Securities and Exchange Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on Feb. 24, 2011 and terminating at 11:59 p.m. EST on March 9, 2011.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-63951)
SEC Charges Former Treasurer of Major Mortgage Lender for Role in Securities Fraud and TARP Scheme
The Securities and Exchange Commission today charged the former treasurer of the one-time largest non-depository mortgage lender in the country with aiding and abetting a $1.5 billion securities fraud scheme and an attempt to scam the U.S. Treasury’s Troubled Asset Relief Program (TARP).
The SEC alleges that Desiree E. Brown, the former treasurer of Taylor, Bean & Whitaker Mortgage Corp. (TBW), helped enable the sale of more than $1.5 billion in fictitious and impaired mortgage loans and securities from TBW to Colonial Bank, and caused them to be falsely reported to the investing public as high-quality, liquid assets. Brown also helped cause Colonial Bank to misrepresent that it had satisfied a prerequisite necessary to qualify for TARP funds.
The SEC previously charged former TBW chairman and majority owner Lee B. Farkas in June 2010. Farkas also was arrested in June by criminal authorities. In a related action today, Brown pleaded guilty to criminal charges filed by the U.S. Department of Justice in the Eastern District of Virginia.
“Brown willingly participated with Farkas in a $1.5 billion fraud on Colonial Bank and its investors,” said Lorin L. Reisner, Deputy Director of the SEC’s Division of Enforcement. “Brown also aided efforts by Farkas to mislead Colonial Bank and its regulators regarding the bank’s application for TARP funds.”
According to the SEC’s complaint filed in U.S. District Court for the Eastern District of Virginia, Brown and Farkas perpetrated the fraudulent scheme from March 2002 to August 2009, when Colonial Bank was seized by regulators and Colonial BancGroup and TBW both filed for bankruptcy. TBW was the largest customer of Colonial Bank’s Mortgage Warehouse Lending Division (MWLD). Because TBW generally did not have sufficient capital to internally fund the mortgage loans it originated, it relied on financing arrangements primarily through Colonial Bank’s MWLD to fund such mortgage loans.
The SEC alleges that when TBW began to experience liquidity problems and overdrew its then-limited warehouse line of credit with Colonial Bank by approximately $15 million each day, Brown and Farkas and an officer of Colonial Bank concealed the overdraws through a pattern of “kiting” in which certain debits were not entered until after credits due for the following day were entered. In order to conceal this initial fraudulent conduct, Brown, Farkas and the Colonial Bank officer created and submitted fictitious loan information to Colonial Bank and created fictitious mortgage-backed securities assembled from the fraudulent loans. By the end of 2007, the scheme consisted of approximately $500 million in fake residential mortgage loans and approximately $1 billion in severely impaired residential mortgage loans and securities. These fictitious and impaired loans were misrepresented as high-quality assets on Colonial BancGroup’s financial statements.
The SEC alleges that in addition to causing Colonial BancGroup to misrepresent its assets, Brown assisted Farkas in causing BancGroup to misstate publicly that it had obtained commitments for a $300 million capital infusion that would qualify Colonial Bank for TARP funding. In fact, Farkas and Brown never secured financing or sufficient investors to fund the capital infusion. When BancGroup issued a press release announcing it had obtained preliminary approval to receive $550 million in TARP funds, its stock price jumped 54 percent – its largest one-day price increase since 1983. When BancGroup and TBW later mutually announced the termination of their stock purchase agreement and signaled the end of Colonial Bank’s pursuit of TARP funds, BancGroup’s stock declined 20 percent.
The SEC’s complaint charges Brown with violations of the antifraud, reporting, books and records and internal controls provisions of the federal securities laws. Without admitting or denying the SEC’s allegations, Brown consented to the entry of a judgment permanently enjoining her from violation of Rule 13b2-1 of the Securities Exchange Act of 1934 and from aiding and abetting violations of Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B) and 13(b)(5) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-11 and 13a-13 thereunder. The proposed preliminary settlement, under which the SEC’s requests for financial penalties against Brown would remain pending, is subject to court approval.
The SEC’s case was investigated by M. Graham Loomis, Aaron W. Lipson, Yolanda L. Ross and Barry R. Lakas of the Atlanta Regional Office. The SEC acknowledges the assistance of the Fraud Section of the U.S. Department of Justice’s Criminal Division, the Federal Bureau of Investigation, the Office of the Special Inspector General for the TARP, the Federal Deposit Insurance Corporation’s Office of the Inspector General, the Office of the Inspector General for the U.S. Department of Housing and Urban Development, and the U.S. Attorney’s Office for the Eastern District of Virginia, Civil Division. The SEC brought its enforcement action in coordination with these other members of the Financial Fraud Enforcement Task Force.
The SEC’s investigation is continuing.
For more information concerning this enforcement action, contact:
Lorin L. Reisner
Rhea Kemble Dignam, Regional Director
(Press Rel. 2011-49)
SEC Halts Fraudulent Investment Scheme By Purported Trader in Dallas-Fort Worth Area
The Securities and Exchange Commission has obtained an emergency court order halting an alleged offering fraud conducted by a purported trader in the Dallas-Fort Worth area. The order was unsealed by the court today.
