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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-75
April 19, 2011

Commission announcements

SEC Seeks Public Comment on Effective Investor Education Programs

The Securities and Exchange Commission today published on its website a request for public comment on the effectiveness of existing investor education efforts as part of a review mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Section 917 of the Dodd-Frank Act directs the SEC to conduct a study of retail investors’ financial literacy and submit its findings to Congress by July 21, 2012.  Among other things, Section 917 states that the study must identify “the most effective existing private and public efforts to educate investors.”

The Commission is seeking public comment to better understand the details and effectiveness of current programs to help ensure that the study includes all relevant programs.  “We want to know more about what’s out there and what’s working in the world of investor education,” said Lori J. Schock, Director of the SEC’s Office of Investor Education and Advocacy.

The public comment period will remain open for 60 days following publication of the request in the Federal Register.

As part of its investor education effort, the SEC recently upgraded its Investor.gov website devoted exclusively to investor education.  The site has been redesigned and expanded with more information about a variety of topics including how to research investments and investment professionals, understand fees, and prepare for life events.  The updated Investor.gov also includes materials targeted to such specific groups as members of the military, teachers, and retirees.  Videos, interactive quizzes, and additional investor education resources are expected to be added to the website in coming months. (Press Rel. 2011-93)

Enforcement proceedings

Federal Court Enters Order Finding Robert Glenn Bard in Contempt

The Commission announced that on April 12, 2011, United States District Judge William C. Caldwell of the United States District Court for the Middle District of Pennsylvania entered a stipulated order finding defendant Robert Glenn Bard in contempt based on Bard’s receipt of funds, control of client accounts, and participation in income activities in the financial services sector in violation of two of the Court’s previous orders. The Court ordered Bard to provide a verified accounting listing his clients and assets acquired since Aug. 11, 2009, and further ordered him to provide a notice to all clients informing them that he had been held in contempt, and that he was prohibited from controlling client money or working in the financial services sector.

The Commission previously filed a civil injunctive action against Bard and his investment advisory firm, Vision Specialist Group, alleging that defendants had violated the federal securities laws through fraudulent misrepresentations regarding client investments, account performance and advisory fees, the creation of false client account statements, and forgery of client documents. The case is currently set for trial in August 2011. [SEC v. Robert Glenn Bard, et al., Civil Action No. 1:09-cv-1473 (M.D. Pa.)] (LR-21936)

SEC Obtains Temporary Restraining Order, Asset Freeze and Other Relief Against Art Intellect, Inc., Patrick Merrill Brody, Laura A. Roser and Gregory D. Wood

On April 18, 2011, the Securities and Exchange Commission obtained an emergency temporary restraining order and asset freeze in an offering fraud and Ponzi scheme orchestrated by Patrick Merrill Brody (Brody) and Laura A. Roser (Roser) through Art Intellect, Inc. d/b/a Mason Hill and Virtual MG (Mason Hill), a company owned and controlled by Roser. In addition to the temporary restraining order and asset freeze, the court has appointed a receiver to preserve and marshal assets for the benefit of investors. That Receiver is Wayne Klein.

The complaint alleges that, operating through Mason Hill, Brody, Roser, and Gregory D. Wood (Wood) participated in a scheme to sell investment contracts in Mason Hill in unregistered transactions, telling investors that Mason Hill will purchase distressed properties on their behalf, rehabilitate these properties, find renters for the properties and remit a guaranteed profit of 10 to 30 percent to investors on a monthly basis. The complaint further alleges that investor funds were not used to purchase properties on investors’ behalf but instead investor funds were used for Mason Hill’s operations, payments for Brody and Roser’s lavish personal expenses and that later investor funds were used to purchase properties for earlier investors, the hallmark of a classic Ponzi scheme. Mason Hill, Brody, Roser, and Wood have raised more than $2.5 million from approximately 75 investors.

