Commission Names Leeann Gaunt as Chief of Municipal Securities and Public Pensions Unit
The Securities and Exchange Commission (Commission) today announced the appointment of LeeAnn Ghazil Gaunt as chief of the Enforcement Division's Municipal Securities and Public Pensions Unit.
Ms. Gaunt has worked in the specialized unit since its inception in 2010, and supervised the agency's first pay-to-play enforcement action for "in-kind" political campaign contributions in September 2012 when the SEC charged Goldman Sachs and an executive vice president for violations related to contributions to the then-state treasurer of Massachusetts.
Ms. Gaunt has worked in the SEC's Boston Regional Office for 13 years, including 10 in supervisory roles. She has broad investigative experience handling matters ranging from investment adviser violations to insider trading.
"In her 13 years with the SEC, LeeAnn has demonstrated tremendous judgment and leadership as a valued member of our enforcement team," said Andrew J. Ceresney, co-director of the SEC's Division of Enforcement. "We are delighted that she has agreed to lead the Municipal Securities and Public Pensions Unit, which has amassed a strong record of enforcement actions and is an important focus for the division."
Ms. Gaunt said, "I am thrilled to have the opportunity to serve as chief of the Municipal Securities and Public Pensions Unit. I look forward to working with the dedicated and talented professionals in the unit and advancing the SEC's investor protection efforts in this very important area of the nation's financial markets."
Among other municipal securities cases overseen by Ms. Gaunt was a pay-to-play probe involving municipal securities dealer Southwest Securities, which agreed to pay more than $450,000 to settle SEC charges. Outside the municipal bond arena, Ms. Gaunt helped lead an emergency enforcement action against an alleged hedge fund Ponzi scheme that enabled the return of $230 million from overseas. She also helped lead an accounting fraud case against General Electric for improper hedge accounting for derivative instruments, and a market timing case against Massachusetts Financial Services Co. that resulted in the return of more than $300 million to investors.
Prior to joining the SEC enforcement staff, Ms. Gaunt was in private practice in Boston, first at Skadden, Arps, Slate, Meagher & Flom LLP and later at Goodwin Procter LLP. She earned her bachelor's degree from Fairfield University and her law degree from the Northeastern University School of Law. (Rel. 2013-240)
Commission Suspends Trading in the Securities of Far Vista Petroleum Corp.
The Commission today announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934, of trading in the securities of Far Vista Petroleum Corp. ("FVSTA"), at 9:30 a.m. EST on November 8, 2013 through 11:59 p.m. EST on November 21, 2013.
The Commission temporarily suspended trading in the securities of FVSTA because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things, FVSTA's business prospects, operations, and control. FVSTA is quoted on OTC Link under the ticker symbol FVSTA. See In the Matter of Press Ventures, Inc. (Rel. 34-70835)
Commission Sustains Disciplinary Action against Robert Conway and Kakit Ng
The Commission sustained FINRA's disciplinary action against Robert Conway and Kakit Ng, who were registered representatives of a former member firm. FINRA found that Conway and Ng violated FINRA's just and equitable principles of trade rule by engaging in deceptive market timing and unlawful late trading in mutual fund shares. FINRA fined Conway $100,000 and suspended him for eighteen months. FINRA fined Ng $20,000 and suspended him for nine months. In sustaining FINRA's action, the Commission concluded that the suspensions were remedial and necessary for the protection of investors because Conway's and Ng's widespread deceptive conduct, coupled with their insistence that their conduct was not wrong, indicates that they pose a continuing threat to the public. (Rel. 34-70833)
In the Matter of Michael Bresner
An Administrative Law Judge has issued an Initial Decision in Michael Bresner, Admin. Proc. File No. 3-15015, as to Respondents Michael Bresner (Bresner), Ralph Calabro (Calabro), Jason Konner (Konner), and Dimitrios Koutsoubos (Koutsoubos) (collectively, Respondents).
