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Commission announcementsAdvisory Committee on Small and Emerging Companies Meeting Announcement: Tuesday, September 17, 2013 at 9:30 a.m.The Securities and Exchange Commission ("Commission") published notice of the Advisory Committee on Small and Emerging Companies meeting (Release No. 33-9445), indicating that the meeting is open to the public and inviting the public to submit written comments to the Committee. For further information, please contact the Office of the Secretary at (202) 551-5400.ENFORCEMENT PROCEEDINGSCommission Charges Purported Money Manager with Defrauding Investors and Brokerage FirmsThe Commission today charged a purported money manager in New York with conducting a free-riding scheme to defraud three brokerage firms, and then bilking several investors out of nearly a half-million dollars that he stole to fund his luxurious lifestyle that included a Bentley automobile, summers in the Hamptons, and casino junkets. The SEC alleges that Ronald Feldstein caused more than $2 million in losses for the brokerage firms that he victimized in the free-riding scheme, which occurs when customers buy or sell securities in their brokerage accounts without having the money or shares to actually pay for them. Feldstein opened three separate brokerage accounts in the names of two purported investment funds that he created. He had no intention to pay for the stocks that he purchased if they resulted in big losses. Feldstein planned to walk away from any transactions where the price declined substantially after the trade date, and planned to use sales proceeds to pay for the purchases if the price of a stock increased. The SEC further alleges that Feldstein later began soliciting investments by targeting owners of businesses that he had frequented for decades, including a dry cleaner and a car leasing and servicing company. Feldstein convinced them to provide funds for him to invest on their behalf, promising such profitable opportunities as a successful hedge fund, a promising penny stock, and an initial public offering (IPO) of a fashion company. However, Feldstein never invested this money, instead converting it for his personal use without their knowledge. "Without sufficient assets to pay for his stock purchases, Feldstein illegally arranged trades in which he got the profits if he won and left brokerage firms holding the bag if he lost," said Andrew M. Calamari, Director of the SEC&'s New York Regional Office. "Then Feldstein used blatantly false promises to lure longtime acquaintances to pour their life savings into his investment schemes that were footing the bill for his luxurious lifestyle." According to the SEC&'s complaint filed in U.S. District Court in the Southern District of New York, Feldstein and the two purported investment funds - Mara Capital Management LLC and Vita Health of America LLC - traded through a type of account that brokerage firms offer to customers with the understanding that the customer has sufficient assets held with a third-party custodial bank to cover the cost of the trades. Feldstein and the funds never disclosed to three broker-dealers that they were simply gambling with the brokerage firms&' money. Their plan was to refuse to issue instructions to settle the