SEC Issues First Whistleblower Program Award
A whistleblower who helped the Securities and Exchange Commission stop a multi-million dollar fraud will receive nearly $50,000 – the first payout from a new SEC program to reward people who provide evidence of securities fraud.
The award represents 30 percent of the amount collected in an SEC enforcement action against the perpetrators of the scheme, the maximum percentage payout allowed by the whistleblower law.
“The whistleblower program is already becoming a success,” said SEC Chairman Mary L. Schapiro, who advocated for the program. “We’re seeing high-quality tips that are saving our investigators substantial time and resources.”
The award recipient, who does not wish to be identified, provided documents and other significant information that allowed the SEC’s investigation to move at an accelerated pace and prevent the fraud from ensnaring additional victims. The whistleblower’s assistance led to a court ordering more than $1 million in sanctions, of which approximately $150,000 has been collected thus far. The court is considering whether to issue a final judgment against other defendants in the matter. Any increase in the sanctions ordered and collected will increase payments to the whistleblower.
“This whistleblower provided the exact kind of information and cooperation we were hoping the whistleblower program would attract,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “Had this whistleblower not helped to uncover the full dimensions of the scheme, it is very likely that many more investors would have been victimized.”
The SEC did not approve a claim from a second individual seeking an award in this matter because the information provided did not lead to or significantly contribute to the SEC’s enforcement action, as required for an award.
The 2010 Dodd-Frank Act authorized the whistleblower program to reward individuals who offer high-quality original information that leads to an SEC enforcement action in which more than $1 million in sanctions is ordered. Awards can range from 10 percent to 30 percent of the money collected. The Dodd-Frank Act included enhanced anti-retaliation employment protections for whistleblowers and provisions to protect their identity. The law specifies that the SEC cannot disclose any information, including information the whistleblower provided to the SEC, which could reasonably be expected to directly or indirectly reveal a whistleblower’s identity.
Sean McKessy, Chief of the SEC’s Whistleblower Office, said that since the program was established in August 2011, about eight tips a day are flowing into the SEC. “The fact that we made the first payment after just one year of operation shows that we are open for business and ready to pay people who bring us good, timely information.”
In the Matter of Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.)
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations of Seven Respondents by Default and Setting a Prehearing Conference as to Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.) (Default Order), in Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.), Admin. Proc. File No. 3-14943. The Default Order finds that Respondents Rocky Point Pharmaceuticals, Inc., Sentosa Financial Investments, Ltd., Western Futures Fund LP, Western Futures Fund II LP, Wichita River Oil, Corp., Woods Cross Holding Corp., and WSC Group, Inc., failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission and revokes the registration of each Respondent’s class of registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The Default Order also sets a second prehearing conference in October to determine if Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.), has resolved the allegations in the Order Instituting Proceedings. (Rel. 34-67697; File No. 3-14943)
In the Matter of Gregory Bartko, Esq.
An Administrative Law Judge has issued an Initial Decision in Gregory Bartko, Esq., Admin. Proc. File No. 3-14700. On November 18, 2010, a jury found Gregory Bartko (Bartko) guilty of one count of conspiracy in violation of 18 U.S.C. § 371, four counts of mail fraud in violation of 18 U.S.C. §§ 1341 and 1342, and one count of the sale of unregistered securities in violation of 15 U.S.C. §§ 77e and 77x and 18 U.S.C. § 2, as a result of his involvement in an interstate criminal scheme to fraudulently obtain funds from investors through the use of material misrepresentations. On April 4, 2012, the United States District Court for the Eastern District of North Carolina sentenced Bartko to 276 months of imprisonment followed by three years of supervised release, and imposed on him and other co-defendants more than $886,000 in criminal monetary penalties.
Based on Bartko’s conviction, the Initial Decision bars Bartko from association with an investment adviser, broker, dealer, municipal securities dealer, or transfer agent, pursuant to Section 203(f) of the Investment Advisers Act of 1940. (Initial Decision No. 467; File No. 3-14700)
SEC Brings Charges in Puerto Rico-Based Ponzi Scheme Targeting Evangelical Christians and Factory Workers
The Securities and Exchange Commission today charged a Puerto Rico resident and his company with conducting a Ponzi scheme that targeted evangelical Christians and factory workers in Puerto Rico.