The Commission’s complaint charges Mason Hill, Brody, Roser and Wood with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and charges Brody, Roser and Wood with violations of Section 15(a) of the Exchange Act. The complaint seeks a preliminary and permanent injunction as well as disgorgement, prejudgment interest and civil penalties from Mason Hill, Brody, Roser and Wood. [SEC v. Art Intellect, Inc., Civil No.: 2:11-cv-00357 TC (USDC Utah)] (LR-21937)

Final Judgments Entered Against Former Biovail Executives Eugene Melnyk and Brian Crombie

The Securities and Exchange Commission announced today that, on April 14, 2011, the Honorable Lewis A. Kaplan of the United States District Court for the Southern District of New York entered a final consent judgment against defendant Brian Crombie, Biovail Corporation’s former chief financial officer, with respect to violations of the federal securities laws alleged by the Commission in SEC v. Biovail Corp., et al., 08 Civ. 02979, an accounting fraud case the Commission filed on March 24, 2008. Crombie consented to a final judgment that (i) permanently enjoins him from future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Exchange Act Rules 10b-5, 13b2-1 and 13b2-2 and from aiding and abetting violations of Exchange Act Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) and Rules 12b-20, 13a-1 and 13a-16; (ii) requires him to pay a civil penalty in the amount of $100,000; and (iii) bars him from serving as an officer or director of a public company for five years.

Additionally, on Feb. 15, 2011, the court entered a judgment by consent against Biovail’s former chief executive officer, Eugene Melnyk, that (i) permanently enjoins Melnyk from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5; (ii) imposes a civil penalty in the amount of $150,000; and (iii) bars Melnyk from serving as an officer or director of a public company for five years. As the Commission previously has settled all charges against the other defendants identified in the complaint, the settlements with Melnyk and Crombie provide final resolution to this matter.

Biovail previously settled with the Commission by consenting to a judgment that, among other things, permanently enjoins it from violating antifraud and other provisions of the federal securities laws, imposed a $10 million civil penalty, and ordered it to pay disgorgement of $1. The Commission previously settled its claims against former Biovail vice president of corporate affairs Kenneth G. Howling by entry on Dec. 21, 2009, of a final consent judgment that permanently enjoined Howling from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5 and imposed a civil penalty in the amount of $50,000. The Commission settled its claims against former Biovail vice president, controller and assistant secretary John Miszuk by entry on September 8, 2010, of a final consent judgment that (i) permanently enjoins him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rules 10b-5 and 13b2-1 and from aiding and abetting violations of Exchange Act Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) and Rules 12b-20, 13a-1 and 13a-16; (ii) required him to pay a civil penalty in the amount of $75,000; and (iii) bars him from serving as an officer or director of a public company for five years. [SEC v. Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling, 08 Civ. 02979 (LAK) (S.D.N.Y.)] (LR-21938; AAE Rel. 3271)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-51) relating to Alpha Index Options has become immediately 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 April 18, 2011. (Rel. 34-64305)

Securities Act Registrations

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-8     TMS International Corp., 12 MONONGAHELA AVENUE, P.O. BOX 2000, 
        GLASSPORT, PA, 15045, 412-678-6141 - 0 ($19,359,388.50) Equity, 
        (File 333-173562 - Apr. 18) (BR. 06A)

        Jianye Road, Mingyang Industry Park, 
        Natl Hi-Tech Industrial Development Zone, Zhongshan, Guangdong, PRC, 
        F4, 528437, 86-760-28138666 - 0 ($168,015,000.00) ADRs/ADSs, 
        (File 333-173563 - Apr. 18) (BR. 10A)

S-1     Peak Resorts Inc, 17409 HIDDEN VALLEY DRIVE, WILDWOOD, MO, 63025, 
        636-938-7474 - 0 ($40,250,000.00) Equity, (File 333-173567 - Apr. 18) 
        (BR. )

S-1     Technologies Scan Corp, 14517, JOSEPH-MARC-VERMETTE, MIRABEL, A8, 
        J7J 1X2, (450) 971-5419 - 39,150,000 ($1,957,500.00) Equity, 
        (File 333-173569 - Apr. 18) (BR. )

S-1     ZILLOW INC, 999 3RD AVE SUITE 4100, SEATTLE, WA, 98104, 206-470-7000 - 
        0 ($51,750,000.00) Equity, (File 333-173570 - Apr. 18) (BR. )

        267-960-4800 - 495,431 ($1,283,166.00) Equity, (File 333-173573 - 
        Apr. 18) (BR. 01A)

        267-960-4800 - 21,540,125 ($55,788,924.00) Equity, (File 333-173574 - 
        Apr. 18) (BR. 01A)

