Consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer
The Securities and Exchange Commission is amending its rules to reflect the consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer, including amendments to replace references to the Executive Director with references to the Chief Operating Officer. (Rel. 34-65385)
In the Matter of Janis Barsuk
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Janis Barsuk. The Order finds that Barsuk, a resident of Tenafly, New Jersey, was Controller of West End Financial Advisors (West End) from January 2006 to at least May 2009. West End is a New York-based, unregistered investment adviser affiliated with Sentinel Investment Management Corporation (Sentinel), which has been registered with the Commission since 1986. The Order further finds that on September 8, 2011, a final judgment was entered by consent against Barsuk, permanently enjoining her from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. William Landberg, et al., 11-CV-0404 (PKC), in the United States District Court for the Southern District of New York. The Commission’s complaint alleged that Barsuk aided and abetted securities law violations by other officers of West End and Sentinel. According to the complaint, Barsuk facilitated the improper commingling of money between various West End fund accounts, including money in account held for the benefit of a bank that had extended credit to West End, and also facilitated the West End chief executive’s misappropriations of investor funds for personal use.
Based on the above, the Order bars Barsuk from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Barsuk consented to the issuance of the Order without admitting or denying any of the findings in the Order, except she admitted the entry of the injunction. (Rel. IA-3286; File No. 3-14560)
In the Matter of Citizens Capital Corp., et al.
An Administrative Law Judge has issued an Initial Decision (Decision) as to Citizens Capital Corp. in Citizens Capital Corp., Admin. Proc. No. 3-14401. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Decision finds these allegations to be true and revokes the registration of each class of registered securities of Citizens Capital Corp., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The proceeding has ended as to the remaining Respondents. See Citizens Capital Corp., Exchange Act Release No. 65028 (August 4, 2011). (Initial Decision No. 433; File No. 3-14401)
SEC Charges Owner of Spokane-Based Payday Loan Business With Defrauding Investors in Ponzi Scheme
The Securities and Exchange Commission today charged the owner of a Spokane-Wash.-based payday loan business with conducting a massive Ponzi scheme and stealing investor money to fund her home improvement projects, gambling jaunts to Las Vegas, and purchases of a Corvette and a Mercedes.
The SEC alleges that Doris E. Nelson of Colbert, Wash., defrauded investors in her company – the Little Loan Shoppe – by misrepresenting the profitability and safety of their investments and giving them the false impression that their money was being used to grow her business. In truth, Nelson used the vast majority of new investor money to repay principal and purported returns to earlier investors. She misappropriated millions of dollars in investor funds for her personal use.
According to the SEC’s complaint filed in federal district court in Spokane, Nelson raised approximately $135 million between 1999 and 2008 from at least 650 investors in the United States, Canada, and Mexico. Nelson falsely told investors that Little Loan Shoppe was financially sound. In written promissory notes, Nelson promised investors annual returns of 40 to 60 percent that she claimed would be paid through Little Loan Shoppe’s profits. She also told investors that their money was safe because she had insurance or a separate account to pay investors back. However, Little Loan Shoppe was not profitable, investor money was not safe, and Nelson misappropriated the money to run her Ponzi scheme.
The SEC further alleges that in mid-2008 as the scheme was nearing collapse, Nelson made a last-ditch effort to attract more investment money by announcing a “window to invest” and falsely telling investors that Little Loan Shoppe had “defied financial gravity” in the declining economy. Investors responded by investing millions of dollars in 2008 before the scheme finally collapsed in 2009. Payments to investors ceased and Little Loan Shoppe was forced into bankruptcy.