The Initial Decision orders: (1) Calabro, Konner, and Koutsoubos to cease and desist from committing or causing violations or future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule 10b-5; (2) collateral bars as to Calabro, Konner, and Koutsoubos; (3) a supervisory bar as to Bresner; (4) payment of disgorgement by Calabro, Konner, and Koutsoubos in the amounts of $282,000, $55,000, and $30,000, plus prejugment interest, respectively; and (5) civil penalties against Calabro, Konner, Koutsoubos, and Bresner in the amounts of $150,000, $150,000, $130,000, and $5,000, respectively. (Rel. ID-517)
Investment company orders
Pacific Life Insurance Company, et al.
An order has been issued pursuant to Sections 26(c) of the Investment Company Act of l940, as amended (the "1940 Act") on an application filed by Pacific Life Insurance Company ("Pacific Life"), Pacific Life & Annuity Company ("PL&A") (together with Pacific Life, "Insurers"), Pacific Life's Separate Account A, Pacific Life's Pacific Select Variable Annuity Separate Account, and PL&A's Separate Account A (collectively, "Applicants"). The order permits the Applicants to substitute Service Shares of the Janus Aspen Balanced Portfolio, a series of Janus Aspen Series, for Class B shares of the AllianceBernstein VPS Balanced Wealth Strategy Portfolio, a series of the AllianceBernstein Variable Product Series Fund, Inc., under certain variable annuity contracts issued by the Insurers. (Rel. IC-30777)
Immediate Effectiveness of Proposed Rule Change
The Options Clearing Corporation ("OCC") filed a proposed rule change (File No. SR-OCC-2013-19) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, concerning an amendment to the amended and restated clearing and services agreement between The Options Clearing Corporation and NYSE Liffe US LLC in connection with NYSE Liffe US LLC's transition to electronic vault receipts. Publication is expected in the Federal Register during the week of November 11th. (Rel. 34-70838)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-110) relating to the customer rebate program 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 November 11th. (Rel. 34-70840)
A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2013-049) to extend the tier size pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) 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 November 11th. (Rel. 34-70839)
A proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2013-40) to Amend EDGX Rule 3.5, Advertising Practices; and repeal Rule 3.20, Initial or Partial Payments, to Conform with the Rules of the Financial Industry Regulatory Authority, Inc. has become immediately 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 November 11th. (Rel. 34-70836)
A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2013-32) to Amend EDGA Rule 3.5, Advertising Practices; and repeal Rule 3.20, Initial or Partial Payments, to Conform with the Rules of the Financial Industry Regulatory Authority, Inc. has become immediately 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 November 11th. (Rel. 34-70837)