trades, and stick the broker-dealers with the unprofitable positions. The free-riding scheme began in September 2008 and continued until February 2009. (Press Rel. 2013-171; LR- 22791) Commission Charges Former Chairman and CEO of CECO Environmental Corp. and API Technologies Corp. with Insider Trading and Other ViolationsThe Commission has charged Phillip J. DeZwirek (DeZwirek), the former CEO, Chairman, and 10% beneficial owner of both CECO Environmental Corp. (CECO) and API Technologies Corp. (API), with insider trading on three separate occasions and engaging in hundreds of violations of the trade reporting and ownership disclosure rules of the federal securities laws. DeZwirek has agreed to settle the charges, without admitting or denying the allegations in the Commission&'s complaint, by, among other things, paying a total of over $1.5 million in disgorgement of ill-gotten gains, prejudgment interest, and a civil penalty. He also agreed to be barred from serving as an officer or director of a public company for five years. The Commission&'s complaint, filed August 30, 2013, in the U.S. District Court for the Southern District of New York, alleges that DeZwirek engaged in insider trading by purchasing CECO stock ahead of two press releases issued in March and October 2008 announcing new contract bookings. The Complaint further alleges that DeZwirek bought API stock before the company announced the acquisition of a privately held company in January 2011. The Complaint also alleges that DeZwirek failed to file amended Schedules 13D and Forms 4 and 5 disclosing 268 purchases and sales of CECO and API stock that he executed between 2008 and 2010. DeZwirek has consented to the entry of a final judgment that permanently enjoins him from future violations of Sections 10(b), 13(d), and 16(a) of the Securities Exchange Act of 1934, and Rules 10b-5, 13d-2, and 16a-3 thereunder. The final judgment also orders DeZwirek to pay disgorgement of $151,278, plus prejudgment interest of $11,714.50, a civil money penalty of $1,361,278, and imposes upon him a five-year officer-and-director bar. The Commission acknowledges the assistance of the Financial Industry Regulatory Authority. [SEC v. Phillip J. DeZwirek, Civil Action No. 13-CIV-6135 (S.D.N.Y.)] (LR- 22790). In the Matter of Gary A. CollyardThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Gary A. Collyard ("Collyard"). The Division of Enforcement alleges in the Order that, on February 27, 2012, Collyard pled guilty to one count of conspiracy to commit securities fraud in violation of 18 U.S.C. 371, and one count of conspiracy to commit bank fraud in violation of 18 U.S.C. 371, before the United States District Court for the District of Minnesota in United States v. Gary A. Collyard, 12-CR-58 (SRN). The Division further alleges that, on August 1, 2013, the court entered a judgment against Collyard, which sentenced him to a prison term of 120 months followed by three years of supervised release and ordered him to make restitution in the amount of $5,672,994.44. The counts of the criminal information to which Collyard pled guilty alleged, inter alia, that Collyard, conspiring with others, and by the use of means and instrumentalities of interstate commerce, used and employed manipulative and deceptive devices