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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-180
September 16, 2011

Commission Announcements

Commission Meetings

Closed Meeting on Wednesday, September 21, 2011 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Wednesday, September 21, 2011 will be: institution and settlement of injunctive actions; and institution and settlement of administrative proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.

Enforcement Proceedings

In the Matter of Tom Hirsch

An Administrative Law Judge has issued an Initial Decision in Tom Hirsch, Admin. Proc. No. 3-14394 (Sept. 15, 2011) finding that the allegation in the Order Instituting Proceeding are true and that the Respondents were enjoined from future violations of Sections 5 and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5 in SEC v. Radical Bunny, LLC, No. 2:09-CV-01560-SRB (D. Ariz. Apr. 28, 2011). Based on this finding and public interest considerations, the Initial Decision, pursuant to Section 15(b)(6)(A) of the Exchange Act, bars Tom Hirsch, Berta Walder, Howard Walder, and Harish P. Shah from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent, and from participating in any penny stock offering. (Initial Decision No. 431; File No. 3-14394)

Commission Sustains NASD Disciplinary Action Against Dennis S. Kaminski

The Commission has sustained disciplinary action taken by NASD against Dennis S. Kaminski, formerly a General Securities Principal and senior executive officer of Mutual Service Corporation (MSC), an NASD member firm. NASD found that Kaminski violated NASD Conduct Rules 3010 and 2110 by failing to supervise MSC's review of the firm's variable annuity offers and sales. NASD suspended Kaminski for eighteen months in all capacities, fined him $50,000, and required that he requalify before acting in any capacity requiring qualification.

The Commission concluded that Kaminski violated NASD rules by failing to supervise MSC's review of the firm's variable annuity offers and sales. The Commission stated that "the result of Kaminski's failure to supervise could have been devastating to the firm or its customers." The Commission found that, given Kaminski's egregious supervisory failure, the sanctions imposed by the NASD achieved the goals of being remedial and deterring future violations, without being excessive or oppressive. (Rel. 34-65347; File No. 3 14054)

In the Matter of Comverse Technology, Inc.

On September 16, 2011, the Commission issued an Order terminating an administrative proceeding against Comverse Technology, Inc. (Comverse), brought under Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act).

An Administrative Law Judge issued an Initial Decision granting the Division of Enforcement’s motion for summary disposition on July 22, 2010, making findings of fact and conclusions of law, and recommending that the registration of each class of Comverse’s registered securities be revoked. Comverse appealed the Initial Decision. While the appeal was pending, Comverse filed with the Commission a comprehensive Form 10-K covering its fiscal years 2005 to 2008 and making restatement adjustments going back to 1991; Forms 10-K for its fiscal years 2009 and 2010, and a Form 10-Q for the first quarter of its fiscal year 2011.

On the basis of a settlement offer from Comverse, the Commission issued an Order on September 8, 2011, making certain findings and requiring Comverse to file, by no later than September 9, 2011, quarterly reports for its three fiscal quarters of 2010 and its quarterly report for the quarter ended July 31, 2011. The September 8, 2011 Order stated that, if Comverse made these filings, and if any noted deficiencies were corrected within five business days, the Commission would enter an Order terminating the proceeding without the requested remedy of revocation. Comverse has now filed the above reports in accordance with the Commission’s September 8th Order.

For further information see:

  • Order on the Basis of Comverse Technology, Inc.’s Offer of Settlement, Implementing Settlement, In the Matter of Comverse Technology, Inc., Administrative Proceeding File No. 3-13802, Exchange Act Release No. 65301, Sept. 8, 2011
  • Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Comverse Technology, Inc., Administrative Proceeding File No. 3-13828, Exchange Act Release No. 61763, Mar. 23, 2010
  • Initial Decision, In the Matter of Comverse Technology, Inc., Administrative Proceeding File No. 3-13802, Initial Decision Release No. 400, July 22, 2010

(Rel. 34-65348; File No. 3-13828)

In the Matter of Matthew R. Jennings

On September 16, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Matthew R. Jennings (Jennings). The Order finds that Jennings was the CEO of Westmoore Management, LLC; CEO of Westmoore Capital Management, Inc.; president of Westmoore Partners, Inc.; the general partner of Westmoore Investment, L.P.; and CEO and director of Westmoore Capital, LLC, and that on August 12, 2011 a final judgment was entered by consent against Jennings in SEC v. Westmoore Management, LLC, et al. (Civil Action No. SACV 10-00849 AG (MLGx)), permanently enjoining Jennings from future violations of Sections 5(a) and (c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder.