In its federal court action, the SEC alleges Nelson violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC seeks injunctive relief, disgorgement of ill-gotten gains, and monetary penalties. [SEC v. Doris E. Nelson, Case No. 2:11-cv-00345-RMP (E.D. WA)] (LR-22101)
SEC Charges Three Principals of Formerly Registered Broker-Dealer and Their Related Entities for Involvement in Microcap Stock Fraud Scheme and Stock Sales in Unregistered Offerings
The Securities and Exchange Commission today filed complaints against Thomas Rubin, Christopher Scott and Jeff Greeney, the former principals of Westcap Securities, Inc., a now-defunct broker-dealer, and their related entities. The Commission alleges that Rubin and Scott committed securities fraud by, among other things, engaging in market manipulation within a broader manipulative scheme, and also, through their respective related entities, BGLR Enterprises, LLC and E-Info Solutions, LLC, sold stock in unregistered offering in violation of the registration provisions of Section 5(a) and (c) of the Securities Act of 1933 (Securities Act), for total proceeds exceeding $1.5 million.
The Commission alleges that Rubin and Scott, in violation of Section 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(a) and (c) thereunder, participated in a broader market manipulation ring that involved bringing companies public through reverse mergers; using Westcap to raise funds for the newly-created companies through purported private placements; and manipulating the public markets for those newly-created public companies, which allowed Rubin and Scott, through their related entities, to sell their holdings of these companies at artificially inflated prices. In particular, the Commission alleges that Rubin engaged in various manipulative activities including coordinated and matched trading activity, and that Scott similarly engaged in a number of manipulative activities including assuming trading authority and control over multiple accounts to conduct coordinated trading activity.
The Commission seeks injunctions, penny stock bars, disgorgement, and penalties from Rubin and Scott (and their related entities), in addition to an officer and director bar against Scott because he was an officer of one of the microcap issuers.
In its separate complaint against Greeney, the Commission alleges that he, through his related entity, Big Baller Media Group, LLC, sold shares in unregistered offerings of two microcap issuers, in violation of the registration provisions of the Securities Act, for unlawful profits of approximately $330,000. Greeney and Big Baller Media Group have offered to settle the Commission’s allegations by consenting, without admitting or denying the allegations, to an injunction against future registration violations, to be barred for three years from participating in penny stock offerings, and to pay disgorgement and penalties in amounts to be determined by the Court. The offer of settlement by Greeney and his related entity are subject to the Court’s approval. Greeney has also offered to settle a yet-to-be instituted administrative proceeding against him, in which Greeney would consent, if the court enters an injunction against him, to an order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with the right to reapply for admission after three years. [SEC v. Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC and E-Info Solutions, LLC, Civil Action No. SACV 11-1466 (C.D. Cal.); and SEC v. Jeff Greeney and Big Baller Media Group, LLC, Civil Action No. SACV 11-1467 (C.D. Cal.)] (LR-22102)
Hartford Small Co HLS Fund Inc. [811-7557]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Small Co HLS Fund Inc. has ceased to be an investment company.
Hartford Stock HLS Fund Inc. [811-2630]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Stock HLS Fund Inc. has ceased to be an investment company.
Hartford Mortgage Securities HLS Fund Inc. [811-4201]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Mortgage Securities HLS Fund Inc. has ceased to be an investment company.
Hartford Midcap HLS Fund Inc. [811-8185]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Midcap HLS Fund Inc. has ceased to be an investment company.
Hartford Index HLS Fund Inc. [811-5045]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Index HLS Fund Inc. has ceased to be an investment company.
Hartford Dividend & Growth HLS Fund Inc. [811-8186]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Dividend & Growth HLS Fund Inc. has ceased to be an investment company.
Hartford Bond HLS Fund Inc. [811-3660]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Bond HLS Fund Inc. has ceased to be an investment company.
Hartford Advisors HLS Fund Inc. [811-3659]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Advisors HLS Fund Inc. has ceased to be an investment company.
Hartford Capital Appreciation HLS Fund Inc. [811-4005]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Capital Appreciation HLS Fund Inc. has ceased to be an investment company.
Hartford Global Advisers HLS Fund Inc. [811-8804]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Global Advisers HLS Fund Inc. has ceased to be an investment company.
Hartford Money Market HLS Fund Inc. [811-3662]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford Money Market HLS Fund Inc. has ceased to be an investment company.
Orders of Deregistration Under The Investment Company Act of 1940
Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
Hartford International Opportunities HLS Fund Inc. [811-6059]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Hartford International Opportunities HLS Fund Inc. has ceased to be an investment company.