S-1     Infinity China 1 Acquisition Corp, 
        10022, 212-317-3376 - 0 ($46,000,000.00) Equity, (File 333-173575 - 
        Apr. 18) (BR. )

S-3     IDENTIVE GROUP, INC., 949-250-8888 - 
        0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-173576 - 
        Apr. 18) (BR. 03A)

S-1     Infinity China 2 Acquisition Corp, 
        10022, 212-317-3376 - 0 ($46,000,000.00) Equity, (File 333-173577 - 
        Apr. 18) (BR. )

        (412) 288-4600 - 0 ($219,439,247.00) Equity, (File 333-173578 - 
        Apr. 18) (BR. 02)

        615-885-9056 - 0 ($355,000,000.00) Non-Convertible Debt, 
        (File 333-173579 - Apr. 18) (BR. 05A)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant


Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement


Cost Associated with Exit or Disposal Activities


Material Impairments


Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review


Changes in Control of Registrant


Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer


Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

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.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

99 CENTS ONLY STORES                    CA       2.02,9.01            04/14/11

ABRAXAS PETROLEUM CORP                  NV       7.01,9.01            04/18/11

ACCELERATED ACQUISITION X               DE       1.01,5.03,9.01       04/18/10

AEOLUS PHARMACEUTICALS, INC.            DE       1.01                 04/12/11

AEP INDUSTRIES INC                      DE       1.01,2.03,3.03,8.01, 04/18/11
AEP INDUSTRIES INC                      DE       5.07                 04/12/11    AMEND

AeroGrow International, Inc.            NV       1.01,8.01,9.01       04/12/11

ALIMERA SCIENCES INC                    DE       5.02,9.01            04/14/11

Allezoe Medical Holdings Inc            DE       4.01                 04/18/11

AMARILLO BIOSCIENCES INC                TX       5.02                 04/18/11

AMARIN CORP PLC\UK                      X0       8.01,9.01            04/18/11

AMBASSADORS GROUP INC                   DE       8.01                 04/14/11

AMEDISYS INC                            DE       7.01,9.01            04/18/11

AMERICA SERVICE GROUP INC /DE           DE       8.01,9.01            04/18/11

American Environmental Energy, Inc.     MN       2.01,9.01            04/06/11

AMERICAN MEDICAL SYSTEMS HOLDINGS INC   DE       1.01,1.02,2.03,9.01  04/12/11

AmeriCredit Automobile Receivables Tr            1.01,9.01            04/13/11

AMICUS THERAPEUTICS INC                 DE       5.02,9.01            04/18/11

AMP Holding Inc.                        NV       1.01,3.02,9.01       12/03/10    AMEND

AMYLIN PHARMACEUTICALS INC              DE       2.02,9.01            04/18/11

ANAVEX LIFE SCIENCES CORP.              NV       5.02,5.07            04/11/11

ANHUI TAIYANG POULTRY CO INC            DE       2.02,9.01            04/18/11

Applied Minerals, Inc.                  DE       3.02                 04/18/11

ARADIGM CORP                            CA       5.02,9.01            04/15/11

ARAMARK CORP                            DE       1.01,2.03,8.01,9.01  04/18/11

ARCA biopharma, Inc.                    DE       1.01,9.01            04/15/11

ARCA biopharma, Inc.                    DE       1.01,9.01            04/18/11

ASHFORD HOSPITALITY TRUST INC           MD       1.01,5.03,7.01,8.01, 04/13/11
AZZ INC                                 TX       5.02                 04/15/11