Based on the above, the Order bars Jennings from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock, with the right to apply for reentry after five years to the appropriate self-regulatory organization, or if there is none, to the Commission. Jennings consented to the issuance of the Order without admitting or denying any of the Findings except he admitted the entry of the judgment. (Rel. 34-65349; File No. 3-14551)

In the Matter of Vinayak S. Gowrish

On September 16, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Order) against Vinayak S. Gowrish, based on the entry of a permanent injunction in the civil action Securities and Exchange Commission v. Vinayak S. Gowrish, Civil Action Number 09-05883(SI) in the United States District Court for the Northern District of California.

On July 15, 2011, the United States District Court for the Northern District of California entered a final judgment permanently enjoining Gowrish from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

The Division of Enforcement alleges in the Order that the Commission’s complaint alleged that, from at least December 2006 through May 2007, Gowrish, in breach of a duty owed to his employer, misappropriated material nonpublic information from his employer in connection with TPG’s negotiations to acquire Sabre Holdings Corp. (Sabre), TXU Corp. (TXU), and Alliance Data Systems Corp. (ADS). The complaint further alleged that Gowrish tipped the confidential acquisition information to his long-time friend, Adnan Zaman. Zaman, in turn, tipped the information to their two friends, Pascal S. Vaghar and Sameer N. Khoury. On the basis of the information provided by Gowrish through Zaman, Vaghar and Khoury then traded Sabre, TXU, and ADS securities, realizing approximately $375,000 in illicit profits. The Commission’s complaint alleged that, in exchange for the confidential information, Vaghar provided cash kickbacks to both Gowrish and Zaman. On February 3, 2011, a federal jury found that Gowrish violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Gowrish an opportunity to dispute the allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest pursuant to Section 203(f) of the Investment Advisers Act of 1940. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. IA-3279; File No. 3-14552)

Judgments Entered Against Defendants for Distributing Unregistered Shares of Universal Express Inc.

The Securities and Exchange Commission announced that the United States District Court for the Southern District of New York entered summary judgments on September 8, 2011, against defendants Doyle Scott Elliott, Scott Elliott, Inc. (SEI), Robert L. Weidenbaum, and CLX & Associates, Inc (CLX), all of Florida, finding they engaged in an unregistered distribution of billions of shares of Universal Express Inc. (USXP) between February 2004 and June 2007. The judgments enjoined Elliott, SEI, Weidenbaum, and CLX from future violations of the securities registration provisions of Section 5 of the Securities Act of 1933, ordered them to disgorge over $8.6 million in profits plus prejudgment interest and pay third tier penalties equal to their gains, and barred them from participating in penny stock offerings. The court also granted partial summary judgment against the remaining defendants, Michael J. Xirinachs and Emerald Asset Advisors LLC of New York, and set a hearing to resolve the remaining issues for December 6, 2011. The complaint in this case can be reviewed at www.sec.gov. (LR-21197, Sept. 3, 2009)

The Commission previously sued Universal Express, Inc. for violating the securities registration provisions. See SEC v. Universal Express, Inc. et al, 04 Civ-02322 (GEL), (LR-18636 Mar. 24, 2004). [SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc., Case No. 09-cv-7594-RJH-THK (S.D.N.Y.)] (LR-22094)

SEC Settles Disclosure and Accounting Fraud Charges Against Escala Group, Inc.’s Former CFO, Larry Lee Crawford, CPA

The Securities and Exchange Commission announced today that on September 9, 2011, the Honorable Denise Cote of the United States District Court for the Southern District of New York entered a final judgment against Larry Lee Crawford (Crawford) in SEC v. Escala Group, Inc. et al., 09-CV-2646, filed on March 23, 2009, and amended on August 28, 2009 (LR 20965).