The SEC alleges that Christopher Love Blackwell sold investments in a phony fixed income trading program by enticing investors with promises of risk-free, guaranteed monthly investment returns as high as 30 percent. Blackwell assured investors he was an experienced trader and advisor in a variety of securities and services including hedge funds and international bank instruments. However, instead of investing client funds as promised, Blackwell spent nearly $3 million in investor money on questionable unrelated business activities as well as such personal expenses as child support, gentlemen’s club entertainment, and purchases of expensive vehicles. He also made approximately $500,000 in Ponzi-like payments using money from new investors to pay earlier investors.
Neither Blackwell nor his two firms also charged in the SEC’s enforcement action have ever registered with the SEC or any state regulator to sell securities.
“Blackwell concocted a resume boasting degrees he never earned, work experience he never had, and personal connections he didn’t make,” said Rose Romero, Director of the SEC’s Fort Worth Regional Office. “Blackwell enticed investors by promising exorbitant returns and assuring that their principal amount would be held safely in an escrow account. In reality, Blackwell was misappropriating their money in a myriad of ways.”
The Honorable Sam A. Lindsay, U.S. District Judge for the Northern District of Texas, granted the SEC's request for emergency relief on February 11, including an order temporarily restraining Blackwell from committing further violations of the antifraud provisions and an order freezing Blackwell’s assets.
According to the SEC’s complaint filed Feb. 7, 2011, in U.S. District Court for the Northern District of Texas, the SEC worked closely with law enforcement agents from the U.S. Department of Homeland Security (DHS) on the case. Blackwell came under DHS attention due to large wire transfers and cash transactions. While pitching his trading program to an undercover DHS agent whom Blackwell thought was a wealthy potential investor, he made numerous false and misleading representations including risk-free returns of “25 to 30 percent per month with regularity.” Blackwell falsely claimed that these profits were possible because of his purported academic pedigree that including Master’s and Ph.D. degrees from the University of Madrid. Blackwell has no such degrees.
According to the SEC’s complaint, during a Feb. 11, 2010, face-to-face conversation with an undercover agent, Blackwell touted the know-how and connections he acquired while employed by Goldman Sachs and The Bank of Madrid. In reality, Blackwell never worked at either firm.
The SEC alleges that Blackwell misused investor money to pay more than $720,000 in personal and business expenses, including child support, travel, entertainment (including gentlemen’s clubs), utilities, food, office equipment and supplies, office rent, and purchases of an Audi, Hummer and other vehicles. Blackwell also funneled more than $900,000 in cash directly to himself, family members, friends and other associates. He further diverted investor funds to support other questionable business activities, including roughly $249,000 purportedly used to fund a personal entertainment investment and roughly $1.1 million to purchase interests in sham letters of credit. Separately, Blackwell used more than $500,000 to make Ponzi-like payments.
The SEC's complaint charges, among other things, that Blackwell and his entities violated the anti-fraud provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940. In addition to the emergency and interim relief that has been obtained, the SEC seeks a final judgment permanently enjoining Blackwell and his entities from future violations of the relevant provisions of the federal securities laws and ordering them to pay financial penalties and disgorgement of ill-gotten gains with prejudgment interest.
The SEC thanks the Department of Homeland Security for its assistance in this matter.
For more information about this enforcement action, contact:
Stephen J. Korotash
(Press Rel. 2011-50)
Open Meeting on March 2, 2011 at 10:00 a.m.
The subject matters of the Open Meeting will be:
Item 1: The Commission will consider whether to propose regulations with respect to incentive-based compensation practices at certain financial institutions in accordance with Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Item 2: The Commission will consider whether to propose rules for the operation and governance of clearing agencies in accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 and Section 17A of the Securities Exchange Act of 1934.
Item 3: The Commission will consider whether to reopen the comment period for Regulation MC, which was proposed pursuant to Section 765 of the Dodd-Frank Act to mitigate conflicts of interest at security-based swap clearing agencies, security-based swap execution facilities, and national security exchanges that post or make available for trading security-based swaps, in order to solicit further comment on Regulation MC and other more recent proposed rulemakings that concern conflicts of interest at security-based swap clearing agencies and security-based swap execution facilities.
Item 4: The Commission will consider whether to propose a new rule and rule and form amendments under the Securities Act of 1933 and the Investment Company Act of 1940, relating to references to credit ratings. These amendments are in accordance with Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Closed Meeting on Thursday, March 3, 2011 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, March 3, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
Commission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic Filings
In conjunction with today’s trading suspension, the Commission also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-63952; File No. 3-14271)
In the Matter of Sam P. Douglass
On Feb. 24, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(f) And 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Sam P. Douglass (Order). The Order finds that Douglass formerly served as chairman of Equus Total Return, Inc., a business development company listed on the New York Stock Exchange, and controlled an investment adviser that provided investment advice to Equus. According to the Order, Douglass was responsible for misleading information in an Equus press release, Commission reports, proxy materials, and board meetings regarding a payment of approximately $400,000 to a senior Equus officer in connection with a change in Equus’s investment advisers in June 2005.
