Diamondback Capital Agrees to Settle SEC Insider Trading Charges
The Securities and Exchange Commission today announced that Diamondback Capital Management LLC has agreed to pay more than $9 million to settle insider-trading charges brought by the Commission on Jan. 18. The proposed settlement is subject to the approval of Judge Paul G. Gardephe of the U.S. District Court for the Southern District of New York. As part of the proposed settlement, the Stamford, Conn.-based hedge fund adviser also has submitted a statement of facts to the SEC and federal prosecutors, and entered into a non-prosecution agreement with the U.S. Attorney’s Office for the Southern District of New York.
Under the proposed settlement, Diamondback will give up more than $6 million of allegedly ill-gotten gains and pay a $3 million civil penalty. In addition, Diamondback consented to a judgment that permanently enjoins it from future violations of federal anti-fraud laws. The proposed settlement would resolve charges of insider trading by Diamondback in shares of Dell Inc. and Nvidia Corp. in 2008 and 2009.
“We are pleased to have reached a prompt resolution of the charges against Diamondback,” said George S. Canellos, Director of the SEC’s New York Regional Office. “If approved by the court, we believe that the proposed settlement appropriately sanctions the misconduct while giving due credit to Diamondback for its substantial assistance in the government’s investigation and the pending actions against former employees and their co-defendants.”
Last week, the SEC filed insider-trading charges against Diamondback, a second hedge fund advisory firm, and seven individuals, including a former Diamondback analyst and former Diamondback portfolio manager. In reaching the proposed settlement announced today, the SEC considered the substantial cooperation that Diamondback provided, including conducting extensive interviews of staff, reviewing voluminous communications, analyzing complex trading patterns to determine suspicious trading activity, and presenting the results of its internal investigation to federal investigators. (Press Rel. 2012-16)
Commission Revokes Registration of Securities of E-Smart Technologies Inc. For Failure to Make Required Periodic Filings
On January 23, 2012, the Commission revoked the registration of each class of registered securities of e-Smart Technologies Inc. (e-Smart) 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, e-Smart 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 e-Smart 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 e-Smart’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against e-Smart in In the Matter of e-Smart Technologies, Inc., et al., Administrative Proceeding File No. 3-14703.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For more information see Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to e-Smart Technologies, Inc., In the Matter of e-Smart Technologies, Inc., et al., Administrative Proceeding File No. 3-14703, Exchange Act Release No. 66191 (January 19, 2012). (Rel. 34-66211; File No. 3-14703)
In the Matter of 1st Discount Brokerage, Inc. and Michael R. Fisher
On January 23, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, Imposing Remedial Sanctions and a Censure Order as to 1st Discount Brokerage, Inc. (1DB), and Making Findings and Imposing Remedial Sanctions as to Michael R. Fisher (Fisher).
The Order finds that from 2002 to 2008, Michael J. Park (Park), a registered representative associated with 1DB, operated a Ponzi scheme which defrauded more than 50 investors out of nearly $9 million. The Order further finds that 1DB and Fisher failed reasonably to supervise Park with a view to preventing and detecting his violations of Section 17(a) of the Securities Act of 1933 (Securities Act), and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder.
Specifically, the Order finds that 1DB did not have policies and procedures reasonably designed to detect and prevent violations of the securities laws by registered representatives like Park. Had 1DB had such reasonable policies and procedures, it would have likely uncovered Park’s fraud. Furthermore, had 1DB had reasonable policies and procedures in the review of the “doing business as” business accounts of its registered representatives, it is likely that 1DB would have observed a substantial influx of money from 1DB’s existing customers into Park’s business account, through which he conducted his Ponzi scheme. In addition, 1DB had no policy requiring compliance auditors who were conducting audits to review the work papers and reports of previous compliance audits. As a result, auditors were unable to identify Park’s repeated failure to display signage showing his affiliation with 1DB. Park failed to display 1DB signage to conceal from his customers his association with 1DB for fear that they would alert the firm to his suspicious investment scheme. 1DB also failed to conduct unannounced audits in the Nashville office as specifically required in the firm’s procedures. Had 1DB implemented a system to follow its own procedure of conducting unannounced audits in the Nashville office, it is likely that 1DB would have found evidence of Park’s Ponzi scheme.
