Kristin Snyder Named Head of Examinations Program in SEC’s San Francisco Regional Office
The Securities and Exchange Commission today announced the appointment of Kristin Snyder to lead the examinations program in the agency’s San Francisco Regional Office.
Ms. Snyder has worked at the SEC for the past eight years, serving as a Branch Chief and a Senior Counsel in the San Francisco office’s enforcement program. In her new position as Associate Regional Director for Examinations, Ms. Snyder leads a staff of approximately 50 accountants, examiners, attorneys and support staff responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents across Northern California and the Pacific Northwest.
“As the SEC’s examination program becomes increasingly risk-focused, Kristin’s extensive enforcement experience will be ideal in identifying the practices with the greatest potential for investor harm and in supporting our mission to promote compliance, monitor risk and inform policy,” said Marc Fagel, Director of the San Francisco Regional Office.
Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “I am pleased to welcome Kristin to her new position. She has a well-earned reputation for being extraordinarily hardworking, efficient, and tenacious, making her well-suited for the job of implementing the national examination program’s strategies for investor protection and market integrity at a time of significant regulatory change.”
Ms. Snyder said, “Over the years, I have had the pleasure of working with many of our examination staff on complex and cutting-edge cases in the broker-dealer, investment adviser and investment company areas. I am honored to be joining the talented and dedicated staff in San Francisco’s examination program at this exciting time.”
Ms. Snyder, 41, assumes the Associate Regional Director for Examinations position vacated by Daryl Hagel when he retired from the agency.
Prior to joining the SEC staff, Ms. Snyder practiced with Sidley Austin Brown & Wood LLP in San Francisco. She earned her law degree from the University of California Hastings College of the Law, and received her bachelor’s degree from the University of California at Davis. (Press Rel. 2011-249)
Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.
Open Meeting on December 6, 2011 at 10:00 a.m.
The Commission will hold an open meeting to hear oral argument in an administrative proceeding regarding Theodore W. Urban, formerly general counsel, head of compliance, and member of the Board of Directors of Ferris, Baker Watts, Inc. (“FBW,” now operating under the name RBC Wealth Management), a registered broker-dealer and investment adviser.
Urban and the Division of Enforcement filed cross-appeals from the decision of an administrative law judge. The law judge found that Stephen Glantz, an FBW registered representative, engaged in various securities law violations while employed by FBW. She further found that Glantz was subject to Urban's supervision within the meaning of Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940; however, the law judge dismissed the proceeding against Urban because she concluded that Urban did not fail to exercise that supervision reasonably.
Among the issues likely to be argued are (1) whether Glantz engaged in violations of the securities laws; (2) whether Urban was a supervisor of Glantz under applicable law; (3) if so, whether Urban failed to exercise that supervision reasonably; and (4) if so, whether and to what extent sanctions should be imposed.
For further information, please contact the Office of the Secretary at (202) 551-5400.
In the Matter of Johnny Clifton
An Administrative Law Judge has issued an Initial Decision (Decision) in Johnny Clifton, Admin. Proc. No. 3-14266. The Order Instituting Administrative and Cease-and-Desist Proceedings (OIP) alleges that Johnny Clifton (Clifton), the president and principal of a registered broker-dealer, made material misrepresentations and omissions relating to an oil-and-gas well project. The OIP further alleges that Clifton failed to supervise sales representatives and sales practices.
The Decision finds these allegations to be true. As a result, Clifton violated Section 17(a) of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934. The Decision bars Clifton from association with any broker, dealer, investment adviser, municipal securities dealer, and transfer agent; imposes a cease-and-desist order; and imposes a third-tier civil penalty of $130,000 on Clifton. (Initial Decision No. 443; File No. 3-14266)
Federal Court Enters Judgments of Permanent Injunction and Other Relief Against Defendants Christopher M. Dubeau and Atlantis Technology Group
The United States District Court for the Southern District of Florida has entered final judgments on consent against defendants Christopher M. Dubeau and Atlantis Technology Group, enjoining them from violating the antifraud provisions of the federal securities laws. The Court’s final judgments, issued on October 31, 2011, enjoin Dubeau and Atlantis from violations of Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934, and also enjoin Dubeau from violations of Section 17(a) of the Securities Act of 1933. In addition to granting injunctive relief, the Court permanently barred Dubeau from participating in an offering of a penny stock and from acting as an officer or director of any public company. The Court also ordered Dubeau to disgorge his ill-gotten gains of $312,000.00, plus prejudgment interest in the amount of $12,947.93, and pay a civil penalty of $100,000.00.
