Michael A. Conley Named SEC’s Deputy General Counsel
Washington, D.C., October 4, 2011 – The Securities and Exchange Commission announced today that Michael A. Conley has been named a Deputy General Counsel in the SEC’s Office of General Counsel.
Mr. Conley has been promoted from the position of Deputy Solicitor and will serve as Deputy General Counsel for Litigation and Adjudication, a role in which he will help oversee enforcement matters, appellate cases, and adjudications.
Mr. Conley joined the Commission in October 2000, and has served as the Jennings Attorney Fellow, a Senior Special Counsel, and the Deputy Solicitor. Mr. Conley has extensive litigation experience and a deep knowledge of the U.S. securities laws combined with a background in law office management.
“Michael is a spectacular lawyer who will bring to his new position an extraordinary breadth of experience,” said SEC General Counsel Mark Cahn. “I have benefited from Michael’s wise counsel since I joined the Commission, and I know that he has earned, in his roles as Senior Special Counsel and Deputy Solicitor, the deep respect of his colleagues here at the SEC. I am delighted that he has agreed to serve in this new position.”
Mr. Conley said, “I have great respect for the talented and dedicated staff of the General Counsel's Office, who provide vital support to the Commission and its Divisions and Offices in carrying out the agency’s mission of protecting investors. I look forward to continuing to work alongside the staff in my new role, and I thank Chairman Schapiro and Mark Cahn for this tremendous opportunity.”
Mr. Conley began his legal career by serving as a law clerk, first for Judge Abner J. Mikva of the U.S. Court of Appeals for the D.C. Circuit and then for U.S. Supreme Court Justice Harry A. Blackmun. He received his JD in 1989 from Boston University School of Law, where he graduated first in a class of 425 and was the Editor-in-Chief of the Boston University Law Review. He earned his BA from Iona College in 1984.
Mr. Conley replaces Anne Small who has left the Commission to take a position at the White House as Special Assistant to the President and Associate Counsel to the President. (Press Rel. 2011-200)
In the Matter of Amerex Group, Inc., et al.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Amerex Group, Inc., Admin. Proc. No. 3-14543. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Amerex Group, Inc., AmeriChip International, Inc., Amish Naturals, Inc., Banker’s Store Inc. (The), and Champion Parts, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The proceeding has ended as to Respondent Gray Peaks, Inc. See Amerex Group, Inc., Exchange Act Release No. 65443 (Sept. 30, 2011). (Rel. 34-65474; File No. 3-14543)
Commission Revokes Registration of Securities of Iquniverse, Inc. For Failure to Make Required Periodic Filings
On October 4, 2011, the Commission revoked the registration of each class of registered securities of IQUniverse, Inc. (IQUniverse) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, IQUniverse consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to IQUniverse, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of IQUniverse’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against IQUniverse in In the Matter of Interactive Therapeutics, Inc., et al., Administrative Proceeding File No. 3-14545.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Interactive Therapeutics, Inc., et al., Administrative Proceeding File No. 3-14545, Exchange Act Release No. 65320, September 12, 2011. (Rel. 34-65475; File No. 3-14545)
Commission Revokes Registration of Securities of Shepaug Corp. For Failure to Make Required Periodic Filings
On October 4, 2011, the Commission revoked the registration of each class of registered securities of Shepaug Corp. for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Shepaug Corp. consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Shepaug Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Shepaug Corp.’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Shepaug Corp. in In the Matter of Shepaug Corp., et al., Administrative Proceeding File No. 3-14513.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Shepaug Corp., et al., Administrative Proceeding File No. 3-14513, Exchange Act Release No. 65190, August 24, 2011. (Rel. 34-65476; File No. 3-14513)
Former Regional Investment Banking Firm Chairman Settles Insider Trading Case; Parallel Criminal Case Has Also Been Concluded
The Securities and Exchange Commission announced that it has reached a settlement of its pending insider trading charges against Richard A. Hansen, the former Chairman of Keystone Equities Group, a registered broker-dealer and regional investment bank. The Commission’s complaint, originally filed on September 27, 2010, alleged that Hansen received illegal tips concerning pending acquisitions from his then-employee and close personal friend Donna Murdoch; that Murdoch had learned of the acquisitions through her close personal relationship with James Gansman, then an Ernst & Young (“E&Y”) partner who worked on the transactions for E&Y clients; and that Hansen traded on the illegal tips through accounts in others’ names and also passed on one of the tips to his longtime friend Stuart Kobrovsky, a retired stockbroker, who likewise traded.