Federal Life Trust [File No. 811-22145]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Federal Life Trust has ceased to be an investment company.
Presidential Variable Account One [File No. 811-5474]
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Presidential Variable Account One has ceased to be an investment company.
The Singapore Fund, Inc.
A notice has been issued giving interested persons until October 17, 2011, to request a hearing on an application filed by The Singapore Fund, Inc. (Fund) for an order under Section 17(b) of the Investment Company Act (Act) for an exemption from Section 17(a) of the Act to permit in-kind repurchases of shares of the Fund held by certain affiliated persons of the Fund. (Rel. IC-29817)
DFA Investment Dimensions Group Inc., et al.
A notice has been issued giving interested persons until October 17, 2011, to request a hearing on an application filed by DFA Investment Dimensions Group Inc., et al., for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29820)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-079) to adopt a Market-Maker Trade Prevention Order 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 26. (Rel. 34-65379)
A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2011-017) to adopt a Market-Maker Trade Prevention Order 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 26. (Rel. 34-65380)
A proposed rule change (SR-NASDAQ-2011-128) filed by The NASDAQ Stock Market LLC relating to customer rebates to add liquidity 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 26. (Rel. 34-65381)
Proposed Rule Changes
NASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2011-127) relating to rebates and fees for complex orders. Publication is expected in the Federal Register during the week of September 26. (Rel. 34-65373)
Chicago Mercantile Exchange, Inc. (CME) filed a proposed rule change (SR-CME-2011-07) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to accept additional credit default index swaps for clearing. Publication is expected in the Federal Register during the week of September 26. (Rel. 34-65378)
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-11 American Realty Capital Properties, Inc., 405 PARK AVENUE, NEW YORK, NY, 10022, 212-415-6500 - 0 ($18,687,500.00) Equity, (File 333-176952 - Sep. 22) (BR. 08B) S-1 STUART KING CAPITAL CORP, 1500 CLIFF BRANCH DRIVE, HENDERSON, NV, 89014, 702-539-3533 - 0 ($100,000.00) Equity, (File 333-176953 - Sep. 22) (BR. ) S-1 Hanover Portfolio Acquisitions, Inc., 835 EAST LAMAR BOULEVARD, SUITE 202, ARLINGTON, TX, 76011, 800-701-1223 - 1,541,413 ($1,541,413.00) Equity, (File 333-176954 - Sep. 22) (BR. ) S-8 FEI CO, 