The Order further finds that from 2004 to 2008, Fisher was delegated the responsibility to oversee 1DB’s Heightened Supervision Committee (HSC). Pursuant to 1DB’s compliance and sales management manuals, the HSC is a part of 1DB’s supervisory structure. As the designated head of the HSC, Fisher was responsible for having a system to implement the firm’s policies and procedures regarding the periodic review of all activities of 1DB’s registered representatives. Had 1DB, through Fisher, developed such a system for periodic reviews of the activities of all of 1DB’s registered representatives, the HSC would have reviewed Park’s activities and would have found several red flags, including inadequate or missing signage that required Park to disclose his association with 1DB, a customer complaint of unauthorized trading, and declining commissions. As a result of Fisher’s failure to implement the firm’s policies and procedures regarding the periodic review of all activities of 1DB’s registered representatives, Fisher failed reasonably to supervise Park with a view to preventing and detecting his violative conduct.
Based on the above, and the findings within the Order that 1DB and Fisher failed reasonably to supervise Park with a view to preventing and detecting his violations of the federal securities laws, the Commission censured 1DB and imposed a civil penalty of $40,000 against it and suspended Fisher from acting in a supervisory capacity for any broker or dealer or investment adviser for nine months and imposed a civil penalty of $10,000 against him. (Rel. 34-66212A; IA-3360A; File No. 3-14710)
Court Enters Default Judgment Against PermaPave Industries, LLC and Other Related Companies in Ponzi Scheme Case
The Securities and Exchange Commission today announced that, on January 19, 2012, the United States District Court for the Southern District of New York entered a default judgment against Defendants PermaPave Industries, LLC, PermaPave USA Corp., PermaPave Distributions, Inc., Verigreen, LLC, and Interlink-US-Network, Ltd and Relief Defendants DASH Development, LLC, Aron Holdings, Inc., PermaPave Construction Corp., Dymoncrete Industries, LLC, Dymon Rock LI, LLC, and Lumi-Coat, Inc.
This judgment, which resolves the Commission’s claims and grants all relief sought against these companies, (i) permanently enjoins PermaPave Industries, PermaPave USA, PermaPave Distributions, and Verigreen from future violations of 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 Exchange Act Rule 10b-5, (ii) permanently enjoins Interlink from future violations of Sections 10(b) and 13(a) of the Exchange Act and Exchange Act Rules 10b-5, 12b-20, and 13a-11, (iii) orders PermaPave Industries, PermaPave USA, PermaPave Distributions, and Verigreen to pay $7,734,983 in disgorgement, $281,268 in prejudgment interest, and $7.7 million in civil penalties, (iv) orders Interlink to pay $375,000 in civil penalties, and (v) orders relief defendants DASH, Aron Holdings, PermaPave Construction, Dymoncrete Industries, Dymon Rock, and Lumi-Coat to disgorge ill-gotten gains received from defendants totaling $4,236,252 and prejudgment interest totaling $214,233.
The Commission’s civil action continues against Defendants Eric Aronson, Vincent Buonauro, Robert Kondratick, Fredric Aaron, and Permeable Solutions, Inc. and Relief Defendants Caroline Aronson and Deborah Buonauro. [SEC v. Eric Aronson, Vincent Buonauro, Jr., Robert Kondratick, Fredric Aaron, PermaPave Industries, LLC, PermaPave USA Corp., PermaPave Distributions, Inc., Permeable Solutions, Inc., Verigreen, LLC, and Interlink-US-Network, Ltd., Defendants, and Caroline Aronson, Deborah Buonauro, DASH Development, LLC, Aron Holdings, Inc., PermaPave Construction Corp., Dymoncrete Industries, LLC, Dymon Rock LI, LLC, and Lumi-Coat, Inc., Relief Defendants, Civil Action No. 11 Civ. 7033 (S.D.N.Y.)] (LR-22231)
New York Life Insurance and Annuity Corporation, et al.
