In the Matter of Rafael Sanchez
On March 27, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Rafael Sanchez. The Order finds that on February 1, 2012, a judgment was entered against Rafael Sanchez, permanently enjoining him, by consent, from future violations of Section 17(a) 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) and 206(2) of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. MAM Wealth Management, LLC, et al., Civil Action Number, CV 11-2934 SJO (JCx) in the United States District Court for the Central District of California, Western Division.
The Order further finds that the Commission’s complaint alleged that from July 2007 through March 2009, Sanchez and his codefendant, Alex Martinez, invested approximately $10.3 million of their advisory clients’ funds in MAM Wealth Management Real Estate Fund, LLC (Fund), a speculative and risky investment suitable only for sophisticated investors. Despite his knowledge of these risks, Sanchez knowingly and recklessly misrepresented to clients that the Fund was a safe and relatively liquid investment. In addition, Sanchez and Martinez used their discretionary authority over the funds of MAM clients to invest substantial client assets into the Fund, in breach of their fiduciary duty because the Fund was an unsuitable investment for their clients who were unaccredited investors, retirees with limited means, or the Fund was contrary to the clients’ stated conservative investment goals.
Based on the above, the Order bars Sanchez 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. Sanchez consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the Commission’s jurisdiction over him, the subject matter of these proceedings, and the entry of the judgment in the civil injunctive action, which he admitted. (Rel. 34-66666; IA-3385; File No. 3-14814)
SEC Charges Operator of Gold Coin Firm with Conducting Fraudulent Securities Offering
The Securities and Exchange Commission today announced that it filed a civil injunctive action against David L. Marion of Minneapolis, Minnesota and his company, International Rarities Holdings, Inc. (IR Holdings), accusing them of conducting a fraudulent, unregistered offer and sale of approximately $1 million in securities.
The SEC’s complaint, filed in U.S. District Court in Minneapolis, alleges that from at least November 2008 through July 2009, Marion and IR Holdings raised approximately $1 million from at least 26 investors through the offer and sale of IR Holdings securities. According to the complaint, Marion represented to investors that they were purchasing shares of IR Holdings, which he said was the parent company and 100% owner of International Rarities Corporation (IR Corp.). The complaint alleges that IR Corp. is a privately held Minneapolis based gold coin and bullion sales and trading firm that Marion also owned and operated. The complaint further alleges that Marion told investors that their investments were to be used to expand IR Holdings’ business and eventually take it public. According to the complaint, Marion’s representations were false because IR Holdings never owned IR Corp. and thus Marion sold investors shares of a worthless shell company. In addition, the complaint alleges that Marion did not use the investors’ funds to expand IR Holdings’ business and instead diverted the majority of the funds for his own personal use, including for casino gambling.
The SEC’s complaint charges Marion and IR Holdings with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC is seeking a permanent injunction and disgorgement of ill-gotten gains with prejudgment interest, jointly and severally, against Marion and IR Holdings and a civil penalty against Marion. [SEC v. David L. Marion and International Rarities Holdings, Inc., Civil Action No. 12-cv-00749 (D. Minn.)] (LR-22307)
SEC Obtains Final Judgment on Consent Against Winifred Jiau
The SEC announced that, on March 24, 2012, the Honorable Jed S. Rakoff, United States District Judge, United States District Court for the Southern District of New York, entered a Final Judgment on consent as to Winifred Jiau in the SEC’s insider trading case, entitled SEC v. Mark Anthony Longoria, et al., 11-CV-0753 (SDNY) (JSR).
This case alleges insider trading by ten individuals and one investment adviser entity, all of whom are consultants, employees, or clients of the so-called “expert network” firm, Primary Global Research LLC (PGR). The SEC filed its Complaint on February 3, 2011, charging two PGR employees and four consultants with insider trading for illegally tipping hedge funds and other investors. On February 8, 2011, the SEC filed an Amended Complaint, charging a New York-based hedge fund and four hedge fund portfolio managers and analysts who illegally traded on confidential information obtained from technology company employees moonlighting as expert network consultants. The scheme netted more than $30 million from trades based on material, nonpublic information about such companies as Advanced Micro Devices, Seagate Technology, Western Digital, Fairchild Semiconductor, and Marvell Technology Group Ltd. (Marvell). The charges were the first against traders in the SEC's ongoing investigation of insider trading involving expert networks.
The SEC alleged that Jiau was a consultant associated with PGR who passed material, nonpublic information regarding the quarterly earnings of Marvell to defendants Samir Barai and Noah Freeman. Barai then traded on that information and reaped over $850,000 in illegal trading profits.