Based on the above, the Order censured Douglass, ordered him to pay a $25,000 civil penalty, and ordered him to cease and desist from committing or causing any violations and any future violations of Sections 13(a), 13(b)(2)(A), 13(b)(2)(B), and 14(a) of the Securities Exchange Act and Rules 12b-20, 13a-1, 13a-11, 13a-13, 13b2-1, 13b2-2, and 14a-9 thereunder and Section 206(2) of the Investment Advisers Act of 1940. Respondent Douglass consented to the entry of the Order without admitting or denying its findings, except as to the Commission’s jurisdiction over him and the subject matter of the proceedings, which he admitted. (Rels. 34-63953; IA-3166; IC-29588; File No. 3-13934)
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 VALUEVISION MEDIA INC, 6740 SHADY OAK RD, MINNEAPOLIS, MN, 55344-3433, 6129475200 - 0 ($18,375,000.00) Unallocated (Universal) Shelf, (File 333-172392 - Feb. 23) (BR. 02A) S-3ASR PG&E CORP, ONE MARKET SPEAR TOWER, SUITE 2400, SAN FRANCISCO, CA, 94105, 4152677000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-172393 - Feb. 23) (BR. 02B) S-3ASR PACIFIC GAS & ELECTRIC Co, 77 BEALE ST, P O BOX 770000, SAN FRANCISCO, CA, 94177, 4159737000 - 0 ($0.00) Debt, (File 333-172394 - Feb. 23) (BR. 02B) S-8 RUDDICK CORP, 301 S. TRYON STREET, SUITE 1800, CHARLOTTE, NC, 28202, 7043725404 - 2,600,000 ($93,496,000.00) Equity, (File 333-172395 - Feb. 23) (BR. 02B) S-8 MEMC ELECTRONIC MATERIALS INC, 501 PEARL DRIVE (CITY OF O'FALLON), ST. PETERS, MO, 63376, 6364745000 - 1,682,804 ($24,838,107.04) Equity, (File 333-172396 - Feb. 23) (BR. 10B) S-8 Treaty Energy Corp, 310 NORTH WILLIS, SUITE 212, ABILENE, TX, 79603, 9053323110 - 100,000,000 ($800,000.00) Equity, (File 333-172402 - Feb. 23) (BR. 04B) F-9 EMERA INC, P O BOX 910 CORPORATE SECY GENERAL COUNS, HALIFORC, 0 ($507,150,000.00) Equity, (File 333-172405 - Feb. 23) (BR. ) S-8 SGOCO Group, Ltd., SGOCO TECHNOLOGY PARK, LUOSHAN, JINJIANG CITY,, FUJIAN,, F4, 362200, 86 (595) 8200-5598 - 1,225,585 ($5,821,528.75) Equity, (File 333-172406 - Feb. 23) (BR. 11C) S-8 XCEL ENERGY INC, 800 NICOLLET MALL, MINNEAPOLIS, MN, 55402, 6123305500 - 3,378,000 ($79,737,690.00) Equity, (File 333-172407 - Feb. 23) (BR. 02C)
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 A. H. Belo CORP DE 2.02,9.01 02/22/11 ACME UNITED CORP CT 1.01,9.01 02/23/11 ADOLOR CORP 2.02,9.01 02/23/11 ADOLOR CORP 1.01,5.02,9.01 02/22/11 Advanced Life Sciences Holdings, Inc. 3.02 02/17/11 ALBANY INTERNATIONAL CORP /DE/ DE 5.02,9.01 02/18/11 ALBANY INTERNATIONAL CORP /DE/ DE 5.03,9.01 02/18/11 ALICO INC FL 5.07,8.01,9.01 02/23/11 ALLEGHENY ENERGY, INC MD 2.02,9.01 02/23/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/23/11 American Eagle Energy Inc. NV 8.01,9.01 02/22/11 American Energy Fields, Inc. DE 1.01,3.02,9.01 02/18/11 American Energy Fields, Inc. DE 1.01 02/22/11 American Energy Fields, Inc. DE 1.01,9.01 02/15/11 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01,9.01 02/23/11 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 02/23/11 ANSYS INC DE 5.02,9.01 02/16/11 Antero Resources Finance Corp DE 2.02,9.01 02/23/11 Anthera Pharmaceuticals Inc DE 2.02,9.01 02/23/11 APAC CUSTOMER SERVICES, INC IL 7.01,9.01 02/18/11 ARGENTEX MINING CORP DE 1.01,9.01 12/02/10 AMEND Asia Carbon Industries, Inc. MD 8.01,9.01 02/23/11 ATHENA SILVER