In the Matter of James M. Peister
On September 23, 2011, 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 James M. Peister.
The Order finds that on September 15, 2011 the U.S. District Court for the Eastern District of New York entered final judgment by consent against Mr. Peister permanently enjoining him from future violations of Sections 17(a)(1), 17(a)(2) and 17(a)(3) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Sections 206(1), 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in a civil action titled Securities and Exchange Commission v. James M. Peister, et al., 2:11-cv-03386-JFB-AKT. The Commission’s complaint in that action alleges that Mr. Peister, who controlled all the operations and activities of the North American Globex Fund (Fund), intentionally overstated the assets of the Fund, and in so doing he (1) provided investors and prospective investors with materially false and misleading sales materials, (2) issued materially false and misleading account statement to Fund investors, and (3) issued materially false and misleading financial statements.
Based on the above, the Order bars James Peister from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. James Peister consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the entry of the injunction. (Rel. IA-3287; File No. 3-14561)
In the Matter of Manuel Lopez-Tarre
On September 23, 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 (Order) against Manuel Lopez-Tarre. The Order finds that Lopez-Tarre was the chief compliance officer of FTC Capital Markets, Inc. (FTC), previously a registered broker-dealer that, together with its owner, Guillermo Clamens, and Lina Lopez, an FTC employee, is the subject of a settled civil injunctive action. Clamens and Lopez fraudulently engaged in tens of millions of dollars of unauthorized (and undisclosed) securities trading in the accounts of two FTC customers, ultimately causing those customers to lose $22 million. Clamens and Lopez repeatedly provided the customers with fake account statements and trade confirmations to conceal the fraud. Lopez-Tarre failed to follow the firm’s established procedures for reviewing Clamens’ customer accounts and correspondence, including e-mail correspondence, and failed to respond to several red flags that should have alerted him to the fraud.
Based on the above, the Order bars Manual Lopez-Tarre from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization in a supervisory capacity, with a right to reapply after one year. Manuel Lopez-Tarre consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-65391; File No. 3-14562)
In the Matter of Bruce F. Prévost and David W. Harrold
On September 23, 2011, 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 Bruce F. Prévost (Prévost) and David W. Harrold (Harrold). The Order finds that according to allegations in the Commission’s related civil injunctive action, entitled Securities and Exchange Commission v. Bruce F. Prévost, David W. Harrold, Palm Beach Capital Management LP, and Palm Beach Capital Management LLC, No. 0:10-cv-04235-PAM-SRN (D. Minn.), from 2004 until at least as late as June 2008, Prévost and Harrold allegedly operated and associated with an investment adviser to two private funds – the Palm Beach Funds – that invested in a Ponzi scheme operated by Thomas J. Petters (Petters). Prévost and Harrold allegedly misled the Palm Beach Funds, including their investors, by, among other things, engaging in several improper note exchange transactions with Petters, the purpose of which was to conceal that Petters was not able to make payments on investments held by the Palm Beach Funds. At the same time, Prévost and Harrold allegedly continued to inaccurately report, in monthly communications, that the Palm Beach Funds were generating the same steady profits that they had generated from their inceptions; those overstated rates of return allegedly resulted in the payment of excessive management fees and performance allocations to Prévost and Harrold. In the related civil action, a Judgment of Permanent Injunction and Other Relief was entered against Prévost and Harrold, permanently enjoining them from future violations of the anti-fraud provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940.
Based on the above, the Order bars Bruce F. Prévost and David W. Harrold from being associated with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Prévost and Harrold consented to the issuance of the Order without admitting or denying any of the findings in the Order, except that they admitted that a Judgment of Permanent Injunction and Other Relief was entered against them by the district court, permanently enjoining them from future violations of Sections 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 206(4) of the Advisers Act and Rule 206-4(8). (Rel. IA-3288; File No. 3-14563)
In the Matter of Magic Lantern Group, Inc., Map VII Acquisition, Inc., Memotec Communications, Inc., Millstream II Acquisition Corp., Modena 3, Inc., and North American Energy of Delaware, Inc. (n/k/a Ora Electronics, Inc.)