The Final Judgment entered against Jiau permanently enjoins her from violations of Section 10(b) of the Exchange Act of 1934 (“Exchange Act”) and Exchange Act Rule 10b-5. The Commission separately recovered illicit trading profits from Jiau’s tippees. In a parallel criminal action against Jiau, she was ordered to pay more than $3 million in forfeiture and was sentenced to a 48-month term of imprisonment. In light of the foregoing, the Commission did not seek disgorgement or a civil penalty from Jiau in this settlement. [SEC v. Mark Anthony Longoria, et al., Civil Action No. 11-CV- 0753 (SDNY) (JSR)] (LR-22308)
SEC Files Settled Charges Against Former Bank Executive Who Misled Auditors
The Securities and Exchange Commission announced that on March 27, 2012, it charged a former bank executive with misleading the bank’s independent auditors regarding risks the bank faced on certain outstanding loans. The SEC alleges that John Cinderey, a former executive vice president at San Francisco-based United Commercial Bank, acting at the direction of his superiors, misled the outside auditors evaluating financial statements of the bank and its public holding company, UCBH Holdings, Inc.
In a complaint filed in federal court in San Francisco, the SEC alleges that during the financial crisis in 2008 and 2009, Cinderey altered memoranda prepared for the independent auditors. The complaint also alleges that Cinderey circumvented accounting controls and policies that required the bank to accurately assess the risks associated with loans, and alleges that delays in accurately evaluating the risks in some cases could affect the bank’s loan loss reserves and interest income.
Cinderey agreed to settle the SEC charges without admitting or denying the allegations. He will be permanently enjoined from violating provisions of the federal securities laws regarding record-keeping, misleading outside auditors, and internal controls. Cinderey will not pay a civil penalty in this case in part based on a $40,000 civil penalty he paid in an administrative action brought by the Federal Deposit Insurance Corporation (FDIC). The terms of the settlement also reflect credit given to Cinderey by the Commission for his substantial assistance in the investigation and the fact that he has entered into an cooperation agreement to assist in an ongoing related enforcement action.
The Commission has previously charged senior executives at the bank and UCBH with committing securities fraud by making false and misleading statements to investors and UCBH’s independent auditors. In a complaint filed in U.S. District Court in San Francisco on October 11, 2011, Case No. 11-CV-04998, the Commission alleges that former CEO Thomas Wu, former Chief Operating Officer Ebrahim Shabudin, and former executive vice president Thomas Yu deliberately delayed the proper recording of loan losses as the company prepared its 2008 financial statements.
The SEC’s complaint charges Cinderey with aiding and abetting UCBH’s violations of Sections 13(b)(2)(A) of the Securities Exchange Act of 1934 (Exchange Act), circumventing accounting controls in violation of Section 13(b)(5) of the Exchange Act, and falsifying books and records and making false or misleading statements to auditors in violation of Exchange Act Rules 13b2-1 and 13b2-2. [SEC v. John M. Cinderey, Civil Case No. CV-12-1519 (N.D. Cal.)] (LR-22309)
