SEC Names Carl W. Hoecker as Inspector General
The Securities and Exchange Commission today announced that it has named Carl W. Hoecker as its Inspector General.
Mr. Hoecker currently serves as Inspector General for the U.S. Capitol Police and will replace David Kotz, who left the SEC last year. Jon T. Rymer, the Inspector General for the Federal Deposit Insurance Corporation, has served as the SEC’s interim Inspector General since May 2012.
The SEC’s Inspector General issues reports and conducts independent and objective audits, investigations, and inspections to detect waste, fraud, and abuse and to promote economy, effectiveness, and efficiency.
“Carl has demonstrated ability in conducting complex investigations,” said SEC Chairman Elisse Walter. “He has more than 30 years of federal law enforcement experience and is well qualified to serve as the SEC’s Inspector General.”
“I am deeply honored to have been selected for this position,” said Mr. Hoecker. “The SEC has an extremely important mission and I look forward to working with the Commissioners, the SEC staff, and the SEC stakeholders as I carry out my responsibilities under the Inspectors General Act.”
Mr. Hoecker has served since 2006 as the first Inspector General of the U.S. Capitol Police. He spent 10 years at the U.S. Department of the Treasury, starting as a special agent in 1996 and serving as Deputy Assistant Inspector General from October 2003 to July 2006. Mr. Hoecker joined the Inspector General community in 1992 as a criminal investigator at the U.S. Information Agency, now part of the Department of State. He began his career with the U.S. Army in 1976 as a military policeman, later becoming a special agent for the Army Criminal Investigations Command.
In addition to being a Certified Public Accountant, Mr. Hoecker is a Certified Fraud Examiner and Certified Government Financial Manager, and he is certified in Financial Forensics. He also chairs the Investigations Committee of the Council of Inspectors General on Integrity and Efficiency. He received his B.A. in Business Administration from Governors State University and completed his M.A. in Systems Management from the University of Southern California while on active military duty.
Under the Inspector General Act of 1978, Inspectors General have a dual and independent reporting relationship to the Commission and to Congress. Appointments are based on integrity and ability in such areas as accounting, auditing, financial analysis, public administration and law, without regard to political affiliation. (Press Rel. 2013-14)
SEC Charges Trader in Houston-Area Investment Scheme Targeting Lebanese and Druze Communities
The Securities and Exchange Commission today charged a day trader in Sugar Land, Texas, with defrauding investors in his supposed high-frequency trading program and providing them falsified brokerage records that drastically overstated assets and hid his massive trading losses.
The SEC alleges that Firas Hamdan particularly targeted fellow members of the Houston-area Lebanese and Druze communities, raising more than $6 million during a five-year period from at least 33 investors. Hamdan told prospective investors that he would pool their investments with his own money and conduct high-frequency trading using a supposed proprietary trading algorithm. Hamdan promised annual returns of 30 percent and assured investors that his program was safe and proven when in reality it was a dismal failure, generating $1.5 million in losses. As he failed to deliver the promised profits, Hamdan told investors that his funds were tied up in the Greek debt crisis and the MF Global bankruptcy among other phony excuses.
The SEC is seeking an emergency court order to halt the scheme and freeze Hamdan’s assets and those of his firm, FAH Capital Partners.
“Hamdan’s affinity scam preyed upon people’s tendency to trust those who share common backgrounds and beliefs,” said David R. Woodcock, Director of the SEC’s Fort Worth Regional Office. “Hamdan raised money by creating the aura of a successful day trader among friends and family in his community, and he continued to mislead them and hide the truth while trading losses mounted.”
According to the SEC’s complaint filed in federal court in Houston, Hamdan is well-known in the Lebanese and Druze communities in the Houston area and is a former treasurer of the Houston branch of the American Druze Society. Hamdan found investors for his trading program by talking with his friends and family in these communities. As word spread about his purported trading success, he asked existing investors to solicit their friends for investments.
The SEC alleges that Hamdan misrepresented to investors that he generated positive returns in 59 of 60 months between 2007 and 2012. He showed them phony documentation to support his false claims. For instance, a purported brokerage statement he provided investors for the first quarter of 2010 showed an opening balance of more than $2.3 million with quarterly trading gains of $2.7 million for a closing balance above $5.1 million. An actual brokerage statement obtained by SEC investigators for Hamdan’s account during that same period shows the opening balance at just $27,970.76 and the closing balance at $148,210.02, with quarterly trading losses of $7,452.80.
According to the SEC’s complaint, Hamdan made several other false claims to potential investors. For instance, he lied about the existence of a cash reserve account that secured their investments. Hamdan falsely stated that investments were further secured by a $5 million “key-man” insurance policy. He also falsely claimed that a well-known hedge fund manager in the Dallas area made a million-dollar investment with him and promised to invest more based on Hamdan’s continuing success.
The SEC’s complaint alleges that Hamdan violated the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. The complaint seeks various relief including a temporary restraining order, preliminary and permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest, and financial penalties.