The SEC alleges that Ricardo Bonilla Rojas and his firm Shadai Yire raised at least $7 million from as many as 200 investors living primarily in Puerto Rico but also on the U.S. mainland in such states as Florida, New York, and North Carolina. The SEC alleges that Rojas actively solicited investors through personal discussions with individuals both over the phone and in person, and he also marketed the investment opportunity in presentations to evangelical Christian groups and factory workers who were often inexperienced investors. According to the SEC’s complaint filed in U.S. District Court for the District of Puerto Rico, Rojas falsely assured investors that their principal contributions were “100% guaranteed” and promised returns up to 50 percent, telling them he would invest their money in commodities. According to the complaint, Rojas never actually invested any money in commodities and instead used new contributions to repay earlier investors in classic Ponzi scheme fashion and stole $700,000 for himself.
In a parallel action, the U.S. Attorney’s Office for the District of Puerto Rico today announced criminal charges against Rojas.
According to the SEC’s complaint, Rojas and Shadai Yire conducted the scheme from at least August 2005 to February 2009. Rojas, who resides in Arecibo, Puerto Rico, and his company Shadai Yire have never been registered with the SEC to offer securities.
The SEC alleges that Rojas hired some sales agents to help him solicit investors, and paid commissions based on a percentage of the investor funds they raised. Rojas and his sales agents pitched the investment opportunity to individuals as a risk-free way to earn high returns in a short period of time. The SEC further alleges that Rojas created phony account statements that were sent to investors to hide his misuse of investor money and lead them to believe their investments were growing.
The SEC’s complaint charges the defendants with violating 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’s complaint also charges Rojas with violations of Section 15(a) of the Exchange Act. The SEC’s complaint seeks disgorgement of ill-gotten gains, financial penalties, and injunctive relief against Rojas and Shadai Yire to enjoin them from future violations of the federal securities laws.
The SEC’s investigation was conducted in the Miami Regional Office by Senior Counsel Terence M. Tennant and Accountant Karaz S. Zaki under the supervision of Assistant Regional Director Elisha L. Frank. Amie Riggle Berlin will lead the SEC’s litigation. The SEC acknowledges the assistance and cooperation of the U.S. Attorney’s Office for the District of Puerto Rico, the Federal Bureau of Investigation’s San Juan Division, and the U.S. Commodity Futures Trading Commission. [SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc., Civil Action No. 12-cv-1681 (D.P.R.)] (LR-22454; Press Rel. 2012-161)
SEC Charges Former Array BioPharma Manager For Insider Trading
On August 20, 2012, the Securities and Exchange Commission filed a settled civil action in the United States District Court for the District of Colorado against James L. Lieberman. In its complaint, the Commission alleges that Lieberman traded Array BioPharma, Inc. stock based on material nonpublic information about a pending transaction with Novartis, which he learned while working as Array’s manager of environmental health and safety. Minutes after receiving an e-mail from Array’s chief financial officer informing him that a significant licensing transaction with Novartis was imminent, Lieberman placed orders to buy Array common stock in both his brokerage account and his sister’s account, over which he had trading authority. In the weeks leading up to the public announcement of the transaction, Lieberman purchased nearly 50,000 shares of Array stock. After the public announcement on April 19, 2010, Lieberman sold all the shares in both accounts for profits of $71,361.
Without admitting or denying the allegations in the Commission’s complaint, Lieberman consented to a final judgment permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; ordering him to pay disgorgement of $71,361, plus prejudgment interest of $4,906; and ordering him to pay a one-time civil penalty in the amount of $71,361, for a total of $147,628. The Commission acknowledges FINRA for its assistance in this matter. [SEC v. Lieberman, Civil Action No. 1:12-cv-02198, USDC, DColo] (LR-22455)
Saratoga Investment Corp., et al.
An order has been issued on an application filed by Saratoga Investment Corp. (Company), et al. for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 18 and 61(a) of the Act. The order permits the Company to adhere to a modified asset coverage requirement. (Rel. IC-30171 - August 20)
Cash Account Trust, et al.
An order has been issued on an application filed by Cash Account Trust, et al. exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order supersedes a prior order and permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30172 - August 20)
Capital Research and Management Company, et al.