Without admitting or denying the allegations—except to the extent they are embraced by his guilty plea and conviction in the parallel criminal case of United States v. Hansen, 1:10-cr-875-PAC-1 (S.D.N.Y., judgment entered May 13, 2011) (hereinafter the “parallel criminal case”), which he admits—Hansen has agreed to settle the Commission’s allegations against him, and his settlement papers were submitted to the Court for its consideration. In particular, Hansen signed a consent that provides—subject to approval by the Court—for the entry of a final judgment permanently enjoining him against future violations of the Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The final judgment to which Hansen consented would further order that he is liable for a combined total in disgorgement and prejudgment interest of $63,038, comprising all the profits flowing from his own illegal trading, which he conducted through the accounts of his daughters and Murdoch, according to the Commission’s Complaint. Of that total, $32,222 would be deemed satisfied by the order of criminal forfeiture entered against Hansen in the parallel criminal case, leaving a balance due of $30,816, which Hansen would be required to pay within 30 days after entry of the Final Judgment, or within 60 days after his release from prison in the parallel criminal case, whichever is later. Finally, the Final Judgment would bar Hansen permanently from serving as an officer or director of any public company. Additionally, Hansen consented, in related administrative proceedings, to the entry of a Commission order that would bar him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, or from participating in any offering of a penny stock.
The parallel criminal case was filed by the United States Attorneys’ Office for the Southern District of New York on September 27, 2010—simultaneously with the filing of the Commission’s Complaint in this action—and charged Hansen with securities fraud and conspiracy to commit securities fraud. Hansen pleaded guilty to those charges on February 9, 2011, and the court entered a judgment of conviction on May 13, 2011. As part of his plea, Hansen agreed to forfeit $59,631, representing proceeds traceable to his illegal conduct. Of that amount, $32,222 derives from illicit trades embraced by the Commission’s Complaint. The Court sentenced Hansen to three months imprisonment, followed by five months of home confinement and two years’ probation.
If approved by the Court, this settlement would conclude this case, as the Commission’s settlement with codefendant Kobrovsky was approved by the Court last October. The Commission’s related case against Gansman and Murdoch has also been concluded, as has a parallel criminal case against them. In that criminal case, Murdoch entered guilty pleas on December 23, 2008 to a total of 17 felony counts and was sentenced on July 27, 2011 to two years’ probation, including six months of home confinement, as well as 300 hours of community service and forfeiture of $392,000. For his part, Gansman was convicted by a jury on May 15, 2009 of six felony counts and acquitted of four; he was sentenced on February 25, 2010 to a year and a day in prison; and his convictions were recently affirmed on appeal. See United States v. Gansman, No. 10-0731-cr, 2011 U.S. App. LEXIS 18664 (2d Cir. Sept. 9, 2011).
The Commission acknowledges the assistance of the U.S. Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, the Options Regulatory Surveillance Authority, and the Financial Industry Regulatory Authority. [SEC v. Richard A. Hansen et. al., Civil Action No. 10-CV-5050 (E.D.P.A.)] (LR-22112)
SEC Obtains Judgments in Case Involving Ponzi Scheme By Co-Founder of China Voice Holding Corp.
On October 4, 2011, the Securities and Exchange Commission announced that the Honorable Reed O’Connor, United States District Judge for the Northern District of Texas, recently entered orders permanently enjoining multiple defendants in a case involving the co-founder of China Voice Holding Corp.
Without admitting or denying the allegations in the Commission’s complaint, Alex Dowlatshahi and Christopher Mills and certain companies they control consented to the entry of judgments that permanently enjoin them from violating Sections 5(a), 5(c), and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The judgments also provide that upon motion of the Commission, the Court may order disgorgement of ill-gotten gains, prejudgment interest thereon, and civil penalties in amounts the Court deems appropriate. The judgments were entered on August 31, 2011, and September 19, 2011. Dowlatshahi, Mills, and their entities consented to the entry of the judgments without admitting or denying the allegations in the Commission’s complaint.
On September 23, 2011, Defendant Ilya Drapkin was permanently enjoined from violating Section 17(a)(3) of the Securities Act. In addition the judgment permanently bars Drapkin from participating in the offer or sale of penny stocks and provides that, upon motion of the Commission, the Court shall order disgorgement of ill-gotten gains, prejudgment interest thereon, and civil penalties in amounts the Court deems appropriate. Drapkin consented to the entry of the judgment without admitting or denying the allegations in the Commission’s complaint.
On September 26, 2011, Defendant Gerald Patera, and his companies, Defendants Capital Bankers Group Ltd. and Third Securities Corp., were permanently enjoined from violating Section 17(a) of the Securities Act and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. In addition, the judgment permanently bars Patera from participating in the offer or sale of penny stocks and provides that, upon motion of the Commission, the Court shall order disgorgement of ill-gotten gains, prejudgment interest thereon, and civil penalties in amounts the Court deems appropriate. The Defendants consented to the entry of the judgment without admitting or denying the allegations in the Commission’s complaint.