Medley Capital Corporation, et al.
An order has been issued on an application filed by Medley Capital Corporation, et al., under Sections 57(a)(4) and 57(i) of the Investment Company Act of 1940 (Act) and Rule 17d-1 under the Act. The order permits a business development company to co-invest with certain affiliated investment funds in portfolio companies. (Rel. IC-30009 - March 26)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the NASDAQ OMX PHLX LLC amending its rules regarding the Proprietary Traders Qualification Examination (“Series 56”) (SR-PHLX-2012-37) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66645)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-EDGX-2012-10) filed by EDGX Exchange, Inc. under Rule 19b-4 of the Securities Exchange Act of 1934 clarifying that rule change in connection with proposed combination between NYSE Euronext and Deutsche Börse AG will not become effective. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66657)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-EDGA-2012-11) filed by EDGA Exchange, Inc. under Rule 19b-4 of the Securities Exchange Act of 1934 clarifying that rule change in connection with proposed combination between NYSE Euronext and Deutsche Börse AG will not become effective. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66658)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-ISE-2012-24) filed by International Securities Exchange, LLC under Rule 19b-4 of the Securities Exchange Act of 1934 clarifying that rule change in connection with proposed combination between NYSE Euronext and Deutsche Börse AG will not become effective. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66660)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSEArca-2012-23) filed by NYSE Arca, Inc. under Rule 19b-4 of the Securities Exchange Act of 1934 clarifying that rule change in connection with proposed combination between NYSE Euronext and Deutsche Börse AG will not become effective. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66661)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSE-2012-08) filed by New York Stock Exchange LLC under Rule 19b-4 of the Securities Exchange Act of 1934 clarifying that rule change in connection with proposed combination between NYSE Euronext and Deutsche Börse AG will not become effective. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66662)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSEAmex-2012-19) filed by NYSE Amex LLC under Rule 19b-4 of the Securities Exchange Act of 1934 clarifying that rule change in connection with proposed combination between NYSE Euronext and Deutsche Börse AG will not become effective. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66663)
Proposed Rule Change
NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2012-22), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to amend NYSE Arca Equities Rule 7.45 to add a new paragraph (d) that addresses the authority of the Exchange or Archipelago Securities LLC to cancel orders when a technical or systems issue occurs and to describe the operation of an error account for Arca Securities. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66656)