and contrivances in connection with the sale of the securities of Bixby Energy Systems, Inc. ("Bixby"), and made untrue statements of material facts and omitted to state material facts necessary in order to make the statements not misleading in connection with the sale of such securities. Finally, the Division alleges that for a portion of the time that he was engaged in the conduct underlying the criminal information, Collyard acted as an unregistered broker or dealer in connection with the offer and sale of Bixby securities. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Collyard an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate. The Order directs the Administrative Law Judge to issue an initial decision within 210 days after service of the Order. (Rel. 34-70300) Investment company ordersNotice of Applications for Deregistration under the Investment Company Act of 1940For the month of August 2013, a notice has been issued giving interested persons until September 24, 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: Morgan Stanley Frontier Emerging Markets Fund, Inc. [File No. 811-22202] (Rel. IC-30683 - August 30, 2013) Aspiriant Global Equity Trust
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1.01 |
Entry into a Material Definitive Agreement |
1.02 |
Termination of a Material Definitive Agreement |
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Bankruptcy or Receivership |
2.01 |
Completion of Acquisition or Disposition of Assets |
2.02 |
Results of Operations and Financial Condition |
2.03 |
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant |
2.04 |
Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement |
2.05 |
Cost Associated with Exit or Disposal Activities |
2.06 |
Material Impairments |
3.01 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing |
3.02 |
Unregistered Sales of Equity Securities |
3.03 |
Material Modifications to Rights of Security Holders |
4.01 |
Changes in Registrant's Certifying Accountant |
4.02 |
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review |
5.01 |
Changes in Control of Registrant |
5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer |
5.03 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans |
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics |
5.06 |
Change in Shell Company Status |
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ABS Informational and Computational Material. |
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Change of Servicer or Trustee. |
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Change in Credit Enhancement or Other External Support. |
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Failure to Make a Required Distribution. |
6.05 |
Securities Act Updating Disclosure. |
7.01 |
Regulation FD Disclosure |
8.01 |
Other Events |
9.01 |
Financial Statements and Exhibits |