The Commission filed an emergency action on April 28, 2011, alleging that China Voice’s co-founder and former Chief Financial Officer, David Ronald Allen, with the assistance Dowlatshahi and Mills, and numerous related entities, launched what became a Ponzi scheme that sought to raise at least $8.6 million from investors across the country. The SEC’s complaint also charged China Voice, its former chairman and CEO William Burbank IV, and Allen for a series of fraudulent statements about China Voice’s financial condition and business prospects, as well as Patera, Drapkin, and Robert Wilson for their roles in the promotion of China Voice’s stock.
The Commission’s case is still pending against remaining defendants Allen, Burbank, Wilson, China Voice, and various of their related entities. [SEC v. David Ronald Allen, et al., Civil Action No. 3:11-CV-822-O (N.D. Tex.)] (LR-22113)
Notice of Applications for Deregistration under the Investment Company Act of 1940
For the month of September 2011, a notice has been issued giving interested persons until October 25, 2011, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
(Rel. IC-29826 - September 30)
MFS Series Trust I, et al.
A notice has been issued giving interested persons until October 25, 2011, to request a hearing on an application filed by MFS Series Trust I, et al. for an order pursuant to Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 18(f) and 21(b) of the Act; under Section 12(d)(1)(J) of the Act for an exemption from Section 12(d)(1) of the Act; under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1), 17(a)(2) and 17(a)(3) of the Act; and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint arrangements. The order would permit certain registered open-end management investment companies to participate in a joint lending and borrowing facility. (Rel. IC-29827 - September 30)
Incapital LLC, et al.
A notice has been issued giving interested persons until October 25, 2011, to request a hearing on an application filed by Incapital LLC, et al. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A), (B) and (C) of the Act and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order would permit certain registered unit investment trusts to acquire shares of registered management investment companies and unit investment trusts both within and outside the same group of investment companies. (Rel. IC-29828 - September 30)
Global X Funds, et al.
A notice has been issued giving interested persons until October 27, 2011, to request a hearing on an application filed by Global X Funds, et al., for an order to permit:
(a) series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Creation Units for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. The order would supersede a prior order. (Rel. IC-29829 - September 30)
Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2011-053) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend certain Trade Reporting and Compliance (TRACE) rules. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65459
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market LLC to modify NASDAQ Options Market Rules Chapter VII, Section 6, Market Maker Quotations (SR-NASDAQ-2011-136) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65467)