The SEC’s investigation was conducted by Jonathan Scott, Timothy Evans, and Mark Pittman of the Fort Worth Regional Office. Bret Helmer will lead the SEC’s litigation. Investors affected by this scheme who have questions can contact the Fort Worth office investigative staff at firstname.lastname@example.org. (Press Rel. 2013-13)
In the Matter of DIAS Holding, Inc.
An Administrative Law Judge (ALJ) issued an Initial Decision as to Gold Star Tutoring Services, Inc. (Gold Star), in DIAS Holding, Inc., Admin. Proc. File No. 3-15090. The Initial Decision issued after a hearing at which Gold Star did not appear, finds that Gold Star had securities registered with the Securities and Exchange Commission pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act) and had failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13. As a result, the ALJ revoked the registration of each class of Gold Star’s registered securities.
Gold Star was the only remaining Respondent in this proceeding. (Initial Decision No. 481; File No. 3-15090)
In the Matter of Stefan H. Benger
On January 28, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Stefan H. Benger (Benger).
In the Order, the Division of Enforcement alleges that Benger, along with several other defendants, operated a boiler room scheme from Chicago, working in tandem with foreign sales agents who preyed on citizens of the U.K., Germany and other European countries by selling them Regulation S shares of U.S. penny stock issuers. The Chicago-based defendants and the foreign sales agents falsely represented that investors paid no sales commissions and only nominal administrative fees. In fact, the defendants and sales agents retained more than 60% of the amount invested as commissions. Benger consented to the entry of a final judgment that included (among other things) a permanent injunction against violating Section 17(a) of the Securities Act, Sections 10(b) and 15(a) of the Exchange Act, and Rule 10b-5 promulgated thereunder. Benger has not consented to any relief in the follow-on administrative proceeding.
A hearing will be scheduled before an Administrative Law Judge to determine whether such allegations are true, to afford Benger an opportunity to establish defenses to the allegations, and to determine whether remedial action is necessary and appropriate. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order Instituting Proceedings, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-68749; File No. 3-15189)
Commission Revokes Registration of Securities of IAS Energy, Inc. for Failure to Make Required Periodic Filings
On January 29, 2013, the Commission revoked the registration of each class of registered securities of IAS Energy, Inc. (IAS Energy) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, IAS Energy consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to IAS Energy, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 13a-1 thereunder and revoking the registration of each class of IAS Energy’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against IAS Energy in In the Matter of IAS Energy, Inc., et al., Administrative Proceeding File No. 3-15145.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of IAS Energy, Inc., et al., Administrative Proceeding File No. 3-15145, Exchange Act Release No. 68486, December 20, 2012. (Rel. 34-68750; File No. 3-15145)
In the Matter of IMC Asset Management, Inc.
On January 29, 2013, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against IMC Asset Management, Inc. (IMCAM), a registered investment adviser in New York, New York. The Commission charged IMCAM with failing to adopt and implement written compliance policies and procedures reasonably designed to prevent violations of the Investment Advisers Act of 1940, and for failing to conduct annual compliance reviews.
According to the Order, from April 2009 through June 2010, IMCAM employed a compliance officer who performed virtually no compliance-related functions. Additionally, for more than three years, IMCAM’s only written compliance policies and procedures were designed primarily to address IMCAM’s predecessor’s broker-dealer activities, did not apply to IMCAM’s advisory business and, as of May 2009, when the broker-dealer’s withdrawal from registration as a broker-dealer became effective, no longer applied at all to the firm
The Order finds that IMC Asset Management, Inc. willfully violated Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder. Without admitting or denying the Commission’s findings, IMCAM agreed to a censure and to cease and desist from committing or causing any violations and any future violations of these provisions. IMCAM has also agreed to pay a $30,000 penalty. Additionally, IMCAM has agreed to require its CCO to complete comprehensive training concerning the Advisers Act’s compliance requirements and to retain an independent compliance consultant to render compliance services for a period of at least two years.
This is the sixth enforcement case resulting from the Division of Enforcement’s Asset Management Unit’s Compliance Program Initiative. (Rel. IA-3537; File No. 3-15190)
In the Matter of Edward J. Hovan, Jr.
On January 29, 2013, 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 Edward J. Hovan, Jr. The Order finds that on January 14, 2013, a final judgment was entered against Edward Hovan, by consent, which permanently enjoins him from future violations of Section 10(b) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5, Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, and Section 17(e)(1) of the Investment Company Act of 1940, in the civil action entitled Securities and Exchange Commission v. Kurt Hovan, et al., No. CV-11-4795-RS, in the United States District Court for the Northern District of California.