The Commission’s Complaint against Dubeau and Atlantis, filed September 30, 2010, alleges that from at least August 7, 2009 through April 5, 2010, they issued numerous false press releases claiming, among other things, that Atlantis’ subsidiary, Global Online Television Corporation (GOTV), offered internet protocol television and video phone services to consumers, and claiming that GOTV had relationships with television networks to offer their content to Atlantis subscribers. The Complaint further alleges these claims were not true because, at the time Atlantis issued its press releases, GOTV was not able to offer internet protocol television services to consumers or video phone service, and it did not have relationships with television networks to offer content to its subscribers. [Securities and Exchange Commission v. Atlantis Technology Group and Christopher M. Dubeau, Civil Action No. 10-61824-CIV-ZLOCH (S.D. Fla.)] (LR-22171)
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:
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Chicago Board Options Exchange, Incorporated to clarify the limited extension to the compliance deadline for registration and qualification pursuant to Rule 3.6A (SR-CBOE-2011-110) 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 November 28. (Rel. 34-65828)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-159) to delay implementation of a recently effective modification to the operation of the Minimum Quantity Order on the NASDAQ OMX PSX 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 November 28. (Rel. 34-65832)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-109) to amend the Fees Schedule 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 November 28. (Rel. 34-65833)
A proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2011-033) relating to Market-Makers’ continuous quoting obligations and adjusted option series has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 28. (Rel. 34-65834)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-105) relating to Market-Makers’ continuous electronic quoting obligations and adjusted option series has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 28. (Rel. 34-65835)
A proposed rule change filed by The NASDAQ Stock Market, LLC (SR-NASDAQ-2011-153) to establish fees for a direct market data product, NASDAQ Options Trade Outline (“NOTO”), has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 28. (34-65836)
A proposed rule change filed by the New York Stock Exchange LLC to amend its listed company manual to apply listing and annual fees to foreign private issuers of certain debt securities (SR-NYSE-2011-59) 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 November 28. (Rel. 34-65845)
Proposed Rule Changes
The Depository Trust Company (DTC) filed a proposed rule change (SR-DTC-2011-08) under Section 19(b)(1) of the Securities Exchange Act of 1934 to enhance risk management controls associated with the receiver authorized delivery function. Publication is expected in the Federal Register during the week of November 28. (Rel. 34-65831)