A proposed rule change (SR-Phlx-2011-108) filed by the NASDAQ OMX PHLX LLC relating to routing functionality on NASDAQ OMX PSX has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65469)
A proposed rule change (SR-BX-2011-048) filed by the NASDAQ OMX BX, Inc. relating to routing functionality on the NASDAQ OMX BX Equities Market has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65470)
A proposed rule change filed by C2 Options Exchange, Incorporated relating to the C2 Fees Schedule (SR-C2-2011-026) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65471)
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-1 AMERICAN BAR ASSOCIATION MEMBERS / NORTHERN TRUST COLLECTIVE TR, C/O NORTHERN TRUST INVESTMENTS, N.A., 50 SOUTH LASALLE STREET, CHICAGO, IL, 60603, 312-630-6000 - 0 ($80,000,000.00) Equity, (File 333-177124 - Oct. 3) (BR. 08C) S-1 FS Bancorp, Inc., 6920 220TH STREET SW, SUITE 300, MOUNTLAKE TERRACE, WA, 98043, 800-683-0973 - 0 ($32,401,250.00) Equity, (File 333-177125 - Oct. 3) (BR. ) S-4 LEAP WIRELESS INTERNATIONAL INC, 5887 COPLEY DRIVE, SAN DIEGO, CA, 92111, 8588826000 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-177126 - Oct. 3) (BR. 11A) S-3ASR SEALED AIR CORP/DE, 200 RIVERFRONT BOULEVARD, ELMWOOD PARK, NJ, 07407-1033, 201-791-7600 - 0 ($539,216,081.00) Equity, (File 333-177130 - Oct. 3) (BR. 04) S-11 STAG Industrial, Inc., 99 HIGH STREET, 28TH FLOOR, BOSTON, MA, 02110, (617)574-4777 - 0 ($57,500,000.00) Equity, (File 333-177131 - Oct. 3) (BR. 08B) S-4 HOST HOTELS & RESORTS L.P., 6903 ROCKLEDGE DR, SUITE 1500, BETHESDA, MD, 20817-1109, 240-744-1000 - 0 ($500,000,000.00) Other, (File 333-177137 - Oct. 3) (BR. 08B) F-3 Alon Holdings Blue Square - Israel Ltd, 2 AMAL ST., AFEK INDUSTRIAL PARK, ROSH HAAIN, L3, 48092, 97239282670 - 6,616,186 ($36,885,236.95) Equity, (File 333-177138 - Oct. 3) (BR. 02B) S-8 TURBINE TRUCK ENGINES INC, 46600 DEEP WOODS ROAD, PAISLEY, FL, 32767, 386-943-8358 - 0 ($750,000.00) Equity, (File 333-177139 - Oct. 3) (BR. 10C) S-3ASR CONAGRA FOODS INC /DE/, ONE CONAGRA DR, OMAHA, NE, 68102, 4022404000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177140 - Oct. 3) (BR. 04A) S-8 PACIFIC MERCANTILE BANCORP, 949 SOUTH COAST DRIVE, THIRD FLOOR, COSTA MESA, CA, 92626, 714-438-2500 - 0 ($5,863,670.00) Equity, (File 333-177141 - Oct. 3) (BR. 07C) S-8 PACIFIC MERCANTILE BANCORP, 949 SOUTH COAST DRIVE, THIRD FLOOR, COSTA MESA, CA, 92626, 714-438-2500 - 0 ($944,700.00) Equity, (File 333-177142 - Oct. 3) (BR. 07C) S-3 INVESTORS REAL ESTATE TRUST, 1400 31ST AVENUE SW, SUITE 60, PO BOX 1988, MINOT, ND, 58702-1988, 701-837-4738 - 319,184 ($2,377,920.80) Equity, (File 333-177143 - Oct. 3) (BR. 08B) S-3 Sabra Health Care REIT, Inc., 18500 VON KARMAN, SUITE 550, IRVINE, CA, 92612, 888-393-8248 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-177144 - Oct. 3) (BR. 08C) S-8 Fortune Brands Home & Security, Inc., 520 LAKE COOK ROAD, DEERFIELD, IL, 60015, 847-484-4400 - 0 ($396,750,000.00) Equity, (File 333-177145 - Oct. 3) (BR. 06C) S-1 GTX CORP, 117 WEST 9TH STREET,, SUITE 1214,, LOS ANGELES,, CA, 90015, 604-808-6211 - 11,670,000 ($700,200.00) Equity, (File 333-177146 - Oct. 3) (BR. 11A) S-3 Fortress Investment Group LLC, 1345 AVENUE OF THE AMERICAS, 46TH FLOOR, NEW YORK, NY, 10105, 212-798-6100 - 0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-177147 - Oct. 3) (BR. 06A) S-8 SCIENTIFIC GAMES