Commission Halts Florida-Based Prime Bank Investment Scheme
The Securities and Exchange Commission (Commission) today announced charges and an emergency asset freeze against a Miami-based attorney and other perpetrators of a prime bank investment scheme that promised exorbitant returns from a purported international trading program.
Prime bank schemes lure investors to participate in a sham international investing opportunity with phony promises of exclusivity and enormous profits. The SEC alleges that attorney Bernard H. Butts, Jr. has acted as an escrow agent to enable Fotios Geivelis, Jr. and his purported financial services firm Worldwide Funding III Limited to defraud approximately 45 investors out of more than $3.5 million they invested in a trading program that doesn’t actually exist. Geivelis, who lives in Tampa and uses the alias “Frank Anastasio” with investors, touted returns of 6.6 million Euros (approximately $8.7 million converted to U.S. dollars) for investors within 15 to 45 business days on an initial investment of $60,000 to $90,000 in U.S. dollars. Geivelis and Butts assured investors that their funds would remain with Butts in an escrow account until Worldwide Funding acquired the bank instruments necessary to generate the promised returns. Butts instead has been doling out investor funds almost as soon as they’re received to enrich himself, sales agents, and Geivelis, who has been spending the money on such personal expenses as travel and gambling.
The SEC’s complaint, filed under seal on August 29 in federal court in Miami, also charged three sales agents who Geivelis and Butts paid to sell interests in the scheme: Douglas J. Anisky of Delray Beach, Fla., James Baggs of Lake Forest, Calif., and Sidney Banner of Delray Beach, Fla., and his company Express Commercial Capital. The court granted the SEC’s request for an asset freeze on August 30, and the case was unsealed late Friday, September 6.
“Geivelis attempted to add a twist of legitimacy to a classic prime bank scheme by using a long-time attorney as an escrow agent to give investors the false impression that their money was secure,” said Julie K. Lutz, Acting Co-Director of the SEC’s Denver Regional Office. “Meanwhile, Geivelis and Butts have misused investor funds and made lulling statements to investors that portray the sham trading program as successful and payments to investors as imminent.”
According to the SEC’s complaint, investors were lured through the Internet, telephone, and personal contact with promises of extraordinary profits. Investors were told their $60,000 to $90,000 investment would pay for bank charges to lease a standby letter of credit (SBLC) in the amount of 10 million Euros from a banking group in Europe. The SBLCs were to be used to acquire loans, and the funds from the loan were to be placed in a securities trading program. Investors were promised that after their initial profit of at least 6.6 million Euros within 15 to 45 business days, the securities trading program would generate a weekly return of approximately 14 percent for 40 to 42 weeks.
The SEC alleges that investors were falsely promised that their money was being deposited into Butts’ attorney trust account, and Butts would not release the funds until he received proof from the receiving bank that a $10 million Euro SBLC had been deposited into the securities trading program to generate profits for investors. Contrary to these representations by Butts, Geivelis, and the sales agents, no SBLC acquisitions ever occurred, no loans were obtained, and no promised returns were earned in a trading program or paid to investors. Investors were not told that instead of using the funds to obtain SBLCs, Butts and Geivelis each took approximately 45 percent and paid approximately 10 percent to the sales agents.
The SEC’s complaint charges all defendants with violations of the antifraud and securities registration provisions of the federal securities laws. The complaint also charges Butts, Geivelis, Anisky, Banner, Express Commercial Capital, and Baggs with violations of the broker-dealer registration provisions of the federal securities laws. The SEC seeks disgorgement of ill-gotten gains, financial penalties, and permanent injunctions. The SEC’s complaint names several relief defendants: Butts’ law firm, his wife Margaret A. Hering, and Butts Holding Corporation as well as two other companies with ties to Geivelis (Global Worldwide Funding Ventures) and Anisky (PW Consulting Group). The complaint names relief defendants for the purposes of recovering any ill-gotten assets from the fraud that may be in their possession.
The SEC’s investigation, which is continuing, has been conducted by Amy A. Sumner and Laura M. Metcalfe in the Denver Regional Office. The SEC’s litigation will be led by Leslie J. Hughes. (Press Rel. 2013-175; LR-22792)
Commission Charges Projaris Management LLC and Victory Partners Financial with Fraud
On September 9, 2013, the Commission brought securities fraud charges against Projaris Management, LLC (Projaris), Victory Partners Financial (Victory), Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela Hass in a connection with an offering fraud that raised approximately $1.4 million from over 23 investors in multiple states from May 2008 through August 2012.