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 ACELRX PHARMACEUTICALS INC, 575 CHESAPEAKE DRIVE, REDWOOD CITY, CA, 94063, 650-216-3500 - 1,174,066 ($4,038,787.04) Equity, (File 333-180334 - Mar. 26) (BR. 01B) S-4 DIRECTV HOLDINGS LLC, 0 ($4,000,000,000.00) Debt, (File 333-180335 - Mar. 26) (BR. 11C) S-8 BEL FUSE INC /NJ, 206 VAN VORST ST., JERSEY CITY, NJ, 07032, 2014320463 - 1,400,000 ($25,424,000.00) Equity, (File 333-180340 - Mar. 26) (BR. 10A) S-8 AvWorks Aviation Corp, 4700 HIATUS ROAD, SUITE 252, SUNRISE, FL, 33351, 954-749-0484 - 12,000,000 ($180,000.00) Equity, (File 333-180341 - Mar. 26) (BR. 05C) S-3ASR FORD MOTOR CREDIT CO LLC, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 313-322-3000 - 0 ($0.00) Debt, (File 333-180342 - Mar. 26) (BR. 07C) S-8 AVISTAR COMMUNICATIONS CORP, 1875 SOUTH GRANT ST, 10TH FLOOR, SAN MATEO, CA, 94402, 6505253300 - 1,629,661 ($602,974.57) Equity, (File 333-180343 - Mar. 26) (BR. 03C) S-8 VIRTUAL MEDICAL INTERNATIONAL, INC., 851 DEVON, LOS ANGELES, CA, 90024, 310-346-6020 - 10,000,000 ($7,500,000.00) Equity, (File 333-180346 - Mar. 26) (BR. 06A) S-8 NORTHWEST NATURAL GAS CO, ONE PACIFIC SQUARE, 220 NW SECOND AVE, PORTLAND, OR, 97209, 5032264211 - 0 ($22,325,000.00) Equity, (File 333-180350 - Mar. 26) (BR. 02B) N-2 ING Global Strategic Income Fund, 7337 E. DOUBLETREE RANCH ROAD, SUITE 100, SCOTTSDALE, AZ, 85258, (480) 477-3000 - 0 ($1,000,000.00) Equity, (File 333-180351 - Mar. 26) (BR. 17) S-3 Astex Pharmaceuticals, Inc, 4140 DUBLIN BLVD, SUITE 200, DUBLIN, CA, 94568, 9255600100 - 0 ($200,000,000.00) Other, (File 333-180352 - Mar. 26) (BR. 01B) S-3 DOCUMENT SECURITY SYSTEMS INC, 36 WEST MAIN ST, SUITE 710, ROCHESTER, NY, 14614, 585 232 1500 - 1,509,674 ($5,615,987.20) Equity, (File 333-180353 - Mar. 26) (BR. 03C) S-3ASR PARK NATIONAL CORP /OH/, 50 NORTH THIRD ST, NEWARK, OH, 43055, 6143498451 - 0 ($114,999,995.00) Equity, (File 333-180354 - Mar. 26) (BR. 07B) S-8 APOLLO GROUP INC, 4615 EAST ELWOOD ST, PHOENIX, AZ, 85040, 6029665394 - 0 ($151,515,000.00) Equity, (File 333-180355 - Mar. 26) (BR. 11C) S-11 RREEF America Property Income Trust, Inc., 345 PARK AVENUE, 24TH FLOOR, NEW YORK, NY, 10154, 212-454-6260 - 0 ($2,500,000,000.00) Equity, (File 333-180356 - Mar. 26) (BR. ) S-8 RPX Corp, ONE MARKET PLAZA, STEUART TOWER, SUITE 700, SAN FRANCISCO, CA, 94105, 866-779-7641 - 0 ($43,149,644.00) Equity, (File 333-180357 - Mar. 26) (BR. 03A) F-1 TCP International Holdings Ltd., NO. 139 WANGDONG RD (S), SONGJIANG, SHANGHAI, F4, 201601, 011-86-221576191 - 0 ($100,000,000.00) Equity, (File 333-180358 - Mar. 26) (BR. ) S-3ASR PROSPERITY BANCSHARES INC, 4295 SAN FELIPE, N/A, HOUSTON, TX, 77027, 7136939300 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180359 - Mar. 26) (BR. 07B) S-3ASR W&T OFFSHORE INC, 39,206,962 ($860,788,850.71) Equity, 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180360 - Mar. 26) (BR. 04A) S-8 LANDAUER INC, TWO SCIENCE RD, GLENWOOD, IL, 60425, 7087557000 - 500,000 ($27,000,000.00) Equity, (File 333-180361 - Mar. 26) (BR. 10B) S-4 Nationstar Mortgage LLC, 350 HIGHLAND DRIVE, LEWISVILLE, TX, 75067, (469) 549-2000 - 0 ($35,000,000.00) Debt, (File 333-180362 - Mar. 26) (BR. 07C) S-8 FLUIDIGM CORP, 7000 SHORELINE COURT, SUITE 100, SOUTH SAN FRANCISCO, CA, 94080, 6502666000 - 812,857 ($12,891,912.02) Equity, (File 333-180363 - Mar. 26) (BR. 10A) S-1 QR Energy, LP, 1401 MCKINNEY STREET, SUITE 2400, HOUSTON, TX, 77010, 713-452-2230 - 0 ($200,000,000.00) Equity, (File 333-180364 - Mar. 26) (BR. 04A)