CORP CA 7.01,9.01 02/23/11 Atlantic Southern Financial Group, In 5.02 02/17/11 Avago Technologies LTD U0 2.01,9.01 02/23/11 AXION INTERNATIONAL HOLDINGS, INC. CO 4.01,9.01 02/20/11 AXT INC DE 2.02,9.01 02/23/11 B&G Foods, Inc. DE 8.01,9.01 02/22/11 BALTIA AIR LINES INC NY 4.01 12/31/10 Baltic Trading Ltd 1T 2.02,9.01 02/23/11 BASIC ENERGY SERVICES INC 5.02 02/18/11 BB&T CORP NC 5.03,9.01 02/22/11 BERKSHIRE HILLS BANCORP INC 8.01 02/23/11 BGC Partners, Inc. DE 8.01,9.01 02/22/11 BILL BARRETT CORP 2.02,7.01,9.01 02/23/11 BIOHEART, INC. FL 4.01,9.01 02/20/11 BIOLASE TECHNOLOGY INC DE 2.02,9.01 02/23/11 BIOMIMETIC THERAPEUTICS, INC. DE 8.01,9.01 02/17/11 Booz Allen Hamilton Holding Corp DE 5.02,9.01 02/23/11 BRUKER CORP DE 2.02,9.01 02/23/11 Bullion Monarch Mining, Inc. (NEW) UT 5.02,9.01 02/18/11 BUTLER NATIONAL CORP DE 8.01,9.01 02/23/11 CABOT OIL & GAS CORP DE 2.02,9.01 02/22/11 CADENCE DESIGN SYSTEMS INC DE 7.01 02/22/11 CALAIS RESOURCES INC 8.01,9.01 02/23/11 CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 02/23/11 CALIFORNIA WATER SERVICE GROUP DE 5.02,8.01,9.01 02/23/11 CALIPER LIFE SCIENCES INC DE 2.02,9.01 02/23/11 Cape Bancorp, Inc. MD 5.02,9.01 02/21/11 Capitol Federal Financial Inc MD 5.07,7.01,9.01 02/21/11 Caribou Coffee Company, Inc. MN 2.02,9.01 02/23/11 CARVER BANCORP INC DE 5.02,9.01 02/18/11 CATALYST HEALTH SOLUTIONS, INC. DE 2.02,9.01 02/22/11 CDW Corp DE 7.01,8.01,9.01 02/22/11 CENTER FINANCIAL CORP CA 5.02,9.01 02/17/11 CENTRA FINANCIAL HOLDINGS INC WV 5.02,9.01 02/16/11 CENTRA FINANCIAL HOLDINGS INC WV 5.02,9.01 02/17/11 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 02/23/11 CFS BANCORP INC IN 5.02,9.01 02/22/11 CHARLES & COLVARD LTD NC 2.02,9.01 02/23/11 CHEROKEE INC DE 1.01,2.03,9.01 02/16/11 CHESAPEAKE ENERGY CORP OK 2.02,9.01 02/22/11 CHICOS FAS INC FL 2.02,5.02,8.01,9.01 02/22/11 China Architectural Engineering, Inc. DE 5.02,7.01,9.01 02/21/11 China Internet Caf? Holdings Group, I 1.01,3.02,5.03,7.01, 02/16/11 9.01 CHIQUITA BRANDS INTERNATIONAL INC NJ 5.02 02/16/11 CISCO SYSTEMS INC CA 5.02 02/21/11 Clean Energy Fuels Corp. DE 5.03,9.01 02/17/11 CLEAN HARBORS INC MA 2.02,9.01 02/23/11 CLEAR-LITE HOLDINGS, INC. NV 1.01,2.03,9.01 02/17/11 CNO Financial Group, Inc. DE 2.02,9.01 02/22/11 CNO Financial Group, Inc. DE 2.02,9.01 02/23/11 COMPETITIVE TECHNOLOGIES INC DE 8.01,9.01 02/23/11 COMSTOCK RESOURCES INC NV 5.02,9.01 02/23/11 CONEXANT SYSTEMS INC DE 1.01,1.02,8.01,9.01 02/23/11 Constellation Energy Partners LLC DE 7.01,8.01,9.01 02/17/11 CONVERGYS CORP OH 5.02 02/21/11 Copano Energy, L.L.C. 5.02,9.01 02/16/11 COVANCE INC DE 5.02,9.01 02/16/11 COVENANT TRANSPORTATION GROUP INC NV 5.02,5.03,9.01 02/22/11 CREDO PETROLEUM CORP DE 8.01,9.01 02/22/11 CRIMSON EXPLORATION INC. 8.01 02/18/11 CUBIC CORP /DE/ DE 5.02,5.07,8.01 02/22/11 CVD EQUIPMENT CORP NY 1.01 02/18/11 DANA HOLDING CORP DE 2.02,7.01,9.01 02/23/11 DATALINK CORP MN 2.02,9.01 02/17/11 DEFENTECT GROUP, INC. DE 5.02 02/17/11 DELCATH SYSTEMS INC DE 8.01,9.01 02/22/11 Delek US Holdings, Inc. 7.01,9.01 02/23/11 DELTATHREE INC DE 5.02 02/16/11 DELTIC TIMBER CORP DE 2.02,9.01 02/23/11 DELUXE CORP MN 8.01,9.01 02/22/11 DENBURY RESOURCES INC DE 2.02,9.01 02/23/11 DILLARDS INC DE 2.02,9.01 02/22/11 DILLARDS INC DE 8.01,9.01 02/22/11 DIRECTV DE 2.02 02/23/11 DIRECTV HOLDINGS LLC DE 2.02 