5350 NE DAWSON CREEK DRIVE, HILLSBORO, OR, 97124, 503-726-7500 - 1,000,000 ($28,990,000.00) Equity, (File 333-176955 - Sep. 22) (BR. 10A) S-3ASR PITNEY BOWES INC /DE/, PITNEY BOWES INC, 1 ELMCROFT ROAD, STAMFORD, CT, 06926-0700, 2033565000 - 0 ($0.00) Other, (File 333-176957 - Sep. 22) (BR. 03B) S-1 FULCRUM BIOENERGY INC, 4900 HOPYARD ROAD, SUITE 220, PLEASANTON, CA, 94588, 925-224-8244 - 0 ($115,000,000.00) Equity, (File 333-176958 - Sep. 22) (BR. ) F-10 Neptune Technologies & Bioressources Inc., 225 PROMENADE DU CENTROPOLIS, SUITE 200, LAVAL, A8, H7T 0B3, (450) 687-2262 - 3,402,778 ($10,909,306.04) Equity, (File 333-176959 - Sep. 22) (BR. 01B) S-1 Hexion U.S. Finance Corp., 180 EAST BROAD STREET, COLUMBUS, OH, 43215, (614) 225-4000 - 0 ($134,016,000.00) Non-Convertible Debt, (File 333-176961 - Sep. 22) (BR. 06B) S-1 ChatChing Inc., 1061 E. INDIANTOWN RD., SUITE 400, JUPITER, FL, 33477, 561-316-3867 - 0 ($1,000.00) Equity, (File 333-176962 - Sep. 22) (BR. 03B)
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 ADVANCED CELL TECHNOLOGY, INC. DE 8.01 09/16/11 ADVANCED MICRO DEVICES INC DE 5.02 09/17/11 Affinity Gaming, LLC NV 7.01,9.01 09/19/11 Alamo Energy Corp. NV 7.01,9.01 09/22/11 ALBEMARLE CORP VA 1.01,2.03,9.01 09/22/11 Alliance Holdings GP, L.P. DE 7.01,9.01 09/22/11 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 09/22/11 ALTAIR NANOTECHNOLOGIES INC Z4 5.02,9.01 09/16/11 AMBASSADORS INTERNATIONAL INC DE 7.01,9.01 09/21/11 AMERICAN BIOGENETIC SCIENCES INC DE 1.01,9.01 09/22/11 American Energy Development Corp. NV 1.01,3.02,9.01 09/16/11 American Liberty Petroleum Corp. NV 5.06,9.01 02/15/11 AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.01,9.01 09/19/11 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 09/22/11 ANGIODYNAMICS INC DE 5.02,9.01 09/19/11 ARCHER DANIELS MIDLAND CO DE 8.01,9.01 09/21/11 Arcis Resources Corp NV 1.01,2.01,2.03,3.02, 07/15/11 AMEND 5.02,5.03,9.01 ARETE INDUSTRIES INC CO 1.01,7.01,9.01 09/16/11 Armour Residential REIT, Inc. MD 7.01,9.01 09/22/11 Ascena Retail Group, Inc. DE 5.02,9.01 09/21/11 ATLANTIC TELE NETWORK INC /DE DE 1.01,9.01 09/16/11 Avantair, Inc DE 2.02,9.01 09/21/11 AXESSTEL INC NV 5.07 09/16/11 BALLANTYNE STRONG, INC. DE 5.07 05/04/11 AMEND BANK OF SOUTH CAROLINA CORP SC 8.01,9.01 09/22/11 Bank of the Carolinas CORP NC 3.01,9.01 09/21/11 BillMyParents, Inc. CO 1.01,3.02,5.02,9.01 09/21/11 BLACKBOARD INC DE 5.07 09/16/11 BLUE CALYPSO, INC. NV 4.01,9.01 09/01/11 AMEND Bridge Capital Holdings CA 5.02,9.01 09/22/11 CAPSTEAD MORTGAGE CORP MD 7.01,9.01 09/22/11 CARMAX INC VA 2.02,9.01 09/22/11 Carroll Bancorp, Inc. MD 5.02 09/16/11 CAVIUM, INC. DE 2.02,9.01 09/22/11 CENTER