CORP, 750 LEXINGTON AVE, NEW YORK, NY, 10022, 3027374300 - 0 ($1,473,500.00) Equity, (File 333-177148 - Oct. 3) (BR. 03B) S-8 RESEARCH IN MOTION LTD, 295 PHILLIP ST, WATERLOO, ONTARIO CANADA, A6, 00000, 5198887465 - 3,000,000 ($62,790,000.00) Equity, (File 333-177149 - Oct. 3) (BR. 11A) S-1 MGT CAPITAL INVESTMENTS INC, KENSINGTON CENTRE, 66 HAMMERSMITH ROAD, LONDON, X0, W14 8UD, 011 44 207 605 7950 - 31,640,472 ($1,898,428.32) Equity, (File 333-177150 - Oct. 3) (BR. 03C) S-3 Rhino Resource Partners LP, 424 LEWIS HARGETT CIRCLE SUITE 250, LEXINGTON, KY, 40503, (859) 389-6500 - 0 ($553,219,746.00) Limited Partnership Interests, (File 333-177151 - Oct. 3) (BR. 09A)
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 ABINGTON BANCORP, INC./PA 2.01,3.01,3.03,5.01 09/30/11 ACACIA RESEARCH CORP DE 8.01 09/30/11 ACACIA RESEARCH CORP DE 8.01 09/30/11 ACACIA RESEARCH CORP DE 8.01 09/30/11 ACACIA RESEARCH CORP DE 8.01 09/30/11 ACE MARKETING & PROMOTIONS INC NY 7.01,9.01 09/28/11 ACI WORLDWIDE, INC. DE 1.01,8.01,9.01 10/03/11 ACI WORLDWIDE, INC. DE 1.01,9.01 10/03/11 ACURA PHARMACEUTICALS, INC NY 8.01,9.01 10/03/11 Advaxis, Inc. DE 5.02,5.07,9.01 09/27/11 AIRWARE INTERNATIONAL CORP. 5.03,8.01 09/27/11 ALION SCIENCE & TECHNOLOGY CORP DE 3.02 09/30/11 Allegiant Travel CO NV 2.03 09/27/11 Allied World Assurance Co Holdings, A 5.03,9.01 09/30/11 AMACORE GROUP, INC. DE 1.01,9.01 09/26/11 AMERICAN ELECTRIC POWER CO INC NY 7.01 10/03/11 American Realty Capital Trust III, In MD 2.01,8.01,9.01 09/27/11 AMERICAN SCIENTIFIC RESOURCES INC NV 2.03,3.02 09/26/11 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 7.01 10/03/11 ANCHOR BANCORP WISCONSIN INC WI 5.02,9.01 09/30/11 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 10/03/11 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 10/03/11 APAC CUSTOMER SERVICES, INC IL 8.01 09/28/11 APRIA HEALTHCARE GROUP INC DE 5.02,9.01 10/03/11 ARCH COAL INC DE 2.02,9.01 09/30/11 ARENA PHARMACEUTICALS INC DE 8.01 10/03/11 ATWOOD OCEANICS INC TX 7.01,9.01 09/30/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 10/03/11 AVATAR HOLDINGS INC DE 1.01,1.02,5.02 09/29/11 AZAZ Capital Corp. NV 5.03 09/28/11 BIOANALYTICAL SYSTEMS INC IN 5.02 09/27/11 BIOLIFE SOLUTIONS INC DE 8.01,9.01 10/03/11 BIOVEST INTERNATIONAL INC DE 7.01,9.01 10/03/11 Bitzio, Inc. NV 2.01 09/30/11 BLACK HILLS CORP /SD/ SD 1.01,2.03,9.01 09/30/11 Black Tusk Minerals Inc. NV 3.02,8.01 09/28/11 BLUE RIDGE REAL ESTATE CO PA 1.01,9.01 10/01/11 Blue Water Restaurant Group, Inc. NV 8.01,9.01 10/03/11 Blueknight Energy Partners, L.P. DE 7.01,9.01 10/03/11 Book Merge Technology, Inc. NV 1.01,2.01,3.02 09/30/11 AMEND BORDERS GROUP INC MI 1.01 09/27/11 BRAZIL GOLD CORP. NV 4.01,9.01 09/13/11 AMEND Bridgepoint Education Inc DE 8.01 10/03/11 Buckingham Exploration Inc. 2.01,3.02,9.01 09/30/11 Bullion Monarch Mining, Inc. (NEW) UT 8.01,9.01 09/30/11 C & F FINANCIAL CORP VA 8.01 09/30/11 Calpian, Inc. TX 1.01 09/30/11 CAPELLA EDUCATION CO 1.01,9.01 09/30/11 CAPSTONE TURBINE Corp DE 1.01,9.01 09/27/11 CARDTRONICS INC DE 9.01 07/25/11 AMEND CARMIKE CINEMAS INC DE 5.02,9.01 10/01/11 CARRIZO OIL & GAS INC TX 8.01,9.01 09/27/11 Casablanca Mining Ltd. NV 5.02,9.01 09/30/11 CASCADE BANCORP OR 8.01,9.01 09/29/11 CBRE GROUP, INC. DE 5.03,8.01,9.01 10/03/11 Cellceutix CORP 3.02 10/03/11 CENTRAL HUDSON GAS & ELECTRIC