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) as to Magic Lantern Group, Inc., Map VII Acquisition, Inc., Memotec Communications, Inc., Millstream II Acquisition Corp., Modena 3, Inc., and North American Energy of Delaware, Inc. (n/k/a Ora Electronics, Inc.) (collectively, Respondents), in Magic Lantern Group, Inc., Admin. Proc. No. 3-14512. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Respondents and revokes the registrations of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-65392; File No. 3-14512)
Commission Charges San Francisco-Area Men in Schemes Offering Investment Returns as High as 6,300 Percent
The Securities and Exchange Commission today charged two San Francisco-area men with fraud for offering investors extraordinary returns as high as 6,300 percent when instead their money was spent on multi-million dollar home improvements and other luxuries.
The SEC alleges that Jason G. Rivera, Jr., Marc C. Harmon, and two companies controlled by Rivera raised nearly $8 million from investors in two separate schemes, one involving purported trading in gold and diamonds and the other involving purported trading in collateralized mortgage obligations (CMOs). However, the funds raised from investors weren’t used for those purposes as Rivera diverted most of the money for his personal exploits, including a $360,000 surprise birthday party for his wife.
According to the SEC’s complaint filed in federal court in San Francisco, Rivera previously worked in real estate and portrayed himself to investors as a successful financier. He raised approximately $4.5 million from investors in 2007 and 2008 through his company, the Joseph Rene Corporation (JRC). He touted JRC as a route to “financial freedom” and “maximum results with minimum risk” in a brochure he distributed to investors, assuring them high returns by pooling investor money and placing it in “hard assets” such as real estate, oil, diamonds, and gold. However, as Rivera instead spent investor money as his own and was unable to make payments to investors as promised, he tried to placate them with falsehoods. For example, Rivera claimed in a June 2008 e-mail to JRC investors that glitches in the banking system had delayed their payouts, but “your money is still making money.” In a follow-up e-mail, he maintained that despite the worldwide financial downturn, JRC was “thriving,” had “lost NO money,” and all investor funds were “safe.”
The SEC alleges that Rivera later teamed up with Harmon, an unemployed construction worker at the time who had no training or experience in selling or managing investment programs. Together they raised an additional $3.2 million from 2008 to 2010 through a second company, Executive Members Management Group (EMMG). Rivera and Harmon led investors to believe they could make rapid profits of up to 6,300 percent by investing in trading programs involving CMOs and other financial instruments. Specifically, Harmon falsely claimed that EMMG used “licensed traders” and “trading platforms,” and he falsely boasted to investors that extremely wealthy individuals had invested millions of dollars with EMMG. Harmon even lied to several investors about a phony trip he took to the United Kingdom in an effort to place their money in a trading program.
In both schemes, the SEC alleges that Rivera used investor funds to afford such personal luxuries as several Mercedes Benz automobiles, jewelry, restaurant meals, and basketball season tickets. Rivera misused investor funds in the JRC scheme to pay for approximately $1.5 million in improvements to his 8,000-square foot home in Alamo, Calif. He later misused investor funds in the EMMG scheme to make $1.1 million in additional improvements to his home. Rivera also paid approximately $180,000 to Harmon.
The complaint charges Rivera, Harmon, JRC, and EMMG with violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The complaint also charges Rivera with violating Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 and Harmon with violating Section 15(a)(1) of the Exchange Act. The SEC seeks permanent injunctions, disgorgement with prejudgment interest, and civil monetary penalties.