National Stock Exchange, Inc. filed a proposed rule change (SR-NSX-2011-14) relating to the proposed rule change in connection with the proposed purchase and sale of the National Stock Exchange, Inc. to CBOE Stock Exchange, Inc. Publication is expected in the Federal Register during the week of November 28. (Rel. 34-65842)
Chicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2011-107) amending and restating the CBSX Operating Agreement and adopting Rule 2.50. Publication is expected in the Federal Register during the week of November 28. (Rel. 34-65843)
Approval of Proposed Rule Change
The Commission approved a proposed rule change (SR-BX-2011-071) submitted by NASDAQ OMX BX, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend the By-Laws of The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of November 28. (Rel. 34-65840)
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-3ASR Scripps Networks Interactive, Inc., 312 WALNUT STREET, SUITE 1800, CINCINNATI, OH, 45202, 513 824-3200 - 0 ($0.00) Non-Convertible Debt, (File 333-178192 - Nov. 28) (BR. 11C) S-1 GYSAN HOLDINGS, INC., UNIT 1, 833 - 1ST AVENUE N.W., CALGARY, A0, T2N 0A4, 403-229-2351 - 4,366,000 ($130,980.00) Equity, (File 333-178199 - Nov. 28) (BR. ) S-3 First California Financial Group, Inc., 3027 TOWNSGATE ROAD, SUITE 300, WESTLAKE VILLAGE, CA, 91361, 805-437-4293 - 0 ($75,000,000.00) Other, (File 333-178201 - Nov. 28) (BR. 07B) F-3ASR SWEDISH EXPORT CREDIT CORP /SWED/, VASTRA TRADGARDSGATAN 11 B, STOCKHOLM SWEDEN, V7, 0 ($0.00) Other, (File 333-178202 - Nov. 28) (BR. 07C) S-8 CENVEO, INC, ONE CANTERBURY GREEN, 201 BROAD STREET, STAMFORD, CT, 06901, 2035953000 - 38,811 ($111,387.57) Equity, (File 333-178203 - Nov. 28) (BR. 05A) S-1 Howard Bancorp Inc, 6011 University Boulevard, Suite 370, Ellicott City, MD, 21043, 410-750-0020 - 0 ($5,000,000.00) Equity, (File 333-178204 - Nov. 28) (BR. )
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 Adama Technologies Corp DE 1.01,9.01 11/18/11 AES CORP DE 2.01,8.01,9.01 11/28/11 AMERICAN APPAREL, INC DE 5.02,8.01 11/28/11 AMERIGAS PARTNERS LP DE 8.01,9.01 11/28/11 Amerilithium Corp. NV 8.01,9.01 09/30/11 AMEND APOLLO GROUP INC AZ 5.02 11/22/11 APRIA HEALTHCARE GROUP INC DE 5.02 11/21/11 ARDENT MINES LTD 1.01,1.02,5.02,9.01 11/22/11 ARTHROCARE CORP DE 7.01,9.01 11/28/11 Artio Global Investors Inc. DE 5.02,9.01 11/23/11 ASHLAND INC. KY 7.01,9.01 11/28/11 ASSOCIATED BANC-CORP WI 8.01 11/28/11 Atlantic Coast Financial CORP MD 8.01,9.01 11/28/11 AUTHENTIDATE HOLDING CORP DE 1.01,1.02,2.01,3.02, 11/21/11 8.01,9.01 AUTODESK INC DE 5.02 11/25/11 AVISTA CORP WA 7.01 11/28/11 Bacterin International Holdings, Inc. DE 7.01,9.01 11/28/11 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 11/28/11 Banks.com, Inc. FL 3.01,9.01 11/22/11 Behringer Harvard Opportunity REIT II MD 1.01 11/21/11 BELK INC 2.02,9.01 11/22/11 BIOCANCELL THERAPEUTICS INC. 5.07 11/23/11 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 11/28/11 BKF CAPITAL GROUP INC DE 8.01,9.01 11/21/11 Border Management, Inc. NV 5.02,8.01 10/27/11 BROADWAY FINANCIAL CORP \DE\ DE 3.01,8.01,9.01 11/22/11 BROWN SHOE CO INC NY 7.01,9.01 11/28/11 CANANDAIGUA NATIONAL CORP NY 8.01 11/28/11 Celsion CORP DE 7.01,9.01 11/28/11 CenterState Banks, Inc. FL 5.02 11/21/11 CenterState Banks, Inc. FL 