02/23/11 Dolan Co. DE 2.02,9.01 02/23/11 DOLLAR TREE INC VA 2.02,7.01,9.01 02/23/11 DTS, INC. DE 5.02,9.01 02/16/11 Duff & Phelps Corp DE 2.02,9.01 02/23/11 Duncan Energy Partners L.P. DE 8.01,9.01 02/22/11 DYAX CORP DE 2.02,9.01 02/23/11 DYNAMEX INC DE 2.01,3.01,3.03,5.01, 02/22/11 5.02,5.03,9.01 DynaVox Inc. 7.01 02/18/11 DYNEGY INC. DE 1.02,3.03,5.02,8.01, 02/23/11 9.01 EARTHLINK INC DE 9.01 12/08/10 AMEND EASTERN AMERICAN NATURAL GAS TRUST DE 2.02,9.01 02/23/11 EATON VANCE CORP MD 2.02,9.01 01/31/11 Echo Global Logistics, Inc. DE 2.02,9.01 02/23/11 ELECTRIC CAR COMPANY, INC. DE 4.01,9.01 02/21/11 Emergent BioSolutions Inc. DE 1.02,9.01 02/17/11 Employers Holdings, Inc. NV 2.02,8.01,9.01 02/23/11 Encore Energy Partners LP DE 2.02,9.01 02/23/11 ENCORE WIRE CORP DE 2.02,7.01,9.01 02/22/11 ENERGY INCOME & GROWTH FUND 7.01,9.01 02/23/11 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 02/22/11 EQUITY ONE, INC. 2.02,7.01,9.01 02/23/11 Eternal Energy Corp. 5.03,8.01,9.01 01/25/11 EXACT SCIENCES CORP DE 1.01,3.03,5.03,9.01 02/22/11 EXPRESS-1 EXPEDITED SOLUTIONS INC DE 2.02,9.01 02/23/11 FAUQUIER BANKSHARES, INC. VA 8.01 02/17/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/16/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/18/11 Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 02/22/11 Federal Home Loan Bank of Seattle 2.02,7.01,9.01 02/18/11 Federal Home Loan Bank of Topeka 2.03,9.01 02/16/11 FEDERAL MOGUL CORP DE 2.02,7.01,9.01 02/23/11 Fidelity National Information Service 7.01,9.01 02/23/11 FINANCIAL INSTITUTIONS INC NY 8.01,9.01 02/23/11 FIRST BANCORP /NC/ NC 8.01,9.01 02/23/11 FIRST BANCSHARES INC /MO/ MO 2.02,9.01 02/22/11 FIRST CITIZENS BANCSHARES INC /DE/ DE 5.02,9.01 02/18/11 FIRST HORIZON NATIONAL CORP TN 5.02,5.03,9.01 02/23/11 FIRST MARINER BANCORP MD 3.01 02/18/11 FIRST MERCHANTS CORP IN 8.01,9.01 02/23/11 FLEETCOR TECHNOLOGIES INC DE 2.02,9.01 02/23/11 FLUOR CORP DE 2.02,9.01 02/23/11 FONAR CORP DE 2.02 12/31/10 FOOT LOCKER INC NY 5.02,9.01 02/16/11 FORMCAP CORP. NV 5.02 02/23/11 FORTUNE INDUSTRIES, INC. DE 8.01 02/21/11 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 02/23/10 Fresenius Kabi Pharmaceuticals Holdin 7.01 02/22/11 Fresh Market, Inc. DE 2.02,9.01 02/23/11 Freshwater Technologies Inc. NV 3.02 11/08/10 FRONTIER COMMUNICATIONS CORP DE 2.02,7.01,9.01 12/31/10 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03 02/23/10 GANNETT CO INC /DE/ DE 5.02,9.01 02/23/11 GARDNER DENVER INC DE 7.01,9.01 02/21/11 GARMIN LTD 2.02,9.01 02/23/11 GelTech Solutions, Inc. DE 1.01,1.02,2.03,3.02 02/18/11 GENCO SHIPPING & TRADING LTD 2.02,9.01 02/23/11 General Finance CORP DE 3.01,9.01 02/18/11 General Motors Financial Company, Inc TX 2.02,9.01 02/23/11 Genesis Biopharma, Inc NV 5.02,9.01 02/22/11 GLADSTONE CAPITAL CORP MD 5.07 02/17/11 GLOBAL EARTH ENERGY, INC. NH 1.01,3.02,9.01 02/23/11 GLOBAL EARTH ENERGY, INC. NH 1.01,9.01 02/23/11 GLOBAL EARTH ENERGY, INC. NH 1.02,8.01,9.01 02/23/11 AMEND Global Investor Services, Inc. UT 2.02,9.01 02/22/11 Global Telecom & Technology, Inc. DE 1.01,2.03,3.02,9.01 02/16/11 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 2.02,9.01 02/23/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 02/23/11 Greektown Superholdings, Inc. DE 8.01 02/22/11 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 