The final judgment to which Crawford consented without admitting or denying the allegations in the complaint permanently enjoins him from violation of Section 10(b) of the Exchange Act and Rule 10b-5; violation of Section 13(b)(5) of the Exchange Act and Exchange Act Rules 13b2-1 and 13b2-2; aiding and abetting Escala Group Inc’s violation of Exchange Act Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B), and Rules 12b-20, 13a-1, and13a-13; and violation of Exchange Act Rule 13a-14. It also orders Crawford to pay $164,584.75 in disgorgement, prejudgment interest and penalties, and bars Crawford from serving as an officer or director of a public company for 3 years. [SEC v. Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA, Civil Action No. 09 CV 2646 (S.D.N.Y.)] (LR-22095; AAE Rel. 3321)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-68) relating to the Messages to Contracts Traded Ratio Fee in the Options Fee Schedule 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 September 19. (Rel. 34-65341)

A proposed rule change filed by the Chicago Stock Exchange, Inc. (SR-CHX-2011-28) to retroactively waive its order cancellation fee for a limited duration 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 September 19. (Rel. 34-65342)

Approval of Proposed Rule Change

The Commission approved a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2011-48), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to list and trade shares of the Teucrium Wheat Fund, the Teucrium Soybean Fund and the Teucrium Sugar Fund under NYSE Arca Equities Rule 8.200, Commentary .02. Publication is expected in the Federal Register during the week of September 19. (Rel. 34-65344)

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-4     BENIHANA INC, 8685 NW 53RD TERRACE, MIAMI, FL, 33166, 3055930770 - 
        11,513,078 ($95,328,286.00) Equity, (File 333-176842 - Sep. 15) 
        (BR. 05A)

S-1     Enova International, Inc., 200 WEST JACKSON BLVD., CHICAGO, IL, 60606, 
        312-568-4200 - 0 ($500,000,000.00) Equity, (File 333-176844 - Sep. 15) 
        (BR. )

        (408) 434-8030 - 0 ($100,000,000.00) Equity, (File 333-176845 - 
        Sep. 15) (BR. )

        CA, 94111, 415-693-9500 - 398,351 ($1,035,712.00) Equity, 
        (File 333-176846 - Sep. 15) (BR. 08C)

        TX, 77027, (713) 621-2245 - 0 ($20,000,000.00) Equity, 
        (File 333-176847 - Sep. 15) (BR. 05B)

        BLOCO 1, 7O ANDAR - PARTE, RIO DE JANEIRO - RJ, D5, 22640-102, 
        551181130582 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-176848 - Sep. 15) (BR. 11A)

        PIROJSHANAGAR, VIKHROLI (W), MUMBAI, K7, 400 079, 91-22-55976100 - 
        2,200,000 ($22,440,000.00) ADRs/ADSs, (File 333-176849 - Sep. 15) 
        (BR. 03C)

        77381, 281-825-4500 - 1,300,000 ($8,707,250.00) Equity, 
        (File 333-176850 - Sep. 15) (BR. 10C)

        4124343131 - 15,000 ($1,096,800.00) Equity, (File 333-176852 - Sep. 15) 
        (BR. 06C)

        6196962000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-176855 - Sep. 15) (BR. 02B)

        XX, M5X 1E4, 416-306-6306 - 0 ($19,093,200.00) Equity, 
        (File 333-176856 - Sep. 15) (BR. 04)

        (309) 765-4968 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-176858 - Sep. 15) (BR. 10A)

        847-286-2500 - 0 ($18,770,500.00) Equity, (File 333-176859 - Sep. 15) 
        (BR. 02B)

        NY, 10010, 2123252000 - 0 ($5,000,000.00) Equity, (File 333-176860 - 
        Sep. 15) (BR. 17)

