SEC Charges 14 Sales Agents in $415 Million Long Island-Based Ponzi Scheme
The Securities and Exchange Commission today charged 14 sales agents who misled investors and illegally sold securities for a Long Island-based investment firm at the center of a $415 million Ponzi scheme.
The SEC alleges that the sales agents – which include four sets of siblings – falsely promised investor returns as high as 12 to 14 percent in several weeks when they sold investments offered by Agape World Inc. They also misled investors to believe that only 1 percent of their principal was at risk. The Agape securities they peddled were actually non-existent, and investors were merely lured into a Ponzi scheme where earlier investors were paid with new investor funds. The sales agents turned a blind eye to red flags of fraud and sold the investments without hesitation, receiving more than $52 million in commissions and payments out of investor funds. None of these sales agents were registered with the SEC to sell securities, nor were they associated with a registered broker or dealer. Agape also was not registered with the SEC.
“This Ponzi scheme spread like wildfire through Long Island’s middle-class communities because this small group of individuals blindly promoted the offerings as particularly safe and profitable,” said Andrew M. Calamari, Acting Regional Director for the SEC’s New York Regional Office. “These sales agents raked in commissions without regard for investors or any apparent concern for Agape’s financial distress and inability to meet investor redemptions.”
According to the SEC’s complaint filed in the U.S. District Court for the Eastern District of New York, more than 5,000 investors nationwide were impacted by the scheme that lasted from 2005 to January 2009, when Agape’s president and organizer of the scheme Nicholas J. Cosmo was arrested. He was later sentenced to 300 months in prison and ordered to pay more than $179 million in restitution.
The SEC alleges that the sales agents misrepresented to investors that their money would be used to make high-interest bridge loans to commercial borrowers or businesses that accepted credit cards. Little, if any, investor money actually went toward this purpose. Investor funds were instead used for Ponzi scheme payments and the agents’ sales commissions, and Cosmo lost $80 million while trading futures in personal accounts. Meanwhile, the sales agents assuredly offered and sold Agape securities to investors despite numerous red flags of fraud including Cosmo’s prior conviction for fraud, the too-good-to-be-true returns, and the incredible safety of principal promised to investors. The sales agents also ignored Agape’s relatively small and unknown status as a private issuer of securities, Agape’s series of extensions and defaults, and other dire warnings about Agape’s financial condition. None of the Agape securities offerings were registered with the SEC.
The SEC’s complaint charges the following sales agents:
The SEC’s complaint charges Bryan and Hugo Arias, Anthony and Salvatore Ciccone, Jason and Michael Keryc, Dunne, Hartmann, Kaylor, Massaro, and Tordy with violations of Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint charges all 14 defendants with violations of Section 15(a) of the Exchange Act, and Sections 5(a) and 5(c) of the Securities Act.
The SEC thanks the U.S. Attorney’s Office of the Eastern District of New York and the Federal Bureau of Investigation for its assistance in this matter. Anthony Ciccone, Kaylor, Jason Keryc, and Massaro have previously been arrested on a criminal complaint charging each of them with conspiracy to commit mail fraud based on their conduct as Agape sales agents. The SEC also acknowledges the assistance of the U.S. Postal Inspection Service and the Commodity Futures Trading Commission.
The SEC’s investigation was conducted by Celeste Chase, Philip Moustakis, and Yvette Panetta in the New York Regional Office. The SEC’s related examination that led to the enforcement case was conducted by Richard A. Heaphy, Yvette Q. Panetta, Dawn M. Sacco, Joseph P. DiMaria, James E. Anastasia, Marianne Cala, and Steven Gilchrist. The SEC’s litigation will be led by Paul G. Gizzi and Mr. Moustakis. (Press Rel. 2012-112)
An order was issued granting an application of FS Investment Corporation II an exemption from Rule 102(a) pursuant to Exchange Act Rule 102(e). Publication is expected in the Federal Register during the week of June 11. (Rel. 34-67163)
In the Matter of Airtrax, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in Airtrax, Inc., Admin. Proc. No. 3-14869. 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 Airtrax, Inc., Amedia Networks, Inc., American Business Financial Services, Inc., and Appalachian Bancshares, Inc., and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-67182; File No. 3-14869)
SEC v. Bryan Arais, et al.