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 3D SYSTEMS CORP DE 7.01,9.01 08/29/13 A5 Laboratories Inc. NV 7.01,9.01 08/29/13 ADGS Advisory, Inc. DE 1.01,2.01,3.02, 04/12/13 AMEND 5.01,5.02,5.03,5.06,9.01 AgFeed Industries, Inc. NV 1.01,8.01,9.01 08/26/13 AIR INDUSTRIES GROUP, INC. DE 1.01,3.03,5.03,9.01 08/30/13 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 3.02 08/29/13 ALLIANCE FIBER OPTIC PRODUCTS INC CA 8.01,9.01 08/30/13 ALLIANCE ONE INTERNATIONAL, INC. VA 8.01,9.01 08/30/13 ALTAIR NANOTECHNOLOGIES INC Z4 5.02 08/26/13 ALTEX INDUSTRIES INC DE 4.01,9.01 08/27/13 AMC ENTERTAINMENT INC DE 7.01,9.01 08/30/13 American Heritage International Inc. NV 1.01,2.01,3.02, 08/26/13 3.03,5.01,5.02,5.03,8.01,9.01 American Magna Corp FL 1.01,5.02,9.01 08/26/13 American Realty Capital Trust V, Inc. MD 8.01,9.01 08/30/13 Antaga International Corp NV 1.01,9.01 08/29/13 Apple REIT Ten, Inc. VA 9.01 07/26/13 AMEND Ares Commercial Real Estate Corp MD 1.01,2.01,3.02,9.01 08/30/13 ARKANSAS BEST CORP /DE/ DE 8.01 08/30/13 ARKANSAS BEST CORP /DE/ DE 7.01,9.01 08/30/13 ARTS WAY MANUFACTURING CO INC DE 5.07 04/25/13 AMEND ATMEL CORP DE 5.02 08/23/13 AMEND AUTOZONE INC NV 5.02,9.01 08/30/13 Avery Dennison Corp DE 5.02 08/27/13 AVIANA, CORP. NV 1.01,3.02,5.01, 08/27/13 5.02,8.01,9.01 BASIC ENERGY SERVICES INC 1.01,9.01 08/29/13 BBX CAPITAL CORP FL 7.01,9.01 08/30/13 BFC FINANCIAL CORP FL 7.01,9.01 08/30/13 BIGLARI HOLDINGS INC. IN 5.07 04/04/13 AMEND BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,2.03,9.01 08/28/13 BIOLASE, INC DE 8.01 08/26/13 BIOZONE PHARMACEUTICALS, INC. NV 3.02,9.01 08/26/13 BJs RESTAURANTS INC CA 8.01 08/28/13 BLUE DOLPHIN ENERGY CO DE 7.01,9.01 08/30/13 BLUE RIDGE REAL ESTATE CO PA 1.01,9.01 08/29/13 Blue Water Petroleum Corp. 7.01,9.01 08/30/13 Bnet Media Group, Inc. NV 5.03,9.01 08/30/13 BreitBurn Energy Partners L.P. DE 9.01 07/15/13 AMEND BSQUARE CORP /WA WA 1.01,9.01 08/26/13 CAMCO FINANCIAL CORP DE 4.01,9.01 08/27/13 CAREER EDUCATION CORP DE 5.02 08/27/13 CARTERS INC DE 1.01 08/29/13 CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 08/30/13 CECO ENVIRONMENTAL CORP DE 1.01,1.02,2.01, 08/26/13 2.03,5.02,5.07,9.01 CEL SCI CORP CO 5.02,9.01 08/30/13 CHINA MARINE FOOD GROUP LTD NV 5.02,9.01 08/30/13 CHS INC MN 8.01 08/30/13 CIENA CORP DE 1.01,9.01 08/29/13 CITIGROUP INC DE 8.01,9.01 08/30/13 ClubCorp Club Operations, Inc. DE 1.01 08/30/13 CODESMART HOLDINGS, INC. FL 1.01,2.01,3.02, 05/03/13 AMEND 5.01,5.02,5.03,5.06,9.01 COMARCO INC CA 1.01 08/26/13 COMMERCE GROUP CORP /WI/ 8.01 08/28/13 Commercial Vehicle Group, Inc. DE 5.02,9.01 08/27/13 COOPER TIRE & RUBBER CO DE 8.01,9.01 08/30/13 CORONADO BIOSCIENCES INC DE 8.01,9.01 08/30/13 COUNTERPATH CORP NV 5.02 06/30/13 Coyote Resources, Inc. NV 5.02,9.01 08/25/13 CROSSTEX ENERGY INC DE 1.01,2.03,9.01 08/28/13 CROSSTEX ENERGY LP DE 1.01,2.03,9.01 08/28/13 CTS CORP IN 8.01 08/30/13 CUMULUS MEDIA INC DE 7.01,8.01,9.01 08/30/13 Curry Gold Corp 8.01 08/30/13 Cyclone Uranium Corp NV 2.04 08/26/13 CYTORI THERAPEUTICS, INC. DE 5.07 08/28/13 DEL TORO SILVER CORP. NV 1.01,3.02,9.01 08/26/13 DESTINATION XL GROUP, INC. DE 7.01 08/29/13 Discover Card Execution Note Trust DE 1.01,8.01,9.01 08/30/13 Discovery Energy Corp. NY 1.01,2.03,9.01 08/26/13 Dividend Capital Diversified Property MD 8.01 08/01/13 Duke Energy CORP DE 5.02 08/30/13 EASTGROUP PROPERTIES INC MD 1.01,2.03,8.01,9.01 08/28/13 EDUCATION MANAGEMENT CORPORATION 5.02 08/27/13 EDUCATIONAL DEVELOPMENT CORP DE 8.01,9.01 08/30/13 ELECTRO RENT CORP CA 8.01,9.01 08/30/13 ELECTRONICS FOR IMAGING INC DE 5.02 08/29/13 EMCORE CORP NJ 1.01,2.03,9.01 08/26/13 Energy Transfer Partners, L.P. DE 5.02 08/27/13 EPIQ SYSTEMS INC MO 1.01,1.02,2.03,9.01 08/27/13 EQCO2, INC. 5.01,5.02,8.01 