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

Access to Money, Inc.                   OR       5.02                 09/15/11

ACORDA THERAPEUTICS INC                          5.02,8.01,9.01       09/15/11

ADCARE HEALTH SYSTEMS INC               OH       8.01,9.01            09/14/11

ADVANCED ENERGY INDUSTRIES INC          DE       5.07                 05/04/11    AMEND

ADVISORY BOARD CO                       DE       5.02,5.07,9.01       09/13/11

AE BIOFUELS, INC.                       NV       1.01                 09/09/11

AFS SenSub Corp.                                 8.01,9.01            09/13/11

AGL RESOURCES INC                       GA       8.01,9.01            09/15/11

Aircastle LTD                           D0       7.01,9.01            09/14/11

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            09/15/11

ALLSTATE CORP                           DE       7.01,9.01            09/15/11

ALTAIR NANOTECHNOLOGIES INC             Z4       1.01,7.01,9.01       09/12/11

ALTERA CORP                             DE       5.02,9.01            09/14/11

AMERICAN EXPRESS CO                     NY       7.01                 09/15/11

American Midstream Partners, LP         DE       8.01,9.01            09/14/11

AMERICAN SUPERCONDUCTOR CORP /DE/       DE       7.01                 09/14/11

AMERIGROUP CORP                                  7.01                 09/15/11

AMERIPRISE FINANCIAL INC                DE       1.01,2.03,9.01       09/09/11

AMERISTAR CASINOS INC                   NV       8.01,9.01            09/15/11

AMREP CORP.                             OK       2.02,9.01            09/13/11

ANTARES PHARMA, INC.                    DE       5.02,7.01            09/09/11

APOGEE ENTERPRISES, INC.                MN       2.02,9.01            09/14/11

ARIBA INC                               DE       8.01                 09/13/11

Ascena Retail Group, Inc.               DE       2.02,9.01            09/14/11

Ascena Retail Group, Inc.               DE       7.01,9.01            09/14/11

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            09/15/11

ASIA TIGERS FUND INC                    MD       7.01,9.01            09/14/11

ASSOCIATED BANC-CORP                    WI       3.03,5.03,8.01,9.01  09/13/11

Atrinsic, Inc.                          DE       5.02,9.01            09/14/11

BAKER HUGHES INC                        DE       1.01,1.02,2.03,8.01, 09/09/11
BENIHANA INC                            DE       2.02,9.01            09/15/11

BGC Partners, Inc.                      DE       1.01,8.01,9.01       09/09/11

BIOVEST INTERNATIONAL INC               DE       7.01,9.01            09/15/11

BIOZONE PHARMACEUTICALS, INC.           NV       9.01                 06/30/11    AMEND

Bizzingo, Inc.                          NV       5.03,9.01            09/08/11

BLUE CALYPSO, INC.                      NV       1.01,9.01            09/09/11

BMW Vehicle Owner Trust 2011-A                   1.01,9.01            09/12/11

BPZ RESOURCES, INC.                     TX       7.01,9.01            09/12/11

BRADY CORP                              WI       2.02,8.01,9.01       09/09/11

BRAZIL GOLD CORP.                       NV       5.02,7.01,9.01       09/14/11

BRIGHTPOINT INC                         IN       5.07                 05/10/11    AMEND

CABELAS INC                             DE       7.01,9.01            09/15/11

CABOT CORP                              DE       5.02                 09/13/11

CALIFORNIA FIRST NATIONAL BANCORP       CA       5.02,9.01            09/09/11

CAPITAL ONE FINANCIAL CORP              DE       7.01,9.01            09/14/11

CAPITALSOURCE INC                       DE       1.01,3.03,8.01,9.01  09/14/11

CAPITOL BANCORP LTD                     MI       5.02,9.01            09/15/11

CapLease, Inc.                                   9.01                 09/08/11    AMEND