On June 12, 2012, the United States Securities and Exchange Commission (Commission) filed an action in the United States District Court for the Eastern District of New York against Bryan Arias, Hugo A. Arias, Anthony C. Ciccone, Salvatore Ciccone, Diane Kaylor (Kaylor), Jason A. Keryc, Anthony Massaro (Massaro), Christopher E. Curran (Curran), Ryan K. Dunaske (Dunaske), Michael P. Dunne (Dunne), Martin C. Hartmann III (Hartmann), Michael D. Keryc, Ronald R. Roaldsen, Jr. (Roaldsen), and Laura Ann Tordy (Tordy). The Commission’s complaint seeks, against each of the Defendants, injunctive relief, disgorgement, and civil penalties.
According to the Commission’s complaint, the Defendants were the principal sales agents for Agape World, Inc. (Agape), a $415 million Ponzi scheme organized by Nicholas J. Cosmo (Cosmo), the president of Agape. From 2005 through January 2009, more than 5,000 investors nationwide, including more than 1,000 investors on Long Island, New York, purchased the Agape securities. The Agape securities were fictitious with, at best, a fraction of investor funds used as represented to investors by the Defendants. The Commission’s complaint alleges further that Defendants Bryan and Hugo Arias, Anthony and Salvatore Ciccone, Kaylor, Jason Keryc, Massaro, Dunne, Hartmann, Michael Keryc, and Tordy each knowingly or recklessly, and repeatedly, made misrepresentations to investors concerning the Agape securities. These same Defendants offered and sold Agape securities despite numerous red flags of fraud, including Cosmo’s prior conviction for fraud, the too-good-to-be-true returns and incredible safety of principal promised to investors, a series of extensions and defaults by Agape, and dire warnings about Agape’s financial condition. The Agape securities were not registered with the Commission and, while selling the Agape securities, none of the Defendants was registered with the Commission in any capacity or associated with a registered broker or dealer.
The Complaint charges Defendants Bryan and Hugo Arias, Anthony and Salvatore Ciccone, Kaylor, Jason Keryc, Massaro, Dunne, Hartmann, Michael Keryc, and Tordy with violations of Section 17(a) of the Securities Act of 1933 (Securities Act), and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Complaint charges all of the Defendants with violations of Section 15(a) of the Exchange Act, and Sections 5(a) and 5(c) of the Securities Act. [SEC v. Bryan Arias, et al., Civil Action No. 12-CV-2937 (E.D.N.Y.)] (LR-22391)
Court Issues Preliminary Injunction against Atlanta Investment Advisor and His Company
On June 11, 2012, the Honorable Thomas W. Thrash of the United States District Court for the Northern District of Georgia issued an order of preliminary injunction against violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 in U.S. Securities and Exchange Commission’s case against Benjamin Daniel DeHaan and Lighthouse Financial Partners, LLC. The order also allows for expedited discovery, asset freezes, prevents the destruction or concealment of documents and requires an accounting. Lighthouse, an investment advisor located in Atlanta and registered with the State of Georgia, has been owned and operated by DeHaan since 2007.
The Commission filed its case against DeHaan and Lighthouse on Saturday, June 9, 2012. The Commission’s complaint alleged that from approximately January 2011 through early May 2012, DeHaan moved approximately $1.2 million in funds belonging to his clients from their accounts at a custodial broker-dealer into a bank account in Lighthouse’s name that he controlled, thus gaining custody and control of these client assets. DeHaan and Lighthouse told the clients that these funds would be used to open new accounts at another broker-dealer. Once in this account, at least some of these funds were moved to a personal account belong to DeHaan and to accounts used by Lighthouse for business expenses. At least $600,000 in client funds remains unaccounted for. DeHaan was also alleged to have provided false documents to the Commission’s staff and to an examiner for the State of Georgia.
DeHaan and Lighthouse consented to the entry of the order providing for a preliminary injunction and other relief without admitting or denying the allegations in the Commission’s complaint. The Commission may seek additional relief, such as a permanent injunction, disgorgement of any ill-gotten gains with prejudgment interest and civil penalties, at a later time. [SEC v. Benjamin Daniel DeHaan and Lighthouse Financial Partners, LLC, Civil Action No. 1:12-cv-01996-TWT (U.S. District Court for the Northern District of Georgia)] (LR-22392)
Precidian ETFs Trust, et al.