Notice of Proposed Rule Change
NYSE MKT LLC has filed a proposed rule change (SR-NYSEMKT-2013-88) pursuant to Section 19(b) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending certain rules that address wash sales in order to harmonize the Exchange's rules with the rules of New York Stock Exchange LLC and the Financial Industry Regulatory Authority. Publication is expected in the Federal Register during the week of November 11th. (Rel. 34-70832)
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 NUMEREX CORP /PA/, 3330 CUMBERLAND BLVD, SUITE 700, ATLANTA, GA, 30339, 770-693-5950 - 0 ($8,670,000.00) Equity, (File 333-192142 - Nov. 7) (BR. 11A) S-1 SINGLE TOUCH SYSTEMS INC, 2235 ENCINITAS BLVD. SUITE 210, ENCINITAS, CA, 92024, (760) 438-0100 - 9,524,344 ($5,557,454.00) Equity, (File 333-192143 - Nov. 7) (BR. 03A) S-8 MAVENIR SYSTEMS INC, 1700 INTERNATIONAL PARKWAY, SUITE 200, RICHARSON, TX, 75081, 469-916-4393 - 0 ($27,765,613.00) Equity, (File 333-192149 - Nov. 7) (BR. 03B) S-8 TWITTER, INC., 1355 MARKET STREET, SUITE 900, San Francisco, CA, 94103, (415) 222-9670 - 0 ($4,514,874,780.00) Equity, (File 333-192150 - Nov. 7) (BR. 03B) S-1 Swift Start Inc., 248 HEWES ST., BROOKLYN, NY, 11211, 718-521-6949 - 2,040,000 ($34,000.00) Equity, (File 333-192151 - Nov. 7) (BR. 11) S-8 National Interstate CORP, 3250 INTERSTATE DRIVE, RICHFIELD, OH, 44286, (330) 659-8900 - 0 ($14,035,000.00) Equity, (File 333-192152 - Nov. 7) (BR. 01A) S-3 GENTIVA HEALTH SERVICES INC, 3350 RIVERWOOD PARKWAY, SUITE 1400, ATLANTA, GA, 30339, 7709516450 - 0 ($1.01) Unallocated (Universal) Shelf, (File 333-192154 - Nov. 7) (BR. 09A) S-8 UROPLASTY INC, 5420 FELTL ROAD, MINNETONKA, MN, 55343, (952) 426-6140 - 750,000 ($2,306,250.00) Equity, (File 333-192155 - Nov. 7) (BR. 10B) S-1 Halton Universal Brands Inc., 500 NORTH RAINBOW BLVD, SUITE 300, LAS VEGAS, NV, 89107, (702) 224-2286 - 40,000,000 ($400,000.00) Equity, (File 333-192156 - Nov. 7) (BR. ) S-8 WebMD Health Corp., 111 EIGHTH AVE., NEW YORK, NY, 10011, 212-624-3700 - 0 ($51,007,425.00) Equity, (File 333-192157 - Nov. 7) (BR. 03A) S-8 State Auto Financial CORP, 518 EAST BROAD STREET, COLUMBUS, OH, 43215, 6144645000 - 1,000,000 ($20,220,000.00) Equity, (File 333-192158 - Nov. 7) (BR. 01B) S-8 ATLAS AIR WORLDWIDE HOLDINGS INC, 2000 WESTCHESTER AVENUE, PURCHASE, NY, 10577-2543, 9147018000 - 0 ($50,791,000.00) Equity, (File 333-192159 - Nov. 7) (BR. 05A) S-4 BRIDGE BANCORP INC, 2200 MONTAUK HGWAY, BRIDGEHAMPTON, NY, 11932, 6315371000 - 0 ($21,556,075.00) Equity, (File 333-192160 - Nov. 7) (BR. 07B) S-8 MERCURY SYSTEMS INC, 201 RIVERNECK ROAD, CHELMSFORD, MA, 01824, 9782561300 - 0 ($2,332,014.00) Equity, (File 333-192161 - Nov. 7) (BR. 10B) S-4 EXTERRAN PARTNERS, L.P., 4444 BRITTMORE ROAD, HOUSTON, TX, 77041-8004, 713-335-7000 - 0 ($350,000,000.00) Debt, (File 333-192162 - Nov. 7) (BR. 02B) S-3 Addus HomeCare Corp, 2401 SOUTH PLUM GROVE ROAD, PALATINE, IL, 60067, 847-303-5300 - 0 ($268,743,517.00) Other, (File 333-192163 - Nov. 7) (BR. 09) S-8 