The complaint, filed in the United States District Court for the District of New Mexico, alleges that Projaris and Victory, which operated in Farmington, New Mexico and Phoenix, Arizona, along with the Lawlers of Farmington, New Mexico participated in a scheme that defrauded investors out of more than $835,000. Additionally, the complaint alleges that the primary function of the defendants’ scheme was to convince investors to invest in a fraudulent pooled investment that purportedly invested in metals, commodities, real estate, and a fund that, among other things, invested overseas. The defendants then siphoned off the invested funds for their own purposes and to continue to perpetuate the fraud. According to the complaint, none of the securities offered was covered by a registration statement filed with the Commission, and Hass, Projaris’ National Sales Director of Tomahawk, Wisconsin, solicited investors to invest in Projaris, but was not a registered broker-dealer.
The complaint alleges that Projaris, Victory, and the Lawlers violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933 (Securities Act). The complaint also alleges that Projaris, Victory, Joe Lawler, and Hass violated Section 5 of the Securities Act for the offer and sale of securities in unregistered transactions. Finally, the complaint alleges that Joe Lawler and Hass violated Section 15(a) of the Exchange Act by acting as unregistered broker-dealers. The Commission seeks permanent injunctive relief, disgorgement plus prejudgment interest, and civil monetary penalties. [SEC v. Projaris Management, LLC et al, Civil Action No. 1:13-cv-00849, (D.N.M.)] (LR-22793)
Commission Files Civil Injunctive Action against Alleged Perpetrator and Unregistered Broker in Fraudulent Promissory Note Offering
On September 9, 2013, the Commission filed a civil injunctive action in the United States District Court for the District of Colorado against Brian G. Elrod for allegedly conducting a fraudulent offering of promissory notes for which Nova Dean Pack acted as an unregistered broker. Elrod and Pack reside in Buffalo Creek, Colorado and Highland, California, respectively.
The Complaint alleges that, from at least March 2009 through November 2009, Elrod and Pack raised approximately $2 million from 12 investors who invested in high-yield promissory notes issued by CFS Holding Company LLC (CFS), a Colorado company owned and managed by Elrod. According to the Complaint, Elrod told investors that their investments were secured and guaranteed and would generate annual returns ranging from 12% to 24%. According to the Complaint, Elrod further represented to investors that the proceeds from their promissory notes would be used to expand a group of financial services companies owned and managed by Elrod. The Complaint alleges that the foregoing representations, among others, were false and misleading when made, and that Elrod, rather than use investor money for legitimate business purposes, improperly used most of the investor funds to make substantial payments to himself and family members and to pay for personal expenses, to pay Pack significant commissions for referring investors, and to make interest payments back to investors. According to the Complaint, the CFS note offering was not registered with the Commission, and Pack was not an associated person of a registered broker or dealer at the time he participated in the CFS note offering.