A notice has been issued giving interested persons until July 3, 2012, to request a hearing on an application filed by Precidian ETFs Trust, et al., for an order to permit certain open-end management investment companies that operate as exchange-traded funds to issue individual shares to investors participating in a dividend reinvestment program. (Rel. IC-30101 – June 8)
Hirtle Callaghan & Co., LLC and HC Capital Trust
A notice has been issued giving interested persons until July 9, 2012 to request a hearing on an application filed by Hirtle Callaghan & Co., LLC and HC Capital Trust for an order exempting them from Section 15(a) of the Investment Company Act of 1940, as amended (Act), and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-30102 – June 11)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the International Securities Exchange LLC (SR-ISE-2012-46) to delete certain fees has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-67168)
A proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-068) relating to NDX pricing 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 June 11. (Rel. 34-67171)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2012-054) 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 June 11. (Rel. 34-67173)
A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-016) to amend its Fees Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-67175)
A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-027) 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 in the Federal Register during the week of June 11. (Rel. 34-67176)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-56) to amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 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 June 11. (Rel. 34-67180)
A proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) to amend CME rules relating to acceptable performance bond deposits (SR-CME-2012-23) 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 June 11. (Rel. 34-67181)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 StrikeForce Technologies Inc., 1090 KING GEORGES POST ROAD, EDISON, NJ, 08837, 732 661 9641 - 40,562,500 ($466,469.00) Equity, (File 333-182031 - Jun. 11) (BR. 03C) S-8 VERINT SYSTEMS INC, 330 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6319629600 - 0 ($8,202,825.75) Equity, (File 333-182032 - Jun. 11) (BR. 03A) S-3ASR Fresh Market, Inc., 628 GREEN VALLEY ROAD, SUITE 500, GREENSBORO, NC, 27408, 336-272-1338 - 0 ($0.00) Equity, (File 333-182033 - Jun. 11) (BR. 02B) F-3ASR EMBRAER S.A., AV. BRIGADEIRO FARIA LIMA 2170, SAO JOSE DOS CAMPOS, D5, 12227901, 551239274404 - 0 ($0.00) Debt, (File 333-182039 - Jun. 11) (BR. 05A) S-8 OvaScience, Inc., 800 BOYLSTON STREET, SUITE 1555, BOSTON, MA, 02199, 617-351-2590 - 0 ($7,026,065.45) Equity, (File 333-182040 - Jun. 11) (BR. 01A) S-3ASR