CARMAX AUTO FUNDING LLC                 DE       1.01,8.01,9.01       09/14/11

CAROLINA POWER & LIGHT CO               NC       8.01,9.01            09/12/11

CARRIAGE SERVICES INC                   DE       5.02,9.01            09/13/11

CASEYS GENERAL STORES INC               IA       7.01                 09/15/11

CASH AMERICA INTERNATIONAL INC          TX       7.01,9.01            09/15/11

CATALYST PHARMACEUTICAL PARTNERS, INC   DE       5.02,9.01            09/14/11

Celsion CORP                            DE       5.02                 09/10/11

CENTENE CORP                                     1.01                 09/09/11

CENTER FINANCIAL CORP                   CA       8.01,9.01            09/14/11

Chanticleer Holdings, Inc.                       1.01,2.03,9.01       09/12/11

CHARTER FINANCIAL CORP/GA                        1.01,2.01,7.01,9.01  09/09/11

CHASE CREDIT CARD MASTER TRUST          NY       8.01,9.01            09/15/11

CHINA FIRE & SECURITY GROUP, INC.                8.01                 09/15/11

China Internet Cafe Holdings Group, I   NV       7.01,9.01            09/13/11

CIT GROUP INC                           DE       8.01,9.01            09/12/11

CITIBANK OMNI-S MASTER TRUST                     8.01                 09/15/11

CLARCOR INC                             DE       2.02                 09/14/11

Clean Energy Fuels Corp.                DE       5.02,9.01            09/12/11

COHU INC                                DE       5.07                 05/11/11    AMEND

COLE CORPORATE INCOME TRUST, INC.       MD       9.01                 09/14/11    AMEND

Colfax CORP                             DE       1.01,2.03,3.02,9.01  09/12/11

COMMAND SECURITY CORP                   NY       5.07                 09/13/11

COMMUNITY BANK SHARES OF INDIANA INC    IN       5.03,8.01,9.01       09/09/11

CONAGRA FOODS INC /DE/                  DE       1.01,1.02,2.03,9.01  09/14/11

Cooper Industries plc                            8.01,9.01            09/15/11

CRACKER BARREL OLD COUNTRY STORE, INC   TN       5.02,9.01            09/09/11

CSS INDUSTRIES INC                      DE       1.01,2.01,9.01       09/09/11

CUMULUS MEDIA INC                       DE       8.01,9.01            09/14/11

CUMULUS MEDIA INC                       DE       8.01,9.01            09/15/11

CYTORI THERAPEUTICS, INC.               DE       1.01,2.03,3.02,9.01  09/09/11

DAIS ANALYTIC CORP                               1.01,5.02,9.01       09/14/11

DEBT RESOLVE INC                        DE       8.01                 09/15/11

DecisionPoint Systems, Inc.             DE       5.02,9.01            09/01/11

DELCATH SYSTEMS INC                     DE       8.01,9.01            09/12/11

DENNYS CORP                             DE       5.02                 09/13/11

Diamond Foods Inc                       DE       2.02,8.01,9.01       09/15/11

DIAMOND OFFSHORE DRILLING INC           DE       7.01,9.01            09/15/11

DIGITAL POWER CORP                      CA       5.07                 09/12/11

Digital Realty Trust, Inc.                       8.01,9.01            09/15/11

Discover Card Execution Note Trust      DE       1.01,9.01            09/13/11

DIXIE GROUP INC                         TN       1.01,1.02,2.03,8.01, 09/14/11
DIXIE GROUP INC                         TN       8.01,9.01            09/15/11

Duff & Phelps Corp                      DE       5.02,9.01            09/13/11

DYCOM INDUSTRIES INC                    FL       5.02                 09/12/11

ECO VENTURES GROUP, INC.                NV       7.01                 09/15/11

EMMAUS LIFE SCIENCES, INC.              DE       5.03,9.01            09/14/11

ENBRIDGE ENERGY PARTNERS LP             DE       1.01,8.01,9.01       09/15/11

Energy Transfer Equity, L.P.            DE       1.01,9.01            09/14/11

Energy Transfer Partners, L.P.          DE       1.01,8.01,9.01       09/14/11

EPICEPT CORP                                     3.01                 09/09/11

EPIQ SYSTEMS INC                        MO       8.01,9.01            09/15/11

EXTREME NETWORKS INC                    DE       5.02,9.01            09/13/11

FAIRCHILD SEMICONDUCTOR INTERNATIONAL   DE       5.02                 09/15/11

FARMERS NATIONAL BANC CORP /OH/         OH       7.01,9.01            09/15/11

Federal Home Loan Bank of Atlanta       X1       2.03                 09/15/11

Federal Home Loan Bank of Boston        X1       2.03                 09/13/11

Federal Home Loan Bank of Chicago       X1       2.03                 09/12/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            09/13/11

Federal Home Loan Bank of New York      X1       2.03,9.01            09/12/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            09/12/11