Based on the above, the Order bars Edward Hovan from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, with the right to apply for reentry after five years to the appropriate self-regulatory organization, or if there is none, to the Commission. Edward Hovan consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the injunction. (Rel. IA-3538; File No. 3-15192)
In the Matter of Kurt S. Hovan
On January 29, 2013, 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 Kurt S Hovan. The Order finds that on January 14, 2013, a final judgment was entered against Kurt Hovan which permanently enjoins him from future violations of Section 10(b) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5, Sections 204(a), 206(1), 206(2) and 207 of the Investment Advisers Act of 1940, Advisers Act Rule 204-2(a)(7), and Section 17(e)(1) of the Investment Company Act of 1940, in the civil action entitled Securities and Exchange Commission v. Kurt Hovan, et al., No. CV-11-4795-RS, in the United States District Court for the Northern District of California. Kurt Hovan was also ordered to pay a $75,000 civil money penalty and to disgorge $65,000, which was deemed satisfied by his payment of restitution in the related criminal case, United States v. Kurt S. Hovan, Case No. CR-11-0699-RS, in the United States District Court for the Northern District of California. As set forth in the Order, Kurt Hovan admitted in a guilty plea in the criminal case that he participated in a fraudulent scheme involving the misuse of soft dollars, which were rebates on commissions received for client accounts from brokerage services. Kurt Hovan also admitted that in January 2010, in response to requests from the Commission’s examination staff for certain documents related to purported services by a third party, he altered 20 false documents which he caused to be produced to the examination staff in an attempt to make it appear that the documents had been prepared at an earlier time by a third party.
Based on the above, the Order bars Kurt Hovan from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Kurt Hovan consented to the issuance of the Order which was based upon the entry of an injunction, and the criminal conviction. (Rel. IA-3540; File No. 3-15194)
In the Matter of Lisa B. Hovan, CPA
On January 29, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Lisa B. Hovan, CPA. The Order finds that on January 14, 2013, a final judgment was entered against Lisa Hovan, by consent, which permanently enjoins her from future violations of Section 10(b) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5, and Sections 206(1), 206(2) and 207 of the Investment Advisers Act of 1940, in the civil action entitled Securities and Exchange Commission v. Kurt Hovan, et al., No. CV-11-4795-RS, in the United States District Court for the Northern District of California. Lisa Hovan was also ordered to pay a $50,000 civil money penalty.
Based on the above, the Order suspends Lisa Hovan from appearing or practicing before the Commission as an accountant, with the right to request reinstatement after five years in an application to the Commission, and the Order also bars Lisa Hovan from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, with the right to apply for reentry after five years to the appropriate self-regulatory organization, or if there is none, to the Commission. Lisa Hovan consented to the issuance of the Order without admitting or denying the findings in the Order, except she admitted the entry of the injunction. (Rel. 34-68756; IA-3589; AAE Rel. 3443; File No. 3-15193)
Yitzchak Zigdon Settles SEC Fraud Charges