A notice has been issued giving interested persons until February 13, 2012 to request a hearing on an application filed by New York Life Insurance and Annuity Corporation and NYLIAC Variable Annuity Separate Account—I, NYLIAC Variable Annuity Separate Account—II, NYLIAC Variable Annuity Separate Account—III, NYLIAC Variable Annuity Separate Account—IV, NYLIAC Variable Universal Life Separate Account—I, NYLIAC Corporate Sponsored Variable Universal Life Separate Account—I, NYLIAC Private Placement Variable Universal Life Separate Account – I, and NYLIAC Private Placement Variable Universal Life Separate Account – II (collectively, Separate Accounts and, together with NYLIAC, the Section 26 Applicants); and Mainstay VP Funds Trust (Mainstay VP Funds Trust and, together with NYLIAC and the Separate Accounts, the Section 17 Applicants) requesting an exemptive order of the Securities and Exchange Commission pursuant to Section 26(c) of the Investment Company Act of 1940, as amended (1940 Act). Section 26 Applicants seek an order approving the substitution of shares of certain series of Mainstay VP Funds Trust (the “Replacement Portfolios”) for shares of series of other registered investment companies (the “Existing Portfolios”) held by the Separate Accounts to fund certain group and individual variable annuity contracts and variable universal life insurance policies issued by NYLIAC (the “Substitutions”). The Section 17 Applicants seek an order pursuant to Section 17(b) of the 1940 Act to the extent necessary to permit them to effectuate the Substitutions by redeeming all or a portion of the securities of one or more of the Existing Portfolios in-kind and using those securities received to purchase shares of the Replacement Portfolios. (Rel. IC-29923 – January 19)
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change
The Commission instituted proceedings to determine whether to approve or disapprove a proposed rule change (SR-FINRA-2011-058), submitted by the Financial Industry Regulatory Authority, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities). Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66168)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NYSEArca-2011-86) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade the Accuvest Global Opportunities ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66201)
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. filed Partial Amendment No. 1 to a proposed rule change (SR-FINRA-2011-057) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt to adopt new FINRA Rule 5123 regarding private placements of securities and the Commission has instituted proceedings to determine whether to approve or disapprove the proposed rule change (SR-FINRA-2011-057), as modified by Partial Amendment No. 1. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66203)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-06) amending the Real-time Risk Management Fee and other clarifying amendments 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 January 23. (Rel. 34-66208)