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 ----------------------------------------------------------------------------------------- AAA PUBLIC ADJUSTING GROUP, INC. FL 1.02,4.01 03/15/12 ACCESS NATIONAL CORP VA 5.05,9.01 03/23/12 ACCO BRANDS CORP DE 7.01,8.01,9.01 03/26/12 ADAMS RESOURCES & ENERGY, INC. DE 2.02 03/22/12 AGILYSYS INC OH 5.02,9.01 03/20/12 AIR T INC DE 1.01,3.03,5.03,8.01, 03/26/12 9.01 Alexza Pharmaceuticals Inc. DE 5.02,5.08 03/20/12 ALLIANCE ONE INTERNATIONAL, INC. VA 5.02,9.01 03/26/12 ALTERNATE ENERGY HOLDINGS, INC. NV 1.01 03/20/12 AMACORE GROUP, INC. DE 4.02 03/23/12 AMARU INC NV 4.01,9.01 02/03/12 AMERCO /NV/ NV 8.01,9.01 02/07/12 American Caresource Holdings, Inc. DE 3.01 03/20/12 American Energy Development Corp. NV 7.01,9.01 03/26/12 AMERICAN EXPRESS CO NY 8.01,9.01 03/26/12 AMERICAN EXPRESS CREDIT CORP DE 9.01 03/26/12 AMERICAN LITHIUM MINERALS, INC. 1.01 03/19/12 AMERICAN PUBLIC EDUCATION INC DE 3.03,5.03,9.01 03/23/12 American Realty Capital Trust III, In MD 2.01,9.01 03/20/12 AMERICAN STATES WATER CO CA 5.02,9.01 03/21/12 AMERIGAS PARTNERS LP DE 5.02 03/21/12 AMPAL-AMERICAN ISRAEL CORP NY 5.02 03/26/12 ANHUI TAIYANG POULTRY CO INC DE 4.02 03/23/12 ante5, Inc. DE 1.01,3.02,5.02 03/26/12 AP PHARMA INC /DE/ DE 2.02,5.02,8.01,9.01 03/26/12 AP PHARMA INC /DE/ DE 8.01,9.01 03/26/12 AP PHARMA INC /DE/ DE 8.01,9.01 03/26/12 AMEND APOLLO GROUP INC AZ 2.02,5.02,7.01,9.01 03/23/12 ARBITRON INC DE 7.01,9.01 03/26/12 ARCA biopharma, Inc. DE 8.01,9.01 03/26/12 ARCH CAPITAL GROUP LTD. 7.01 03/26/12 ARENA PHARMACEUTICALS INC DE 8.01 03/26/12 ARK RESTAURANTS CORP NY 5.07 03/22/12 Arlington Asset Investment Corp. VA 1.01,9.01 03/22/12 ASIAINFO-LINKAGE, INC DE 8.01,9.01 03/26/12 ATHENA SILVER CORP DE 2.03,3.02,9.01 02/02/12 AMEND ATLANTIC AMERICAN CORP GA 2.02,4.02 03/26/12 ATLANTIC AMERICAN CORP GA 2.02,9.01 03/26/12 ATLANTIC CITY ELECTRIC CO NJ 5.02,9.01 03/26/12 AV Homes, Inc. DE 2.02,9.01 03/26/12 BAKKEN RESOURCES INC NV 5.02 03/20/12 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 03/26/12 BANKATLANTIC BANCORP INC FL 2.02,9.01 03/22/12 BARNES & NOBLE INC DE 5.07 03/26/12 AMEND BCSB Bancorp Inc. 5.02 03/26/12 BENIHANA INC DE 7.01,9.01 03/26/12 BG Medicine, Inc. DE 8.01,9.01 03/26/12 BLACK BOX CORP DE 1.01,2.03,9.01 03/23/12 Bristow Group Inc DE 7.01,9.01 03/26/12 BROADWAY FINANCIAL CORP \DE\ DE 1.01,9.01 03/19/12 BUILD A BEAR WORKSHOP INC DE 5.02 03/20/12 CAL MAINE FOODS INC DE 2.02,9.01 03/26/12 CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 03/26/12 CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 03/26/12 CD INTERNATIONAL ENTERPRISES, INC. FL 7.01,9.01 03/26/12 CEMPRA, INC. DE 5.02 03/20/12 CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01,2.03,3.03,5.03, 03/26/12 9.01 CHINA SKY ONE MEDICAL, INC. NV 5.02,9.01 02/18/12 CHINA SKY ONE MEDICAL, INC. NV 4.01 03/12/12 CHINACAST EDUCATION CORP DE 5.02,7.01,9.01 03/26/12 Chino Commercial