On January 23, 2013, the U.S. District Court for the Southern District of Florida entered a final judgment by consent against Yitzchak Zigdon in the SEC’s enforcement action against seven defendants concerning the common stock of CO2 Tech Ltd. The final judgment enjoins Zigdon from future violations of 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 and Rule 10b-5 thereunder. The Court also ordered Zigdon to pay disgorgement of $260,000, prejudgment interest of $74,516 and a civil penalty in the amount of $130,000 for a total of $464,516 in monetary sanctions. In addition, the Court barred Zigdon from participating in an offering of penny stock. Zigdon consented to the entry of the final judgment without admitting or denying any of the allegations of the Commission’s Complaint.
According to the Commission’s complaint filed in February of 2011, the defendants’ coordinated misconduct enabled them to sell CO2 Tech stock at artificially inflated prices, resulting in profits of over $7 million. In the complaint, the Commission alleged that CO2 Tech Ltd. was a sham company without significant assets or operations whose stock prices were quoted in the Pink Sheets. According to the complaint, among other things, Zigdon provided the paper work necessary to establish the account that was used to dump the shares of CO2 Tech on to the market. The complaint also stated that he caused materially false and misleading information about CO2 Tech to be disseminated in press releases and on its website. In particular, the complaint alleged that CO2 Tech falsely touted business relationships that the company had not formed, including a relationship with the Boeing Company when, in fact, there had been no communications, correspondence or understandings between CO2 Tech and Boeing. [SEC v. Jonathan R. Curshen, et al., Civil Action No. 1:11-cv-20561 (S.D. Fla.) (JLK)] (LR-22604)
Notice of Applications for Deregistration under the Investment Company Act of 1940
For the month of January 2013, a notice has been issued giving interested persons until February 19, 2013, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
(Rel. IC-30370 - January 25)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the C2 Options Exchange, Incorporated to amend Rule 6.11 related to pre-opening information (SR-C2-2013-002) 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 January 28. (Rel. 34-68741)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated to amend Rule 6.2B related to pre-opening information (SR-CBOE-2013-006) 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 January 28. (Rel. 34-68742)
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 ERA GROUP INC., 600 AIRPORT SERVICE ROAD, LAKE CHARLES, LA, 70605, 337-478-6131 - 4,000,000 ($76,000,000.00) Equity, (File 333-186228 - Jan. 28) (BR. 05C) S-1 NV5 Holdings, Inc., 200 SOUTH PARK ROAD, SUITE 350, HOLLYWOOD, FL, 33021, (954) 495-2112 - 0 ($6,900,000.00) Equity, (File 333-186229 - Jan. 28) (BR. 11C) S-3 Midway Gold Corp, POINT AT INVERNESS, SUITE 280, 8310 SOUTH VALLEY HIGHWAY, ENGLEWOOD, CO, 80112, (720) 979-0900 - 53,074,098 ($71,915,402.79) Equity, (File 333-186230 - Jan. 28) (BR. 09B) S-4 INTERCONTINENTALEXCHANGE INC, 2100 RIVEREDGE PARKWAY, SUITE 500, ATLANTA, GA, 30328, 7708574700 - 0 ($5,609,243,144.00) Equity, (File 333-186231 - Jan. 28) (BR. 08B) S-8 CoroWare, Inc,, 1410 MARKET STREET, KIRKLAND, WA, 98033, 239-466-0488 - 50,000,000 ($20,000.00) Equity, (File 333-186247 - Jan. 28) (BR. 03A) S-1 ATOSSA GENETICS INC, 4105 E MADISON STREET, SUITE 320, SEATTLE, WA, 98112, 206 325 6086 - 8,021,340 ($35,534,536.20) Equity, (File 333-186248 - Jan. 28) (BR. 10A) S-8 Alexza Pharmaceuticals Inc., 2091 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043, 650.944.7000 - 0 ($877,628.00) Equity, (File 333-186249 - Jan. 28) (BR. 01A) S-8 MCCORMICK & CO INC, 18 LOVETON CIRCLE, P O BOX 