ASTORIA FINANCIAL CORP, ONE ASTORIA FEDERAL PLAZA, LAKE SUCCESS, NY, 11042-1085, 5163273000 - 0 ($0.00) Equity, (File 333-182041 - Jun. 11) (BR. 07C) S-8 SANMINA-SCI CORP, 2700 N FIRST ST, SAN JOSE, CA, 95134, 4089643500 - 0 ($17,687,500.00) Equity, (File 333-182042 - Jun. 11) (BR. 03A) S-8 ROCKWELL MEDICAL TECHNOLOGIES INC, 30142 S WIXOM RD, WIXOM, MI, 48393, 2489609009 - 0 ($15,347,500.00) Equity, (File 333-182043 - Jun. 11) (BR. 10B) S-8 BRT REALTY TRUST, 60 CUTTER MILL RD, SUITE 303, GREAT NECK, NY, 11021-3190, 5164663100 - 0 ($4,278,000.00) Equity, (File 333-182044 - Jun. 11) (BR. 08C) S-8 PARTNERRE LTD, WELLESLEY HOUSE SOUTH, 90 PITTS BAY ROAD, PEMBROKE, D0, HM 08, 14412920888 - 400,000 ($28,324,000.00) Equity, (File 333-182045 - Jun. 11) (BR. 01B) S-8 CONCHO RESOURCES INC, 550 WEST TEXAS AVENUE, SUITE 1300, MIDLAND, TX, 79701, 432-683-7443 - 1,650,000 ($138,435,000.00) Equity, (File 333-182046 - Jun. 11) (BR. 04A) S-8 LATTICE SEMICONDUCTOR CORP, 5555 NE MOORE COURT, HILLSBORO, OR, 97124-6421, 5032688000 - 3,000,000 ($14,040,000.00) Equity, (File 333-182047 - Jun. 11) (BR. 10B) S-8 STIFEL FINANCIAL CORP, ATTN: JAMES G. LASCHOBER, 501 N. BROADWAY, ST. LOUIS, MO, 63102-2102, 314-342-2000 - 6,000,000 ($179,040,000.00) Equity, (File 333-182048 - Jun. 11) (BR. 12A) S-8 IDENIX PHARMACEUTICALS INC, 60 HAMPSHIRE STREET, CAMBRIDGE, MA, 02139, 617-995-9800 - 10,000,000 ($88,500,000.00) Equity, (File 333-182049 - Jun. 11) (BR. 01B) S-8 GRANDPARENTS.COM, INC., 589 EIGHTH AVENUE, 6TH FLOOR, NEW YORK, NY, 10018, 646-839-8800 - 10,317,691 ($3,198,485.00) Equity, (File 333-182050 - Jun. 11) (BR. 03B) S-8 RAVEN INDUSTRIES INC, 205 E 6TH ST, PO BOX 5107, SIOUX FALLS, SD, 57117, 6053362750 - 0 ($32,420,000.00) Equity, (File 333-182051 - Jun. 11) (BR. 06C) S-1 PULASKI FINANCIAL CORP, 12300 OLIVE BLVD, ST LOUIS, MO, 63141, 3148782210 - 0 ($37,418,700.00) Equity, (File 333-182052 - Jun. 11) (BR. 07C) S-1 Stereotaxis, Inc., 4320 FOREST PARK AVENUE, SUITE 100, ST.LOUIS, MO, 63108, 314-678-6100 - 0 ($16,069,429.47) Equity, (File 333-182053 - Jun. 11) (BR. 10B) S-8 KEYNOTE SYSTEMS INC, 777 MARINERS ISLAND BLVD., SAN MATEO, CA, 94404, 650-403-2400 - 0 ($4,932,000.00) Equity, (File 333-182054 - Jun. 11) (BR. 03C) S-1 Digital Domain Media Group, Inc., 8881 SOUTH US HIGHWAY 1, PORT ST. LUCIE, FL, 34952, 772-345-8300 - 0 ($172,423,720.56) Equity, (File 333-182055 - Jun. 11) (BR. 05C) S-8 SOMERSET HILLS BANCORP, 155 MORRISTOWN RD, BERNARDSVILLE, NJ, 07924, 9082210100 - 150,000 ($1,296,000.00) Equity, (File 333-182056 - Jun. 11) (BR. 07B)