7.01 11/28/11 CENTRAL ENERGY PARTNERS LP DE 5.02,9.01 11/22/11 CHINA NORTH EAST PETROLEUM HOLDINGS L NV 5.07 11/21/11 CHINA RECYCLING ENERGY CORP 3.02 11/22/11 China Wi-Max Communications, Inc. NV 5.02,9.01 11/21/11 Chisen Electric Corp NV 3.03,5.03,9.01 11/22/11 CNS RESPONSE, INC. DE 5.02 11/21/11 COMMERCIAL METALS CO DE 8.01,9.01 11/28/11 Community Partners Bancorp NJ 7.01,9.01 11/28/11 COMPLETE GENOMICS INC DE 8.01 11/21/11 CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 11/28/11 COOPER TIRE & RUBBER CO DE 8.01,9.01 11/28/11 CorMedix Inc. DE 5.02,9.01 11/21/11 COSTCO WHOLESALE CORP /NEW WA 5.02 11/23/11 CVB FINANCIAL CORP CA 8.01 11/22/11 Cyalume Technologies Holdings, Inc. DE 5.02 11/22/11 DC BRANDS INTERNATIONAL INC CO 7.01 11/28/11 DEARBORN BANCORP INC /MI/ MI 3.01,9.01 11/18/11 Dehaier Medical Systems Ltd 5.02,9.01 11/28/11 DELTA AIR LINES INC /DE/ DE 5.02,9.01 11/22/11 Diamond Foods Inc DE 7.01,8.01,9.01 11/28/11 Douglas Lake Minerals Inc. NV 5.02,8.01,9.01 11/21/11 DPL INC OH 2.03,3.01,3.03,5.01, 11/28/11 5.02,5.03,7.01,9.01 EAGLE BANCORP INC MD 8.01,9.01 11/28/11 Eaglecrest Resources, Inc. NV 5.03,8.01,9.01 11/25/11 EBAY INC DE 1.01,1.02,9.01 11/22/11 Endeavor Power Corp NV 5.02,7.01,8.01,9.01 09/27/11 ENERGY CONVERSION DEVICES INC DE 5.02,7.01,9.01 11/21/11 ENTEGRIS INC DE 8.01 11/22/11 ENTREMED INC DE 3.01 11/22/11 Evetsco, Inc. DE 1.01,2.03 11/21/11 FARMERS NATIONAL BANC CORP /OH/ OH 7.01,9.01 11/28/11 Federal Home Loan Bank of Atlanta X1 2.03 11/28/11 Federal Home Loan Bank of New York X1 2.03,9.01 11/21/11 Federal Home Loan Bank of Seattle 5.02,9.01 11/17/11 AMEND FEDERAL REALTY INVESTMENT TRUST MD 1.01,2.03,9.01 11/22/11 First California Financial Group, Inc DE 7.01,9.01 11/28/11 FIRST KEYSTONE CORP PA 8.01 11/28/11 FIVE STAR QUALITY CARE INC 5.02,5.03,9.01 11/22/11 Fraternity Community Bancorp Inc MD 5.02,9.01 11/22/11 GARDNER DENVER INC DE 1.01,2.03,9.01 11/21/11 GENERAL MILLS INC DE 8.01,9.01 11/28/11 GigOptix, Inc. DE 1.01,5.02,9.01 11/21/11 GlyEco, Inc. NV 1.01,2.01,3.02,4.01, 11/21/11 5.01,5.02,5.03,5.06, 9.01 GREIF INC DE 8.01,9.01 11/28/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,8.01,9.01 11/28/11 GSV Capital Corp. MD 8.01,9.01 11/28/11 Guaranty Bancorp DE 7.01,9.01 11/28/11 GUIDED THERAPEUTICS INC DE 1.01,3.02 11/28/11 GUIDED THERAPEUTICS INC DE 1.01,3.02,9.01 11/28/11 AMEND HARDWIRED INTERACTIVE, INC. NV 1.01,2.01,3.02,4.01, 11/03/11 AMEND 5.01,5.02,9.01 Hillenbrand, Inc. IN 2.02,9.01 11/28/11 HOMELAND ENERGY SOLUTIONS LLC 8.01,9.01 11/25/11 HORMEL FOODS CORP /DE/ DE 5.02,9.01 11/21/11 HSW International, Inc. DE 5.02 11/28/11 HUMANA INC DE 1.01,1.02,2.03,9.01 11/22/11 ICAHN ENTERPRISES L.P. DE 3.01,9.01 11/28/11 III TO I MARITIME PARTNERS CAYMAN I L 2.04 11/18/11 INSIGNIA SYSTEMS INC/MN MN 8.01 11/23/11 INTEGRATED BIOPHARMA INC 5.07 11/28/11 JAKKS PACIFIC INC DE 8.01,9.01 11/22/11 JOHN D. OIL & GAS CO 1.03,9.01 11/21/11 Kat Gold Holdings Corp. NV 1.01,2.01,3.02,9.01 11/23/11 KBS Strategic Opportunity REIT, Inc. MD 1.01,2.01,2.03,9.01 11/22/11 KRISPY KREME DOUGHNUTS INC NC 5.02,9.01 11/28/11 LANCASTER COLONY CORP OH 8.01 11/23/11 Lantheus Medical Imaging, Inc. DE 2.02,9.01 11/21/11 LENCO MOBILE INC. DE 