEND Stevia Corp NV 5.03,8.01,9.01 03/04/11 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 03/01/11 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 03/01/11 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 03/01/11 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 03/01/11 Sucampo Pharmaceuticals, Inc. 5.02,9.01 03/09/11 Summer Infant, Inc. DE 2.02,9.01 03/09/11 SUNRIDGE INTERNATIONAL, INC. 5.02,9.01 03/09/11 SUNTRUST BANKS INC GA 7.01,8.01,9.01 03/09/11 SYNERGETICS USA INC 2.02,9.01 03/09/11 TAKE TWO INTERACTIVE SOFTWARE INC DE 7.01,9.01 03/09/11 TCF FINANCIAL CORP DE 8.01,9.01 03/09/11 TELKONET INC UT 1.01,2.01,2.03,9.01 03/04/11 TESORO CORP /NEW/ DE 5.02,9.01 03/09/11 THERMOGENESIS CORP DE 1.01,9.01 03/04/11 AMEND TICC Capital Corp. MD 2.02,9.01 03/09/11 TIVO INC DE 8.01,9.01 03/09/11 TNS INC 7.01,9.01 03/09/11 Tongji Healthcare Group, Inc. NV 5.02,9.01 03/03/11 TOYOTA MOTOR CREDIT CORP CA 1.01,9.01 03/04/11 TRANSACT TECHNOLOGIES INC DE 5.02 03/07/11 TransDigm Group INC DE 1.01,7.01,9.01 03/09/11 Triangle Capital CORP MD 2.02,7.01,9.01 03/09/11 Tropicana Las Vegas Hotel & Casino, I DE 8.01 03/04/11 Tyco Electronics Ltd. V8 5.07 03/09/11 UNIFI INC NY 7.01,9.01 03/09/11 United States Natural Gas Fund, LP 8.01 03/09/11 UNIVERSAL AMERICAN CORP. NY 8.01,9.01 03/08/11 UNIVERSAL AMERICAN CORP. NY 1.01,9.01 03/08/11 UNIVERSAL HOSPITAL SERVICES INC MN 2.02,7.01,9.01 03/09/11 US BANCORP \DE\ DE 7.01,9.01 03/09/11 US CONCRETE INC DE 2.02 03/08/11 VALHI INC /DE/ DE 2.02,7.01,9.01 03/09/11 Vertro, Inc. DE 2.02,7.01,9.01 03/09/11 VIROPHARMA INC DE 8.01,9.01 03/09/11 VISA INC. DE 8.01 03/09/11 VISTEON CORP DE 2.02,7.01,9.01 03/09/11 Vringo Inc DE 7.01,9.01 03/09/11 VSB BANCORP INC NY 8.01 03/08/11 WALGREEN CO IL 8.01,9.01 03/09/11 Warner Chilcott plc 8.01,9.01 03/09/11 WAUSAU PAPER CORP. WI 5.02 03/09/11 WCA WASTE CORP DE 9.01 03/09/11 AMEND WELLCARE HEALTH PLANS, INC. DE 1.01,2.03,5.05,9.01 03/03/11 WESTERN DIGITAL CORP DE 1.01 03/07/11 AMEND Willbros Group, Inc.\NEW\ 1.01,2.03,9.01 03/04/11 WINSONIC DIGITAL MEDIA GROUP, LTD. NV 1.01 03/09/11 XERIUM TECHNOLOGIES INC DE 2.02,9.01 03/09/11 XFONE INC. NV 2.02,9.01 03/09/11 Zalicus Inc. DE 2.02,9.01 03/09/11 ZORAN CORP \DE\ DE 5.02,5.03,5.07 03/03/11