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 ----------------------------------------------------------------------------------------- ACADIA PHARMACEUTICALS INC DE 5.07 06/08/12 ACHILLION PHARMACEUTICALS INC DE 5.02,5.07,9.01 06/05/12 ACTIVE POWER INC DE 5.02,9.01 06/05/12 Adama Technologies Corp DE 5.02,9.01 06/06/12 ADVOCAT INC DE 5.07,9.01 06/07/12 AEP INDUSTRIES INC DE 2.02,9.01 06/11/12 ALL AMERICAN SPORTPARK INC NV 5.02 06/05/12 ALLIANCE DATA SYSTEMS CORP DE 5.07 06/08/12 Alliance Holdings GP, L.P. DE 7.01,9.01 06/11/12 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 06/11/12 AlphaPoint Technology, Inc. DE 5.02,9.01 05/23/12 ALTERA CORP DE 7.01,9.01 06/11/12 AMBASE CORP DE 5.07 06/11/12 AMBASSADORS GROUP INC DE 5.07 06/06/12 AMERICAN CAMPUS COMMUNITIES INC MD 7.01,9.01 06/11/12 American Casino & Entertainment Prope DE 8.01,9.01 06/11/12 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 5.07 06/07/12 AMERICAN FINANCIAL GROUP INC OH 1.01,9.01 06/07/12 AMERICAN GREETINGS CORP OH 1.01,2.01,9.01 06/06/12 AMERICAN LITHIUM MINERALS, INC. 1.02 06/06/12 American Midstream Partners, LP DE 5.02 06/04/12 AMEND American Natural Energy Corp OK 7.01,9.01 06/11/12 AMERICAN REALTY CAPITAL - RETAIL CENT MD 2.01,2.03,8.01,9.01 06/08/12 AMERIGROUP CORP 5.02,5.07 06/07/12 Andover Holdings, Inc./FL FL 4.01,4.02 05/17/12 AMEND ANTARES PHARMA, INC. DE 3.01,9.01 06/06/12 ANYTHINGIT INC DE 8.01,9.01 06/11/12 APOLLO GROUP INC AZ 5.02,7.01,9.01 06/08/12 Arlington Asset Investment Corp. VA 5.07 06/06/12 ATHENA SILVER CORP DE 2.01,2.03,9.01 05/25/12 AUDIENCE INC 1.01,9.01 06/05/12 AUTOBYTEL INC DE 8.01,9.01 06/06/12 AUXILIO INC NV 5.07 05/23/12 AVALONBAY COMMUNITIES INC MD 7.01 06/04/12 AXESSTEL INC NV 5.02,9.01 06/07/12 BAYOU CITY EXPLORATION, INC. 4.01,9.01 06/07/12 BILL BARRETT CORP DE 7.01,9.01 06/11/12 Biodel Inc 5.03,9.01 06/11/12 BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 06/08/12 BIOSANTE PHARMACEUTICALS INC DE 8.01,9.01 06/11/12 Bonanza Goldfield Corp. NV 5.02 06/01/12 BOSTON PROPERTIES INC DE 8.01,9.01 06/11/12 BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01,9.01 06/11/12 BROADVISION INC DE 5.07 06/07/12 BUCKEYE PARTNERS, L.P. DE 5.07 06/05/12 CALLAWAY GOLF CO DE 5.02 06/05/12 Campus Crest Communities, Inc. MD 7.01,9.01 06/11/12 CANO PETROLEUM, INC 7.01 06/06/12 CarePayment Technologies, Inc. OR 5.02,5.07 06/05/12 Casablanca Mining Ltd. NV 5.02 06/07/12 CAVIUM, INC. DE 5.07 06/08/12 CENTENE CORP 7.01,9.01 06/11/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02,9.01 06/07/12 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 06/11/12 China Media Group CORP TX 2.01,3.02,5.01,5.02, 06/11/12 9.01 CIGNA CORP DE 7.01 06/11/12 CINCINNATI FINANCIAL CORP OH 7.01,9.01 06/11/12 CLEARSIGN COMBUSTION CORP WA 2.02,9.01 06/11/12 Clearwire Corp /DE DE 3.02,7.01 06/08/12 CLICKER INC. NV 8.01,9.01 06/11/12 COLE KENNETH PRODUCTIONS INC NY 5.02,9.01 06/11/12 COLUMBIA LABORATORIES INC DE 5.07,8.01 06/07/12 COMERICA INC /NEW/ DE 7.01,9.01 06/11/12 CONCHO RESOURCES INC DE 5.02,5.07,9.01 06/07/12 Cornerstone Core Properties REIT, Inc MD 1.01 06/05/12 CORNERSTONE THERAPEUTICS INC DE 5.02 