Federal Home Loan Bank of San Francis   X1       2.03                 09/12/11

Federal Home Loan Bank of Seattle                2.03                 09/12/11

Federal Home Loan Bank of Topeka                 2.03,9.01            09/12/11

Forbes Energy Services Ltd.             D0       1.01,2.03,9.01       09/09/11

Fortune Brands Home & Security, Inc.    DE       1.01,9.01            09/14/11

FORTUNE BRANDS INC                      DE       1.01,9.01            09/14/11

FreightCar America, Inc.                DE       5.07                 05/11/11    AMEND

Fuelstream INC                          DE       1.01,3.02,9.01       09/12/11

FX ENERGY INC                           NV       5.07                 09/15/11

FXCM Inc.                                        7.01,9.01            09/15/11

GAMETECH INTERNATIONAL INC              DE       2.02,9.01            09/15/11

GENWORTH FINANCIAL INC                  DE       5.02                 09/13/11

Global Arena Holding, Inc.              DE       4.01,9.01            08/01/11    AMEND

Global Aviation Holdings Inc.           DE       1.01,2.03,3.03,8.01, 09/14/11
Global Indemnity plc                    L2       5.02,8.01,9.01       09/15/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 09/15/11

Griffin Capital Net Lease REIT, Inc.             8.01                 09/14/11

H&R BLOCK INC                           MO       1.01,5.07,8.01,9.01  09/13/11

HANDY & HARMAN LTD.                     DE       1.01,2.03,8.01       09/12/11

HARDINGE INC                            NY       7.01,9.01            09/15/11

HEARTLAND FINANCIAL USA INC             DE       1.01,3.02,3.03,5.03, 09/15/11
HEARUSA INC                             DE       2.01,5.02,5.03,9.01  09/09/11