Without admitting or denying the SEC’s allegations, Elrod and Pack agreed to settle the case against them. The settlement is pending final approval by the court. Specifically, Elrod consented to the entry of a final judgment permanently enjoining him from future violations of Sections 5 and 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, and requiring him to pay disgorgement of $1,720,491, the amount of his ill-gotten gains, plus prejudgment interest of $295,817, and a civil penalty of $1,720,491. Pack consented to the entry of a final judgment permanently enjoining him from future violations of Section 5 of the Securities Act and Section 15(a) of the Exchange Act, and ordering disgorgement of $171,500 plus prejudgment interest of $25,177, but waiving payment and not imposing a civil penalty based upon his financial condition. [SEC v. Brian G. Elrod and Nova Dean Pack, Case CV-02449 (WYD) (D. Colo.)] (LR-22794)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-85) relating to changes to the means of achieving the investment objective applicable to the AdvisorShares QAM Equity Hedge ETF 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 September 9th. (Rel. 34-70347)
A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2013-048) 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 September 9th. (Rel. 34-70348)
A proposed rule change filed by Miami International Securities Exchange LLC to amend MIAX Rule 1322 (Options Communications) 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 September 9th. (Rel. 34-70299)
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-3 SIGNATURE GROUP HOLDINGS, INC., 15303 VENTURA BLVD., SUITE 1600, SHERMAN OAKS, CA, 91403, (805) 409-4340 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-191020 - Sep. 6) (BR. 10B) S-3ASR AMERICAN HONDA FINANCE CORP, 20800 MADRONA AVENUE, TORRANCE, CA, 90503, 3109722511 - 0 ($0.00) Debt, (File 333-191021 - Sep. 6) (BR. 07C) S-3ASR Edwards Lifesciences Corp, ONE EDWARDS WAY, IRVINE, CA, 92614, 9492502500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191022 - Sep. 6) (BR. 10A) S-8 RENASANT CORP, 209 TROY STREET, TUPELO, MS, 38804-4827, (662) 680-1001 - 238,122 ($6,048,298.80) Equity, (File 333-191023 - Sep. 6) (BR. 07B) S-4 TOPS HOLDING II CORP, 6363 MAIN STREET, WILLIAMSVILLE, NY, 14221, 716-635-5000 - 0 ($610,000,000.00) Debt, (File 333-191029 - Sep. 6) (BR. 02) S-4 BGS Acquisition Subsidiary, Inc., 20 WEST 55TH STREET, 2ND FLOOR, NEW YORK, NY, 10019, (212) 823-0281 - 0 ($159,333,849.00) Equity, (File 333-191030 - Sep. 6) (BR. 09) F-3 YINGLI GREEN ENERGY HOLDING CO LTD, NO. 3055 MIDDLE FUXING ROAD, BAODING, F4, 071051, (86 312) 3100-500 - 0 ($200,000,000.00) Other, (File 333-191031 - Sep. 6) (BR. 10B) S-3 LSI INDUSTRIES INC, 10000 ALLIANCE RD, P O BOX 42728, CINCINNATI, OH, 45242, 5135796411 - 85,000,001 ($85,000,001.00) Other, (File 333-191032 - Sep. 6) (BR. 11A) S-8 RADISYS CORP, 5435 NE DAWSON CREEK DR, HILLSBORO, OR, 97124, 5036151100 - 250,000 ($860,000.00) Equity, (File 333-191033 - Sep. 6) (BR. 03C) S-8 RADISYS CORP, 5435 NE DAWSON CREEK DR, HILLSBORO, OR, 97124, 5036151100 - 750,000 ($2,580,000.00) Equity, (File 333-191034 - Sep. 6) (BR. 03C) S-4 EATON CORP, EATON CTR, 1111 SUPERIOR AVE, CLEVELAND, OH, 44114-2584, 2165235000 - 0 ($4,900,000,000.00) Debt, (File 333-191035 - Sep. 6) (BR. 06C) S-3ASR AOL Inc., 770 BROADWAY, 4TH FLOOR, NEW YORK, NY, 10003, 703-265-1000 - 0 ($80,128,374.97) Equity, (File 333-191041 - Sep. 6) (BR. 03A) S-8 AOL Inc., 770 BROADWAY, 4TH FLOOR, NEW YORK, NY, 10003, 703-265-1000 - 0 ($132,479,429.12) Equity, (File 333-191043 - Sep. 6) (BR. 03A) S-4 OUTERWALL INC, 1800 114TH AVENUE SE, BELLEVUE, WA, 98004, 4259438000 - 0 ($350,000,000.00) Debt, (File 333-191044 - Sep. 6) (BR. 11A) S-8 IntraLinks Holdings, Inc., C/O INTRALINKS, INC., 150 E. 42ND STREET, 8TH FLOOR, NEW YORK, NY, 10017, 212-543-7700 - 0 ($4,752,000.00) Equity, (File 333-191045 - Sep. 6) (BR. 03B) S-8 EVOLVING SYSTEMS INC, 9777 PYRAMID COURT, SUITE 100, ENGLEWOOD, CO, 80112, 3038021000 - 0 ($2,065,000.00) Equity, (File 333-191046 - Sep. 6) (BR. 03B) S-1 STONEGATE MORTGAGE CORP, 10412 ALLISONVILLE ROAD, SUITE 250, Fishers, IN, 46038, 317-570-0450 - 0 ($100,000,000.00) Equity, (File 333-191047 - Sep. 6) (BR. 07) S-8 MARRONE BIO INNOVATIONS INC, 2121 SECOND STREET, SUITE B-107, DAVIS, CA, 95618, 530-750-2800 - 0 ($35,373,827.00) Equity, (File 333-191048 - Sep. 6) (BR. 05A) S-11 Steadfast Apartment REIT, Inc., 18100 VON KARMAN AVE, STE 500, IRVINE, CA, 92612, 949-852-0700 - 0 ($935,000,000.00) Equity, (File 333-191049 - Sep. 6) (BR. )
RECENT 8K FILINGS
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 60 EAST 42ND STREET ASSOCIATES L.L.C. NY 8.01,9.01 09/06/13 ACTIVE POWER INC DE 8.01,9.01 09/05/13 Advanced Voice Recognition Systems, I NV 1.01,3.02,9.01 09/03/13 AEGEA, INC. NV 8.01,9.01 07/22/13 AMEND AEI INCOME & GROWTH FUND XXI LTD PART MN 2.01,9.01 08/23/13 AEI INCOME & GROWTH FUND XXII LTD PAR MN 2.01,9.01 08/23/13 AES CORP DE 7.01 09/06/13 AFC ENTERPRISES INC MN 1.01,5.02,9.01 09/05/13 AIS FUTURES FUND IV LP DE 3.02 08/31/13 Aleris Corp DE 5.02 09/02/13 Ally Financial Inc. DE 8.01,9.01 09/04/13 Alphatec Holdings, Inc. DE 1.01 08/30/13 Altegris QIM Futures Fund, L.P. DE 3.02,5.01,8.01 08/30/13 Altegris Winton Futures Fund, L.P. CO 3.02,5.01,8.01 08/30/13 American Heritage International Inc. NV 8.01 09/04/13 American Sands Energy Corp. DE 5.02,5.07,8.01 09/04/13 AMERICAN SCIENCE & ENGINEERING, INC. MA 5.03,9.01 09/04/13 AMERICAN TOWER CORP /MA/ DE 1.01,7.01,9.01 09/06/13 AMERICANWEST BANCORPORATION WA 1.03,9.01 08/30/13 AMERIPRISE FINANCIAL INC DE 1.01,9.01 09/03/13 ANCHOR BANCORP WISCONSIN INC WI 1.03,9.01 08/30/13 