BANCORP INC NJ 1.01,3.02,3.03,5.02, 09/13/11 5.03,9.01 CENVEO, INC CO 7.01,9.01 09/21/11 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 09/22/11 CHEMBIO DIAGNOSTICS, INC. NV 5.07 09/22/11 CHENIERE ENERGY INC DE 1.01,9.01 09/22/11 China Precision Steel, Inc. CO 3.01,7.01,9.01 09/16/11 China Wi-Max Communications, Inc. NV 7.01,9.01 09/21/11 CINTAS CORP WA 2.02,9.01 09/22/11 CITADEL BROADCASTING CORP DE 2.01,3.03,5.01,5.02, 09/16/11 5.03,9.01 CKE RESTAURANTS INC DE 2.02,9.01 09/20/11 COASTAL BANKING CO INC SC 5.02,9.01 08/24/11 COHERENT INC DE 5.02 09/20/11 COLUMBIA LABORATORIES INC DE 1.01,3.03,7.01,9.01 09/16/11 COMCAST CORP PA 5.02 09/20/11 Command Center, Inc. WA 5.02 09/21/11 COMMERCIAL BARGE LINE CO DE 5.02 09/22/11 COMVERSE TECHNOLOGY INC/NY/ NY 7.01,9.01 09/22/11 COVANTA HOLDING CORP DE 8.01,9.01 09/22/11 COVANTA HOLDING CORP DE 5.07 05/05/11 AMEND CREATIVE VISTAS INC AZ 1.01,2.01,9.01 09/16/11 CULP INC NC 5.07 09/20/11 CUMULUS MEDIA INC DE 1.01,2.01,2.03,3.02, 09/16/11 3.03,5.02,5.03,8.01, 9.01 Customers Bancorp, Inc. PA 1.01,3.02,3.03,5.02, 09/16/11 8.01,9.01 Cyclacel Pharmaceuticals, Inc. DE 3.01,9.01 09/16/11 DEL TORO SILVER CORP. NV 3.02 09/20/11 Diamond Foods Inc DE 8.01 09/22/11 Digitiliti Inc DE 1.01,3.02,8.01 09/21/11 DIRECT INSITE CORP DE 5.02 09/21/11 Discover Financial Services DE 2.02,9.01 09/22/11 Dividend Capital Total Realty Trust I 8.01 09/22/11 DNB FINANCIAL CORP /PA/ PA 1.01,9.01 09/21/11 Domain Extremes Inc. NV 5.01 09/16/11 DRI CORP NC 7.01,9.01 09/22/11 Electromed, Inc. MN 3.01,9.01 09/16/11 Ellington Financial LLC DE 7.01 09/22/11 ENBRIDGE ENERGY PARTNERS LP DE 1.01,7.01,9.01 09/22/11 Energy Services of America CORP DE 5.07 09/21/11 Enlightened Gourmet, Inc. NV 5.02 09/22/11 Entergy Louisiana, LLC TX 9.01 09/22/11 ENZON PHARMACEUTICALS INC DE 2.05,9.01 09/22/11 EPOCRATES INC DE 5.02 09/21/11 EQUITY LIFESTYLE PROPERTIES INC MD 8.01 09/21/11 Eworld Interactive, Inc. FL 1.01,5.02,9.01 09/22/11 Federal Home Loan Bank of Atlanta X1 2.03 09/20/11 Federal Home Loan Bank of Chicago X1 2.03 09/19/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/20/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/22/11 Federal Home Loan Bank of New York X1 2.03,9.01 09/20/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/19/11 Federal Home Loan Bank of San Francis X1 2.03 09/19/11 Federal Home Loan Bank of Seattle 2.03 09/19/11 Federal Home Loan Bank of Topeka 2.03,9.01 09/19/11 FEDEX CORP DE 2.02,9.01 09/22/11 FINISH LINE INC /IN/ IN 2.02,9.01 09/22/11 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 09/20/11 FIRST CAROLINA INVESTORS INC DE 8.01,9.01 09/21/11 FNB CORP/FL/ FL 5.02 09/19/11 FOREST LABORATORIES