Bancorp CA 5.02 03/26/12 CHROMCRAFT REVINGTON INC DE 8.01,9.01 03/23/12 CIMAREX ENERGY CO DE 1.01,7.01,9.01 03/22/12 CITIGROUP INC DE 2.02,9.01 03/26/12 CLOUD PEAK ENERGY INC. DE 7.01,9.01 03/26/12 CNL LIFESTYLE PROPERTIES INC MD 7.01 03/23/12 COLE REAL ESTATE INCOME STRATEGY (DAI MD 1.01 03/20/12 Colony Financial, Inc. MD 1.01,5.02,5.03,9.01 03/19/12 COMFORT SYSTEMS USA INC 5.03,9.01 03/21/12 Computer Software Innovations, Inc. DE 2.02,9.01 03/26/12 COMPUWARE CORP MI 1.01,2.03,3.03,9.01 03/21/12 COMVERGE, INC. DE 1.01,2.03,2.04,3.02, 03/26/12 3.03,8.01,9.01 Conquest Petroleum Inc TX 8.01,9.01 03/26/12 Crestwood Midstream Partners LP DE 1.01,9.01 03/20/12 Crestwood Midstream Partners LP DE 7.01 03/26/12 CROWN DYNAMICS CORP DE 1.01,2.01,3.02,5.02, 03/20/12 8.01,9.01 CSS INDUSTRIES INC DE 5.02,9.01 03/20/12 CTI INDUSTRIES CORP DE 2.02,9.01 03/26/12 CVR ENERGY INC DE 7.01,9.01 03/26/12 DELCATH SYSTEMS INC DE 5.02,9.01 03/07/12 DELMARVA POWER & LIGHT CO /DE/ DE 5.02,9.01 03/26/12 DiamondRock Hospitality Co 2.01,7.01,9.01 03/23/12 DIGIRAD CORP DE 8.01,9.01 03/26/12 Diligent Board Member Services, Inc. DE 7.01,9.01 03/26/12 Dolby Laboratories, Inc. DE 5.02,9.01 03/26/12 DOLLAR GENERAL CORP TN 5.02,9.01 03/20/12 DOLLAR GENERAL CORP TN 1.01,9.01 03/25/12 DRIL-QUIP INC DE 7.01,9.01 03/26/12 Duke Energy CORP DE 8.01,9.01 03/26/12 DUPONT FABROS TECHNOLOGY, INC. MD 1.01,9.01 03/21/12 E & M Group, Inc. NV 5.02,9.01 03/26/12 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,8.01,9.01 03/26/12 ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 03/26/12 EDIETS COM INC DE 5.02 03/23/12 EL PASO CORP/DE DE 3.01,3.03,5.01,5.03, 03/26/12 8.01,9.01 EL PASO CORP/DE DE 2.03,3.03,5.01,5.02, 03/26/12 5.03,8.01,9.01 ELIZABETH ARDEN INC FL 7.01 03/26/12 EMTEC INC/NJ UT 1.01 03/20/12 ENDOCYTE INC DE 7.01 03/24/12 ENTERPRISE BANCORP INC /MA/ MA 5.02 03/26/12 Envision Solar International, Inc. NV 1.01 03/22/12 EPOCRATES INC DE 5.02,9.01 03/21/12 EQUITY LIFESTYLE PROPERTIES INC MD 8.01,9.01 03/23/12 EXTERRAN HOLDINGS INC. DE 7.01 03/25/12 Federal Home Loan Bank of Dallas 2.03,9.01 03/20/12 Federal Home Loan Bank of Seattle 2.02,7.01,9.01 03/23/12 FIRST DATA CORP DE 1.01,2.03,9.01 03/23/12 FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 03/21/12 FOCUS GOLD Corp 5.02 03/22/12 FORTUNE INDUSTRIES, INC. DE 1.01,3.03,5.07,8.01, 03/26/12 9.01 GALECTIN THERAPEUTICS INC NV 8.01 03/22/12 GameStop Corp. DE 2.02,8.01,9.01 03/22/12 General Motors Co 5.03,9.01 03/20/12 GEOKINETICS INC DE 2.02,9.01 03/23/12 GEOKINETICS INC DE 8.01,9.01 03/23/12 GMX RESOURCES INC OK 3.02 03/23/12 Grand Canyon Education, Inc. DE 5.02 03/26/12 Great Wolf Resorts, Inc. DE 7.01,9.01 03/26/12 Greenwood Gold Resources, Inc. NV 8.01 02/06/12 GRYPHON GOLD CORP NV 1.01,2.03,3.02,9.01 03/20/12 Guaranty Bancorp DE 5.02,9.01 03/20/12 HARLAND CLARKE HOLDINGS CORP DE 7.01,9.01 03/26/12 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,5.02,9.01 03/21/12 HD SUPPLY, INC. DE 8.01,9.01 03/26/12 HD SUPPLY, INC. DE 7.01 03/26/12 Heckmann Corp DE 8.01,9.01 03/26/12 Higher One Holdings, Inc. DE 7.01,9.01 03/25/12 Highpower International, Inc. DE 2.02,7.01,9.01 03/26/12 Hill-Rom Holdings, Inc. IN 2.05,2.06 03/21/12 HollyFrontier Corp DE 7.01,9.01 03/26/12 IDACORP INC ID 1.04 