08/26/13 Esio Water & Beverage Development Cor NV 5.02,8.01 08/26/13 EVANS BANCORP INC NY 7.01 08/28/13 Evolucia Inc. NV 1.01,2.03,3.02,9.01 04/22/13 AMEND EXACT SCIENCES CORP DE 5.02 08/26/13 Federal Home Loan Bank of Atlanta X1 5.02,7.01 08/30/13 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 08/30/13 Freescale Semiconductor, Ltd. D0 8.01 08/29/13 FRIEDMAN INDUSTRIES INC TX 5.02,5.07 08/29/13 FULL HOUSE RESORTS INC DE 1.01,2.03,9.01 08/26/13 FX ENERGY INC NV 7.01,9.01 08/30/13 Galaxy Gaming, Inc. 5.02,9.01 08/29/13 GENERAL STEEL HOLDINGS INC NV 2.02,7.01,9.01 08/30/13 Global Eagle Entertainment Inc. DE 8.01,9.01 08/29/13 GLOBAL MOBILETECH, INC. NV 4.01,9.01 08/26/13 Global Seed Corp TX 4.01,9.01 08/30/13 GOLDEN PHOENIX MINERALS INC NV 5.02 08/26/13 GREEN DOT CORP DE 8.01 08/28/13 HD Supply Holdings, Inc. DE 5.02 08/27/13 HEALTH ENHANCEMENT PRODUCTS INC NV 5.02,9.01 08/28/13 HELEN OF TROY LTD 5.07 08/27/13 HORNBECK OFFSHORE SERVICES INC /LA DE 2.01,8.01,9.01 08/28/13 HPEV, INC. NV 7.01,9.01 08/30/13 Imperial Holdings, Inc. 8.01,9.01 08/30/13 INERGY L P DE 1.01,2.03,9.01 08/28/13 InfuSystem Holdings, Inc DE 5.07 08/29/13 InspireMD, Inc. DE 8.01,9.01 08/29/13 INTERPUBLIC GROUP OF COMPANIES, INC. DE 5.02,9.01 08/29/13 Investors Bancorp Inc DE 5.02 08/27/13 INVESTORS REAL ESTATE TRUST ND 8.01,9.01 08/30/13 ISABELLA BANK CORP MI 8.01,9.01 08/29/13 ISABELLA BANK CORP MI 5.02,9.01 08/28/13 IsoRay, Inc. MN 1.01 08/30/13 IZEA, Inc. NV 3.02 08/26/13 J C PENNEY CO INC DE 8.01,9.01 08/26/13 JBI, INC. NV 1.01,2.03, 08/29/13 3.02,8.01,9.01 KEMPER Corp DE 5.03,9.01 08/29/13 Lightwave Logic, Inc. NV 5.02,9.01 08/29/13 LIME ENERGY CO. DE 3.01 08/27/13 LIQUIDITY SERVICES INC DE 5.02 08/28/13 LKA GOLD Inc /DE/ DE 5.02,8.01 08/29/13 LSB INDUSTRIES INC DE 1.01,9.01 08/28/13 MACERICH CO MD 5.02 08/28/13 MAJESCO ENTERTAINMENT CO DE 8.01 08/29/13 MAXYGEN INC DE 3.01,3.03, 08/29/13 5.02,8.01,9.01 McEwen Mining Inc. CO 7.01,9.01 08/30/13 Media Analytics Corp FL 5.03,8.01 08/28/13 MET PRO CORP PA 1.02,2.01,3.01,3.03, 08/26/13 5.01,5.02,5.03,5.07,9.01 METROSPACES, INC. FL 2.02,9.01 08/26/13 MICHAEL BAKER CORP PA 1.01,8.01,9.01 08/30/13 MICROSOFT CORP WA 8.01,9.01 08/28/13 MILAGRO OIL & GAS, INC. DE 8.01,9.01 08/30/13 MISSISSIPPI POWER CO MS 7.01 08/30/13 MOCON INC MN 2.02,9.01 08/30/13 MONROE CAPITAL Corp MD 7.01,9.01 08/30/13 MONSANTO CO /NEW/ DE 5.02,9.01 08/30/13 MOTORCAR PARTS AMERICA INC NY 1.01,9.01 08/26/13 MSB FINANCIAL CORP. X1 2.02,9.01 08/30/13 MULTIBAND CORP MN 1.02,2.01,3.01,3.03, 08/29/13 5.01,5.02,5.03,5.07,8.01 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 8.01 08/29/13 MusclePharm Corp NV 1.01,9.01 08/26/13 MVP REIT, Inc. MD 9.01 08/30/13 AMEND National American University Holdings DE 5.03,8.01,9.01 08/26/13 NEOMEDIA TECHNOLOGIES INC DE 5.02,9.01 08/30/13 NEOPHOTONICS CORP DE 5.02 08/26/13 NETSCOUT SYSTEMS INC DE 5.07 08/26/13 Neurotrope, Inc. NV 2.01,3.02,4.01, 08/23/13 AMEND 5.01,5.02,5.06,9.01 NORTHROP GRUMMAN CORP /DE/ 1.01,1.02,2.03,9.01 08/29/13 NORTHWEST INDIANA BANCORP IN 8.01,9.01 08/30/13 O REILLY AUTOMOTIVE INC 8.01 08/30/13 Opko Health, Inc. DE 2.01,5.07,8.01,9.01 08/28/13 Pacific Green Technologies Inc. DE 1.01,2.01,3.02,9.01 08/27/13 PAULSON CAPITAL CORP OR 1.01,3.02,5.02,9.01 07/18/13 AMEND PEABODY ENERGY CORP DE 5.02 08/30/13 PENSKE AUTOMOTIVE