CORP NY 8.01,9.01 09/30/11 CENTURY ALUMINUM CO DE 8.01,9.01 10/03/11 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 10/03/11 CHICOPEE BANCORP, INC. 8.01,9.01 09/29/11 CHINACAST EDUCATION CORP DE 5.02 10/03/11 Chrysler Group LLC DE 8.01,9.01 10/03/11 Citizens Community Bancorp Inc. MD 1.01,5.02,9.01 09/29/11 Clear Skies Solar, Inc DE 5.02 09/30/11 CODORUS VALLEY BANCORP INC PA 2.06 09/27/11 COMPETITIVE TECHNOLOGIES INC DE 9.01 05/04/11 AMEND COMPETITIVE TECHNOLOGIES INC DE 1.01,9.01 10/03/11 AMEND COMPUTER SCIENCES CORP NV 8.01,9.01 10/03/11 CONEXANT SYSTEMS INC DE 5.02 09/27/11 Cono Italiano, Inc. NV 1.01,3.02 09/07/11 COUNTERPATH CORP NV 5.07 09/27/11 CPS TECHNOLOGIES CORP/DE/ DE 5.02 10/03/11 CRAY INC WA 5.02,8.01 09/27/11 CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 10/03/11 CUBIST PHARMACEUTICALS INC DE 8.01,9.01 09/29/11 CYCLE COUNTRY ACCESSORIES CORP NV 5.02 09/28/11 DARDEN RESTAURANTS INC FL 1.01,1.02,2.03,9.01 10/03/11 DATALINK CORP MN 1.01,2.01,2.02,3.02, 10/03/11 9.01 DEAN FOODS CO DE 1.01,2.03,9.01 09/28/11 DEERE & CO DE 7.01 10/03/11 Delek US Holdings, Inc. 7.01,9.01 10/03/11 DENBURY RESOURCES INC DE 8.01,9.01 09/29/11 DFC GLOBAL CORP. DE 5.02 09/27/11 DIGAGOGO VENTURES CORP DE 9.01 09/30/11 Discover Financial Services DE 8.01 09/30/11 DISCOVERY LABORATORIES INC /DE/ DE 5.03,5.07,9.01 10/03/11 Dividend Capital Total Realty Trust I 2.03 09/27/11 Domark International Inc. NV 1.01,9.01 10/03/11 Domark International Inc. NV 1.01,5.02,9.01 09/30/11 DOMINION RESOURCES INC /VA/ VA 1.01,9.01 10/01/11 DORAL FINANCIAL CORP PR 8.01 10/01/11 Duke Energy CORP DE 8.01,9.01 09/30/11 Ecologic Transportation, Inc. 5.02 09/26/11 Education Realty Trust, Inc. MD 7.01,9.01 10/03/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 09/27/11 AMEND Enertopia Corp. NV 1.01,3.02,7.01,9.01 10/03/11 ENPRO INDUSTRIES, INC NC 1.01,2.03,9.01 09/28/11 EnteroMedics Inc 8.01,9.01 10/03/11 ESSA Bancorp, Inc. PA 7.01,9.01 09/29/11 Federal Home Loan Bank of Chicago X1 7.01,9.01 10/03/11 Federal Home Loan Bank of Chicago X1 5.02 10/03/11 Federal Home Loan Bank of Pittsburgh PA 5.02 09/19/11 FIRST FINANCIAL HOLDINGS INC /DE/ DE 8.01,9.01 09/30/11 FIRST M&F CORP/MS MS 7.01,9.01 10/03/11 FIRST NIAGARA FINANCIAL GROUP INC DE 8.01,9.01 10/03/11 FIVE STAR QUALITY CARE INC 2.01,2.03,9.01 09/29/11 FLUOROPHARMA MEDICAL, INC. NV 4.02 09/08/11 FNB CORP/FL/ FL 7.01,9.01 10/03/11 FORD MOTOR CO DE 8.01,9.01 10/03/11 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 10/03/11 Forestar Group Inc. DE 1.01,2.03,9.01 09/30/11 Forex International Trading Corp. NV 8.01 09/30/11 Franchise Holdings International, Inc NV 4.01,9.01 09/23/11 AMEND FS Energy & Power Fund DE 2.02,9.01 09/30/11 FS Investment CORP MD 2.02,9.01 09/30/11 FUNCTION (X) INC. DE 1.01 09/30/11 GENERAC HOLDINGS INC. DE 1.01,7.01,9.01 10/03/11 General Maritime Corp / MI 1.01,8.01,9.01 09/30/11 GENUINE PARTS CO GA 7.01,9.01 10/03/11 GERON CORP DE 5.07 05/11/11 AMEND Gold Holding Corp. 1.01 10/03/11 GreenChek Technology Inc. NV 3.02,3.03,9.01 09/27/11 GreenChoice International, Inc. NV 8.01 08/31/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,8.01,9.01 09/30/11 GSV Capital Corp. MD 8.01,9.01 09/30/11 GT Advanced Technologies Inc. DE 1.01,9.01 09/27/11 GTSI CORP DE 5.02,9.01 10/03/11 Guaranty Bancorp DE 1.01,3.02,3.03,5.03, 09/29/11 