6000, SPARKS, MD, 21152, 4107717301 - 0 ($11,000,000.00) Other, (File 333-186250 - Jan. 28) (BR. 04B) S-4 HOLOGIC INC, 35 CROSBY DRIVE, BEDFORD, MA, 01730, 7819997300 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-186252 - Jan. 28) (BR. 10A) S-8 SIMMONS FIRST NATIONAL CORP, 501 MAIN STREET, C/O SIMMONS FIRST NATIONAL CORP, PINE BLUFF, AR, 71601, 8705411000 - 60,000 ($1,510,800.00) Equity, (File 333-186253 - Jan. 28) (BR. 07C) S-8 SIMMONS FIRST NATIONAL CORP, 501 MAIN STREET, C/O SIMMONS FIRST NATIONAL CORP, PINE BLUFF, AR, 71601, 8705411000 - 500,000 ($12,590,000.00) Equity, (File 333-186254 - Jan. 28) (BR. 07C) S-3ASR LEXMARK INTERNATIONAL INC /KY/, ONE LEXMARK CENTRE DR, LEXINGTON, KY, 40550, 8592322000 - 0 ($0.00) Debt, (File 333-186255 - Jan. 28) (BR. 03C) S-11 JAVELIN MORTGAGE INVESTMENT CORP., 3001 OCEAN DRIVE, SUITE 201, VERO BEACH, FL, 32963, 772-617-4340 - 250,000 ($4,937,500.00) Equity, (File 333-186256 - Jan. 28) (BR. 08C) S-3ASR BERKSHIRE HATHAWAY INC, 3555 FARNAM STREET, OMAHA, NE, 68131, 4023461400 - 0 ($0.00) Debt, (File 333-186257 - Jan. 28) (BR. 01A) S-1 Sunshine Heart, Inc., 7651 ANAGRAM DRIVE, EDEN PRAIRIE, MN, 55344, 952-345-4200 - 0 ($17,400,000.00) Equity, (File 333-186259 - Jan. 28) (BR. 10B)
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 ----------------------------------------------------------------------------------------- ABBY INC. CO 5.02,9.01 01/24/13 ABBY INC. 1.02,5.02 01/24/13 AMEND ADOBE SYSTEMS INC DE 5.02,9.01 01/24/13 AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.07 01/24/13 Aleris Corp DE 8.01,9.01 01/28/13 ALLIANCE FINANCIAL CORP /NY/ NY 2.02,8.01,9.01 01/28/13 AMERICAN GRAPHITE TECHNOLOGIES INC. NV 2.01 01/17/13 AMERICAN GREETINGS CORP OH 1.01,1.02,9.01 01/22/13 AMERICAN POWER GROUP Corp DE 8.01,9.01 01/28/13 American Realty Capital Properties, I MD 7.01,9.01 01/28/13 AMERICAN RESTAURANT CONCEPTS INC 5.02,9.01 01/22/13 Amerilithium Corp. 5.07 01/21/13 AMSURG CORP TN 7.01,9.01 01/28/13 Anthera Pharmaceuticals Inc DE 1.01,1.02,9.01 01/24/13 ARBOR REALTY TRUST INC MD 1.01,2.03,8.01,9.01 01/28/13 ARCTIC CAT INC MN 2.02,7.01,9.01 01/24/13 ARES CAPITAL CORP MD 1.01,2.03,9.01 01/25/13 AUDIENCE INC 5.02 01/25/13 AUXILIUM PHARMACEUTICALS INC DE 7.01,8.01,9.01 01/28/13 Avago Technologies LTD U0 5.02,9.01 01/28/13 AXIALL CORP/DE/ DE 8.01,9.01 01/28/13 BAKER HUGHES INC DE 5.02,5.03,7.01 01/25/13 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 01/25/13 BARD C R INC /NJ/ NJ 8.01 01/28/13 BCSB Bancorp Inc. 2.02,9.01 01/25/13 BEAZER HOMES USA INC DE 2.02,9.01 01/28/13 BEAZER HOMES USA INC DE 8.01,9.01 01/28/13 BERKLEY W R CORP DE 2.02,9.01 01/28/13 BIOCRYST PHARMACEUTICALS INC DE 8.01 01/25/13 BIOGEN IDEC INC. DE 2.02,9.01 01/28/13 BIOLOGIX HAIR INC. NV 5.02,7.01,9.01 01/17/13 BIOSANTE PHARMACEUTICALS INC DE 8.01,9.01 01/28/13 BLACKHAWK CAPITAL GROUP BDC INC DE 1.02 01/26/13 BlueLinx Holdings Inc. DE 5.02,9.01 01/22/13 BMC SOFTWARE INC DE 2.02,9.01 01/28/13 BOLT TECHNOLOGY CORP CT 2.02,8.01,9.01 01/24/13 Bonanza Creek Energy, Inc. DE 8.01,9.01 01/28/13 BRAINSTORM CELL THERAPEUTICS INC. DE 5.02,9.01 01/24/13 Brazil Minerals, Inc. NV 5.03,8.01,9.01 01/22/13 BRIDGE BANCORP INC NY 2.02,9.01 01/25/13 Cactus Ventures, Inc. NV 8.01 01/22/13 Cactus Ventures, Inc. NV 1.01,2.01,3.02,4.01, 12/28/12 AMEND 5.01,5.02,5.05,5.06, 9.01 Calpian, Inc. TX 7.01,9.01 01/28/13 AMEND CASELLA WASTE SYSTEMS INC DE 5.02 01/25/13 CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 01/28/13 CATERPILLAR INC DE 2.02,9.01 01/28/13 CELADON GROUP INC DE 5.02 01/22/13 Celanese Corp DE 2.02,7.01,9.01 01/28/13 CH ENERGY GROUP INC NY 8.01 01/28/13 CHARTER FINANCIAL CORP/GA 2.02,9.01 01/25/13 CHEMICAL FINANCIAL CORP MI 2.02,9.01 01/28/13 Chemtura CORP DE 1.01,1.02,9.01 01/25/13 