BADGER METER INC                        WI       2.02,9.01            04/18/11

BALLY TECHNOLOGIES, INC.                NV       1.01,2.03,9.01       04/15/11

BANK MUTUAL CORP                        WI       2.02                 04/14/11

BANK OF HAWAII CORP                     DE       2.02,9.01            04/18/11

BANKATLANTIC BANCORP INC                FL       8.01,9.01            04/18/11

BASSETT FURNITURE INDUSTRIES INC        VA       5.07                 04/13/11

BECKMAN COULTER INC                     DE       8.01                 04/18/11

BMB MUNAI INC                           NV       2.02,7.01,9.01       04/18/11

BMW Vehicle Lease Trust 2011-1                   1.01,9.01            04/15/11

Bronco Drilling Company, Inc.           DE       1.01,7.01,9.01       04/14/11

CAMBIUM LEARNING GROUP, INC.                     1.01,5.02,9.01       04/12/11

CARDINAL FINANCIAL CORP                 VA       2.02,5.07,8.01,9.01  04/13/11

Cardiogenesis Corp /CA                  CA       8.01,9.01            04/18/11

Care Investment Trust Inc.              MD       4.01                 04/12/11

CCA INDUSTRIES INC                      DE       8.01,9.01            04/18/11

Celera CORP                             DE       1.01,8.01,9.01       04/18/11

Celsius Holdings, Inc.                  NV       2.02,8.01,9.01       04/18/11

CENTRAL VERMONT PUBLIC SERVICE CORP     VT       8.01                 04/15/11

Cereplast Inc                           NV       2.02,9.01            04/18/11

Chelsea Therapeutics International, L   DE       8.01,9.01            04/18/11

CHEMICAL FINANCIAL CORP                 MI       2.02,9.01            04/18/11

CHINA AGRITECH INC                      DE       3.01,9.01            04/12/11

China Bilingual Technology & Educatio   NV       7.01,9.01            04/13/11

China Growth CORP                       E9       1.01,2.01,3.02,4.01, 12/15/10    AMEND
China Ritar Power Corp.                 UT       3.01                 04/15/11

CHINA SHEN ZHOU MINING & RESOURCES, I   NV       1.01,9.01            04/12/11

CITIGROUP INC                           DE       2.02,9.01            04/18/11

CLINICAL DATA INC                       DE       3.02,5.01,5.02       04/12/11

CMS ENERGY CORP                         MI       7.01,9.01            04/18/11

COMMERCEFIRST BANCORP INC               MD       2.02,7.01,9.01       04/18/11

COMMERCIAL BARGE LINE CO                DE       5.02,9.01            04/12/11

COMMUNITY BANCORP /VT                   VT       2.02,9.01            04/15/11

COMMUNITY HEALTH SYSTEMS INC            DE       8.01,9.01            04/18/11

COMMUNITY HEALTH SYSTEMS INC            DE       7.01,9.01            04/18/11

COMPUWARE CORP                          MI       2.02,9.01            04/13/11

CONSOL Energy Inc                       DE       1.01,2.01,2.03,9.01  04/12/11

Constellation Energy Partners LLC       DE       7.01,8.01,9.01       04/13/11

CONTANGO OIL & GAS CO                   DE       2.02,9.01            04/12/11

CORCEPT THERAPEUTICS INC                DE       8.01,9.01            04/15/11

CORE LABORATORIES N V                   P7       7.01,9.01            04/18/11

CRANE CO /DE/                           DE       2.02,5.07,8.01,9.01  04/18/11

CRAY INC                                WA       5.02,8.01            04/13/11

CrowdGather, Inc.                       NV       2.01,3.02,7.01,9.01  04/15/11

CYTOKINETICS INC                                 8.01                 04/18/11

CYTOKINETICS INC                                 1.01,9.01            04/18/11

DA-LITE SCREEN CO INC                   IN       1.01,2.01,2.04,5.01, 04/15/11
DAVE & BUSTERS INC                      MO       2.02,9.01            04/14/11