5.07,9.01 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 10/03/11 HARLEYSVILLE GROUP INC DE 8.01,9.01 09/29/11 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 10/03/11 HCA Holdings, Inc. 1.01,1.02,2.03,9.01 09/27/11 HEARTLAND PAYMENT SYSTEMS INC DE 5.02 09/27/11 HeartWare International, Inc. DE 8.01,9.01 10/03/11 HELMERICH & PAYNE INC DE 7.01,9.01 10/03/11 HERCULES OFFSHORE, INC. DE 8.01 09/30/11 HEWLETT PACKARD CO DE 2.01,7.01,9.01 10/03/11 HNI CORP IA 1.01,2.03,9.01 09/28/11 INGRAM MICRO INC DE 5.02,9.01 10/03/11 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01 10/03/11 InterDigital, Inc. PA 8.01 10/03/11 J C PENNEY CO INC DE 5.02,9.01 10/03/11 JABIL CIRCUIT INC DE 2.02,9.01 09/27/11 KAISER ALUMINUM CORP DE 1.01,2.03,7.01,9.01 09/30/11 KANSAS CITY SOUTHERN DE 1.01,2.03,7.01,9.01 09/30/11 Kansas City Southern de Mexico, S.A. O5 1.01,2.03,7.01,9.01 09/30/11 KAR Auction Services, Inc. DE 2.01,7.01,9.01 10/03/11 Kennedy-Wilson Holdings, Inc. DE 9.01 10/03/11 KINETIC CONCEPTS INC TX 8.01 09/28/11 Kodiak Oil & Gas Corp B0 1.01 09/27/11 La Cortez Energy, Inc. NV 7.01,9.01 10/03/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/03/11 LINCARE HOLDINGS INC DE 8.01,9.01 10/03/11 LITHIUM TECHNOLOGY CORP DE 1.01 09/27/11 LOCAL.COM DE 7.01,9.01 10/03/11 Location Based Technologies, Inc. NV 7.01,9.01 10/03/11 Lone Pine Resources Inc. DE 5.01,5.02,7.01,8.01, 09/30/11 9.01 Longhai Steel Inc. NV 5.02 10/03/11 AMEND LSI INDUSTRIES INC OH 5.02,9.01 10/03/11 Lucky Boy Silver Corp. WY 8.01 09/27/11 LUFKIN INDUSTRIES INC TX 8.01,9.01 10/02/11 LyondellBasell Industries N.V. P7 2.05,9.01 09/27/11 MAGELLAN PETROLEUM CORP /DE/ DE 5.02,8.01,9.01 09/27/11 MAGNUM HUNTER RESOURCES CORP DE 5.02,7.01,9.01 09/30/11 MANITOWOC CO INC WI 1.01,9.01 09/27/11 Measurement Specialties Inc NJ 1.01,2.01,9.01 09/27/11 Medidata Solutions, Inc. DE 5.02 10/01/11 MICHAEL BAKER CORP PA 7.01,9.01 10/03/11 MINN DAK FARMERS COOPERATIVE ND 2.02,8.01 10/03/11 MIPS TECHNOLOGIES INC DE 5.02 09/30/11 Morgan Stanley Capital I Trust 2011-C 8.01,9.01 09/30/11 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 09/26/11 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 5.02,8.01,9.01 09/30/11 MURPHY OIL CORP /DE DE 8.01,9.01 09/30/11 NATIONAL HEALTH INVESTORS INC MD 2.01,9.01 10/03/11 NATIONAL PENN BANCSHARES INC PA 5.03,9.01 10/03/11 NATURAL RESOURCE PARTNERS LP DE 2.03,9.01 10/03/11 NET TALK.COM, INC. FL 2.03,3.02,9.01 09/30/11 NEWS CORP 8.01,9.01 10/03/11 NOBILITY HOMES INC FL 3.01,9.01 09/28/11 Northumberland Resources, Inc. NV 2.01,3.03 09/27/11 Novo Energies Corp FL 8.01 09/30/11 NUMEREX CORP /PA/ PA 5.02,9.01 10/03/11 NUPATHE INC. DE 7.01,9.01 10/03/11 NUPATHE INC. DE 7.01,9.01 10/03/11 O REILLY AUTOMOTIVE INC 7.01,9.01 10/03/11 ONCOSEC MEDICAL Inc NV 1.01,3.02,9.01 09/28/11 OptimizeRx Corp NV 8.01 09/16/11 Orexigen Therapeutics, Inc. DE 8.01 10/03/11 ORIGINOIL INC NV 8.01,9.01 09/29/11 Orion Marine Group Inc 7.01,9.01 09/29/11 OTELCO INC. DE 1.01,9.01 10/01/11 OXYGEN BIOTHERAPEUTICS, INC. DE 5.02,5.05,5.07,9.01 09/29/11 PACIFIC SANDS INC NV 5.02 09/30/11 PARK BANCORP INC DE 5.02,9.01 09/27/11 Pay Mobile, Inc NV 3.02 09/30/11 AMEND PennantPark Floating Rate Capital Ltd 7.01 10/03/11 PEOPLES FINANCIAL SERVICES CORP. PA 9.01 09/30/11 PEPCO HOLDINGS INC DE 7.01 10/03/11 PETROHAWK ENERGY CORP DE 1.01,9.01 09/27/11 