China Growth Equity Investment Ltd E9 8.01,9.01 01/23/13 China Growth Equity Investment Ltd E9 7.01,8.01,9.01 01/28/13 CHIQUITA BRANDS INTERNATIONAL INC NJ 7.01,9.01 01/28/13 CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 01/28/13 CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 01/28/13 CITY NATIONAL CORP DE 8.01,9.01 01/28/13 ClearBridge Energy MLP Fund Inc. MD 7.01,9.01 01/25/13 ClearBridge Energy MLP Opportunity Fu MD 7.01,9.01 01/25/13 ClearBridge Energy MLP Total Return F MD 7.01,9.01 01/25/13 CLECO CORP LA 5.03,9.01 01/24/13 COFFEE HOLDING CO INC NV 2.02,9.01 01/28/13 COMMUNITY BANCORP /VT VT 2.02,9.01 01/25/13 Community Partners Bancorp NJ 2.02,9.01 01/28/13 COMPUWARE CORP MI 2.02,9.01 01/22/13 Con-way Inc. DE 5.02 01/21/13 COPYTELE INC DE 1.01,2.03,3.02,9.01 01/25/13 Corporate Resource Services, Inc. DE 8.01,9.01 01/28/13 Crown Equity Holdings, Inc. NV 5.02,9.01 01/24/13 DAKOTA TERRITORY RESOURCE CORP NV 3.02,9.01 01/28/13 DAWSON GEOPHYSICAL CO TX 5.02,5.07 01/22/13 DAYSTAR TECHNOLOGIES INC DE 5.02 01/28/13 DENBURY RESOURCES INC DE 1.01,9.01 01/22/13 DEPOMED INC CA 8.01 01/25/13 DIEBOLD INC OH 5.02 01/23/13 Digerati Technologies, Inc. NV 5.02,8.01 01/16/13 DONEGAL GROUP INC DE 8.01 01/25/13 DOT HILL SYSTEMS CORP DE 8.01,9.01 01/24/13 E-Debit Global Corp. CO 8.01,9.01 01/28/13 E-Debit Global Corp. CO 8.01,9.01 01/28/13 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,8.01,9.01 01/28/13 EASTMAN KODAK CO NJ 8.01 01/28/13 El Paso Pipeline Partners, L.P. DE 7.01 01/25/13 ENCISION INC CO 2.02,9.01 01/28/13 FIFTH THIRD BANCORP OH 1.01,2.03 01/28/13 Financial Engines, Inc. DE 5.02 01/22/13 FINDEX COM INC NV 8.01 01/07/13 AMEND FIRST DEFIANCE FINANCIAL CORP OH 2.02,5.02,9.01 01/24/13 First Financial Northwest, Inc. WA 2.02,9.01 01/28/13 FIRST MARBLEHEAD CORP 7.01,9.01 01/28/13 FIRST OF LONG ISLAND CORP NY 5.02 01/22/13 FLOTEK INDUSTRIES INC/CN/ DE 5.02,7.01,9.01 01/25/13 FLUIDIGM CORP DE 5.02 01/22/13 FORD CREDIT FLOORPLAN MASTER OWNER TR DE 1.01,9.01 01/23/13 FULLER H B CO MN 5.02,9.01 01/24/13 Furiex Pharmaceuticals, Inc. DE 8.01,9.01 01/25/13 GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 01/28/13 Global Eagle Acquisition Corp. DE 8.01 01/28/13 GLOBUS MEDICAL INC DE 5.02 01/24/13 GSE Holding, Inc. DE 1.01,2.03 01/25/13 HEARTLAND FINANCIAL USA INC DE 2.02,9.01 01/28/13 HELIX ENERGY SOLUTIONS GROUP INC MN 1.01,7.01,9.01 01/28/13 HERITAGE COMMERCE CORP CA 2.02,9.01 12/31/12 HF FINANCIAL CORP DE 2.02,8.01,9.01 01/28/13 HOLOGIC INC DE 8.01,9.01 01/28/13 Homeowners Choice, Inc. FL 1.01,2.03,8.01,9.01 01/25/13 HUTCHINSON TECHNOLOGY INC MN 1.01,2.03,9.01 01/22/13 HYUNDAI ABS FUNDING CORP DE 8.01,9.01 01/24/13 IDENIX PHARMACEUTICALS INC DE 1.01 01/25/13 Idle Media, Inc. NV 4.02 01/03/13 AMEND ILLUMINA INC DE 2.02,9.01 01/28/13 INDEPENDENT BANK CORP MA 8.01,9.01 01/25/13 INNOTRAC CORP GA 5.02 01/24/13 INSITE VISION INC DE 5.02 01/24/13 INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,9.01 01/28/13 INTEGRATED ELECTRICAL SERVICES INC DE 1.01,3.03,5.03,9.01 01/24/13 InterDigital, Inc. PA 5.02,9.01 01/25/13 INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 01/28/13 INTERVEST BANCSHARES CORP DE 5.02,7.01,9.01 01/24/13 Invesco Mortgage Capital Inc. MD 1.01,8.01,9.01 01/23/13 IVANHOE ENERGY INC 7.01,9.01 01/28/13 IVOICE, INC /NJ NJ 5.02 01/28/13 J&J SNACK FOODS CORP NJ 2.02,9.01 01/28/13 JOHNSON CONTROLS INC WI 5.02,5.03,5.07,9.01 01/23/13 KAT Racing, Inc. NV 5.03 01/04/13 KAT Racing, Inc. NV 1.01,5.01,5.02,9.01 01/22/13 KEATING CAPITAL INC 7.01,9.01 01/28/13 KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 01/28/13 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 01/25/13 KINDER MORGAN MANAGEMENT LLC DE 7.01 01/25/13 KINDER MORGAN, INC. DE 7.01 01/25/13 Kips