RBC Bearings INC, ONE TRIBOLOGY CENTER, OXFORD, CT, 06478, (203) 267 7001 - 1,500,000 ($103,635,000.00) Equity, (File 333-192164 - Nov. 7) (BR. 06A) S-1 Sprouts Farmers Market, Inc., 11811 N. TATUM BOULEVARD SUITE 2400, PHOENIX, AZ, 85028, 480-814-8016 - 0 ($1,168,773,750.00) Equity, (File 333-192165 - Nov. 7) (BR. 02) S-8 KLA TENCOR CORP, ONE TECHNOLOGY DRIVE, MILPITAS, CA, 95035, 4088756000 - 2,900,000 ($185,875,500.00) Equity, (File 333-192167 - Nov. 7) (BR. 10B) S-3 Highpower International, Inc., LUOSHAN INDUSTRIAL ZONE, PINGHU, LONGGANG, SHENZHEN, GUANGDONG, F4, 518111, 86 755 896 86238 - 0 ($22,321,429.00) Equity, (File 333-192168 - Nov. 7) (BR. 10A) S-8 MITCHAM INDUSTRIES INC, 8141 SH 75 SOUTH, PO BOX 1175, HUNTSVILLE, TX, 77342, 9362912277 - 800,000 ($13,336,000.00) Equity, (File 333-192169 - Nov. 7) (BR. 06B) S-4 GEO GROUP INC, 621 NW 53RD STREET, SUITE 700, BOCA RATON, FL, 33487, 561-893-0101 - 0 ($250,000,000.01) Non-Convertible Debt, (File 333-192170 - Nov. 7) (BR. 08B) S-3 FALCONSTOR SOFTWARE INC, 125 BAYLIS ROAD, MELVILLE, NY, 11747, 631 777 5188 - 0 ($19,494,968.48) Equity, (File 333-192171 - Nov. 7) (BR. 03B) S-8 Wix.com Ltd., 40 NAMAL TEL AVIV ST., TEL AVIV, L3, 6701101, 97235454900 - 0 ($54,713,356.00) Equity, (File 333-192172 - Nov. 7) (BR. 03A) S-8 FALCONSTOR SOFTWARE INC, 125 BAYLIS ROAD, MELVILLE, NY, 11747, 631 777 5188 - 0 ($592,000.00) Equity, (File 333-192173 - Nov. 7) (BR. 03B) S-8 PMX Communities, Inc., 2200 NW CORPORATE BLVD, SUITE 220, BOCA RATON, FL, 33431, 561-245-7613 - 5,500,000 ($110,000.00) Equity, (File 333-192174 - Nov. 7) (BR. 02B) S-8 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 3,000,000 ($81,900,000.00) Other, (File 333-192175 - Nov. 7) (BR. 04B) F-3 Navios Maritime Partners L.P., 7 AVENUE DE GRANDE BRETAGNE, OFFICE 11B2, MONTE CARLO, MC, O9, 98000, 37797982140 - 0 ($197,695,000.00) Unallocated (Universal) Shelf, (File 333-192176 - Nov. 7) (BR. 05B) S-8 ImmunoCellular Therapeutics, Ltd., 23622 CALABASAS ROAD, SUITE 300, CALABASAS, CA, 91302, 818-264-2300 - 0 ($10,480,000.00) Equity, (File 333-192177 - Nov. 7) (BR. 01B) S-3ASR T-Mobile US, Inc., 12920 SE 38TH STREET, BELLEVUE, WA, 98006, 800-318-9270 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-192178 - Nov. 7) (BR. 11A) S-4 Kansas City Southern de Mexico, S.A. de C.V., MONTES URALES NO. 625, COL. LOMAS DE CHAPULTEPEC, MEXICO CITY, O5, 11000, 011525591785836 - 0 ($250,000,000.00) Debt, (File 333-192179 - Nov. 7) (BR. 05B) S-3ASR SolarWinds, Inc., 3711 SOUTH MOPAC EXPRESSWAY, BUILDING TWO, AUSTIN, TX, 78746, 512-682-9500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-192180 - Nov. 7) (BR. 03A) S-1 International Precious Metals Inc, 64040 HARVEST MOON ROAD, DESERT HOT SPRINGS, CA, 92240, 760-799-9462 - 2,000,000 ($200,000.00) Equity, (File 333-192181 - Nov. 7) (BR. ) S-8 Bristow Group Inc, 2103 CITY WEST BLVD., 4TH FLOOR, HOUSTON, TX, 77042, 7132677600 - 4,200,000 ($333,144,000.00) Equity, (File 333-192182 - Nov. 7) (BR. 05B)
Recent 8K Filings
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