06/05/12 CRAY INC WA 5.07 06/07/12 CUBIC ENERGY INC TX 5.07 06/08/12 CUBIST PHARMACEUTICALS INC DE 5.07,7.01,9.01 06/05/12 CYS Investments, Inc. MD 5.02,9.01 06/11/12 DARLING INTERNATIONAL INC DE 8.01,9.01 06/08/12 DC BRANDS INTERNATIONAL INC CO 5.01,5.02,9.01 06/05/12 DENNYS CORP DE 8.01 06/06/12 Dialogic Inc. DE 5.02 06/07/12 Diamond Foods Inc DE 8.01,9.01 06/11/12 DICKS SPORTING GOODS INC DE 5.02,5.03,5.07,9.01 06/06/12 DOLLAR GENERAL CORP TN 1.01,8.01,9.01 06/05/12 DOLLAR TREE INC VA 1.01,1.02,2.03,9.01 06/06/12 Dorman Products, Inc. PA 8.01 06/08/12 Duke Energy CORP DE 8.01,9.01 06/11/12 DUKE REALTY CORP IN 1.01,9.01 06/06/12 DUKE REALTY LIMITED PARTNERSHIP/ IN 1.01,9.01 06/06/12 DynaVox Inc. 5.02,7.01,9.01 06/11/12 DYNEGY INC. DE 8.01,9.01 06/08/12 DYNEGY INC. DE 1.01,1.02,2.01,2.03, 06/05/12 9.01 DYNEX CAPITAL INC VA 7.01,9.01 06/11/12 Eagle Ford Oil & Gas Corp NV 1.01,2.01,8.01,9.01 06/11/12 EAST COAST DIVERSIFIED CORP NV 1.01,9.01 05/25/12 EASTON-BELL SPORTS, INC. DE 5.02 06/07/12 Education Realty Trust, Inc. MD 7.01,9.01 06/11/12 ELECTRONIC ARTS INC. DE 5.02,9.01 06/07/12 EMAGIN CORP DE 5.07 06/07/12 ENDOLOGIX INC /DE/ DE 8.01,9.01 05/30/12 AMEND Energy Recovery, Inc. DE 1.01,2.03,9.01 06/05/12 EnergySolutions, Inc. DE 5.02,8.01,9.01 06/10/12 Enservco Corp DE 5.01,8.01 06/06/12 ENTEGRIS INC DE 7.01 06/11/12 FASTFUNDS FINANCIAL CORP NV 8.01,9.01 06/11/12 Federal Home Loan Bank of Dallas 5.02 06/07/12 Federal Home Loan Bank of Dallas 2.03,9.01 06/05/12 Fifth & Pacific Companies, Inc. DE 1.01,2.03 06/11/12 FINISAR CORP DE 2.02,9.01 06/11/12 FINISAR CORP DE 5.02 06/05/12 FIRST COMMUNITY BANCSHARES INC /NV/ NV 1.01,7.01,9.01 06/08/12 FIRST POTOMAC REALTY TRUST MD 5.02,7.01,9.01 06/11/12 FLUSHING FINANCIAL CORP DE 7.01,9.01 06/11/12 FNB CORP/FL/ FL 7.01,9.01 06/11/12 General Moly, Inc DE 8.01,9.01 06/11/12 GENWORTH FINANCIAL INC DE 2.02,8.01,9.01 06/11/12 GeoEye, Inc. DE 1.01,9.01 02/13/12 AMEND GEOKINETICS INC DE 5.02 06/05/12 GLOBAL CASINOS INC UT 7.01,9.01 06/06/12 GLOBAL POWER EQUIPMENT GROUP INC. DE 5.07 06/07/12 Globalstar, Inc. DE 8.01,9.01 06/11/12 GLOWPOINT, INC. DE 5.07 06/07/12 GRANITE CITY FOOD & BREWERY LTD. MN 1.01,3.02,9.01 06/10/12 GTSI CORP DE 7.01,9.01 06/11/12 Gulf United Energy, Inc. NV 5.02,9.01 06/04/12 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 06/11/12 HEADWATERS INC DE 1.01,2.03,3.02,9.01 06/07/12 HEALTHWAYS, INC DE 1.01,2.03,7.01,9.01 06/08/12 HORIZON PHARMA, INC. DE 5.07 06/08/12 Horizon Technology Finance Corp DE 5.07 06/11/12 HSBC USA INC /MD/ MD 9.01 06/07/12 HUMANA INC DE 7.01 06/11/12 IDACORP INC ID 7.01,9.01 06/11/12 IKANOS COMMUNICATIONS CA 5.02,9.01 06/11/12 IMPERIAL CAPITAL BANCORP, INC. DE 1.03 06/08/12 INDEPENDENT BANK CORP MA 8.01,9.01 06/11/12 INDIANA COMMUNITY BANCORP IN 8.01,9.01 06/11/12 INERGETICS INC DE 5.02 06/11/12 INFORMATION ARCHITECTS CORP