02/22/11 Guardian 8 Holdings 2.01,3.02,5.01,5.02, 11/26/10 AMEND 5.03,5.06,9.01 HABERSHAM BANCORP GA 1.03,9.01 02/18/11 HALLIBURTON CO DE 1.01,1.02,9.01 02/22/11 HANSEN MEDICAL INC 2.02,9.01 02/23/11 HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,9.01 02/22/11 HEMISPHERX BIOPHARMA INC DE 3.01,9.01 02/17/11 HERTZ CORP DE 2.02,7.01,9.01 02/22/11 HERTZ GLOBAL HOLDINGS INC 2.02,7.01,9.01 02/22/11 HOLOGIC INC DE 8.01 02/22/11 Home Federal Bancorp, Inc. MD 7.01,9.01 02/23/11 HSN, Inc. DE 2.02,7.01,9.01 02/23/11 HYPERDYNAMICS CORP DE 5.07 02/17/11 IA GLOBAL INC DE 2.02 02/23/11 IDACORP INC ID 2.02,9.01 02/23/11 IMAGE SENSING SYSTEMS INC MN 2.02,9.01 02/23/11 iMetrik M2M Solutions Inc. NV 7.01,9.01 02/22/11 INDEPENDENCE HOLDING CO DE 3.02 02/16/11 India Globalization Capital, Inc. MD 2.02,7.01,9.01 02/23/11 INTEGRAL SYSTEMS INC /MD/ MD 5.07 02/16/11 INTERFACE INC GA 2.02,9.01 02/23/11 INTERLINK-US-NETWORK, LTD. CA 5.02 02/16/11 Intrepid Potash, Inc. DE 2.02,9.01 02/23/11 IPARTY CORP DE 2.02,9.01 02/23/11 ISTA PHARMACEUTICALS INC DE 2.02,9.01 02/23/11 ITC Holdings Corp. MI 2.02,9.01 02/22/11 JACK IN THE BOX INC /NEW/ DE 2.02,9.01 02/23/11 JO-ANN STORES INC OH 7.01 02/23/11 JONES LANG LASALLE INC MD 5.02,9.01 02/23/11 KAR Auction Services, Inc. DE 2.02,9.01 02/23/11 KBR, INC. DE 2.02,9.01 02/23/11 KEATING CAPITAL INC 7.01,9.01 02/22/11 Kentucky First Federal Bancorp 2.02,9.01 02/23/11 KKR & Co. L.P. DE 1.01,2.02,2.03,5.02, 02/22/11 7.01,8.01,9.01 KRONOS WORLDWIDE INC 7.01,9.01 02/22/11 KV PHARMACEUTICAL CO /DE/ DE 8.01,9.01 02/22/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 02/23/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 02/23/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 02/23/11 LAMAR ADVERTISING CO/NEW DE 2.02,5.02,9.01 02/21/11 LaSalle Hotel Properties MD 2.02,9.01 02/23/11 Lazard Group LLC DE 1.01 02/16/11 Lazard Ltd D0 1.01 02/16/11 LEVEL 3 COMMUNICATIONS INC DE 5.02,9.01 02/16/11 LIBERATOR MEDICAL HOLDINGS, INC. NV 2.02,9.01 02/23/11 Liberty Global, Inc. 7.01 02/22/11 LIGHTBRIDGE Corp NV 7.01,9.01 02/23/11 LIQUIDITY SERVICES INC 5.02,5.07 02/16/11 Lotus Pharmaceuticals, Inc. NV 5.03,9.01 02/18/11 LOUISIANA BANCORP INC LA 8.01,9.01 02/23/11 LOWES COMPANIES INC NC 2.02,9.01 02/23/11 LTC PROPERTIES INC MD 2.02,9.01 02/23/11 LTV CORP DE 8.01,9.01 02/23/11 Lumber Liquidators Holdings, Inc. 2.02,9.01 02/23/11 MAINLAND RESOURCES INC. 7.01,9.01 02/23/11 MAKEMUSIC, INC. MN 5.02 02/16/10 MANPOWER INC /WI/ WI 1.01,5.01,9.01 02/16/11 MANTECH INTERNATIONAL CORP DE 2.02,7.01,9.01 02/23/11 MCGRATH RENTCORP CA 2.02,9.01 02/23/11 MELO BIOTECHNOLOGY HOLDINGS INC. A6 2.01,3.02,5.02,9.01 02/23/11 MEMC ELECTRONIC MATERIALS INC DE 7.01,8.01,9.01 02/23/11 MERCADOLIBRE INC 2.02,7.01,9.01 02/23/11 MERCADOLIBRE INC 7.01,8.01,9.01 02/18/11 MERCER INSURANCE GROUP INC PA 2.02,9.01 02/23/11 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 02/15/11 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 02/15/11 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 02/15/01 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 02/15/11 MINDEN BANCORP, INC. LA 2.02,9.01 02/22/11 MINES MANAGEMENT INC ID 8.01,9.01 02/23/11 MMEX Mining Corp 5.03,5.07,9.01 02/23/11 MOHAWK INDUSTRIES INC DE 2.02,5.02,9.01 02/17/11 MOLINA HEALTHCARE INC DE 5.02 02/16/11 MONEYGRAM