03/20/12 IDAHO POWER CO ID 1.04 03/20/12 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 1.01,3.02,3.03,8.01, 03/21/12 9.01 Income Now Consulting NV 8.01 03/13/12 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,5.03,7.01,9.01 03/26/12 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 03/26/12 ISTA PHARMACEUTICALS INC DE 1.01,8.01,9.01 03/26/12 IVAX DIAGNOSTICS INC DE 5.02 03/23/12 KATY INDUSTRIES INC DE 2.02,9.01 03/26/12 KBS Real Estate Investment Trust, Inc MD 7.01,8.01,9.01 03/20/12 KEY ENERGY SERVICES INC MD 5.02 03/20/12 Kior Inc DE 2.02,7.01,9.01 03/26/12 Kips Bay Medical, Inc. DE 8.01,9.01 03/26/12 Kodiak Oil & Gas Corp B0 9.01 01/10/12 AMEND Kohlberg Capital CORP DE 8.01 03/23/12 LANDEC CORP \CA\ CA 2.02,9.01 03/26/12 Laredo Petroleum Holdings, Inc. DE 7.01,9.01 03/26/12 Legal Life Plans, Inc. DE 1.01,3.02,3.03,5.01, 03/20/12 5.02,5.03 LENCO MOBILE INC. DE 9.01 02/28/12 AMEND Liberator, Inc. FL 1.01 03/23/12 LIGAND PHARMACEUTICALS INC DE 1.01,9.01 03/26/12 LIGHTING SCIENCE GROUP CORP DE 1.01,3.02,9.01 03/20/12 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 03/26/12 LyondellBasell Industries N.V. P7 8.01,9.01 03/26/12 Macy's, Inc. DE 5.02,9.01 03/23/12 MAINSOURCE FINANCIAL GROUP IN 8.01 03/23/12 Marina Biotech, Inc. DE 1.01,9.01 03/13/12 AMEND MARKETAXESS HOLDINGS INC 7.01,9.01 03/26/12 MASCO CORP /DE/ DE 5.02 03/20/12 Matador Resources Co TX 2.02,7.01,9.01 03/26/12 MCCLATCHY CO DE 5.02 03/19/12 AMEND MCDONALDS CORP DE 5.02,9.01 03/21/12 McEwen Mining Inc. CO 7.01,9.01 03/26/12 MCKESSON CORP DE 7.01,9.01 03/26/12 MEMC ELECTRONIC MATERIALS INC DE 5.02 03/26/12 MET PRO CORP PA 2.02,9.01 03/26/12 MET PRO CORP PA 7.01,9.01 03/26/12 MINN DAK FARMERS COOPERATIVE ND 8.01 03/26/12 MISSION COMMUNITY BANCORP CA 1.01,3.02,9.01 03/21/12 MONSANTO CO /NEW/ DE 5.02,9.01 01/24/12 MONSTER WORLDWIDE, INC. DE 1.01,2.03,9.01 03/22/12 Morgan Stanley Capital I Trust 2012-C DE 8.01,9.01 03/23/12 MOTORCAR PARTS AMERICA INC NY 5.07 03/21/12 MOVADO GROUP INC NY 1.01,9.01 03/22/12 MOVE INC DE 1.01,5.02,9.01 03/21/12 MUELLER INDUSTRIES INC DE 5.02,9.01 03/20/12 NABORS INDUSTRIES LTD D0 8.01,9.01 03/26/12 NATIONAL FUEL GAS CO NJ 7.01,9.01 03/26/12 NATIONAL SECURITY GROUP INC DE 7.01,9.01 03/26/12 NATURALLY ADVANCED TECHNOLOGIES INC A1 7.01,9.01 03/26/12 NCI BUILDING SYSTEMS INC DE 5.02,9.01 03/26/12 Net Savings Link, Inc. NV 1.01,2.03 03/26/12 NEW FRONTIER MEDIA INC CO 7.01,9.01 03/23/12 NEWS CORP 8.01,9.01 03/26/12 Nielsen Holdings N.V. P7 1.01,8.01,9.01 03/20/12 Nilam Resources Inc. NV 4.02 03/23/12 No Show, Inc. NV 5.03,9.01 03/26/12 NORCRAFT COMPANIES LP 2.02,9.01 03/26/12 NTS MORTGAGE INCOME FUND DE 1.01,9.01 03/23/12 NYXIO TECHNOLOGIES Corp NV 5.03,5.07,9.01 03/22/12 OCCIDENTAL PETROLEUM CORP /DE/ DE 7.01,9.01 03/26/12 OCLARO, INC. DE 1.01,8.01,9.01 03/26/12 OGLETHORPE POWER CORP GA 5.02,9.01 03/26/12 OMNICOMM SYSTEMS INC DE 2.02,9.01 03/22/12 ON ASSIGNMENT INC DE 1.01,9.01 03/26/12 ONE Bio, Corp. 1.01,2.01,9.01 03/02/12 ONVIA INC DE 7.01,9.01 03/26/12 ORAGENICS INC FL 1.01,1.02,3.02,9.01 03/23/12 ORMAT TECHNOLOGIES, INC. DE 1.01,9.01 03/26/12 PACIFIC SUNWEAR OF CALIFORNIA INC CA 1.01,5.02 03/20/12 PAR TECHNOLOGY CORP DE 5.02,9.01 03/26/12 Parametric Sound Corp NV 1.01,5.03,8.01,9.01 03/21/12 PARKERVISION