HORIZON BANCORP /IN/                    IN       8.01                 09/09/11    AMEND

HUDSON CITY BANCORP INC                 DE       5.07                 04/19/11    AMEND

HUNT J B TRANSPORT SERVICES INC         AR       5.07                 04/28/11    AMEND

Hybred International, Inc.              CO       8.01                 09/15/11

IASIS Healthcare LLC                    DE       1.01                 09/15/11

IBERIABANK CORP                         LA       8.01                 09/15/11

Idle Media, Inc.                        NV       5.02                 09/14/11

INDEPENDENT BANK CORP                   MA       8.01                 09/15/11

INDIA FUND INC                          MD       7.01,9.01            09/14/11

INLAND REAL ESTATE CORP                 MD       8.01,9.01            09/15/11

INTERNET HOLDRS TRUST                   NY       8.01,9.01            09/15/11

INTERNET INFRASTRUCTURE HOLDRSSM TRUS   NY       8.01,9.01            09/15/11

INTL FCSTONE INC.                       DE       8.01                 09/15/11

JONES SODA CO                           WA       5.02,9.01            09/09/11

Kat Gold Holdings Corp.                 NV       8.01                 09/15/11

KEMPER Corp                             DE       8.01,9.01            09/14/11

Kior Inc                                DE       5.02                 09/09/11

Kohlberg Capital CORP                   DE       8.01,9.01            09/15/11

LANTRONIX INC                           DE       5.02                 09/09/11

LANTRONIX INC                           DE       2.02,9.01            09/15/11

LAS VEGAS SANDS CORP                    NV       7.01,9.01            09/15/11

LECROY CORP                             DE       5.02                 09/12/11

LEGGETT & PLATT INC                     MO       5.02                 09/12/11

Limelight Networks, Inc.                DE       5.02                 09/14/11

Limelight Networks, Inc.                DE       5.02                 09/10/11

LOTON, CORP                             NV       5.01,5.02,9.01       09/09/11

MARCUS CORP                             WI       2.02,9.01            09/15/11

MASTERCARD INC                          DE       7.01,9.01            09/15/11

MATERIAL SCIENCES CORP                  DE       8.01,9.01            09/14/11

MAXIMUS INC                             VA       5.03,9.01            09/14/11

Medical Care Technologies Inc.          NV       1.01,2.03,3.02,9.01  09/09/11

MEDICIS PHARMACEUTICAL CORP             DE       1.01                 09/12/11

MERCER GOLD CORP.                       NV       7.01,9.01            09/15/11

Mesa Energy Holdings, Inc.              DE       7.01,9.01            09/09/11

METHODE ELECTRONICS INC                 DE       5.07                 09/15/11

MIDDLESEX WATER CO                      NJ       8.01                 09/15/11

MILLER ENERGY RESOURCES, INC.                    7.01,9.01            09/15/11

MONKEY ROCK GROUP, INC.                 DE       1.01,5.01,5.02,9.01  09/15/11

MORGAN STANLEY                          DE       5.02,9.01            09/15/11

MSB FINANCIAL CORP.                     X1       8.01                 09/12/11

Mueller Water Products, Inc.            DE       5.02,9.01            09/12/11

MYLAN INC.                              PA       1.01                 09/09/11

NAPCO SECURITY TECHNOLOGIES, INC        DE       2.02,9.01            09/12/11

NATHANS FAMOUS INC                      DE       5.07                 09/15/11

National American University Holdings   DE       1.01,9.01            09/09/11

NATIONAL BANCSHARES CORP /OH/           OH       2.02                 09/15/11

NATIONAL HEALTH INVESTORS INC           MD       2.01,9.01            09/15/11

NET TALK.COM, INC.                      FL       5.02                 09/15/11

NETFLIX INC                             DE       2.02,9.01            09/15/11

NEWS CORP                                        8.01,9.01            09/15/11

NEXT FUEL, INC.                         NV       8.01                 08/24/11

NORFOLK SOUTHERN CORP                   VA       1.01,2.03,9.01       09/14/11

NorWesTech, Inc.                        DE       8.01                 09/15/11

NORWOOD FINANCIAL CORP                  PA       8.01,9.01            09/15/11

O CHARLEYS INC                          TN       7.01,9.01            09/14/11

OLYMPIC STEEL INC                       OH       9.01                 07/01/11    AMEND

ONEOK INC /NEW/                         OK       7.01,9.01            09/12/11

ORAMED PHARMACEUTICALS INC.             NV       8.01,9.01            09/15/11

Patriot Coal CORP                       DE       5.02,9.01            09/09/11

PDL BIOPHARMA, INC.                     DE       8.01,9.01            09/15/11

Pebblebrook Hotel Trust                 MD       7.01,9.01            09/15/11

PediatRx Inc.                           NV       3.02,5.02,8.01,9.01  09/15/11

PIER 1 IMPORTS INC/DE                   DE       2.02,9.01            09/15/11

PLAINSCAPITAL CORP                      TX       8.01                 09/13/11

PLANTRONICS INC /CA/                    DE       5.02,9.01            09/14/11

PLUG POWER INC                          DE       7.01,9.01            09/15/11

PLURISTEM THERAPEUTICS INC              NV       7.01,9.01            09/15/11

PMFG, Inc.                              DE       1.01,2.01,9.01       09/15/11

POINDEXTER J B & CO INC                 DE       5.02,9.01            09/12/11

POWELL INDUSTRIES INC                   NV       5.02,9.01            09/14/11

PRIVATE MEDIA GROUP INC                 NV       1.03,9.01            08/25/11    AMEND

PROFESSIONAL VETERINARY PRODUCTS LTD    NE       7.01,9.01            09/14/11

PROGENICS PHARMACEUTICALS INC           DE       8.01,9.01            09/15/11

PROGRESSIVE CORP/OH/                    OH       7.01,9.01            09/15/11

PSM HOLDINGS INC                        NV       9.01                 07/07/11    AMEND

RADISYS CORP                            OR       2.01                 07/07/11    AMEND

Rand Logistics, Inc.                    DE       7.01                 09/14/11

RED ROCK PICTURES HOLDINGS, INC                  8.01,9.01            09/14/11

REGENERON PHARMACEUTICALS INC           NY       5.07                 09/15/11    AMEND

RENTRAK CORP                            OR       2.02,7.01,9.01       09/15/11

RESEARCH FRONTIERS INC                  DE       7.01                 09/13/11

Rhino Productions, Inc.                 NV       2.01,3.02,5.06,9.01  09/13/11

ROCKWELL COLLINS INC                    DE       7.01,9.01            09/14/11

RVUE HOLDINGS, INC.                     NV       7.01,9.01            09/15/11

Sagebrush Gold Ltd.                     NV       1.01,5.02,9.01       09/02/11    AMEND