Deep Down, Inc.                         NV       2.02,9.01            04/15/11

DELTATHREE INC                          DE       1.01,7.01,9.01       04/14/11

Deltron, Inc.                           NV       4.01,9.01            04/14/11

DiamondRock Hospitality Co                       2.03,7.01,9.01       04/15/11

DREW INDUSTRIES INC                     DE       8.01,9.01            04/18/11

DRI CORP                                NC       2.02,7.01,9.01       04/15/11

eHealth, Inc.                           DE       5.02                 03/23/11

Embassy Bancorp, Inc.                   PA       5.02                 04/15/11

EMTEC INC/NJ                            UT       2.02,9.01            04/15/11

ENERGY PARTNERS LTD                     DE       5.02                 04/12/11

Energy Recovery, Inc.                   DE       5.02,9.01            04/15/11

ENERNOC INC                             DE       1.01,2.03            04/15/11

Exmovere Holdings, Inc.                 NV       5.02,9.01            04/08/11

FARMERS & MERCHANTS BANCORP INC         OH       5.07                 04/14/11

FIRST CITIZENS BANC CORP /OH            OH       2.02,9.01            04/18/11

Firsthand Technology Value Fund, Inc.   MD       8.01,9.01            04/18/11

FONIX CORP                              DE       5.02,8.01            03/30/11

FREMONT MICHIGAN INSURACORP INC         MI       8.01,9.01            04/18/11

FREMONT MICHIGAN INSURACORP INC         MI       8.01,9.01            04/18/11

FS Investment CORP                      MD       2.02,5.02,9.01       04/13/11

FUSION TELECOMMUNICATIONS INTERNATION   DE       1.01,2.03            04/18/11

GAMETECH INTERNATIONAL INC              DE       5.07                 04/13/11

GANNETT CO INC /DE/                     DE       2.02,9.01            04/18/11

GARTNER INC                             DE       5.02                 04/13/11

Golden Minerals Co                               8.01                 04/13/11

GRAINGER W W INC                        IL       2.02,9.01            04/18/11

Graystone Co                            DE       8.01                 04/15/11

GREEN SOLUTIONS CHINA, INC.             DE       1.01,5.01,5.02,9.01  04/12/11

Hallwood Group Inc                      DE       2.02,9.01            04/15/11

HEALTHCARE SERVICES GROUP INC           PA       8.01,9.01            04/12/11

HealthWarehouse.com, Inc.               DE       2.02,9.01            04/18/11

HeartWare International, Inc.           DE       8.01,9.01            04/15/11

HERCULES TECHNOLOGY GROWTH CAPITAL IN   MD       1.01,2.03,3.02,8.01, 04/15/11
HESS CORP                               DE       1.01,1.02,2.03,9.01  04/18/11