A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2012-02) reformatting the Fee 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 January 23. (Rel. 34-66209)
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-4 ICAHN ENTERPRISES L.P., 767 FIFTH AVENUE, SUITE 4700, NEW YORK, NY, 10153, 212-702-4300 - 0 ($500,000,000.00) Debt, (File 333-179109 - Jan. 20) (BR. 05B) S-8 INTUIT INC, 2700 COAST AVENUE, MOUNTAIN VIEW, CA, 94043, 650-944-6000 - 4,000,000 ($218,720,000.00) Equity, (File 333-179110 - Jan. 20) (BR. 03C) S-3ASR WADDELL & REED FINANCIAL INC, 6300 LAMAR AVE, OVERLAND PARK, KS, 66202-4200, 9132362000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179111 - Jan. 20) (BR. 12A) S-8 Liberty Media Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, (720) 875-5400 - 1,000,000 ($84,890,000.00) Equity, (File 333-179112 - Jan. 20) (BR. 11C) S-1 ACTIVE NETWORK INC, 10182 TELESIS COURT, SUITE 300, SAN DIEGO, CA, 92121, 858-964-3800 - 0 ($22,402,500.00) Equity, (File 333-179115 - Jan. 20) (BR. 03A) S-8 SKYWORKS SOLUTIONS, INC., 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 3,305,154 ($72,818,185.48) Equity, (File 333-179117 - Jan. 20) (BR. 10C) S-1 Introbuzz, 7816 CALICO FLOWER AVENUE, LAS VEGAS, NV, 89128, 424-225-2783 - 2,000,000 ($100,000.00) Equity, (File 333-179118 - Jan. 20) (BR. 03) S-3ASR COMMUNITY BANK SYSTEM INC, 5790 WIDEWATERS PKWY, DEWITT, NY, 13214, 8007242262 - 0 ($0.00) Equity, (File 333-179119 - Jan. 20) (BR. 07C) S-8 TWO RIVERS WATER Co, 2000 S COLORADO BLVD., ANNEX STE 420, DENVER, CO, 80222, 303-222-1000 - 10,000,000 ($15,700,000.00) Equity, (File 333-179120 - Jan. 20) (BR. 05A) S-4 Hughes Satellite Systems Corp, 100 INVERNESS TERRACE EAST, ENGLEWOOD, CO, 80112, 303-706-4000 - 0 ($2,000,000,000.00) Other, (File 333-179121 - Jan. 20) (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 ----------------------------------------------------------------------------------------- 21ST CENTURY HOLDING CO FL 5.02,9.01 01/18/12 A123 SYSTEMS, INC. DE 1.01,2.02,7.01,8.01, 01/19/12 9.01 ABM INDUSTRIES INC /DE/ DE 5.02 01/18/12 ACACIA RESEARCH CORP DE 8.01 01/17/12 ADVENT CLAYMORE CONVERTIBLE SECURITIE DE 7.01,9.01 01/18/12 ADVENT/CLAYMORE ENHANCED GROWTH & INC DE 7.01,9.01 01/18/12 Advent/Claymore Global Convertible Se DE 7.01,9.01 01/18/12 AgFeed Industries, Inc. NV 5.02 01/13/12 AGY Holding Corp. DE 5.02 01/17/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 1.01,2.03,9.01 01/17/12 ALLIANCEBERNSTEIN L.P. DE 1.01,2.03,9.01 01/17/12 ALLIANT ENERGY CORP WI 5.02 01/20/12 Allied World Assurance Co Holdings, A 7.01,9.01 01/20/11 ALLOS THERAPEUTICS INC DE 8.01,9.01 01/20/12 ALNYLAM PHARMACEUTICALS, INC. 2.02,2.05,9.01 01/19/12 AMERICAN DG ENERGY INC DE 5.02 01/18/12 AMERICAN EAGLE OUTFITTERS INC DE 1.01,5.02,9.01 01/18/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 9.01 01/20/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.01,9.01 01/20/12 AMEND AMERICAN WAGERING INC NV 2.03 01/13/12 AMES NATIONAL CORP IA 2.02,7.01,9.01 01/20/12 AMPHENOL CORP /DE/ DE 8.01,9.01 01/19/12 