INTERNATIONAL INC 5.02,9.01 02/16/11 Monza Ventures Inc. NV 8.01 02/23/11 MPM TECHNOLOGIES INC WA 8.01 02/23/11 MS STRUCTURED SATURNS SERIES 2002-3 DE 8.01,9.01 02/22/11 MS STRUCTURED SATURNS SERIES 2002-4 DE 8.01,9.01 02/22/11 MS STRUCTURED SATURNS SERIES 2002-7 DE 8.01,9.01 02/22/11 National Asset Recovery Corp. NV 5.02,9.01 02/21/11 National CineMedia, Inc. DE 2.02,9.01 02/23/11 National Interstate CORP OH 1.01,9.01 02/18/11 NATIONAL MENTOR HOLDINGS, INC. DE 2.02,2.04,7.01,8.01, 02/17/11 9.01 NEW ENERGY TECHNOLOGIES, INC. 1.01,7.01,9.01 11/30/10 NEWPOWER HOLDINGS INC DE 8.01,9.01 02/22/11 NEWS CORP 8.01,9.01 02/23/11 NEXT FUEL, INC. NV 1.01,1.02,5.01,9.01 02/22/11 NICOR INC IL 2.02,9.01 02/23/11 NORDSTROM INC WA 8.01,9.01 02/23/11 NowAuto Group, Inc. NV 2.02,7.01,9.01 02/22/11 NTS MORTGAGE INCOME FUND DE 1.01,9.01 02/22/11 NUVASIVE INC DE 2.02,9.01 02/23/11 OCCAM NETWORKS INC/DE DE 2.01,3.01,3.03,5.01, 02/22/11 5.02,5.03,5.07,9.01 OLYMPIC STEEL INC OH 5.02 02/17/11 ON SEMICONDUCTOR CORP DE 5.02,8.01,9.01 02/16/11 On Time Filings, Inc. NV 5.02,8.01,9.01 02/22/11 ONVIA INC DE 2.02,9.01 02/23/11 ONYX PHARMACEUTICALS INC DE 2.02,9.01 02/23/11 ORASURE TECHNOLOGIES INC DE 5.02 02/21/11 Orchids Paper Products CO /DE DE 2.02,8.01,9.01 02/22/11 ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 02/22/11 ORTHOFIX INTERNATIONAL N V 8.01 02/22/11 ORTHOFIX INTERNATIONAL N V 5.02,9.01 02/15/11 AMEND PACIFIC GAS & ELECTRIC Co CA 8.01 02/22/11 PACKAGING CORP OF AMERICA 7.01,9.01 02/22/11 PARKER DRILLING CO /DE/ DE 2.02,9.01 02/23/11 PARTNERRE LTD 5.02,9.01 02/17/11 PEAPACK GLADSTONE FINANCIAL CORP NJ 8.01,9.01 02/22/11 Pebblebrook Hotel Trust MD 2.02,7.01,9.01 02/22/11 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 02/23/11 People's United Financial, Inc. DE 5.02,9.01 02/22/11 PEOPLESTRING CORP DE 8.01,9.01 02/22/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 5.02,9.01 02/18/11 PERVASIVE SOFTWARE INC DE 1.01,9.01 02/16/11 PFSWEB INC DE 1.01,2.01,2.05,2.06, 02/17/11 9.01 PG&E CORP CA 8.01 02/22/11 PIPER JAFFRAY COMPANIES DE 5.02 02/23/11 PLC SYSTEMS INC 1.01,2.03,3.02,9.01 02/22/11 POLAR WIRELESS CORP. NV 4.01,9.01 02/14/11 AMEND Polypore International, Inc. 2.02,9.01 02/23/11 Polypore International, Inc. 2.02,9.01 02/23/11 POWIN CORP 3.03,9.01 02/15/11 POZEN INC /NC 8.01 02/17/11 PROASSURANCE CORP DE 2.02,7.01,9.01 02/23/11 QLT INC/BC A1 5.02,9.01 02/22/11 QUANTA SERVICES INC DE 2.02,9.01 02/23/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.02 02/16/11 AMEND QUEST DIAGNOSTICS INC DE 5.02 02/16/11 QUEST SOFTWARE INC CA 1.01,2.03,9.01 02/17/11 QUESTCOR PHARMACEUTICALS INC CA 2.02,7.01,9.01 02/23/11 QWEST COMMUNICATIONS INTERNATIONAL IN DE 5.02,9.01 02/21/11 RADIENT PHARMACEUTICALS Corp DE 5.02,7.01,9.01 02/23/11 REINSURANCE GROUP OF AMERICA INC MO 1.01,3.03,9.01 02/15/11 AMEND REPUBLIC AIRWAYS HOLDINGS INC DE 2.02,9.01 02/22/11 RETAIL OPPORTUNITY INVESTMENTS CORP DE 1.01,2.01,2.02,9.01 02/23/11 Rock-Tenn CO GA 8.01,9.01 02/23/11 ROCKWELL MEDICAL TECHNOLOGIES INC MI 1.01,3.02,9.01 02/16/11 ROME BANCORP INC DE 8.01 02/23/11 Rongfu Aquaculture, Inc. NV 4.02 12/08/10 AMEND RPC INC DE 8.01,9.01 02/22/11 SAKS INC TN 2.02,9.01 02/23/11 SCIQUEST INC DE 2.02,9.01 02/23/11 SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 02/23/11 Shiner International, Inc. NV 2.03 