An order has been issued on an application filed by Capital Research and Management Company, et al. exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30173 - August 20)
Approval of Proposed Rule Changes
The Commission granted approval of a proposed rule change (SR-NYSEMKT-2012-14) submitted by NYSE MKT LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder adopting rules governing the listing and trading of new products known as DIVS, OWLS, and RISKS. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67684)
The Commission granted approval of a proposed rule change (SR-BATS-2012-023), submitted by BATS Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend BATS Rules 14.2 and 14.3 to adopt additional listing requirements for reverse merger companies and to align BATS Rules with the rules of other self-regulatory organizations. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67685)
The Commission granted approval of proposed rule changes submitted by the New York Stock Exchange LLC and NYSE MKT LLC (SR-NYSE-2012-19; SR-NYSEMKT-2012-13) that (1) Amend NYSE Rule 13 and NYSE MKT Rule 13 – Equities to Establish New Order Types, (2) Amend NYSE Rule 115A and NYSE MKT Rule 115A-Equities to Delete Obsolete Text and to Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amend NYSE Rule 123C and NYSE MKT Rule 123C – Equities to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Make Other Technical and Conforming Changes. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67686)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by ICE Clear Credit LLC (ICC) to amend Schedule 502 of the ICC Rules to provide for clearing of additional Markit CDX North American Investment Grade Indices (SR-ICC-2012-13) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67692)
Proposed Rule Change
ICE Clear Credit LLC (“ICC”) filed a proposed rule change (SR-ICC-2012-12) under Section 19(b)(1) of the Securities Exchange Act of 1934 to provide for clearing of additional single name investment grade CDS contracts. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67696)
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 Domtar CORP, 395 DE MAISONNEUVE BLVD. W., MONTREAL, A8, H3A 1L6, (514) 848-5555 - 0 ($0.00) Debt, (File 333-183410 - Aug. 20) (BR. 04A) S-3 Seven Arts Entertainment Inc., 1801 CENTURY PARK EAST, #1830, LOS ANGELES, CA, 90067, 44 020 7043 5394 - 0 ($15,000,000.00) Equity, (File 333-183411 - Aug. 20) (BR. 05A) S-8 GENTEX CORP, 600 N CENTENNIAL ST, ZEELAND, MI, 49464, 6167721800 - 500,000 ($8,905,000.00) Equity, (File 333-183412 - Aug. 20) (BR. 05B) S-3 AMERICAN DG ENERGY INC, 45 FIRST AVENUE, WALTHAM, MA, 02451, 781-622-1120 - 1,250,000 ($2,475,000.00) Equity, (File 333-183413 - Aug. 20) (BR. 02A) S-8 DOVER Corp, 3005 HIGHLAND PARKWAY, SUITE 200, DOWNERS GROVE, IL, 60515, (630) 541-1540 - 17,000,000 ($967,130,000.00) Equity, (File 333-183414 - Aug. 20) (BR. 10A) S-8 PERFICIENT INC, 520 MARYVILLE CENTRE DRIVE, SUITE 400, SAINT LOUIS, MO, 63141, 3145293600 - 2,750,000 ($31,377,500.00) Equity, (File 333-183422 - Aug. 20) (BR. 03B) F-1 China Mobile Games & Entertainment Group Ltd, Block A, 15/F Huajian Building, 233 Tianfu Road, Tianhe District, Guangzhou, F4, 000000, (86) 20 8561-3455 - 0 ($8,638,061.00) ADRs/ADSs, (File 333-183423 - Aug. 20) (BR. 03C) S-8 GSE SYSTEMS INC, 1332 LONDONTOWN BLVD, SYKESVILLE, MD, 21784, 4109707874 - 2,000,000 ($4,660,000.00) Equity, (File 333-183427 - Aug. 20) (BR. 03C) S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 7208755400 - 0 ($37,745,552.46) Equity, (File 333-183432 - Aug. 20) (BR. 11C) S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 7208755400 - 0 ($503,087.50) Equity, (File 333-183433 - Aug. 20) (BR. 11C) S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 7208755400 - 0 ($29,314,011.00) Equity, (File 333-183434 - Aug. 20) (BR. 11C) S-8 Fortress International Group, Inc., 7226 LEE DEFOREST DRIVE,, SUITE 203, COLUMBIA, MD, 21046, (410) 312-9988 - 2,000,000 ($860,000.00) Equity, (File 333-183436 - Aug. 20) (BR. 08C) S-3 Wesco Aircraft Holdings, Inc, 27727 AVENUE SCOTT, VALENCIA, CA, 91355, 661-775-7200 - 0 ($26,676,000.00) Equity, (File 333-183437 - Aug. 20) (BR. 06A) S-3D SOUTHSIDE BANCSHARES INC, 1201 S BECKHAM, TYLER, TX, 75701, 9035317111 - 1,000,000 ($21,250,000.00) Equity, (File 333-183438 - Aug. 20) (BR. 07B) S-8 NV ENERGY, INC., 6226 WEST SAHARA AVENUE, LAS VEGAS, NV, 89146, 702-367-5000 - 7,299,331 ($132,190,884.41) Equity, (File 333-183439 - Aug. 20) (BR. 02B) S-8 DTE ENERGY CO, ONE ENERGY PLAZA, DETROIT, MI, 48226, 3132354000 - 2,500,000 ($150,075,000.00) Equity, (File 333-183440 - Aug. 20) (BR. 02A) F-1 FleetMatics Group plc, 70 WALNUT STREET, SUITE 200, WELLESLEY, MA, 02481, 1-866-844-2235 - 0 ($100,000,000.00) Equity, (File 333-183441 - Aug. 20) (BR. 03A) S-3ASR DTE ENERGY CO, ONE ENERGY PLAZA, DETROIT, MI, 48226, 3132354000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183442 - Aug. 20) (BR. 02A) S-8 FLEXSTEEL INDUSTRIES INC, PO BOX 877, 3400 JACKSON, DUBUQUE, IA, 52004-0877, 3195567730 - 10,000 ($226,100.00) Equity, (File 333-183443 - Aug. 20) (BR. 06B) S-8 FLEXSTEEL INDUSTRIES INC, PO BOX 877, 3400 JACKSON, DUBUQUE, IA, 52004-0877, 3195567730 - 5,824 ($131,681.00) Equity, (File 333-183444 - Aug. 20) (BR. 06B)
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.
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
22nd Century Group, Inc. NV 1.01,9.01 08/14/12 ABBY INC. CO 5.02,9.01 08/16/12 Abtech Holdings, Inc. NV 5.02,9.01 08/15/12 ACTIVE POWER INC DE 1.01,2.03,9.01 08/15/12 ACXIOM CORP DE 5.02,5.03,5.07,9.01 08/16/12 ADVANCED MEDICAL ISOTOPE Corp DE 3.02 08/17/12 ADVOCAT INC DE 8.01,9.01 08/20/12 AETNA INC /PA/ PA 8.01 08/19/12 ALBEMARLE CORP VA 5.02 08/20/12 Alpha Natural Resources, Inc. DE 7.01,9.01 08/20/12 Altisource Portfolio Solutions S.A. N4 5.02,9.01 08/14/12 ALTRIA GROUP, INC. VA 7.01,8.01,9.01 08/17/12 AMEREN CORP MO 8.01,9.01 08/20/12 AMERICAN EXPRESS CREDIT CORP DE 9.01 08/20/12 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 08/20/12 American Realty Capital Trust, Inc. DE 8.01,9.01 08/17/12 AMERICAN RESTAURANT CONCEPTS INC 5.01 08/14/12 AMERICAN RIVER BANKSHARES CA 8.01,9.01 08/20/12 APPLIED MICRO CIRCUITS CORP DE 5.02,5.07,9.01 08/14/12 Armour Residential REIT, Inc. MD 7.01,9.01 08/20/12 Artemis Acquisition Corp. DE 1.01,5.01,5.02,9.01 08/02/12 ASPEN GROUP, INC. DE 4.02 08/16/12 ASPEN GROUP, INC. DE 2.01,5.01,5.03,5.06, 03/13/12 AMEND 9.01 ATLANTIC POWER CORP