The case was investigated by Thomas Eme and Tracy Davis of the SEC’s San Francisco Regional Office. The SEC’s litigation efforts will be led by Susan LaMarca. [SEC v. Jason George Rivera, Jr., Marc Christopher Harmon, The Joseph Rene Corporation, and Executive Members Management Group, Civil Case No. CV-11-4741 JSC (N.D. Calif.)] (LR-22103)
Approval of Proposed Rule Changes
The Commission granted approval of a proposed rule change (SR-CBOE-2011-040) submitted by the Chicago Board Options Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to simplify the $1 Strike Price Interval Program. Publication is expected to in the Federal Register during the week of September 26. (Rel. 34-65383)
The Commission has approved a proposed rule change (SR-OCC-2011-10) filed by The Options Clearing Corporation (OCC) under Section 19(b)(1) of the Exchange Act to establish a clearing fund amount intended to support losses under a defined set of default scenarios. Publication is expected to in the Federal Register during the week of September 26. (Rel. 34-65386)
The Commission approved a proposed rule change filed pursuant to Rule 19b-4 by NASDAQ OMX BX, Inc. (SR-BX-2011-034) amending Chapter V, Section 31 of the Rules of the Boston Options Exchange Group, LLC to establish facilitation and solicitation auction mechanisms. Publication is expected to in the Federal Register during the week of September 26. (Rel. 34-65387)
The Commission approved a proposed rule change submitted under Section 19(b)(1) of the Securities Exchange Act of 1934 by NASDAQ OMX PHLX LLC (SR-PHLX-2011-101) regarding Streaming Quote Traders and Remote Streaming Quote Traders entering certain option day limit orders. Publication is expected to in the Federal Register during the week of September 26. (Rel. 34-65389)
Proposed Rule Change
The Commission issued notice of a proposed rule change submitted by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-051) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to create an exemption from certain reporting obligations under the equity trade reporting rules for certain alternative trading systems. Publication is expected to in the Federal Register during the week of September 26. (Rel. 34-65388)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-050) to update Rule cross-references and make non-substantive technical changes to certain FINRA and NASD Rules has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of September 26. (Rel. 34-65382)
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-59) to simplify the $1 Strike Price Interval Program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of September 26. (Rel. 34-65384)