INC DE 5.07 09/22/11 AMEND FOREST OIL CORP NY 1.01,2.03,9.01 09/21/11 FULLER H B CO MN 2.02,9.01 09/21/11 FusionTech, Inc. NV 2.04 09/19/11 GAIN Capital Holdings, Inc. DE 1.01,2.03,9.01 09/16/11 GENESEE & WYOMING INC DE 5.02 09/20/11 GEO GROUP INC FL 8.01,9.01 09/22/11 GOLDEN ENTERPRISES INC DE 8.01,9.01 09/22/11 GOLDEN PHOENIX MINERALS INC NV 1.01,3.02,7.01,9.01 09/16/11 GOODRICH CORP NY 1.01,8.01,9.01 09/21/11 GRIDLINE COMMUNICATIONS HOLDINGS INC DE 5.02,5.07 09/16/11 GulfStar Energy Corp CO 7.01,8.01,9.01 09/16/11 HELICOS BIOSCIENCES CORP DE 1.01,9.01 09/20/11 HEWLETT PACKARD CO DE 5.02,5.03,7.01,8.01, 09/22/11 9.01 HOMELAND ENERGY SOLUTIONS LLC 5.02 09/20/11 HOPFED BANCORP INC DE 8.01,9.01 09/21/11 ICAGEN INC DE 5.02,9.01 09/22/11 ICON CASH FLOW PARTNERS L P SEVEN DE 7.01,8.01,9.01 09/22/11 ICON INCOME FUND EIGHT /DE DE 7.01,8.01,9.01 09/22/11 ICON INCOME FUND EIGHT B LP DE 7.01,9.01 09/22/11 ICON INCOME FUND NINE LLC 7.01,9.01 09/22/11 IMAGE SENSING SYSTEMS INC MN 5.02,5.03,9.01 09/16/11 IMPERIAL PETROLEUM INC NV 1.01,3.02,9.01 09/21/11 INTEGRATED DEVICE TECHNOLOGY INC DE 5.07 09/15/11 INTERMOUNTAIN COMMUNITY BANCORP ID 1.02,7.01 09/19/11 INTERNATIONAL BANCSHARES CORP TX 2.05,9.01 09/22/11 JAKKS PACIFIC INC DE 5.07 09/16/11 JUNIATA VALLEY FINANCIAL CORP PA 5.02 09/20/11 L & L ENERGY, INC. NV 5.07,8.01,9.01 09/15/11 LACROSSE FOOTWEAR INC WI 1.01,2.03 09/16/11 LINN ENERGY, LLC DE 5.07 09/22/11 AMEND LIVEDEAL INC NV 3.01,8.01 09/16/11 LOCKHEED MARTIN CORP MD 5.02 09/22/11 Lone Pine Resources Inc. DE 1.01,2.03,5.02,7.01, 09/21/11 9.01 MAC-GRAY CORP DE 1.01,8.01,9.01 09/21/11 MAINLAND RESOURCES INC. 7.01,9.01 09/22/11 Mastech Holdings, Inc. PA 5.02,9.01 09/17/11 MECHANICAL TECHNOLOGY INC NY 5.02 09/20/11 MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 09/20/11 MICRONETICS INC DE 1.01,2.03,9.01 09/19/11 Midway Gold Corp A1 7.01,9.01 09/12/11 MOKITA, INC. NV 5.02 09/21/11 AMEND MOTRICITY INC DE 1.01,1.02,2.03,4.01, 09/16/11 7.01,9.01 MSCI Inc. DE 1.01,2.03,9.01 09/16/11 MusclePharm Corp NV 1.01,5.02 09/16/11 MusclePharm Corp NV 5.02 09/16/11 MWI Veterinary Supply, Inc. DE 1.01,7.01,9.01 09/22/11 MYLAN INC. PA 1.01 09/16/11 NANOVIRICIDES, INC. NV 1.01,3.02 09/16/11 NARA BANCORP INC DE 5.07,8.01,9.01 09/21/11 NASDAQ OMX GROUP, INC. DE 1.01,1.02,2.03,9.01 09/19/11 NETREIT, INC. MD 8.01 09/16/11 AMEND NEWS CORP 8.01,9.01 09/22/11 NF Energy Saving Corp DE 3.01 09/20/11 NIKE INC OR 2.02,9.01 09/22/11 Opexa Therapeutics, Inc. TX 5.02 09/19/11 Opko Health, Inc. DE 1.01,7.01,9.01 09/21/11 ORTHOFIX INTERNATIONAL N V 5.02,5.07,8.01 09/21/11 OXIGENE INC DE 7.01 09/16/11 PALATIN TECHNOLOGIES INC DE 2.02,9.01 09/22/11 PATRICK INDUSTRIES INC