Bay Medical, Inc. DE 8.01,9.01 01/28/13 Kodiak Oil & Gas Corp B0 5.02,9.01 01/23/13 LA JOLLA PHARMACEUTICAL CO CA 8.01,9.01 01/28/13 LCNB CORP OH 5.02 01/14/13 LCNB CORP OH 2.02,7.01,9.01 01/28/13 Legg Mason BW Global Income Opportuni MD 7.01,9.01 01/25/13 LMP CAPITAL & INCOME FUND INC. 7.01,9.01 01/25/13 LMP CORPORATE LOAN FUND INC. MD 7.01,9.01 01/25/13 LMP REAL ESTATE INCOME FUND INC. 7.01,9.01 01/25/13 LOCKHEED MARTIN CORP MD 5.02,5.03,8.01,9.01 01/23/13 LODGENET INTERACTIVE CORP DE 1.01,1.03,2.03,2.04, 01/27/13 9.01 MACERICH CO MD 2.01,9.01 01/24/13 MANHATTAN ASSOCIATES INC GA 5.02 01/23/13 Matador Resources Co TX 2.02,7.01,9.01 01/28/13 MGP INGREDIENTS INC KS 1.01,9.01 01/23/13 MIDDLEFIELD BANC CORP OH 2.02,9.01 01/28/13 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 01/28/13 MOHAWK INDUSTRIES INC DE 8.01,9.01 01/28/13 Morgan Stanley Bank of America Merril DE 8.01,9.01 01/28/13 MS Structured Step Up Callable Trust DE 8.01 01/28/13 MusclePharm Corp NV 7.01,8.01,9.01 01/22/13 MVP REIT, Inc. MD 8.01 01/25/13 AMEND Myrexis, Inc. DE 3.01,5.02,8.01,9.01 01/22/13 NAKED BRAND GROUP INC. NV 5.03,9.01 01/24/13 National Bank Holdings Corp DE 2.02,7.01,9.01 01/28/13 NBT BANCORP INC DE 2.02,8.01,9.01 01/28/13 NETGEAR, INC DE 1.01,2.02,7.01,9.01 01/28/13 NEW COLOMBIA RESOURCES INC DE 5.03 01/24/13 NEW ENERGY TECHNOLOGIES, INC. 5.02,7.01,9.01 01/23/13 NEWMARKET CORP VA 2.02,9.01 01/28/13 NEXSTAR BROADCASTING GROUP INC DE 8.01,9.01 01/24/13 Nielsen Holdings N.V. P7 5.02 01/25/13 North American Oil & Gas Corp. NV 4.01,8.01,9.01 01/22/13 Northfield Bancorp, Inc. DE 2.02,9.01 01/24/13 NUMEREX CORP /PA/ PA 1.01,9.01 01/23/13 NYTEX Energy Holdings, Inc. DE 5.02,9.01 11/28/12 OIL DRI CORP OF AMERICA DE 5.02 01/23/13 OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 01/28/13 One Horizon Group, Inc. PA 1.01,2.03,3.02 01/22/13 PAREXEL INTERNATIONAL CORP MA 1.01,2.03,9.01 01/22/13 PARK NATIONAL CORP /OH/ OH 2.02,7.01,8.01,9.01 01/28/13 PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 01/28/13 PEREGRINE SEMICONDUCTOR CORP DE 8.01,9.01 01/28/13 Permal Hedge Strategies Fund MD 7.01,9.01 01/25/13 PERNIX THERAPEUTICS HOLDINGS, INC. MD 8.01,9.01 01/28/13 PETMED EXPRESS INC FL 8.01,9.01 01/28/13 PETMED EXPRESS INC FL 5.02,9.01 01/25/13 PETROSONIC ENERGY, INC. NV 5.02 01/23/13 Phillips Edison - ARC Shopping Center MD 7.01,8.01,9.01 01/23/13 PINNACLE AIRLINES CORP DE 7.01,9.01 01/25/13 PLUM CREEK TIMBER CO INC DE 2.02,9.01 01/28/13 POWER INTEGRATIONS INC CA 5.02 01/22/13 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 01/28/13 POWERWAVE TECHNOLOGIES INC DE 1.02,1.03,2.04,3.01 01/27/13 PPG INDUSTRIES INC PA 8.01,9.01 01/28/13 PREFERRED APARTMENT COMMUNITIES INC MD 1.01,2.03,9.01 01/24/13 Prosper Funding LLC DE 1.01,5.02,9.01 01/22/13 ProUroCare Medical Inc. NV 1.01,2.03,9.01 01/17/13 PUGET TECHNOLOGIES, INC. NV 4.01 01/25/13 PVR PARTNERS, L. P. DE 7.01,9.01 01/28/13 QCR HOLDINGS INC DE 2.02,9.01 01/28/13 QLT INC/BC A1 8.01,9.01 01/28/13 QUALITY SYSTEMS, INC CA 1.01,9.01 01/23/13 REALGOLD INTERNATIONAL INC NV 1.01,2.01,5.03,5.06, 11/22/12 AMEND 9.01 Realogy Holdings Corp. DE 5.02 01/28/13 Regency Energy Partners LP DE 7.01,8.01,9.01 01/28/13 RENT A CENTER INC DE 2.02,9.01 01/25/13 REPROS THERAPEUTICS INC. DE 8.01,9.01 01/28/13 REPROS THERAPEUTICS INC. DE 7.01,9.01 01/28/13 REPUBLIC FIRST BANCORP INC PA 2.02,9.01 01/28/13 RF MICRO DEVICES INC NC 2.01,9.01 11/09/12 AMEND ROPER INDUSTRIES INC DE 2.02,9.01 01/28/13 RPM INTERNATIONAL INC/DE/ DE 5.02,7.01,9.01 01/22/13 SaasMAX, Inc. NV 4.01 01/23/13 SABA SOFTWARE INC DE 1.01,9.01 01/28/13 SANMINA CORP DE 2.02,9.01 01/28/13 SANTARUS INC DE 8.01 01/25/13 SANTARUS INC DE 8.01 01/28/13 SCHOOL SPECIALTY INC WI 1.01,1.03,2.03,9.01 01/28/13 SCOTTS MIRACLE-GRO CO OH 