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 RED METAL RESOURCES, LTD., 195 PARK AVENUE, THUNDER BAY, A6, P7B 1B9, 807-345-5380 - 1,600,000 ($960.00) Equity, (File 333-176963 - Sep. 23) (BR. 04C) S-8 COMPUWARE CORP, ONE CAMPUS MARTIUS, DETROIT, MI, 48226-5099, 3132277300 - 13,500,000 ($109,350,000.00) Equity, (File 333-176967 - Sep. 23) (BR. 03B) S-8 PARTNERRE LTD, WELLESLEY HOUSE SOUTH, 90 PITTS BAY ROAD, PEMBROKE, D0, HM 08, 14412920888 - 0 ($287,196,000.00) Other, (File 333-176968 - Sep. 23) (BR. 01B) S-1 Darkstar Ventures, Inc., 410 PARK AVE, 15TH FL, NEW YORK, NY, 10022, 866-360-7565 - 3,500,000 ($175,000.00) Debt, (File 333-176969 - Sep. 23) (BR. ) S-1 Trellis Earth Products Inc, 9125 SW RIDDER RD., SUITE D, WILSONVILLE, OR, 97070, 503 582-1300 - 0 ($29,100,000.00) Equity, (File 333-176970 - Sep. 23) (BR. ) S-1 YRC Worldwide Inc., 10990 ROE AVENUE, OVERLAND PARK, KS, 66211, 913-696-6100 - 0 ($40,709,243.00) Debt Convertible into Equity, 0 ($11,293,767.00) Equity, (File 333-176971 - Sep. 23) (BR. 05C) S-8 FLIR SYSTEMS INC, 27700 SW PARKWAY AVENUE, WILSONVILLE, OR, 97070, 5034983547 - 0 ($164,820,000.00) Equity, (File 333-176972 - Sep. 23) (BR. 05B) S-8 FX ENERGY INC, 3006 HIGHLAND DR, STE 206, SALT LAKE CITY, UT, 84106, 801-486-5555 - 4,496,762 ($22,367,590.00) Equity, (File 333-176973 - Sep. 23) (BR. 04A) S-4 Oasis Petroleum Inc., 1001 FANNIN STREET, SUITE 1500, HOUSTON, TX, 77002, 281-404-9500 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-176974 - Sep. 23) (BR. 04B) S-8 WEYCO GROUP INC, 333 W ESTABROOK BOULEVARD, GLENDALE, WI, 43312, 4149081600 - 1,000,000 ($22,640,000.00) Equity, (File 333-176975 - Sep. 23) (BR. 09A) S-4 EV Energy Partners, LP, 1001 FANNIN, SUITE 800, HOUSTON, TX, 77002, 713-659-3500 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-176977 - Sep. 23) (BR. 04C) S-3ASR INLAND REAL ESTATE CORP, 2901 BUTTERFIELD RD, OAK BROOK, IL, 60523, 6302188000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-176978 - Sep. 23) (BR. 08B) S-8 ECOTALITY, INC., 80 E RIO SALADO PARKWAY, SUITE 710, TEMPE, AZ, 85281, (480) 219-5005 - 48,099 ($93,312.00) Equity, (File 333-176980 - Sep. 23) (BR. 10B) S-3 MIDSOUTH BANCORP INC, 102 VERSAILLES BLVD, VERSAILLES CENTRE, LAFAYETTE, LA, 70501, 3182378343 - 0 ($32,000,000.00) Equity, (File 333-176982 - Sep. 23) (BR. 07B) S-1 TURBOSONIC TECHNOLOGIES INC, 550 PARKSIDE DRIVE, STE A-14, WATERLOO, A6, N2L 5V4, 5198855513 - 8,000,000 ($3,140,000.00) Equity, (File 333-176984 - Sep. 23) (BR. 06C) S-8 CROSSROADS SYSTEMS INC, 11000 NORTH MOPAC EXPRESSWAY, AUSTIN, TX, 78759, 5123490300 - 0 ($21,930,897.00) Equity, (File 333-176985 - Sep. 23) (BR. 03C) S-8 ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA, 94065, 6505067000 - 484,453 ($3,031,441.24) Equity, (File 333-176986 - Sep. 23) (BR. 03B)