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 01/20/12 API Technologies Corp. DE 8.01 01/20/12 APPLETON PAPERS INC/WI 5.02 01/19/12 ARTHROCARE CORP DE 5.02,9.01 01/17/12 ASIAINFO-LINKAGE, INC DE 8.01,9.01 01/20/12 ASSURANCEAMERICA CORP NV 5.02,9.01 12/29/11 Astex Pharmaceuticals, Inc DE 1.01,1.02,9.01 01/13/12 Atlantic Coast Financial CORP MD 8.01 01/17/12 Avago Technologies LTD U0 5.02,9.01 01/18/12 AWARE INC /MA/ MA 2.05 01/18/12 BANCORPSOUTH INC MS 7.01,9.01 01/20/12 Bank of Marin Bancorp CA 2.02,8.01,9.01 01/19/12 Bank of New York Mellon CORP DE 2.02,9.01 01/18/12 BAYLAKE CORP WI 2.02,9.01 01/19/12 BCM Energy Partners Inc. DE 1.01 01/14/12 BERKELEY COFFEE & TEA, INC. NV 5.02 01/20/12 BIOCRYST PHARMACEUTICALS INC DE 5.02,7.01,9.01 01/16/12 BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 01/19/12 BLAST ENERGY SERVICES, INC. CA 9.01 01/13/12 BLUE CALYPSO, INC. NV 1.01,2.03,9.01 01/16/12 BLUEGREEN CORP MA 7.01,9.01 01/20/12 BUCKEYE PARTNERS, L.P. DE 5.02,7.01,9.01 01/13/12 C H ROBINSON WORLDWIDE INC DE 5.02,9.01 01/18/12 CAPITOL BANCORP LTD MI 5.07,9.01 01/20/12 Capstone Therapeutics Corp. DE 5.02,7.01,9.01 01/17/12 CARROLS RESTAURANT GROUP, INC. 5.02,9.01 01/16/12 Casablanca Mining Ltd. NV 2.03 01/17/12 CATALYST HEALTH SOLUTIONS, INC. DE 8.01 01/17/12 CENTRAL BANCORP INC /MA/ MA 8.01,9.01 01/19/12 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 5.02 01/20/12 CENTRAL FEDERAL CORP DE 8.01,9.01 01/20/12 Cereplast Inc NV 8.01,9.01 01/17/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02 01/19/12 Cheniere Energy Partners, L.P. DE 8.01,9.01 01/20/12 CHICOS FAS INC FL 9.01 11/24/08 AMEND CHOICE HOTELS INTERNATIONAL INC /DE DE 5.02 01/17/12 COLONY BANKCORP INC GA 2.02,9.01 01/20/12 COLONY BANKCORP INC GA 5.02 01/17/12 COMERICA INC /NEW/ DE 2.02,7.01,9.01 01/20/12 COMMUNITY BANK SYSTEM INC DE 1.01,9.01 01/19/12 Compressco Partners, L.P. DE 8.01,9.01 01/19/12 CONNS INC DE 2.05,9.01 01/20/12 CONSOLIDATED EDISON INC NY 2.02,9.01 01/19/12 COOPER TIRE & RUBBER CO DE 8.01,9.01 01/17/12 CORELOGIC, INC. DE 2.02,9.01 01/19/12 Coronus Solar Inc. A1 1.01,7.01,9.01 01/20/12 COVENTRY HEALTH CARE INC DE 5.02,9.01 01/13/12 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 01/20/12 CROSSTEX ENERGY INC DE 7.01,9.01 01/19/12 CROSSTEX ENERGY LP DE 7.01,9.01 01/19/12 Crumbs Bake Shop, Inc. DE 1.01,5.02,9.01 01/18/12 CYBEX INTERNATIONAL INC NY 3.01 01/17/12 DIMECO INC PA 2.02,9.01 01/20/12 DOMINION RESOURCES INC /VA/ VA 5.02,9.01 01/19/12 DORAL FINANCIAL CORP PR 2.02,7.01,9.01 01/19/12 DUPONT FABROS TECHNOLOGY, INC. MD 1.01,3.02,5.03,9.01 01/19/12 EARTH DRAGON RESOURCES INC. 1.01 01/18/12 EARTH DRAGON RESOURCES INC. 1.01,9.01 01/18/12 AMEND EASTERN LIGHT CAPITAL, INC. DE 3.01,9.01 01/13/12 ECOLAB INC DE 2.02,2.05,9.01 01/19/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 5.02 01/18/12 ENDEAVOUR INTERNATIONAL CORP NV 1.01 01/18/12 Enduro Royalty Trust DE 2.02,9.01 01/20/12 ENTROPIC COMMUNICATIONS INC DE 1.01,9.01 01/18/12 EPOCRATES INC DE 8.01 01/05/12 EQT Corp PA 7.01 01/20/12 EVERGREEN SOLAR INC DE 7.01 01/20/12 FAIRPOINT COMMUNICATIONS