AOL Inc. DE 2.01,9.01 09/05/13 APPLIED MATERIALS INC /DE DC 5.02 08/31/13 Ares Commercial Real Estate Corp MD 1.01,2.03,9.01 08/30/13 Ares Dynamic Credit Allocation Fund, 8.01,9.01 09/06/13 ARGAN INC DE 2.02,9.01 09/05/13 Armour Residential REIT, Inc. MD 7.01,9.01 09/06/13 ASSOCIATED BANC-CORP WI 7.01,9.01 09/06/13 Atlantic Coast Financial CORP MD 8.01 08/30/13 BANC OF CALIFORNIA, INC. MD 8.01,9.01 09/03/13 Bankrate, Inc. DE 5.02,9.01 09/03/13 BAXTER INTERNATIONAL INC DE 2.01,9.01 09/06/13 BELK INC 2.02,9.01 09/04/13 BIO RAD LABORATORIES INC DE 4.01,9.01 09/06/13 BioMed Realty Trust Inc DE 5.03,9.01 09/01/13 BioTelemetry, Inc. DE 8.01 07/31/13 AMEND Black Elk Energy Offshore Operations, TX 1.01,9.01 08/30/13 BLUCORA, INC. DE 1.01,1.02,2.03,9.01 08/30/13 BlueLinx Holdings Inc. DE 5.02 09/03/13 BMC SOFTWARE INC DE 8.01,9.01 09/06/13 BOND LABORATORIES, INC. NV 8.01,9.01 08/30/13 Boston Therapeutics, Inc. DE 1.01,3.02,9.01 09/06/13 CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 09/06/13 CBIZ, Inc. DE 2.01,8.01,9.01 08/30/13 CHARTER COMMUNICATIONS, INC. /MO/ DE 2.01,9.01 07/01/13 AMEND Chesapeake Lodging Trust MD 8.01,9.01 09/06/13 China United Insurance Service, Inc. DE 1.01,9.01 06/09/13 CHUBB CORP NJ 5.02 09/04/13 Citadel EFT, Inc. NV 5.02 09/06/13 CITY HOLDING CO WV 8.01 09/05/13 Clear Channel Outdoor Holdings, Inc. DE 5.02 09/06/13 CNL Growth Properties, Inc. MD 1.01 08/30/13 CNL Healthcare Properties, Inc. MD 1.01,2.01,2.03,9.01 08/30/13 COACH INC MD 1.01,1.02,5.02 08/30/13 COLONY BANKCORP INC GA 5.02 09/05/13 COMERICA INC /NEW/ DE 7.01,8.01,9.01 09/06/13 COMMODITY ADVISORS FUND L.P. NY 1.02 08/31/13 CYCLONE POWER TECHNOLOGIES INC FL 1.01,2.03,3.02,9.01 08/30/13 Cyclone Uranium Corp NV 1.01,3.02 08/30/13 CYNOSURE INC 5.02 09/06/13 CYNOSURE INC 9.01 06/24/13 AMEND Diamondback Energy, Inc. DE 1.01,9.01 08/30/13 Diligent Board Member Services, Inc. DE 8.01,9.01 09/05/13 Discover Card Execution Note Trust DE 8.01 09/06/13 DISCOVER CARD MASTER TRUST I DE 8.01 09/06/13 DIVALL INSURED INCOME PROPERTIES 2 LI WI 5.07 08/30/13 Douglas Emmett Inc MD 5.03,9.01 09/06/13 Duke Energy Ohio, Inc. OH 8.01,9.01 09/03/13 DUMA ENERGY CORP NV 5.02 08/30/13 EASTMAN KODAK CO NJ 1.01 09/06/13 Eaton Corp plc 8.01,9.01 09/06/13 Eaton Corp plc 8.01,9.01 09/06/13 EMERGING CTA PORTFOLIO LP NY 1.02 08/31/13 EMERITUS CORP\WA\ WA 7.01 09/06/13 EMPIRE RESORTS INC DE 1.01,9.01 08/30/13 EMPIRE STATE BUILDING ASSOCIATES L.L. NY 8.01,9.01 09/06/13 ENGLOBAL CORP NV 1.01,2.01, 08/30/13 AMEND 2.03,7.01,9.01 Envision Healthcare Holdings, Inc. DE 8.01,9.01 09/06/13 EP Energy LLC DE 5.02 09/03/13 FALCONSTOR SOFTWARE INC DE 5.02 08/30/13 FIRST FINANCIAL BANCORP /OH/ OH 8.01 09/06/13 FIRST POTOMAC REALTY TRUST MD 5.02 09/03/13 Firsthand Technology Value Fund, Inc. 8.01,9.01 09/06/13 FLORIDA GAMING CORP DE 8.01,9.01 08/30/13 FRONTIER