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 ABRAXAS PETROLEUM CORP NV 1.01,2.03,7.01,9.01 09/23/11 Access to Money, Inc. OR 1.01,9.01 09/20/11 ADVANCED ANALOGIC TECHNOLOGIES INC DE 8.01,9.01 09/23/11 Affinity Gaming, LLC NV 1.01,8.01 09/19/11 AFS SenSub Corp. 1.01,9.01 09/20/11 ALEXION PHARMACEUTICALS INC DE 8.01 09/23/11 ALEXION PHARMACEUTICALS INC DE 8.01,9.01 09/23/11 ALLIANCE DATA SYSTEMS CORP DE 1.01,2.03,9.01 09/20/11 ALLIANCE RESOURCE PARTNERS LP DE 8.01 09/19/11 Ally Master Owner Trust 1.01,8.01,9.01 09/21/11 AMERICAN MEDICAL ALERT CORP NY 1.01,8.01,9.01 09/22/11 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.01,2.03,9.01 09/19/11 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 09/23/11 AMERITRANS CAPITAL CORP DE 3.01,8.01 09/19/11 APACHE CORP DE 5.02,9.01 09/20/11 Apollo Commercial Real Estate Finance MD 5.07 05/04/11 AMEND Apple REIT Ten, Inc. VA 2.01,9.01 09/20/11 ARIAD PHARMACEUTICALS INC DE 5.07 06/23/11 AMEND ARKANSAS BEST CORP /DE/ DE 5.02,9.01 09/21/11 ASHLAND INC. KY 7.01,9.01 09/23/11 ASTROTECH Corp \WA\ WA 8.01,9.01 09/22/11 AUTHENTIDATE HOLDING CORP DE 3.01 09/19/11 AUTOINFO INC DE 1.01,2.01,9.01 07/08/11 AMEND AUTOMATIC DATA PROCESSING INC DE 5.02 09/23/11 Bank of New York Mellon CORP DE 8.01,9.01 09/23/11 BELO CORP DE 5.03,9.01 09/22/11 BENIHANA INC DE 7.01,9.01 09/23/11 BILL BARRETT CORP 1.01,2.03,7.01,9.01 09/20/11 Bluefire Renewables, Inc. NV 5.02,9.01 09/23/11 BMB MUNAI INC NV 2.01,2.04,3.01,9.01 09/19/11 BOTETOURT BANKSHARES INC VA 8.01 09/23/11 BOVIE MEDICAL CORP DE 8.01 09/19/11 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 1.01,2.03,9.01 09/22/11 BROADWIND ENERGY, INC. DE 3.01 09/19/11 BROWN FORMAN CORP DE 5.07 07/28/11 AMEND Buckingham Exploration Inc. 2.01,5.02,9.01 09/22/11 CALIBRUS, INC. NV 8.01,9.01 09/23/11 CAMBIUM LEARNING GROUP, INC. 1.01,9.01 09/21/11 CAPELLA EDUCATION CO 5.07 05/10/11 AMEND CARMAX AUTO FUNDING LLC DE 8.01,9.01 09/22/11 CATALYST PHARMACEUTICAL PARTNERS, INC DE 1.01,3.03,5.03,8.01, 09/20/11 9.01 CDEX INC NV 1.02,9.01 09/20/11 CENTER FINANCIAL CORP CA 5.02,5.07,8.01,9.01 09/21/11 CENTRUE FINANCIAL CORP DE 5.02,9.01 09/21/11 CH ENERGY GROUP INC NY 8.01,9.01 09/23/11 CHARLES RIVER LABORATORIES INTERNATIO 2.03,9.01 09/23/11 Chatham Lodging Trust MD 9.01 07/14/11 AMEND CHENIERE ENERGY INC DE 7.01,9.01 09/22/11 CHESAPEAKE ENERGY CORP OK 7.01,8.01,9.01 09/15/11 CHICOS FAS INC FL 2.01,9.01 09/19/11 China Advanced Construction Materials DE 2.02,7.01,9.01 09/23/11 CHINA FIRE & SECURITY GROUP, INC. 5.07,8.01,9.01 09/22/11 CHINDEX INTERNATIONAL INC DE 5.03,9.01 09/21/11 CHRISTOPHER & BANKS CORP