IN 1.01,2.03,3.02,9.01 09/16/11 PEREGRINE INDUSTRIES INC FL 4.01,9.01 09/22/11 PG&E CORP CA 5.02 09/21/11 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 5.02,7.01,9.01 09/16/11 PharMerica CORP DE 5.02,9.01 09/18/11 PHOTOTRON HOLDINGS, INC. DE 1.01,5.02,9.01 09/16/11 Piedmont Office Realty Trust, Inc. MD 7.01,9.01 09/22/11 PIPER JAFFRAY COMPANIES DE 5.02 09/22/11 PITNEY BOWES INC /DE/ DE 8.01,9.01 09/12/11 Point.360 CA 2.02,9.01 09/22/11 PRGX GLOBAL, INC. GA 5.02 09/16/11 PRIVATE MEDIA GROUP INC NV 1.03,3.01 09/15/11 PSB Holdings, Inc. 4.01,9.01 09/20/11 PURE BIOSCIENCE, INC. DE 3.01 09/16/11 Rand Logistics, Inc. DE 5.07 09/21/11 RCLC, INC. NJ 7.01,9.01 09/19/11 RFG Acquisition II Inc. 1.01,3.02,5.01,5.02, 09/16/11 9.01 RITE AID CORP DE 2.02,9.01 09/22/11 ROCKWELL MEDICAL TECHNOLOGIES INC MI 5.02 09/17/11 ROMA FINANCIAL CORP X1 8.01,9.01 09/21/11 ROSETTA STONE INC 5.02 09/16/11 SANUWAVE Health, Inc. NV 5.02,9.01 09/20/11 SCHAWK INC 7.01 09/21/11 SCHOLASTIC CORP DE 2.02,9.01 09/22/11 SIGA TECHNOLOGIES INC DE 8.01,9.01 09/22/11 Silicon Graphics International Corp DE 7.01,9.01 09/22/11 SIMPSON MANUFACTURING CO INC /CA/ DE 5.02,9.01 09/19/11 SIMULATIONS PLUS INC 1.01,9.01 09/19/11 SOUTHERN POWER CO 8.01,9.01 09/14/11 Spine Pain Management, Inc DE 7.01,9.01 09/22/11 ST JOSEPH INC CO 4.01,9.01 09/22/11 AMEND STAKOOL, INC. NV 1.01,2.01,5.02,9.01 09/15/11 STEMCELLS INC DE 8.01,9.01 09/22/11 STEWARDSHIP FINANCIAL CORP NJ 8.01,9.01 09/21/11 STRATEGIC AMERICAN OIL CORP NV 1.01,9.01 09/20/11 SUNTRUST BANKS INC GA 8.01 09/22/11 SYNTHESIS ENERGY SYSTEMS INC DE 2.02,9.01 09/22/11 TECHS LOANSTAR, INC. NV 1.01,2.01,3.02,5.01 09/21/11 AMEND TELEFLEX INC DE 5.07 04/22/11 AMEND TENGASCO INC TN 4.01 09/21/11 TGC INDUSTRIES INC TX 1.01,2.03,9.01 09/16/11 TIBCO SOFTWARE INC DE 2.02,9.01 09/22/11 TOROTEL INC MO 5.07 09/19/11 TOROTEL INC MO 4.01 09/19/11 Travelport LTD D0 7.01,9.01 09/21/11 TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 09/22/11 TURBOSONIC TECHNOLOGIES INC DE 1.01,9.01 09/21/11 TWO RIVERS WATER Co CO 7.01 09/22/11 U S PHYSICAL THERAPY INC /NV NV 7.01 09/22/11 UNITED RENTALS INC /DE DE 7.01,9.01 09/22/11 URANIUM ENERGY CORP NV 5.07,8.01,9.01 07/19/11 AMEND US Highland, Inc. OK 5.02 09/20/11 USA TECHNOLOGIES INC PA 8.01 09/21/11 VAIL RESORTS INC DE 2.02,9.01 09/22/11 VASOMEDICAL INC DE 5.02 09/19/11 VENDUM BATTERIES INC. 1.01,2.03,3.02 09/21/11 Virolab, Inc. DE 5.02 09/20/11 WESTELL TECHNOLOGIES INC DE 5.07 09/20/11 WEYCO GROUP INC WI 8.01 09/22/11 WRIGHT MEDICAL GROUP INC DE 5.02,9.01 09/17/11 WSFS FINANCIAL CORP DE 8.01 09/22/11 XZERES Corp. NV 7.01,9.01 09/20/11 Zagg INC NV 8.01 09/20/11 ZION OIL & GAS INC DE 8.01,9.01 09/22/11