OILFIELD SERVICES INC TX 3.02,5.03,9.01 08/30/13 FUELCELL ENERGY INC DE 2.02,3.02,8.01,9.01 09/04/13 GALLAGHER ARTHUR J & CO DE 1.01,9.01 09/06/13 GASTAR EXPLORATION LTD 1.01,7.01,9.01 09/04/13 General Agriculture Corp DE 5.02,5.05,9.01 09/05/13 General Finance CORP DE 8.01,9.01 09/03/13 GENSPERA INC DE 5.03,9.01 09/04/13 Gevo, Inc. DE 5.02 09/03/13 GLOBAL GREEN INC. FL 7.01,9.01 09/04/13 GOOD TIMES RESTAURANTS INC NV 3.01,5.02,5.03,8.01 09/06/13 GRAN TIERRA ENERGY INC. NV 1.01,2.03,9.01 08/30/13 Graymark Healthcare, Inc. OK 1.01,9.01 08/30/13 GREEN ENVIROTECH HOLDINGS CORP. DE 1.02,9.01 06/26/13 GREIF INC DE 2.02,5.03,7.01,9.01 09/03/13 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 09/04/13 Healthient, Inc. 5.07 09/05/13 HEALTHSTREAM INC TN 5.07 02/19/13 AMEND Heatwurx, Inc. DE 3.02 08/30/13 Homeowners of America Holding Corp 1.01,5.03,5.07,9.01 08/31/13 HURCO COMPANIES INC IN 2.02,9.01 09/06/13 ICON Equipment & Corporate Infrastruc DE 8.01 09/06/13 ICON LEASING FUND TWELVE, LLC DE 8.01 09/06/13 IKANOS COMMUNICATIONS DE 5.02,9.01 09/05/13 INCEPTION MINING INC. NV 1.01,9.01 08/30/13 INCEPTION MINING INC. NV 1.01,3.02,9.01 07/31/13 AMEND INTERNATIONAL ISOTOPES INC TX 4.01,9.01 09/01/13 Internet Patents Corp 8.01,9.01 09/05/13 INTERPHASE CORP TX 1.01,9.01 09/03/13 JARDEN CORP DE 1.01,8.01,9.01 09/04/13 JAVELIN MORTGAGE INVESTMENT CORP. MD 7.01,9.01 09/06/13 Jones Lang LaSalle Income Property Tr MD 1.01,2.06,8.01 08/23/13 KEMET CORP DE 5.02 09/06/13 Kips Bay Medical, Inc. DE 3.01 09/05/13 LabStyle Innovations Corp. DE 5.02,9.01 08/30/13 LAYNE CHRISTENSEN CO DE 2.02,9.01 09/06/13 LAZARE KAPLAN INTERNATIONAL INC DE 2.02,8.01,9.01 08/30/13 LIFEPOINT HOSPITALS, INC. 1.01,9.01 09/04/13 LOGITECH INTERNATIONAL SA 5.02,9.01 09/03/13 LOOKSMART LTD DE 2.01 09/03/13 LUCAS ENERGY, INC. NV 9.01 08/30/13 AMEND Macy's, Inc. DE 2.03,9.01 09/06/13 MANNKIND CORP DE 2.03,3.02 09/05/13 MATTRESS FIRM HOLDING CORP. DE 2.02,9.01 09/06/13 MDU COMMUNICATIONS INTERNATIONAL INC DE 1.01,9.01 09/04/13 MeetMe, Inc. DE 1.01,5.02 09/03/13 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01 09/03/13 METLIFE INC DE 8.01,9.01 09/03/13 MEXICO FUND INC MD 7.01,9.01 08/30/13 AMEND NATIONAL BEVERAGE CORP DE 2.02,9.01 09/05/13 NATIONAL PENN BANCSHARES INC PA 7.01,9.01 09/06/13 NATIONAL SECURITY GROUP INC DE 7.01 09/04/13 NATURAL RESOURCE PARTNERS LP DE 7.01,9.01 09/06/13 NEOMEDIA TECHNOLOGIES INC DE 5.07 09/03/13 Neurotrope, Inc. NV 9.01 08/23/13 AMEND Nevada Gold Corp. DE 1.01,9.01 09/01/13 NOHO, Inc. WY 4.01,9.01 09/06/13 NORSTRA ENERGY INC NV 9.01 06/06/13 NRG ENERGY, INC. DE 1.01,9.01 09/04/13 OIL STATES INTERNATIONAL, INC DE 2.01,8.01,9.01 09/05/13 OM GROUP INC DE 1.01,1.02, 09/06/13 2.03,8.01,9.01 OMNICARE INC DE 8.01 09/06/13 ON THE MOVE SYSTEMS CORP. FL 5.02 08/29/13 Onconova Therapeutics, Inc. DE 2.02,9.01 09/06/13 Oncothyreon