DE 7.01,9.01 09/22/11 CHURCHILL DOWNS INC KY 5.07 06/16/11 AMEND Citi Trends Inc 2.05,9.01 09/23/11 CITIZENS & NORTHERN CORP PA 8.01 09/22/11 CITIZENS SOUTH BANKING CORP DE 1.01,3.02,3.03,8.01, 05/17/11 9.01 CLEVELAND BIOLABS INC DE 1.01 09/19/11 ClubCorp Club Operations, Inc. DE 1.01,2.03,9.01 09/22/11 CNH CAPITAL RECEIVABLES LLC DE 1.01,9.01 09/21/11 Colony Financial, Inc. MD 7.01,9.01 09/23/11 CommonWealth REIT MD 1.01,8.01,9.01 09/20/11 COMMUNICATIONS SYSTEMS INC MN 5.02,9.01 09/20/11 Computer Software Innovations, Inc. DE 1.01,2.03,9.01 09/21/11 CONSOL Energy Inc DE 5.07 05/04/11 AMEND Consorteum Holdings, Inc. NV 4.01,9.01 09/16/11 COPART INC CA 5.02,8.01,9.01 09/22/11 CoroWare, Inc, DE 8.01 09/23/11 COSI INC DE 5.02,9.01 09/22/11 COSI INC DE 5.02,9.01 08/29/11 AMEND COVENANT BANCSHARES, INC. IL 4.01,9.01 09/19/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 1.01,3.03,5.03,8.01, 09/22/11 9.01 CREDO PETROLEUM CORP DE 8.01,9.01 09/22/11 Cryoport, Inc. NV 5.07 09/22/11 CYCLE COUNTRY ACCESSORIES CORP NV 1.01 09/22/11 CYTODYN INC CO 7.01,8.01,9.01 09/23/11 DATARAM CORP NJ 5.07 09/22/11 Deer Consumer Products, Inc. NV 5.07 09/21/11 DIRECTV DE 5.02 09/19/11 AMEND DPL INC OH 8.01,9.01 09/23/11 DRIVETIME AUTOMOTIVE GROUP INC DE 1.01 09/19/11 DUN & BRADSTREET CORP/NW DE 5.07 05/03/11 AMEND DUNKIN' BRANDS GROUP, INC. DE 5.02,9.01 09/22/11 DYCOM INDUSTRIES INC FL 5.02,8.01,9.01 09/19/11 EASTMAN KODAK CO NJ 2.03 09/23/11 EASYLINK SERVICES INTERNATIONAL CORP DE 7.01,9.01 09/23/11 ECO VENTURES GROUP, INC. NV 1.01,7.01 09/22/11 EGAIN COMMUNICATIONS CORP DE 1.01,3.02 09/24/08 AMEND ENTECH SOLAR, INC. DE 1.01,3.02,9.01 09/22/11 EnteroMedics Inc 8.01,9.01 09/22/11 EnteroMedics Inc 1.01,8.01,9.01 09/23/11 ENTERPRISE PRODUCTS PARTNERS L P DE 5.02,7.01,9.01 09/23/11 EVERGREEN ENERGY INC DE 7.01,9.01 09/23/11 EWaste Systems, Inc. NV 5.02 09/23/11 EXPRESS, INC. 5.02 09/20/11 Federal Home Loan Bank of Topeka 7.01,9.01 09/23/11 FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 09/23/11 FIRST CITIZENS BANCSHARES INC /TN/ TN 5.02,9.01 09/21/11 FIRST COLOMBIA GOLD CORP. NV 1.01,2.01,5.02,9.01 09/21/11 FIRST FEDERAL BANCSHARES OF ARKANSAS TX 5.02 09/23/11 FIRST FEDERAL BANCSHARES OF ARKANSAS TX 5.02 09/23/11 First Guaranty Bancshares, Inc. LA 1.01,3.02,3.03,5.03, 09/23/11 8.01,9.01 FIRST INTERSTATE BANCSYSTEM INC MT 8.01,9.01 09/23/11 FIRST MERCHANTS CORP IN 1.01,3.02,3.03,5.03, 09/22/11 9.01 FLUSHING FINANCIAL CORP DE 5.07 05/17/11 AMEND G III APPAREL GROUP LTD /DE/ DE 8.01,9.01 09/22/11 G III APPAREL GROUP LTD /DE/ DE 5.07 09/22/11 AMEND GENTA INC DE/ DE 8.01 09/23/11 GETTY REALTY CORP /MD/ MD 8.01,9.01 09/23/11 GLADSTONE CAPITAL CORP MD 5.02 09/19/11 GLADSTONE