GROUP, INC. DE 7.01,9.01 08/30/13 PEPCO HOLDINGS INC DE 8.01 08/30/13 PERCEPTRON INC/MI MI 1.01,2.02,5.02,9.01 08/27/13 Petro River Oil Corp. DE 8.01,9.01 08/30/13 Phillips Edison - ARC Shopping Center MD 2.01,9.01 06/24/13 AMEND Physicians Realty Trust MD 2.02,9.01 08/30/13 Plandai Biotechnology, Inc. 1.01,2.03,3.02 08/30/13 PMC COMMERCIAL TRUST /TX TX 1.01,5.02,9.01 08/30/13 Polar Petroleum Corp. 1.01,2.03,9.01 06/25/13 POSITIVEID Corp DE 1.01,3.02,9.01 08/26/13 Premier Brands, Inc. WY 7.01,9.01 08/29/13 PROCYON CORP CO 5.02 01/08/13 PROLOR Biotech, Inc. NV 2.01,3.01,3.03, 08/29/13 5.01,5.03,9.01 PRUDENTIAL ANNUITIES LIFE ASSURANCE C CT 5.03,8.01,9.01 08/30/13 PSM HOLDINGS INC DE 1.02,5.02,9.01 08/28/13 RADIAN GROUP INC DE 1.01,9.01 08/29/13 Radiation Therapy Services Holdings, DE 1.01,2.03,8.01,9.01 08/28/13 REDFIN NETWORK, INC. NV 5.02,9.01 08/30/13 REPUBLIC FIRST BANCORP INC PA 1.01 08/26/13 RMG Networks Holding Corp DE 5.02,9.01 08/14/13 SAExploration Holdings, Inc. DE 5.07 06/21/13 AMEND Saleen Automotive, INC. NV 1.01,2.01,2.03,3.02, 06/26/13 AMEND 3.03,4.01,5.01,5.02,5.06 SALESFORCE COM INC DE 9.01 07/11/13 AMEND Samson Oil & Gas LTD C3 8.01,9.01 08/26/13 SANDERSON FARMS INC MS 2.02,9.01 08/27/13 SANDY SPRING BANCORP INC MD 5.02 08/27/13 SearchCore, Inc. NV 3.02,9.01 08/28/13 Sears Hometown & Outlet Stores, Inc. DE 1.01,2.02,8.01,9.01 08/29/13 Selway Capital Acquisition Corp. DE 2.01,9.01 04/10/13 AMEND Shire plc 8.01,9.01 08/30/13 SIFCO INDUSTRIES INC OH 2.05 08/28/13 SKYLINE CORP IN 8.01,9.01 08/30/13 Skyline Medical Inc. MN 1.01,3.02 08/30/13 SLM FUNDING LLC DE 6.01,9.01 08/30/13 SLM Student Loan Trust 2006-7 DE 8.01,9.01 08/30/13 SOLAR WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 08/23/13 SPO Medical Inc DE 1.01,3.02,3.03,5.01 08/26/13 SunCoke Energy Partners, L.P. DE 1.01,2.03,9.01 08/28/13 TEL OFFSHORE TRUST TX 8.01,9.01 08/30/13 Telanetix,Inc DE 3.03,5.01,5.02,9.01 08/30/13 TESARO, Inc. DE 5.02,9.01 08/29/13 TORCH ENERGY ROYALTY TRUST DE 1.01,2.01,9.01 08/30/13 Trade Street Residential, Inc. MD 1.01,2.01,2.03, 08/26/13 5.02,7.01,9.01 Triangle Capital CORP MD 5.02 08/30/13 AMEND Triangle Petroleum Corp DE 1.01,2.01,5.02, 08/28/13 5.07,8.01,9.01 TripAdvisor, Inc. DE 8.01 08/28/13 TUESDAY MORNING CORP/DE DE 5.02 08/28/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/30/13 TWENTY-FIRST CENTURY FOX, INC. 5.02 08/28/13 AMEND Unilife Corp DE 2.02,9.01 08/29/13 UNIVERSAL ELECTRONICS INC DE 8.01,9.01 08/28/13 Unum Group DE 1.01,2.03,9.01 08/29/13 VALOR GOLD CORP. DE 3.02,9.01 08/29/13 Vansen Pharma Inc. NV 5.03,8.01,9.01 08/20/13 Victory Electronic Cigarettes Corp NV 1.01,7.01,9.01 07/29/13 Vocus, Inc. DE 5.03,9.01 08/28/13 VOIS Inc. FL 3.03,5.03,9.01 08/28/13 Vu1 CORP CA 5.02,9.01 08/26/13 Webfolio Inc. DE 4.01 08/26/13 WELLS FARGO & COMPANY/MN DE 9.01 08/30/13 WESTMOUNTAIN GOLD, INC. CO 2.03,9.01 08/29/13 Wheeler Real Estate Investment Trust, MD 8.01 08/29/13 Wheeler Real Estate Investment Trust, MD 8.01 08/27/13 WINDSTREAM HOLDINGS, INC. 8.01,9.01 08/30/13 WNC Housing Tax Credit Fund VI, L.P., CA 2.02,9.01 08/30/13 WVS FINANCIAL CORP PA 5.02,9.01 08/27/13 WYNDHAM WORLDWIDE CORP DE 1.01 08/29/13 WYNN RESORTS LTD 7.01 08/30/13
http://www.sec.gov/news/digest/2013/dig090313.htm
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