Inc. DE 5.02,9.01 09/05/13 OUTERWALL INC DE 8.01,9.01 09/06/13 OUTERWALL INC DE 8.01,9.01 09/06/13 PEABODY ENERGY CORP DE 7.01 09/06/13 PERVASIP CORP NY 3.02,5.03,9.01 08/30/13 PHARMATHENE, INC DE 8.01,9.01 09/06/13 PNC FINANCIAL SERVICES GROUP, INC. PA 8.01 09/05/13 Premier Beverage Group Corp NV 7.01 09/03/13 PVR PARTNERS, L. P. DE 8.01,9.01 09/03/13 RADISYS CORP OR 5.07 09/04/13 RAND WORLDWIDE INC DE 1.01,9.01 02/01/13 REALTY INCOME CORP MD 5.02,5.03,7.01,9.01 09/03/13 RED MOUNTAIN RESOURCES, INC. FL 7.01,9.01 09/06/13 Regency Energy Partners LP DE 1.01,7.01,9.01 09/04/13 RJO GLOBAL TRUST DE 5.02,8.01,9.01 07/31/13 Rockwood Holdings, Inc. DE 2.01,8.01,9.01 08/31/13 SABINE ROYALTY TRUST TX 2.02,9.01 09/05/13 SafeStitch Medical, Inc. DE 2.01,2.03,3.02, 08/30/13 3.03,5.01,5.02, 5.03,7.01,9.01 Sanomedics International Holdings, In DE 1.01,2.01, 08/30/13 2.03,3.02,9.01 Scripps Networks Interactive, Inc. OH 5.02,8.01,9.01 09/03/13 Shire plc 8.01,9.01 09/06/13 SIGMA ALDRICH CORP DE 5.02 09/03/13 SILGAN HOLDINGS INC DE 1.01,8.01,9.01 09/04/13 SMITH & WESSON HOLDING CORP NV 2.02,7.01,9.01 09/05/13 SMITHFIELD FOODS INC VA 2.02,9.01 09/06/13 SOFTECH INC MA 1.01,9.01 08/30/13 Solar Power, Inc. CA 5.02 08/30/13 SOLAZYME INC DE 5.02 09/04/13 SOUTHERN CALIFORNIA EDISON CO CA 5.02,9.01 09/05/13 SOUTHERN UNION CO DE 8.01,9.01 09/01/13 AMEND SPRINT Corp DE 5.02,9.01 09/06/13 Standard Financial Corp. MD 3.01,9.01 09/06/13 STARBUCKS CORP WA 2.03,8.01,9.01 09/03/13 Steadfast Income REIT, Inc. MD 7.01,9.01 09/06/13 SUJA MINERALS, CORP NV 1.01,2.01,3.02, 08/15/13 AMEND 5.01,5.02,7.01 SUNEDISON, INC. DE 1.02 09/04/13 SUPERVALU INC DE 7.01,8.01,9.01 09/06/13 SYCAMORE NETWORKS INC DE 1.02,9.01 09/05/13 Sync2 Networks Corp NV 5.01,9.01 08/14/13 TAURIGA SCIENCES, INC. FL 5.02,9.01 08/31/13 TENET HEALTHCARE CORP NV 7.01,9.01 09/06/13 THERAVANCE INC DE 8.01 09/06/13 Titan Iron Ore Corp. NV 1.01,3.02,9.01 09/04/13 TRI-CONTINENTAL CORP MD 7.01,9.01 09/06/13 TRICO BANCSHARES / CA 8.01,9.01 09/05/13 TripAdvisor, Inc. DE 5.02,9.01 09/05/13 Trovagene, Inc. DE 8.01,9.01 09/06/13 TURBINE TRUCK ENGINES INC NV 5.03,9.01 09/05/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/06/13 United Development Funding III, LP DE 8.01,9.01 09/06/13 UNITED STATES STEEL CORP DE 5.02 08/30/13 AMEND UNITED TECHNOLOGIES CORP /DE/ DE 5.02,9.01 09/03/13 UNIVERSAL TECHNICAL INSTITUTE INC DE 9.01 09/05/13 UNWIRED PLANET, INC. DE 8.01 09/05/13 URANERZ ENERGY CORP. NV 1.01,7.01,9.01 09/06/13 UTi WORLDWIDE INC D8 2.02,9.01 09/06/13 Vishay Precision Group, Inc. DE 3.02,8.01 08/28/13 VIVUS INC CA 5.02 07/18/13 AMEND Vystar Corp GA 5.01 08/30/13 Wheeler Real Estate Investment Trust, MD 8.01,9.01 09/03/13 WILLIAMS SONOMA INC CA 1.01,2.03 08/30/13 WISCONSIN ENERGY CORP WI 7.01,9.01 09/06/13 Xtreme Oil & Gas, Inc. NV 5.02 09/04/13 YUM BRANDS INC NC 2.02 09/06/13