HICKOK INC                              OH       1.01,2.03,5.02,9.01  04/18/11

ICU MEDICAL INC/DE                      DE       2.02,9.01            04/18/11

INDEPENDENT BANK CORP                   MA       8.01,9.01            04/15/11

INLAND REAL ESTATE CORP                 MD       8.01,9.01            04/14/11

INNODATA ISOGEN INC                     DE       5.02                 04/14/11

INTEGRAMED AMERICA INC                  DE       7.01,9.01            04/18/11

Intellicheck Mobilisa, Inc.             DE       5.02,9.01            04/12/11

J&J SNACK FOODS CORP                    NJ       8.01,9.01            04/18/11

JINHAO MOTOR Co                         NV       8.01                 04/18/11

K12 INC                                 DE       1.01,3.02,9.01       04/13/11

KBR, INC.                               DE       5.02,9.01            04/18/11

KERYX BIOPHARMACEUTICALS INC            DE       8.01,9.01            04/18/11

KEYCORP /NEW/                           OH       2.02,7.01,9.01       04/18/11

KLEVER MARKETING INC                    DE       2.02,9.01            12/31/10

LAM RESEARCH CORP                       DE       5.02                 04/13/11

LENNAR CORP /NEW/                       DE       5.02,5.03,5.07,9.01  04/13/11

LEXARIA CORP.                           NV       1.01,2.03,7.01,9.01  04/15/11

LIGAND PHARMACEUTICALS INC              DE       5.02,7.01,9.01       04/18/11

LILLY ELI & CO                          IN       2.02,9.01            04/18/11

LITHIA MOTORS INC                       OR       7.01,9.01            04/18/11

LIVEPERSON INC                          DE       5.02,9.01            04/12/11

LOCATEPLUS HOLDINGS CORP                         5.02                 04/18/11

LOOKSMART LTD                           DE       5.02                 04/18/11

LUBRIZOL Corp                           OH       8.01,9.01            04/18/11

M&T BANK CORP                           NY       2.02,9.01            04/18/11

MAD CATZ INTERACTIVE INC                         1.01,3.02,9.01       04/17/11

Magnolia Solar Corp                     NV       8.01,9.01            04/18/11

Man AHL FuturesAccess LLC               DE       3.02                 04/18/11

MARSHALL EDWARDS INC                    DE       5.02,5.07            04/13/11

MEDISAFE 1 TECHNOLOGIES CORP            DE       1.01,3.02,9.01       04/13/11

MEDTOX SCIENTIFIC INC                   DE       2.02,9.01            04/14/11

MFRI INC                                DE       5.02                 04/13/11

MHI Hospitality CORP                    MD       1.01,2.03,3.02,3.03, 04/18/11

ML Aspect FuturesAccess LLC             DE       3.02                 04/18/11

ML Systematic Momentum FuturesAccess    DE       3.02                 04/18/11

ML Transtrend DTP Enhanced FuturesAcc   DE       3.02                 04/18/11

ML Winton FuturesAccess LLC             DE       3.02                 04/18/11

MOLINA HEALTHCARE INC                   DE       2.02,9.01            04/18/11

MOLSON COORS BREWING CO                 DE       1.01,1.02,2.03       04/12/11

MOSAIC CO                               DE       5.02                 04/13/11

MS STRUCTURED SATURNS SERIES 2002-15    DE       8.01,9.01            04/15/11

MusclePharm Corp                        NV       7.01,9.01            04/18/11

MVB FINANCIAL CORP                      WV       5.02,9.01            04/18/11

NAVARRE CORP /MN/                       MN       5.02                 04/06/11    AMEND

NEOPROBE CORP                           DE       1.01,5.02,9.01       04/18/11

NETGEAR, INC                            DE       8.01,9.01            04/15/11

Neutral Tandem Inc                               5.02                 04/13/11

New England Bancshares, Inc.                     5.02                 04/12/11

NEW HAMPSHIRE THRIFT BANCSHARES INC     DE       2.02,9.01            04/15/11

NEWALLIANCE BANCSHARES INC                       3.01,3.03,5.01,5.02, 04/15/11
Next 1 Interactive, Inc.                NV       5.02,9.01            04/05/11