NC 5.02 06/11/12 Ingersoll-Rand plc L2 5.07 06/07/12 INSPERITY, INC. DE 7.01 06/08/12 INTEGRAMED AMERICA INC DE 1.01,5.02,8.01,9.01 06/10/12 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 06/08/12 Invesco Ltd. D0 7.01,9.01 06/11/12 IPARTY CORP DE 5.07 06/06/12 IPASS INC DE 5.07 06/05/12 ITT EDUCATIONAL SERVICES INC DE 5.02 06/08/12 IZEA, Inc. NV 5.02,9.01 06/08/12 JUNIPER NETWORKS INC DE 8.01,9.01 06/11/12 KINGOLD JEWELRY, INC. DE 5.07 06/06/12 KITE REALTY GROUP TRUST MD 7.01,9.01 06/11/12 Kiwibox.Com, Inc. DE 7.01,9.01 06/11/12 KNOLOGY INC DE 8.01 06/04/12 LANTRONIX INC DE 5.02,8.01,9.01 06/07/12 LIBERTY PROPERTY TRUST MD 8.01,9.01 06/06/12 LifeCare Holdings, Inc. DE 5.02 06/05/12 LIGHTPATH TECHNOLOGIES INC DE 1.01,3.02,9.01 06/11/12 Limoneira CO DE 2.02,9.01 06/11/12 LRI HOLDINGS, INC. 2.02,9.01 06/11/12 LRR Energy, L.P. DE 9.01 06/01/12 AMEND LUCAS ENERGY, INC. NV 7.01,9.01 06/08/12 Magnolia Solar Corp NV 8.01,9.01 06/08/12 MAKO Surgical Corp. DE 5.07 06/05/12 MARINEMAX INC DE 5.02,9.01 06/07/12 MCDONALDS CORP DE 7.01,9.01 06/08/12 MedClean Technologies, Inc. DE 5.02,9.01 06/11/12 MERCURY COMPUTER SYSTEMS INC MA 1.01,7.01,9.01 06/11/12 MICROVISION INC DE 5.07 06/07/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 06/11/12 ModusLink Global Solutions Inc DE 2.02,4.02,9.01 06/09/12 Molycorp, Inc. DE 8.01 06/08/12 MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 06/11/12 MUNICIPAL MORTGAGE & EQUITY LLC DE 5.07 06/11/12 NATIONAL HEALTH INVESTORS INC MD 2.01 06/11/12 Naugatuck Valley Financial Corp 5.02 06/05/12 NBC ACQUISITION CORP DE 7.01,9.01 05/15/12 AMEND NBT BANCORP INC DE 8.01,9.01 06/11/12 NCI, Inc. DE 5.07 06/06/12 Net Element, Inc. DE 1.01,5.02,9.01 06/06/12 NeurogesX Inc CA 5.07 06/07/12 NEW YORK MORTGAGE TRUST INC MD 1.01,9.01 06/11/12 NEWELL RUBBERMAID INC DE 8.01,9.01 06/11/12 Noble Corp / Switzerland V8 1.01,1.02,2.03,9.01 06/08/12 NOVATEL WIRELESS INC DE 5.02,9.01 06/08/12 NOVELOS THERAPEUTICS, INC. DE 1.01,7.01,9.01 06/07/12 OCEAN BIO CHEM INC FL 5.07 06/08/12 ONE LIBERTY PROPERTIES INC MD 8.01,9.01 06/11/12 ONLINE INTERNET NETWORK, INC. NV 5.02,5.03,5.07,9.01 05/21/12 ONLINE RESOURCES CORP DE 7.01 06/06/12 OPTICAL CABLE CORP VA 2.02,9.01 06/08/12 ORAGENICS INC FL 1.01,3.02,9.01 06/05/12 Orexigen Therapeutics, Inc. DE 5.07 06/07/12 Oryon Technologies, Inc. NV 2.01,3.02,4.01,5.01, 05/04/12 AMEND 5.02,5.03,5.06,9.01 PARKWAY PROPERTIES INC MD 2.01,9.01 06/06/12 Patriot Minefinders Inc. NV 5.02 06/01/12 PENN NATIONAL GAMING INC PA 5.07,8.01 06/06/12 PENSON WORLDWIDE INC DE 9.01 06/05/12 POZEN INC /NC 5.07 06/07/12 PROASSURANCE CORP DE 7.01,9.01 06/11/12 PROGRESS ENERGY INC NC 8.01,9.01 06/11/12 Protalix BioTherapeutics, Inc. FL 8.01,9.01 06/11/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 06/11/12 PYRAMID OIL CO CA 5.07 06/07/12 Q LOTUS HOLDINGS INC NV 3.02,9.01 03/11/12 