5.02,9.01 01/28/13 SCRIPPS E W CO /DE OH 5.01 01/22/13 Scripps Networks Interactive, Inc. OH 5.01 01/22/13 Seagate Technology plc L2 2.02,9.01 01/28/13 Sequoia Mortgage Trust 2013-2 8.01,9.01 01/28/13 ServisFirst Bancshares, Inc. DE 2.02,9.01 01/28/13 SHAW GROUP INC LA 5.02 01/28/13 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 5.02,9.01 01/28/13 SKULLCANDY, INC. 1.01,2.03,9.01 01/25/13 Solera National Bancorp, Inc. DE 2.02,9.01 01/28/13 SOLTA MEDICAL INC DE 5.02 01/27/13 Southeastern Bank Financial CORP GA 2.02,9.01 01/25/13 SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 01/25/13 SOUTHWEST GEORGIA FINANCIAL CORP GA 2.02,9.01 12/31/12 Spirit Airlines, Inc. DE 5.02,9.01 01/28/13 Standard Gold CO 5.02,9.01 01/24/13 STERLING BANCORP NY 2.02,7.01,9.01 01/24/13 STERLING FINANCIAL CORP /WA/ WA 1.01,9.01 01/25/13 STR HOLDINGS, INC. DE 2.05,2.06,9.01 01/22/13 STREAMLINE HEALTH SOLUTIONS INC. DE 5.02,9.01 01/25/13 STW RESOURCES HOLDING CORP. NV 2.01,3.02,8.01,9.01 01/25/13 Summer Infant, Inc. DE 5.03,7.01,9.01 01/25/13 Summit Hotel Properties, Inc. MD 1.01,2.01,9.01 01/22/13 SUN BANCORP INC /NJ/ NJ 2.02,8.01 12/31/12 SUPERVALU INC DE 7.01,9.01 01/28/13 SYNERGY RESOURCES CORP CO 8.01,9.01 01/28/13 TE Connectivity Ltd. V8 2.02,2.05 01/23/13 AMEND Texas Rare Earth Resources Corp. DE 1.01,9.01 01/22/13 TNP Strategic Retail Trust, Inc. MD 2.01,7.01,9.01 11/09/12 AMEND TOA Holdings, Inc. 1.01,4.01,5.01,5.02, 01/18/13 5.03,9.01 TOMPKINS FINANCIAL CORP NY 2.02,8.01 01/25/13 Tonix Pharmaceuticals Holding Corp. NV 7.01,9.01 01/28/13 TRIAD GUARANTY INC DE 8.01,9.01 01/28/13 UNITED PARCEL SERVICE INC DE 1.02 01/22/13 URANIUM RESOURCES INC /DE/ DE 3.03,5.02,5.03,9.01 01/22/13 VANGUARD HEALTH SYSTEMS INC DE 5.02 01/28/13 VEECO INSTRUMENTS INC DE 7.01 01/25/13 VelaTel Global Communications, Inc. NV 1.01,9.01 01/28/13 ViewPoint Financial Group Inc. 8.01,9.01 01/28/13 Viggle Inc. DE 8.01,9.01 01/28/13 VISION SCIENCES INC /DE/ DE 2.02,9.01 01/28/13 VMWARE, INC. DE 2.02,2.05,9.01 01/25/13 VORNADO REALTY LP DE 3.02,5.03,9.01 01/25/13 VORNADO REALTY TRUST MD 5.03,8.01,9.01 01/25/13 WaferGen Bio-systems, Inc. NV 7.01,9.01 01/28/13 WELLS FARGO & COMPANY/MN DE 9.01 01/28/13 Wesco Aircraft Holdings, Inc 5.07 01/23/13 WESTERN ASSET EMERGING MARKETS DEBT F MD 7.01,9.01 01/25/13 WESTERN ASSET EMERGING MARKETS INCOME MD 7.01,9.01 01/25/13 WESTERN ASSET GLOBAL CORPORATE DEFINE MD 7.01,9.01 01/25/13 WESTERN ASSET GLOBAL HIGH INCOME FUND MD 7.01,9.01 01/25/13 WESTERN ASSET GLOBAL PARTNERS INCOME MD 7.01,9.01 01/25/13 WESTERN ASSET HIGH INCOME FUND II INC MD 7.01,9.01 01/25/13 WESTERN ASSET HIGH INCOME FUND INC. MD 7.01,9.01 01/25/13 WESTERN ASSET HIGH INCOME OPPORTUNITY MD 7.01,9.01 01/25/13 Western Asset High Yield Defined Oppo MD 7.01,9.01 01/25/13 WESTERN ASSET INFLATION MANAGEMENT FU 7.01,9.01 01/25/13 WESTERN ASSET INTERMEDIATE MUNI FUND MD 7.01,9.01 01/25/13 Western Asset Investment Grade Define MD 7.01,9.01 01/25/13 WESTERN ASSET MANAGED HIGH INCOME FUN NY 7.01,9.01 01/25/13 WESTERN ASSET MANAGED MUNICIPALS FUND 7.01,9.01 01/25/13 Western Asset Middle Market Debt Fund MD 7.01,9.01 01/25/13 Western Asset Mortgage Defined Opport MD 7.01,9.01 01/25/13 Western Asset Municipal Defined Oppor MD 7.01,9.01 01/25/13 WESTERN ASSET MUNICIPAL HIGH INCOME F 7.01,9.01 01/25/13 WESTERN ASSET MUNICIPAL PARTNERS FUND MD 7.01,9.01 01/25/13 WESTERN ASSET VARIABLE RATE STRATEGIC 7.01,9.01 01/25/13 WESTERN ASSET WORLDWIDE INCOME FUND I MD 7.01,9.01 01/25/13 WILSHIRE BANCORP INC 2.02,9.01 01/23/13 WINDSTREAM CORP DE 7.01 01/28/13 WVS FINANCIAL CORP PA 8.01,9.01 01/28/13 XENONICS HOLDINGS, INC. NV 1.01,2.03,3.02 01/22/13 YAHOO INC DE 2.02,9.01 01/28/13 ZaZa Energy Corp DE 1.01,7.01,9.01 01/28/13 ZIONS BANCORPORATION /UT/ UT 2.02 01/28/13