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 1.01,8.01,9.01 10/02/11 PINNACLE AIRLINES CORP DE 5.02,9.01 09/30/11 PIONEER NATURAL RESOURCES CO DE 2.02,7.01,9.01 10/03/11 PLUG POWER INC DE 5.02,9.01 09/29/11 PLX TECHNOLOGY INC DE 2.03 10/03/11 PRICELINE COM INC DE 5.02,9.01 09/26/11 AMEND Radiation Therapy Services Holdings, DE 1.01,2.03,7.01,9.01 09/29/11 RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,2.03,9.01 09/30/11 RAYONIER INC NC 5.02,9.01 10/03/11 Redpoint Bio CORP 5.02 09/27/11 Renewable Energy Group, Inc. 1.01,5.02,9.01 09/28/11 Resource Real Estate Opportunity REIT MD 8.01 09/23/11 Rhino Resource Partners LP DE 9.01 10/03/11 ROBERTSON GLOBAL HEALTH SOLUTIONS COR NV 1.01,9.01 09/29/11 Rosetta Resources Inc. DE 7.01,9.01 10/03/11 S1 CORP /DE/ DE 1.01,8.01,9.01 10/03/11 Sabra Health Care REIT, Inc. MD 8.01 10/03/11 SAIC, Inc. 5.02,9.01 09/29/11 SANGAMO BIOSCIENCES INC DE 7.01,9.01 10/03/11 SCIENTIFIC GAMES CORP DE 5.02,9.01 06/29/11 SEAHAWK DRILLING, INC. DE 1.03,3.03,5.01,5.02, 09/28/11 9.01 SELECT MEDICAL HOLDINGS CORP 7.01 10/03/11 Shire plc 8.01,9.01 10/03/11 Sino American Oil Co NV 7.01,9.01 10/03/11 SKYWORKS SOLUTIONS, INC. DE 5.07 10/03/11 AMEND SM Energy Co DE 7.01,9.01 10/03/11 SMF ENERGY CORP DE 8.01,9.01 09/30/11 SMTC CORP DE 1.01,9.01 09/22/11 Solar Energy Initiatives, Inc. DE 5.02 09/30/11 Somaxon Pharmaceuticals, Inc. DE 1.02,5.02,9.01 09/30/11 SPS COMMERCE INC 1.01,2.03,9.01 09/30/11 STELLAR RESOURCES LTD NV 8.01,9.01 09/30/11 Stereotaxis, Inc. DE 5.02,7.01,9.01 10/03/11 STIFEL FINANCIAL CORP DE 8.01,9.01 10/03/11 SUN COMMUNITIES INC MD 1.01,2.03,9.01 09/28/11 SUNPOWER CORP DE 1.01,2.03 09/27/11 SUSQUEHANNA BANCSHARES INC PA 1.01,5.02,7.01,9.01 09/28/11 TACTICAL DIVERSIFIED FUTURES FUND L.P NY 3.02 10/01/11 TBS International plc L2 3.01 09/28/11 TEAM INC TX 2.02,9.01 10/03/11 TECH DATA CORP FL 1.01,2.03,9.01 09/27/11 TESSERA TECHNOLOGIES INC DE 8.01,9.01 10/03/11 THEWEBDIGEST CORP. FL 3.02 09/30/11 Timberline Resources Corp DE 7.01,9.01 09/30/11 TNP Strategic Retail Trust, Inc. MD 1.01,9.01 09/27/11 TOWER BANCORP INC PA 1.01,8.01,9.01 09/28/11 Tower Group, Inc. DE 7.01,9.01 10/03/11 TPG Specialty Lending, Inc. DE 1.01,2.03 09/28/11 TRANSCEND SERVICES INC DE 1.01,9.01 09/30/11 TRANSWITCH CORP /DE DE 1.01,3.03,5.03,9.01 10/03/11 TRIPLE-S MANAGEMENT CORP 8.01 10/03/11 Tropicana Las Vegas Hotel & Casino, I DE 1.01,9.01 09/27/11 U. S. Premium Beef, LLC 7.01,9.01 10/03/11 UNION DRILLING INC DE 8.01 09/29/11 United Development Funding IV MD 1.01 09/27/11 UNITED ENERGY CORP /NV/ NV 5.02 10/03/11 UROPLASTY INC MN 5.07 09/14/11 US DATAWORKS INC NV 5.07 09/27/11 VARIAN MEDICAL SYSTEMS INC DE 1.01,8.01,9.01 09/30/11 VERMILLION, INC. DE 5.02,9.01 09/29/11 Vican Resources, Inc. NV 5.02 10/02/11 VIRGIN MEDIA INC. DE 8.01,9.01 10/01/11 VIRGINIA ELECTRIC & POWER CO VA 1.01,9.01 10/01/11 VISTAPRINT N.V. P7 5.07,8.01 09/30/11 VITESSE SEMICONDUCTOR CORP DE 2.02,2.05,2.06,9.01 10/03/11 VIVUS INC CA 8.01,9.01 10/03/11 Warner Music Group Corp. DE 1.01,9.01 09/28/11 WASHINGTON MUTUAL, INC WA 7.01,9.01 09/30/11 WELLCARE HEALTH PLANS, INC. DE 1.01,2.03 09/30/11 WESBANCO INC WV 5.02 10/03/11 WESCO INTERNATIONAL INC 8.01,9.01 10/03/11 WESTERN LIBERTY BANCORP DE 5.02 09/28/11 WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 10/03/11 Zoro Mining Corp. NV 5.02 10/03/11