QKL Stores Inc. DE 5.07 06/06/12 QLT INC/BC A1 5.02 06/05/12 RAIT Financial Trust MD 7.01,9.01 06/11/12 RAYMOND JAMES FINANCIAL INC FL 7.01 06/11/12 Resource Capital Corp. MD 5.07 06/07/12 RETAIL PROPERTIES OF AMERICA, INC. MD 7.01,9.01 06/08/12 REVLON INC /DE/ DE 5.07 06/07/12 RF MICRO DEVICES INC NC 2.05,9.01 06/05/12 Rockwood Holdings, Inc. DE 8.01,9.01 06/11/12 Sabra Health Care REIT, Inc. MD 7.01,9.01 06/11/12 SAJAN INC DE 5.07 06/06/12 SAN DIEGO GAS & ELECTRIC CO CA 5.07 06/07/12 Santander Holdings USA, Inc. VA 7.01,9.01 03/31/12 SCBT FINANCIAL CORP SC 8.01 06/06/12 Searchlight Minerals Corp. NV 1.01,3.02,3.03,5.02, 06/07/12 7.01,9.01 SGB International Holdings Inc. A1 8.01,9.01 06/08/12 SIGMA DESIGNS INC CA 1.01,3.03,8.01,9.01 06/08/12 SINCLAIR BROADCAST GROUP INC MD 9.01 04/01/12 AMEND Skajaquoda Group inc. DE 4.01 06/11/12 AMEND SL GREEN REALTY CORP MD 8.01,9.01 06/11/12 SLM Student Loan Trust 2006-7 DE 8.01,9.01 06/11/12 SM Energy Co DE 7.01,9.01 06/11/12 SMTC CORP DE 8.01 06/11/12 Solar Senior Capital Ltd. MD 7.01,9.01 06/11/12 Spirit Airlines, Inc. DE 7.01,9.01 06/11/12 STAGE STORES INC NV 5.07 06/07/12 SUNESIS PHARMACEUTICALS INC DE 5.07 06/05/12 SunOpta Inc. 2.01,7.01,9.01 06/11/12 SUNTRUST BANKS INC GA 8.01,9.01 06/08/12 Sweetwater Resources, Inc. NV 1.01,2.01,3.02,5.01, 06/05/12 5.02,9.01 SYMANTEC CORP DE 1.01,2.03,8.01,9.01 06/07/12 SYNERGETICS USA INC 2.02,9.01 06/11/12 SYNTROLEUM CORP DE 3.01 06/08/12 TANDY BRANDS ACCESSORIES INC DE 1.01 06/05/12 TENGION INC DE 8.01,9.01 06/11/12 TEXAS INSTRUMENTS INC DE 7.01,9.01 06/11/12 TEXAS VANGUARD OIL CO TX 5.07 06/07/12 THL Credit, Inc. DE 5.07 06/07/12 TIGER JIUJIANG MINING, INC. WY 5.02 06/08/12 TRIUMPH GROUP INC DE 8.01,9.01 06/06/12 TRONOX INC DE 8.01,9.01 06/08/12 TUESDAY MORNING CORP/DE DE 5.02 06/05/12 UDR, Inc. MD 7.01,9.01 06/11/12 Under Armour, Inc. MD 5.03,8.01,9.01 06/11/12 UNION PACIFIC CORP UT 8.01,9.01 06/06/12 UNIVERSAL HEALTH REALTY INCOME TRUST MD 5.02,5.07 06/07/12 Universal Truckload Services, Inc. MI 5.07 06/08/12 Upstream Worldwide, Inc. DE 5.07,8.01,9.01 06/08/12 URANIUM ENERGY CORP NV 7.01,9.01 06/11/12 VALSPAR CORP DE 5.02,9.01 06/05/12 VIRCO MFG CORPORATION DE 2.02,9.01 06/11/12 VISCOUNT SYSTEMS INC NV 3.02,3.03,5.03,9.01 06/05/12 VOLITIONRX LTD DE 1.01,2.01,3.02,5.01, 10/06/11 AMEND 5.02,5.03,5.06,8.01, 9.01 Vulcan Materials CO NJ 1.04 06/06/12 Vystar Corp GA 3.02,9.01 06/05/12 WACCAMAW BANKSHARES INC NC 2.01,8.01 06/08/12 WALT DISNEY CO/ DE 8.01,9.01 06/08/12 WebMD Health Corp. DE 1.01,5.02,9.01 06/08/12 WORLD ACCEPTANCE CORP SC 8.01 06/11/12 WORLD FUEL SERVICES CORP FL 5.02 06/04/12 XTRA-GOLD RESOURCES CORP 5.02,5.07,9.01 06/11/12 Yinfu Gold Corp. WY 5.02 05/30/12 Yongye International, Inc. NV 5.02,5.07 06/08/12 ZAP CA 5.02,9.01 06/06/12 AMEND ZaZa Energy Corp DE 1.01,8.01,9.01 06/08/12 ZIPREALTY INC 5.02,5.07 06/07/12