COMMERCIAL CORP MD 5.02 09/19/11 GLADSTONE INVESTMENT CORPORATION\DE DE 5.02 09/19/11 Global Pharm Holdings Group, Inc. DE 1.01,2.03,3.02,9.01 09/19/11 GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.01,9.01 09/23/11 GREIF INC DE 1.01,2.03,9.01 09/23/11 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 09/23/11 HEMISPHERX BIOPHARMA INC DE 1.01,5.02,9.01 09/20/11 HXT HOLDINGS, INC. DE 5.02 09/19/11 HYPERDYNAMICS CORP DE 1.01,9.01 09/20/11 Information Services Group Inc. DE 5.07 05/16/11 AMEND INLAND REAL ESTATE CORP MD 8.01,9.01 09/23/11 INNERWORKINGS INC 5.02,9.01 09/20/11 INTERNATIONAL LOTTERY & TOTALIZATOR S CA 5.02 09/21/11 INVESTORS REAL ESTATE TRUST ND 5.02,5.07,9.01 09/23/11 IRON MOUNTAIN INC DE 8.01,9.01 09/20/11 KAPSTONE PAPER & PACKAGING CORP DE 1.01,7.01,9.01 09/22/11 KB HOME DE 2.02,9.01 09/23/11 KENSEY NASH CORP DE 5.02,5.03,9.01 09/19/11 KEYCORP /NEW/ OH 5.07 05/19/11 AMEND KFORCE INC FL 1.01,2.03,8.01,9.01 09/20/11 KONA GRILL INC DE 7.01,9.01 09/21/11 LEFT BEHIND GAMES INC. WA 7.01,9.01 09/22/11 Legend Oil & Gas, Ltd. CO 8.01,9.01 09/21/11 LEHMAN ABS CORP BCKD TR CRTS GDYR TR DE 8.01,9.01 09/15/11 LOCAL.COM DE 2.01,9.01 07/08/11 AMEND Location Based Technologies, Inc. NV 8.01,9.01 09/21/11 Macon Financial Corp. NC 1.01,9.01 09/21/11 MANAS PETROLEUM Corp NV 1.01,5.02,5.07,9.01 09/22/11 MANNKIND CORP DE 8.01,9.01 09/23/11 MATTSON TECHNOLOGY INC DE 5.02,9.01 09/23/11 MECHANICAL TECHNOLOGY INC NY 1.01,2.03 09/20/11 MEDCATH CORP DE 8.01 09/22/11 MERCADOLIBRE INC 8.01 05/17/11 MICROSEMI CORP DE 7.01,8.01,9.01 09/22/11 Midas Medici Group Holdings, Inc. 1.01,9.01 09/20/11 MILLER ENERGY RESOURCES, INC. 5.02,7.01,9.01 09/19/11 MIT Holding, Inc. DE 2.01 09/22/11 MMRGlobal, Inc. DE 3.02 09/20/11 MOSAIC CO 2.02,9.01 09/23/11 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 7.01,9.01 09/22/11 NATIONAL SEMICONDUCTOR CORP DE 2.01,3.01,3.03,5.01, 09/23/11 5.02,5.03,9.01 Nevada Property 1 LLC DE 5.02 09/21/11 NEWS CORP 8.01,9.01 09/23/11 NewStar Financial, Inc. 7.01 09/22/11 NIKE INC OR 5.07 09/19/10 Nissan Auto Lease Trust 2011-B DE 8.01,9.01 09/21/11 Nissan Auto Lease Trust 2011-B DE 1.01,9.01 09/21/11 NORTHEAST UTILITIES MA 8.01,9.01 09/22/11 Nova Mining CORP 5.02 09/01/11 NTELOS HOLDINGS CORP 7.01,9.01 09/23/11 One e Commerce CORP 5.01,5.02 09/22/11 OPTIMIZED TRANSPORTATION MANAGEMENT, DE 5.02 09/15/11 Organic Spice Imports, Inc. DE 1.01,5.01,9.01 09/22/11 OSHKOSH CORP WI 5.02 09/19/11 PARKWAY PROPERTIES INC MD 1.01,8.01,9.01 09/21/11 PEP BOYS MANNY MOE & JACK PA 5.07 09/23/11 PIRANHA VENTURES INC NV 1.01,3.02,5.01,5.02 09/22/11 PIZZA INN INC /MO/ MO 5.02,5.03,8.01,9.01 09/23/11 PNM RESOURCES INC NM 1.01,2.01,8.01,9.01 09/23/11 POWERSECURE