1.01,2.03,9.01 11/21/11 LIVEWIRE ERGOGENICS INC. 1.01,2.01,3.02,3.03, 08/31/11 AMEND 5.01,5.02,5.06,9.01 Lumber Liquidators Holdings, Inc. 5.02,9.01 11/28/11 Maiden Holdings, Ltd. D0 5.07,7.01,9.01 11/28/11 MANHATTAN PHARMACEUTICALS INC DE 1.01 11/23/11 Mercantile Bancorp, Inc. DE 3.01,7.01,9.01 11/28/11 MISSION COMMUNITY BANCORP CA 5.02,9.01 11/21/11 Neiman Marcus, Inc. DE 2.02,9.01 11/28/11 Netco Investments, Inc. TX 2.01,5.02,9.01 11/21/11 NETFLIX INC DE 1.01,2.03,3.02,8.01, 11/28/11 9.01 NEWCASTLE INVESTMENT CORP MD 5.02 11/25/11 NORDSTROM INC WA 1.01,2.03,9.01 11/22/11 NORDSTROM INC WA 8.01 11/28/11 NorthStar Real Estate Income Trust, I MD 7.01 11/18/11 NORTHSTAR REALTY FINANCE CORP. MD 1.01,7.01,9.01 11/22/11 OGLETHORPE POWER CORP GA 7.01,9.01 11/28/11 OMNIVISION TECHNOLOGIES INC DE 5.03,9.01 11/21/11 Oneida Financial Corp. MD 5.02,9.01 11/28/11 ORMAT TECHNOLOGIES, INC. DE 1.01,8.01,9.01 11/22/11 OXIGENE INC DE 1.01,3.02,9.01 11/28/11 P&F INDUSTRIES INC DE 1.01,2.03,9.01 11/21/11 PACWEST BANCORP DE 7.01,9.01 11/28/11 PENSON WORLDWIDE INC DE 1.01,9.01 11/22/11 PEOPLES LIBERATION INC DE 1.01,5.02 11/21/11 POKERTEK, INC. NC 3.01 11/22/11 Portlogic Systems Inc. NV 1.01,5.02,9.01 11/24/11 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 11/28/11 PROASSURANCE CORP DE 7.01,9.01 11/28/11 PROGRESS SOFTWARE CORP /MA MA 5.02,7.01,9.01 11/28/11 PURADYN FILTER TECHNOLOGIES INC DE 3.03,9.01 11/21/11 QUIDEL CORP /DE/ DE 8.01 11/28/11 REDWOOD TRUST INC MD 7.01,9.01 11/28/11 RETAIL OPPORTUNITY INVESTMENTS CORP DE 8.01,9.01 05/20/11 RETAIL OPPORTUNITY INVESTMENTS CORP DE 8.01,9.01 07/29/11 Riverview Financial Corp PA 5.02,9.01 11/23/11 SALESFORCE COM INC DE 5.02 11/22/11 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 5.02,9.01 11/28/11 SHUTTERFLY INC DE 1.01,2.03,9.01 11/22/11 SKY PETROLEUM, INC. NV 1.01,5.02,7.01,9.01 11/21/11 SMARTPAY EXPRESS, INC. NV 5.02 11/23/11 Sono Resources, Inc. NV 7.01,9.01 11/28/11 STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 11/28/11 STONE ENERGY CORP DE 7.01,9.01 11/28/11 STUDIO ONE MEDIA, INC. DE 1.01,8.01 11/22/11 SUNOCO LOGISTICS PARTNERS L.P. DE 3.03,5.03,9.01 11/21/11 Sunshine Financial Inc MD 5.02 11/28/11 SUPERIOR ENERGY SERVICES INC DE 1.01,2.03,9.01 11/21/11 SUREWEST COMMUNICATIONS CA 1.01,9.01 11/21/11 Surna Inc. NV 5.02 11/14/11 SYNCHRONOSS TECHNOLOGIES INC 5.07 05/10/11 AMEND TaxMasters, Inc. NV 4.02 11/28/11 TELETOUCH COMMUNICATIONS INC DE 1.01 11/23/11 TENET HEALTHCARE CORP NV 8.01 11/28/11 TOWERSTREAM CORP DE 8.01 11/24/11 TRANS LUX CORP DE 2.02,9.01 11/28/11 TRINITY INDUSTRIES INC DE 7.01,9.01 11/28/11 Two Harbors Investment Corp. 7.01,9.01 11/28/11 U S GOLD CORP CO 7.01,9.01 11/28/11 UGI CORP /PA/ PA 8.01,9.01 11/28/11 UNITEDHEALTH GROUP INC MN 7.01,9.01 11/28/11 VelaTel Global Communications, Inc. NV 8.01 11/18/11 Vitacost.com, Inc. DE 5.02,9.01 11/22/11 Walter Energy, Inc. DE 8.01 11/21/11 WEBSTER FINANCIAL CORP DE 7.01 11/28/11 WELLS CORE OFFICE INCOME REIT INC 8.01 11/28/11 WELLS FARGO & CO/MN DE 9.01 11/28/11 WESBANCO INC WV 7.01,9.01 11/28/11 Winthrop Realty Trust OH 1.01,3.03,5.03,8.01, 11/28/11 9.01 World Energy Solutions, Inc. DE 2.01,9.01 09/13/11 AMEND XCEL ENERGY INC MN 7.01 11/28/11