SAUER DANFOSS INC                       DE       8.01,9.01            09/15/11

SAVIENT PHARMACEUTICALS INC             DE       5.02,9.01            09/15/11

SEAHAWK DRILLING, INC.                  DE       7.01,9.01            09/14/11

SEALED AIR CORP/DE                      DE       7.01,8.01,9.01       09/15/11

ShengdaTech, Inc.                                5.02,9.01            09/09/11

SOLIGENIX, INC.                         DE       8.01,9.01            09/15/11

SOLTA MEDICAL INC                       DE       1.01,9.01            09/12/11

Southern Products, Inc.                 NV       8.01                 09/14/11

SOUTHERN UNION CO                       DE       1.01,8.01,9.01       09/15/11

SouthPeak Interactive CORP              DE       8.01                 09/14/11

Spectra Energy Corp.                    DE       5.02,9.01            09/09/11

Spectra Energy Partners, LP             DE       5.02,9.01            09/09/11

SPECTRANETICS CORP                      DE       5.02                 09/12/11

SPECTRASCIENCE INC                      MN       7.01,9.01            09/13/11

STEEL DYNAMICS INC                      IN       8.01,9.01            09/12/11

STEWART ENTERPRISES INC                 LA       8.01,9.01            09/15/11

SUN HEALTHCARE GROUP INC                DE       5.02                 09/14/11

Susser Holdings CORP                    DE       7.01,9.01            09/15/11

TALEO CORP                              DE       1.01,2.03,9.01       09/12/11

TCF FINANCIAL CORP                      DE       7.01,8.01,9.01       09/15/11

TERADYNE, INC                           MA       1.01,8.01,9.01       09/14/11

TESORO CORP /NEW/                       DE       5.02                 09/10/11

TEXADA VENTURES INC                     NV       1.01,9.01            09/15/11

TEXAS INSTRUMENTS INC                   DE       8.01,9.01            09/15/11

THERAVANCE INC                          DE       8.01,9.01            09/15/11

Transcept Pharmaceuticals Inc           DE       7.01,9.01            09/13/11

Transocean Ltd.                         V8       7.01,9.01            09/15/11

TTM TECHNOLOGIES INC                    WA       5.07                 05/24/11    AMEND

ULURU INC.                              NV       1.01,3.02,5.03,8.01, 09/15/11    AMEND
UMPQUA HOLDINGS CORP                    OR       8.01                 09/15/11

UNIT CORP                               DE       1.01,9.01            09/13/11

UNITED RENTALS INC /DE                  DE       7.01,9.01            09/14/11

URANIUM ENERGY CORP                     NV       3.02                 09/09/11

US ECOLOGY, INC.                        DE       7.01,9.01            09/15/11

US GEOTHERMAL INC                       DE       2.03,5.02,5.07,9.01  09/15/11

VANGUARD HEALTH SYSTEMS INC             DE       5.02                 09/15/11

VASCO DATA SECURITY INTERNATIONAL INC   DE       2.06,8.01            09/14/11

VIRCO MFG CORPORATION                   DE       2.02,9.01            09/14/11

VIROPHARMA INC                          DE       8.01,9.01            09/14/11

VIRTUSA CORP                                     2.01,9.01            07/01/11    AMEND

VISUALANT INC                           NV       2.01,9.01            09/15/11

VIVUS INC                               CA       8.01,9.01            09/15/11

WASHINGTON REAL ESTATE INVESTMENT TRU   MD       2.01,9.01            09/13/11

Weatherford International Ltd./Switze   V8       5.03,8.01,9.01       09/13/11

WELLS MID-HORIZON VALUE-ADDED FUND I             1.01                 09/15/11

Wizard World, Inc.                      DE       1.01,5.02,9.01       09/14/11

WORLD WRESTLING ENTERTAINMENTINC        DE       1.01,2.03,9.01       09/09/11

WRIGHT MEDICAL GROUP INC                DE       2.05,2.06,9.01       09/14/11

WRIGHT MEDICAL GROUP INC                DE       1.01,7.01,8.01,9.01  09/14/11

X RITE INC                              MI       5.07                 05/18/11    AMEND



Modified: 09/16/2011