INTERNATIONAL, INC. DE 5.02,9.01 09/21/11 PROGENICS PHARMACEUTICALS INC DE 8.01 09/22/11 ProPhase Labs, Inc. NV 1.01,9.01 09/23/11 PROSPECT GLOBAL RESOURCES INC. NV 1.01,3.02,9.01 09/19/11 QAD INC DE 8.01,9.01 09/20/11 RACKSPACE HOSTING, INC. 8.01 09/15/11 Raystream Inc. NV 1.01,3.02,8.01 09/19/11 RENAISSANCE LEARNING INC WI 8.01,9.01 09/21/11 Riverview Financial Corp PA 5.02 08/30/11 SABA SOFTWARE INC DE 5.02,5.03,7.01,9.01 09/21/11 SALESFORCE COM INC DE 1.01,8.01,9.01 09/22/11 Sara Lee Corp MD 5.02 09/20/11 SARATOGA RESOURCES INC /TX TX 8.01,9.01 09/22/11 SemGroup Corp DE 1.01,2.03,9.01 09/19/11 SENIOR HOUSING PROPERTIES TRUST MD 1.01,8.01,9.01 09/20/11 Sequoia Mortgage Trust 2011-2 8.01,9.01 09/23/11 SILVERSTAR MINING CORP. NV 5.03 09/22/11 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 09/23/11 SkyPeople Fruit Juice, Inc FL 5.02,8.01,9.01 09/21/11 SNYDER'S-LANCE, INC. NC 1.01,9.01 09/20/11 SOUTHWESTERN ENERGY CO DE 5.02,9.01 09/22/11 SRI SURGICAL EXPRESS INC FL 5.02,9.01 09/19/11 STAG Industrial, Inc. 5.02,9.01 09/20/11 STERICYCLE INC DE 1.01,2.03,9.01 09/21/11 STIFEL FINANCIAL CORP DE 5.07 06/01/11 AMEND SUFFOLK BANCORP NY 3.01 09/22/11 SUNPOWER CORP DE 1.01 09/21/11 SupportSave Solutions Inc 1.01,9.01 09/15/11 TAKEDOWN ENTERTAINMENT INC. NV 1.01,7.01,9.01 08/17/11 TaxMasters, Inc. NV 3.01 09/23/11 TAYLOR CAPITAL GROUP INC DE 8.01 09/23/11 TEXAS INSTRUMENTS INC DE 2.01,7.01,8.01,9.01 09/23/11 THANKSGIVING COFFEE CO INC CA 5.02 09/22/11 TITANIUM METALS CORP DE 7.01,9.01 09/22/11 TMST, Inc. MD 7.01,9.01 09/22/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 09/23/11 TransDigm Group INC DE 1.01,2.03,9.01 09/22/11 Travelport LTD D0 8.01,9.01 09/22/11 Treaty Energy Corp NV 1.01,9.01 09/15/11 TreeHouse Foods, Inc. DE 1.01,2.03,9.01 09/23/11 TRI COUNTY FINANCIAL CORP /MD/ MD 1.01,3.02,3.03,5.03, 09/19/11 8.01,9.01 U S GOLD CORP CO 1.01,3.02,8.01,9.01 09/22/11 UMH PROPERTIES, INC. MD 5.02,7.01,9.01 09/23/11 United States Oil & Gas Corp DE 8.01,9.01 09/23/11 UNITED TECHNOLOGIES CORP /DE/ DE 1.01,8.01,9.01 09/21/11 US ENERGY CORP WY 3.03 09/23/11 Vanity Events Holding, Inc. DE 1.01,1.02,9.01 09/20/11 VEECO INSTRUMENTS INC DE 5.02 09/20/11 Vista International Technologies Inc DE 1.01,2.03 09/23/11 Volcano Corp DE 5.07 05/02/11 AMEND WAVE SYSTEMS CORP DE 1.01,2.01,3.02,9.01 09/22/11 WAYNE SAVINGS BANCSHARES INC /DE/ DE 7.01,9.01 09/23/11 WELLS REAL ESTATE INVESTMENT TRUST II MD 7.01,9.01 09/22/11 WESTERN ALLIANCE BANCORPORATION NV 8.01 09/22/11 WHITE MOUNTAINS INSURANCE GROUP LTD D0 5.02 09/22/11 WINLAND ELECTRONICS INC MN 8.01,9.01 09/19/11 Woodward, Inc. DE 8.01,9.01 09/21/11 Woodward, Inc. DE 5.02,9.01 09/21/11 ZYNEX INC NV 8.01 09/22/11