NORWOOD FINANCIAL CORP                  PA       8.01,9.01            04/18/11

NOVAMED INC                             DE       7.01,9.01            04/18/11

NPS PHARMACEUTICALS INC                 DE       3.02                 04/14/11

NUGEN HOLDINGS, INC.                    DE       1.01,2.03,3.02,9.01  04/12/11

NUTRI SYSTEM INC /DE/                   DE       5.02                 04/18/11

OFFICEMAX INC                           DE       5.07                 04/13/11

PALM HARBOR HOMES INC /FL/              FL       1.01,9.01            04/12/11

PARK NATIONAL CORP /OH/                 OH       7.01,9.01            04/18/11

PDL BIOPHARMA, INC.                     DE       5.02,8.01,9.01       04/13/11

PENGRAM CORP                            NV       7.01                 04/13/11

PEOPLES BANCORP INC                     OH       5.02                 04/18/11

Peoples Federal Bancshares, Inc.        MD       5.02,9.01            04/14/11

PEOPLES FINANCIAL SERVICES CORP.        PA       9.01                 04/15/11

PINNACLE AIRLINES CORP                  DE       8.01                 04/15/11

PIONEER NATURAL RESOURCES CO            DE       2.02,7.01            04/18/11

Pioneer Southwest Energy Partners L.P   DE       2.02,7.01            04/18/11

PONIARD PHARMACEUTICALS, INC.           WA       8.01,9.01            04/12/11

PRESIDENTIAL LIFE CORP                  DE       5.02                 04/18/11

PRICE T ROWE GROUP INC                  MD       5.07                 04/14/11

PRINCIPAL FINANCIAL GROUP INC           DE       7.01,9.01            04/18/11

RADIENT PHARMACEUTICALS Corp            DE       2.02,7.01,8.01,9.01  04/18/11

REFLECT SCIENTIFIC INC                  UT       5.02                 04/14/11

REGENERON PHARMACEUTICALS INC           NY       8.01,9.01            04/18/11

RENTRAK CORP                            OR       5.02                 04/07/11

REPUBLIC AIRWAYS HOLDINGS INC           DE       5.02,9.01            04/12/11

SAKS INC                                TN       1.02,7.01,9.01       04/15/11

SandRidge Mississippian Trust I         DE       1.01,3.02,5.03,9.01  04/12/11

SCG Financial Acquisition Corp.         DE       1.01,9.01            04/12/11

SEAHAWK DRILLING, INC.                  DE       7.01,9.01            04/18/11

SEALY CORP                              DE       5.07,7.01,9.01       04/14/11

SENSIENT TECHNOLOGIES CORP              WI       2.02,9.01            04/18/11

ServisFirst Bancshares, Inc.            DE       2.02,9.01            04/18/11

SILGAN HOLDINGS INC                     DE       1.01,9.01            04/12/11

SINOBIOMED INC                          DE       4.01,9.01            04/14/11

STARTEK INC                             DE       2.02,9.01            04/18/11

STEWART ENTERPRISES INC                 LA       1.01,3.03,8.01,9.01  04/15/11

STREAMLINE HEALTH SOLUTIONS INC.        DE       1.01,2.03,9.01       04/13/11

SULPHCO INC                             NV       8.01,9.01            04/15/11

TAKEDOWN ENTERTAINMENT INC.             NV       7.01                 04/14/11

TBS International plc                   L2       1.01,2.03,9.01       04/15/11

TD AMERITRADE HOLDING CORP              DE       2.02,9.01            04/18/11

Technology Applications International   FL       5.03,5.06,8.01,9.01  04/12/11

TELTRONICS INC                          DE       8.01                 04/15/11

TENET HEALTHCARE CORP                   NV       8.01,9.01            04/18/11

Tennessee Commerce Bancorp, Inc.        TN       8.01                 04/18/11

TEXAS INSTRUMENTS INC                   DE       2.02,9.01            04/18/11

Thermon Holding Corp.                   DE       1.01,1.02,5.02,8.01, 04/12/11
TIBCO SOFTWARE INC                      DE       5.07                 04/14/11

Titan Machinery Inc.                    DE       2.02,9.01            04/18/11

TORCH ENERGY ROYALTY TRUST              DE       7.01,9.01            04/13/11

TransMontaigne Partners L.P.            DE       8.01,9.01            04/18/11

Treaty Energy Corp                      NV       5.02,9.01            04/13/11

Tremont Fair, Inc.                      NV       1.01,3.02,3.03,5.03, 04/15/11
TRICO MARINE SERVICES INC               DE       7.01,9.01            04/18/11

TRIPLE-S MANAGEMENT CORP                         2.01,9.01            04/18/11    AMEND

TRUSTMARK CORP                          MS       8.01                 04/15/11

Trycera Financial, Inc.                 NV       4.01                 04/08/11

United American Petroleum Corp.         NV       7.01,9.01            04/15/11

UNITED REFINING CO                      PA       8.01,9.01            04/14/11

UNITIL CORP                             NH       7.01,9.01            04/13/11

UNIVERSAL DISPLAY CORP \PA\             PA       1.01                 04/18/11

UTi WORLDWIDE INC                       D8       3.03,5.03,8.01,9.01  04/14/11

VAIL RESORTS INC                        DE       1.01,9.01            04/18/11

VALSPAR CORP                            DE       5.02,9.01            04/13/11

Venoco, Inc.                            DE       1.01,9.01            04/15/11

VERTICAL HEALTH SOLUTIONS INC           FL       1.01                 04/15/11

ViewPoint Financial Group Inc.          MD       8.01,9.01            04/15/11

VIRCO MFG CORPORATION                   DE       2.02,9.01            04/15/11

VISCOUNT SYSTEMS INC                    NV       5.03,9.01            04/18/11

Vivakor, Inc.                           NV       5.02                 04/12/11

VONAGE HOLDINGS CORP                    DE       5.02                 04/12/11

Warner Chilcott plc                              2.05,2.06,7.01,9.01  04/14/11

WESTMOUNTAIN INDEX ADVISOR INC          CO       1.01,9.01            04/07/11

WESTMOUNTAIN INDEX ADVISOR INC          CO       4.01,9.01            04/15/11

Whitestone REIT                         TX       8.01,9.01            04/13/11

Whitestone REIT Operating Partnership   DE       8.01,9.01            04/13/11

WILLIAM LYON HOMES                      DE       8.01                 04/18/11

WILLIS GROUP HOLDINGS PLC               L2       1.02                 04/18/11

Wind Works Power Corp.                  NV       1.01,9.01            04/12/11

WINTON FUTURES FUND LP (US)             CO       5.03,9.01            04/14/11

Wolverine Exploration Inc.              NV       3.02,9.01            05/10/10

World Omni Auto Leasing LLC             DE       8.01,9.01            12/15/09

Xun Energy, Inc.                        NV       2.01,5.06            04/18/11

ZIONS BANCORPORATION /UT/               UT       2.02,8.01,9.01       04/18/11



Modified: 04/19/2011