INC DE 8.01 01/20/12 FERRELLGAS PARTNERS L P DE 1.01,2.03,5.02,8.01, 01/17/12 9.01 FIDELITY BANCORP INC PA 2.02,9.01 01/20/12 Fifth Season International, Inc. DE 5.02 01/20/12 FIFTH THIRD BANCORP OH 2.02,7.01,9.01 01/20/12 FINANCIAL INSTITUTIONS INC NY 1.01,8.01 01/20/12 FIRST CHINA PHARMACEUTICAL GROUP, INC NV 4.01 01/16/12 FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.02 01/17/12 FIRST HORIZON NATIONAL CORP TN 5.03,9.01 01/18/12 FIRST HORIZON NATIONAL CORP TN 2.02,9.01 01/20/12 FIRST HORIZON NATIONAL CORP TN 7.01,9.01 01/20/12 FLEXPOINT SENSOR SYSTEMS INC DE 4.01,9.01 01/17/12 Ford Credit Auto Owner Trust 2012-A DE 1.01,8.01,9.01 01/18/12 FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 01/20/12 FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 01/19/12 FSI INTERNATIONAL INC MN 5.07 01/18/12 FULLCIRCLE REGISTRY INC NV 1.01,9.01 01/19/12 FULTON FINANCIAL CORP PA 5.02 01/20/12 GAP INC DE 5.02,9.01 01/14/12 GENERAL ELECTRIC CAPITAL CORP CT 3.02,8.01,9.01 01/19/12 GENERAL ELECTRIC CAPITAL SERVICES INC DE 1.01,8.01,9.01 01/19/12 GENERAL ELECTRIC CO NY 2.02,9.01 01/20/12 Genesis Biopharma, Inc NV 1.01,9.01 01/13/12 AMEND GLATFELTER P H CO PA 5.02,5.03,9.01 01/20/12 GLIMCHER REALTY TRUST MD 1.01,2.03,9.01 01/17/12 GMX RESOURCES INC OK 8.01,9.01 01/20/12 GOLDMAN SACHS GROUP INC DE 9.01 01/20/12 GOOD SAM ENTERPRISES, LLC DE 8.01,9.01 01/20/12 GRANITE CITY FOOD & BREWERY LTD MN 8.01 01/14/12 Graystone Co DE 1.01,2.03,3.02,8.01, 01/18/12 9.01 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 01/19/12 GULF POWER CO ME 3.02 01/20/12 HANMI FINANCIAL CORP DE 2.02,9.01 01/19/12 HEALTH MANAGEMENT ASSOCIATES INC DE 5.02,8.01,9.01 01/17/12 HeartWare International, Inc. DE 5.02 01/17/12 HeartWare International, Inc. DE 5.07 05/12/11 AMEND HENRY SCHEIN INC DE 5.02,9.01 01/18/12 HEWLETT PACKARD CO DE 5.02 01/18/12 HUGOTON ROYALTY TRUST TX 2.02,9.01 01/20/12 HUMAN PHEROMONE SCIENCES INC CA 3.02 01/18/12 IASIS Healthcare LLC DE 7.01,9.01 01/17/12 ICU MEDICAL INC/DE DE 8.01 01/20/12 IGEN NETWORKS CORP NV 1.01,1.02 12/30/11 IMAGINE MEDIA LTD DE 5.02 01/13/12 IMPERIAL CAPITAL BANCORP, INC. DE 1.03,9.01 11/21/11 Independent Film Development CORP NV 2.03,9.01 01/11/12 INTEL CORP DE 2.02 01/19/12 INTEL CORP DE 5.02 01/20/12 INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 01/19/12 INVESTORS REAL ESTATE TRUST ND 8.01,9.01 01/20/12 IRVINE SENSORS CORP/DE/ DE 3.02 01/16/12 ITC Holdings Corp. MI 8.01 01/19/12 JBI, INC. NV 8.01,9.01 01/20/12 KB HOME DE 8.01,9.01 01/19/12 KEY ENERGY SERVICES INC MD 5.02,9.01 01/16/12 LA JOLLA PHARMACEUTICAL CO DE 1.01,2.01,3.02,3.03, 01/17/12 5.02,5.03,8.01,9.01 LADENBURG THALMANN FINANCIAL SERVICES FL 9.01 11/04/11 AMEND LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 01/20/12 Li3 Energy, Inc. NV 1.01,9.01 01/13/12 LIBERTY SILVER CORP NV 5.02 01/16/12 Life Technologies Corp DE 3.02 01/17/12 Limelight Networks, Inc. DE 7.01,9.01 01/20/12 LINEAR TECHNOLOGY CORP /CA/ DE 5.07 11/02/11 AMEND LIVEDEAL INC NV 5.02 01/13/12 MAGICJACK VOCALTEC LTD L3 8.01,9.01 01/20/12 Manhattan Bancorp CA 1.01,9.01 