01/25/11 SIGMA ALDRICH CORP DE 5.02,7.01,9.01 02/16/11 SILGAN HOLDINGS INC DE 5.02 02/16/11 Silicon Graphics International Corp DE 2.05 02/22/11 SIMULATIONS PLUS INC 5.03,5.07,8.01,9.01 02/18/11 SJW CORP CA 2.02,9.01 02/18/11 SKYWEST INC UT 2.02,9.01 02/23/11 SNYDER'S-LANCE, INC. NC 2.02,8.01,9.01 02/17/11 Solar Energy Initiatives, Inc. DE 1.01,2.01,9.01 02/15/11 SOUNDBITE COMMUNICATIONS INC 2.02,9.01 02/23/11 SOURCEFIRE INC DE 2.02,9.01 02/23/11 SOVRAN SELF STORAGE INC MD 2.02,9.01 02/23/11 SPECTRUM GROUP INTERNATIONAL, INC. NY 2.03 02/23/11 STANDARD MICROSYSTEMS CORP DE 1.02 02/23/11 STANDARD PARKING CORP DE 8.01 02/23/11 STEINER LEISURE Ltd C5 2.02 12/31/10 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 02/15/11 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 02/15/11 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 02/15/11 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 02/15/11 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 02/15/11 STURM RUGER & CO INC DE 2.02,9.01 02/23/11 SUPERMEDIA INC. DE 2.02,7.01,9.01 02/23/11 SupportSave Solutions Inc 1.02,5.02 02/16/11 Symetra Financial CORP DE 5.02,9.01 02/23/11 SYNOVIS LIFE TECHNOLOGIES INC MN 2.02,9.01 02/23/11 Talecris Biotherapeutics Holdings Cor DE 2.02,9.01 02/23/11 TASER INTERNATIONAL INC 2.02,9.01 02/23/11 TBS International plc L2 7.01,9.01 02/23/11 Texas Rare Earth Resources Corp. NV 5.02,9.01 02/16/11 Tim Hortons Inc. A6 2.02,8.01,9.01 02/23/11 Titan Oil & Gas, Inc. NV 1.01,9.01 02/16/11 TJX COMPANIES INC /DE/ DE 2.02,9.01 02/23/11 TOLL BROTHERS INC DE 2.02,9.01 02/23/11 TORCH ENERGY ROYALTY TRUST DE 7.01,9.01 02/17/11 TouchIT Technologies, Inc. NV 1.01,2.03,9.01 02/16/11 Transocean Ltd. V8 2.02,9.01 02/23/11 TYCO INTERNATIONAL LTD V8 8.01,9.01 02/23/11 TYSON FOODS INC DE 2.03,9.01 02/23/11 UNISYS CORP DE 1.01,8.01,9.01 02/22/11 UNITED CAPITAL CORP /DE/ DE 2.02,9.01 02/22/11 United Development Funding IV MD 1.01 02/23/11 UNITED ONLINE INC DE 2.02,9.01 02/23/11 United States Oil & Gas Corp DE 1.01,7.01,9.01 12/30/10 AMEND UNITED WESTERN BANCORP INC CO 8.01,9.01 02/22/11 UNITY BANCORP INC /NJ/ NJ 5.02 02/23/11 UNIVERSAL INSURANCE HOLDINGS, INC. DE 4.02 02/16/11 UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 02/23/11 USA Mobility, Inc DE 2.02,8.01,9.01 02/23/11 USEC INC DE 2.02,9.01 02/22/11 USEC INC DE 5.02 02/16/11 VALSPAR CORP DE 5.07 02/17/11 VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 02/17/11 VESTIN FUND III LLC 5.02 02/22/11 AMEND Vestin Realty Mortgage I, Inc. 5.02 02/22/11 AMEND Vestin Realty Mortgage II, Inc MD 5.02 02/22/11 AMEND Viacom Inc. DE 8.01,9.01 02/22/11 VIBE RECORDS, INC. NEVADA NV 4.01 01/20/11 AMEND VIRGINIA COMMERCE BANCORP INC 8.01 02/22/11 VIROPRO INC NV 2.01 02/22/11 Volcano Corp DE 2.02,9.01 02/23/11 VWR Funding, Inc. DE 7.01,9.01 02/22/11 WaferGen Bio-systems, Inc. 5.02 02/16/11 WASHINGTON POST CO DE 2.02,9.01 02/23/11 WEB.COM GROUP, INC. 8.01,9.01 02/22/11 WebMD Health Corp. DE 2.02,7.01,9.01 02/23/11 WELLPOINT, INC IN 7.01,9.01 02/23/11 WELLS MID-HORIZON VALUE-ADDED FUND I 5.02 02/17/11 WES Consulting, Inc. FL 5.02,5.03,9.01 02/09/11 WHITING PETROLEUM CORP DE 2.02,9.01 02/23/11 WILMINGTON TRUST CORP DE 1.01,9.01 02/17/11 Wizard World, Inc. DE 4.01,9.01 02/03/11 AMEND ZALE CORP DE 2.02,5.02 02/22/11 ZORAN CORP \DE\ DE 8.01,9.01 02/23/11