INC FL 8.01,9.01 03/23/12 Patriot Coal CORP DE 7.01,9.01 03/26/12 PATTERSON COMPANIES, INC. MN 8.01 03/26/12 PC TEL INC DE 7.01,9.01 03/23/12 PEABODY ENERGY CORP DE 7.01,9.01 03/26/12 Pegasus Tel, Inc DE 1.01,1.02,9.01 03/21/12 PENSECO FINANCIAL SERVICES CORP PA 5.02,8.01 03/20/12 PEPCO HOLDINGS INC DE 5.02,7.01,9.01 03/26/12 Pershing Gold Corp. NV 4.02 03/23/12 Pershing Gold Corp. NV 8.01,9.01 03/26/12 PIONEER NATURAL RESOURCES CO DE 7.01 03/26/12 PLAINS ALL AMERICAN PIPELINE LP DE 1.01,1.02,9.01 03/22/12 PLUG POWER INC DE 3.03,9.01 03/23/12 PLUM CREEK TIMBER CO INC DE 5.02 03/20/12 AMEND POTOMAC ELECTRIC POWER CO VA 5.02,9.01 03/26/12 POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 03/26/12 PRIVATEBANCORP, INC DE 7.01,9.01 03/26/12 PROGRESS ENERGY INC NC 8.01,9.01 03/26/12 Protea Biosciences Group, Inc. DE 2.03,3.02,9.01 03/20/12 Proto Labs Inc 5.02 03/20/12 QLIK TECHNOLOGIES INC DE 5.02 03/20/12 RADIENT PHARMACEUTICALS Corp DE 5.02 03/22/12 RAND WORLDWIDE INC DE 5.02 03/23/12 RAYMOND JAMES FINANCIAL INC FL 8.01,9.01 03/26/12 RESEARCH FRONTIERS INC DE 7.01,9.01 03/26/12 REVA Medical, Inc. DE 7.01,9.01 03/23/12 Rock Energy Resources, Inc. DE 5.02 03/14/12 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 5.02 03/21/12 Sabra Health Care REIT, Inc. MD 7.01,9.01 03/26/12 SARATOGA RESOURCES INC /TX TX 2.02,7.01,9.01 03/26/12 SCHLUMBERGER LTD /NV/ P8 7.01,9.01 03/26/12 SCI Engineered Materials, Inc. OH 1.01,2.03 03/20/12 SCOLR Pharma, Inc. DE 1.01,2.03,9.01 03/20/12 SEACOAST BANKING CORP OF FLORIDA FL 8.01 03/26/12 SMITHFIELD FOODS INC VA 2.02,9.01 03/26/12 SMUCKER J M CO OH 7.01,9.01 03/26/12 SRI SURGICAL EXPRESS INC FL 2.02,9.01 03/26/12 STARBUCKS CORP WA 5.02,5.07 03/21/12 STRATEGIC HOTELS & RESORTS, INC 5.02,9.01 03/21/12 SunCoke Energy, Inc. 7.01,9.01 03/26/12 SUTRON CORP VA 2.02,9.01 03/15/12 TALON INTERNATIONAL, INC. DE 2.02,9.01 03/26/12 TENGION INC DE 2.02,8.01,9.01 03/26/12 TENNECO INC DE 1.01,2.03,9.01 03/23/12 TESLA MOTORS INC DE 5.02 03/20/12 TESORO CORP /NEW/ DE 7.01,9.01 03/26/12 THERMADYNE HOLDINGS CORP /DE DE 2.02,9.01 03/25/12 THERMODYNETICS INC DE 1.01,2.01,9.01 03/20/12 THEWEBDIGEST CORP. FL 3.02 03/26/12 TIVO INC DE 7.01 03/26/12 TMS International Corp. DE 1.01,1.02,2.03,8.01 03/20/12 TNP Strategic Retail Trust, Inc. MD 9.01 01/09/12 AMEND Tootie Pie Company, Inc. TX 8.01 03/21/12 TRC COMPANIES INC /DE/ DE 5.07 11/17/11 AMEND TRESORO MINING CORP. NV 3.02 03/22/12 TRIM HOLDING GROUP NV 4.01,9.01 03/12/12 AMEND Trycera Financial, Inc. NV 1.01,3.02,5.02 03/26/12 UMPQUA HOLDINGS CORP OR 7.01 03/23/12 UNICO INC /AZ/ AZ 1.01,8.01,9.01 03/20/12 UNITED GUARDIAN INC DE 2.02,9.01 03/26/12 UNITIL CORP NH 7.01,9.01 03/22/12 UNIVERSAL HEALTH SERVICES INC DE 5.02 03/21/12 USG CORP DE 5.02,9.01 03/23/12 Vanguard Natural Resources, LLC DE 9.01 03/26/12 AMEND Venoco, Inc. DE 8.01,9.01 03/21/12 VIDAROO Corp 1.01,9.01 03/21/12 Voice Assist, Inc. NV 4.02 03/26/12 Walter Energy, Inc. DE 7.01,9.01 03/26/12 WARWICK VALLEY TELEPHONE CO NY 7.01,9.01 03/26/12 Western Refining, Inc. DE 7.01,9.01 03/26/12 WISCONSIN ENERGY CORP WI 8.01 03/23/12 WMI HOLDINGS CORP. WA 1.01,1.02,1.03,2.03, 03/14/11 3.02,3.03,5.01,5.02, 5.03 YAHOO INC DE 5.02,8.01,9.01 03/22/12 Yongye International, Inc. NV 8.01,9.01 03/23/12