01/18/12 MANNKIND CORP DE 1.01,9.01 01/16/12 MARTIN MIDSTREAM PARTNERS LP DE 1.01,7.01,9.01 01/20/12 MEDICAL INTERNATIONAL TECHNOLOGY INC CO 7.01,9.01 01/17/12 MEDIVATION, INC. DE 1.02 01/16/12 MENS WEARHOUSE INC TX 8.01,9.01 01/19/12 MESA ROYALTY TRUST/TX TX 2.02,9.01 01/20/12 MetroCorp Bancshares, Inc. TX 2.02,9.01 01/20/12 METROPOLITAN HEALTH NETWORKS INC FL 5.02 01/17/12 MF Global Holdings Ltd. DE 7.01,9.01 01/17/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 01/20/12 Midwest Energy Emissions Corp. DE 1.01,1.02,2.01,3.02, 06/21/11 AMEND 5.01,5.02,9.01 ML Aspect FuturesAccess LLC DE 3.02 01/17/12 ML BlueTrend FuturesAccess LLC DE 3.02 01/17/12 ML Winton FuturesAccess LLC DE 3.02 01/17/12 MOHAWK INDUSTRIES INC DE 1.01,2.03,9.01 01/20/12 MORRIS PUBLISHING GROUP LLC GA 8.01 01/18/12 NANOPHASE TECHNOLOGIES CORPORATION IL 1.01,9.01 01/17/12 NATIONAL HOLDINGS CORP DE 2.02,9.01 01/13/12 NATURAL HEALTH TRENDS CORP DE 2.02,9.01 01/19/12 Naugatuck Valley Financial Corp MD 1.01,9.01 01/17/12 NAVISTAR INTERNATIONAL CORP DE 7.01 01/20/12 NETFLIX INC DE 5.02,9.01 01/13/12 NETWORK CN INC DE 5.02 01/20/12 NETWORK ENGINES INC DE 5.02 09/15/11 NEW CENTURY BANCORP INC NC 8.01 01/13/12 NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 01/19/12 NorthStar Real Estate Income Trust, I MD 7.01 01/18/12 NOVADEL PHARMA INC DE 1.02,9.01 01/16/12 OCEANFIRST FINANCIAL CORP DE 2.02,8.01 01/19/12 Oconee Federal Financial Corp. 8.01,9.01 01/19/12 Oconee Federal Financial Corp. 8.01,9.01 01/19/12 OHIO LEGACY CORP OH 5.02 01/17/12 ONEOK INC /NEW/ OK 2.02,7.01,8.01,9.01 01/20/12 ONEOK Partners LP DE 2.02,7.01,8.01,9.01 01/20/12 Orchids Paper Products CO /DE DE 1.01,5.02,9.01 01/19/12 OVERLAND STORAGE INC CA 8.01,9.01 01/20/12 PACER INTERNATIONAL INC TN 1.01,2.01 01/17/12 PACIFIC BIOSCIENCES OF CALIFORNIA INC 5.02 01/18/12 PARKER HANNIFIN CORP OH 2.02,7.01,9.01 01/20/12 PDL BIOPHARMA, INC. DE 5.02 01/17/12 People's United Financial, Inc. DE 2.02,8.01,9.01 01/19/12 PEOPLES FINANCIAL SERVICES CORP. PA 9.01 12/31/11 PETROLEUM DEVELOPMENT CORP NV 5.02,9.01 01/16/12 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 01/20/12 PHAZAR CORP DE 2.02,9.01 01/19/12 PINNACLE AIRLINES CORP DE 7.01,9.01 01/20/12 PINNACLE FINANCIAL PARTNERS INC TN 5.02,9.01 01/13/12 Pioneer Exploration Inc. NV 1.01,2.01,5.01,5.06, 11/01/11 AMEND 7.01,9.01 POSITRON CORP TX 1.01,2.01,3.02,9.01 01/17/12 POST PROPERTIES INC GA 1.01,2.03,9.01 01/19/12 PREMIER ALLIANCE GROUP, INC. NV 4.02,8.01 01/19/12 PREMIERE GLOBAL SERVICES, INC. GA 5.02 01/20/12 PRINCIPAL FINANCIAL GROUP INC DE 5.02 01/17/12 Propell Corporation. DE 5.02,9.01 01/09/12 PROSPERITY BANCSHARES INC TX 2.02,9.01 01/20/12 PROSPERITY BANCSHARES INC TX 8.01,9.01 01/19/12 PROVIDENCE SERVICE CORP DE 5.02 01/13/12 PSM HOLDINGS INC NV 5.02,9.01 01/14/12 RALCORP HOLDINGS INC /MO MO 8.01,9.01 01/20/12 RALCORP HOLDINGS INC /MO MO 7.01,8.01,9.01 01/20/12 REGIS CORP MN 5.02 01/19/12 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 01/18/12 RFS HOLDING LLC 1.01,9.01 01/18/12 AMEND RING ENERGY, INC. NV 3.02 01/07/11 SANTANDER DRIVE AUTO RECEIVABLES LLC DE 1.01,9.01 01/19/12 Santos Resource Corp. NV 1.01,2.01,3.02,5.01, 12/29/11 5.02,5.06,9.01 SCHLUMBERGER LTD /NV/ P8 2.02,7.01,9.01 01/20/12 Scio Diamond Technology Corp NV 7.01,9.01 01/17/12 SEACHANGE INTERNATIONAL INC DE 5.02,7.01,9.01 01/18/12 SEACOR HOLDINGS INC /NEW/ DE 2.02,9.01 04/20/11 SEQUENOM INC DE 8.01,9.01 01/20/12 SHUTTERFLY INC DE 5.03,9.01 01/18/12 SilverSun Technologies, Inc. DE 1.01,2.01,3.02,9.01 01/12/12 SKY PETROLEUM, INC. NV 1.01,3.02,7.01,9.01 01/12/12 SLM Student Loan Trust 2005-5 8.01 01/20/12 SLM Student Loan Trust 2005-8 8.01 01/20/12 SMART BALANCE, INC. DE 5.02,9.01 01/20/12 SMARTHEAT INC. NV 5.03,5.07,9.01 01/17/12 SONOCO PRODUCTS CO SC 2.02,9.01 01/20/12 STAMPS.COM INC DE 5.02,5.03,9.01 01/13/12 Standard Financial Corp. MD 2.02,8.01,9.01 01/19/12 STEWART INFORMATION SERVICES CORP DE 5.03,9.01 01/17/12 STONE ENERGY CORP DE 5.02,9.01 01/18/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 01/17/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 01/17/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 01/17/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 01/17/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 01/17/12 STRUCTURED PRODUCTS CORP TIERS PRI PR DE 8.01,9.01 01/17/12 SUNTRUST BANKS INC GA 2.02,7.01,9.01 01/20/12 SUPERMEDIA INC. DE 7.01,9.01 01/20/12 Synutra International, Inc. DE 2.02,9.01 01/20/12 T3 Motion, Inc. DE 3.01,9.01 01/17/12 Target Acquisitions I, Inc. DE 8.01,9.01 01/20/12 TCF FINANCIAL CORP DE 5.02,9.01 01/16/12 TENGION INC DE 5.02,9.01 01/16/12 TENNECO INC DE 8.01,9.01 01/18/12 Tennessee Commerce Bancorp, Inc. TN 4.02,8.01 01/17/12 Tennessee Valley Authority 1.01,2.03,9.01 01/17/12 TESORO LOGISTICS LP DE 7.01,9.01 01/19/12 THRESHOLD PHARMACEUTICALS INC DE 1.01,9.01 01/20/12 TIDEWATER INC DE 8.01,9.01 01/16/12 Titan Oil & Gas, Inc. NV 5.02 01/20/12 TMST, Inc. MD 7.01,9.01 01/19/12 TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 01/20/12 TreeHouse Foods, Inc. DE 7.01,9.01 01/20/12 U S GOLD CORP CO 7.01,9.01 01/20/12 UMH PROPERTIES, INC. MD 1.01,9.01 01/20/12 United Maritime Group, LLC FL 5.02,9.01 01/13/12 US Highland, Inc. OK 1.01,5.02,9.01 11/10/11 US Highland, Inc. OK 1.01,2.03,3.02,9.01 12/21/11 USA TECHNOLOGIES INC PA 5.02,9.01 01/13/12 UV FLU TECHNOLOGIES INC NV 8.01 01/20/12 VALUE LINE INC NY 8.01,9.01 01/19/12 Vanda Pharmaceuticals Inc. DE 5.02 01/18/12 VENTRUS BIOSCIENCES INC DE 5.02,9.01 01/17/12 Verdant Automotive Corp DE 5.02,5.03 01/16/12 VIEWCAST COM INC DE 1.01,2.01,9.01 01/13/12 Vista International Technologies Inc DE 1.02,8.01 01/13/12 W R GRACE & CO DE 5.02,9.01 01/18/12 WASHINGTON FEDERAL INC WA 5.07 01/18/12 WAUSAU PAPER CORP. WI 5.03,8.01,9.01 01/19/12 WebMD Health Corp. DE 5.02 01/19/12 WHITING PETROLEUM CORP DE 5.02 01/17/12 WHITING PETROLEUM CORP DE 2.02,9.01 01/19/12 WINN DIXIE STORES INC FL 8.01,9.01 01/20/12 WISCONSIN ENERGY CORP WI 5.02,9.01 01/19/12 WSFS FINANCIAL CORP DE 8.01,9.01 01/19/12 XPO Logistics, Inc. DE 5.05,9.01 01/16/12 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 01/19/12