A1 8.01,9.01 08/17/12 ATP OIL & GAS CORP TX 1.03,2.04,7.01,9.01 08/17/12 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 1.01,2.03,3.02,9.01 08/17/12 AVON PRODUCTS INC NY 1.01 08/15/12 BANK OF KENTUCKY FINANCIAL CORP KY 8.01,9.01 08/20/12 BEST BUY CO INC MN 7.01,9.01 08/19/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 08/20/12 BLUE SKY PETROLEUM INC. 1.01,9.01 08/13/12 Blue Water Restaurant Group, Inc. NV 8.01 08/20/12 BLUE WATER VENTURES INTERNATIONAL INC NV 8.01 08/20/12 Bluerock Enhanced Multifamily Trust, MD 2.02,7.01,9.01 08/20/12 BOSTON BEER CO INC MA 8.01 08/16/12 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 8.01,9.01 08/15/12 Calumet Specialty Products Partners, DE 1.01,7.01,9.01 08/14/12 CAPITAL ONE FINANCIAL CORP DE 3.03,5.03,8.01,9.01 08/16/12 CARBONICS CAPITAL CORP DE 1.01,9.01 08/20/12 Cardigant Medical Inc. DE 5.02 08/17/12 Cardium Therapeutics, Inc. DE 8.01,9.01 08/14/12 Carter Validus Mission Critical REIT, MD 7.01,9.01 08/20/12 CATERPILLAR INC DE 2.03,8.01,9.01 08/15/12 CCA INDUSTRIES INC DE 5.02,9.01 08/15/12 CenterState Banks, Inc. FL 7.01 08/20/12 CENTURY ALUMINUM CO DE 8.01,9.01 08/20/12 CENTURY PROPERTIES FUND XIX CA 1.01,9.01 08/15/12 Ceres, Inc. DE 5.02,5.07,9.01 08/15/12 CHEMUNG FINANCIAL CORP NY 8.01,9.01 08/15/12 CHINA AUTOMOTIVE SYSTEMS INC DE 5.07 08/15/12 China Housing & Land Development, Inc NV 2.02,7.01,9.01 08/14/12 CHINA MARINE FOOD GROUP LTD NV 2.02,9.01 08/14/12 CHINA VALVES TECHNOLOGY, INC NV 3.01,9.01 08/20/12 CHROMCRAFT REVINGTON INC DE 2.02,9.01 08/14/12 CHURCH & DWIGHT CO INC /DE/ DE 1.01,7.01,9.01 08/20/12 CIT GROUP INC DE 8.01,9.01 08/20/12 CLEAN HARBORS INC MA 5.02,9.01 08/20/12 CLEAN WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 07/13/12 COEUR D ALENE MINES CORP ID 1.02,8.01 08/16/12 Colt Defense LLC DE 1.01,9.01 08/20/12 COMMUNITY HEALTH SYSTEMS INC DE 1.01,2.03,8.01,9.01 08/17/12 COMVERSE TECHNOLOGY INC/NY/ NY 8.01 08/20/12 CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 08/20/12 CONSOLIDATED GRAPHICS INC /TX/ TX 5.02,5.07 08/16/12 CORINTHIAN COLLEGES INC 2.02,9.01 08/20/12 CORONADO BIOSCIENCES INC DE 5.07 08/16/12 COSI INC DE 2.02,7.01,9.01 08/16/12 COVENTRY HEALTH CARE INC DE 8.01 08/19/12 COVENTRY HEALTH CARE INC DE 1.01,9.01 08/19/12 DARA BioSciences, Inc. DE 5.02 08/15/12 dELiAs, Inc. DE 2.02,5.03,9.01 08/17/12 DGT Holdings Corp. NY 2.01,8.01,9.01 08/16/12 DIGIRAD CORP DE 5.07 08/17/12 DIGIRAD CORP DE 5.07 08/17/12 Digital Domain Media Group, Inc. FL 1.01,5.02 08/14/12 DOMINION RESOURCES BLACK WARRIOR TRUS DE 2.02,9.01 08/17/12 DYAX CORP DE 5.02,9.01 08/09/12 ECOTALITY, INC. NV 2.02,9.01 08/14/12 EFL OVERSEAS, INC. NV 8.01,9.01 08/17/12 EnerJex Resources, Inc. NV 5.02,9.01 08/15/12 ENGLOBAL CORP NV 2.02,9.01 08/20/12 Fabrinet E9 2.02,5.02,8.01,9.01 08/16/12 FAUQUIER BANKSHARES, INC. VA 8.01,9.01 08/16/12 FIRST COMMUNITY FINANCIAL CORP PA 8.01 08/14/12 FIRST DATA CORP DE 1.01,2.03,9.01 08/16/12 FIRST FARMERS & MERCHANTS CORP TN 2.02,9.01 08/16/12 FIRST PACTRUST BANCORP INC MD 2.01,7.01,8.01,9.01 08/20/12 FIRSTFED FINANCIAL CORP DE 8.01,9.01 08/15/12 Flagstone Reinsurance Holdings, S.A. N4 2.01,9.01 08/20/12 FLOWSERVE CORP NY 1.01,1.02,2.03,9.01 08/20/12 FMC TECHNOLOGIES INC DE 1.01,7.01,9.01 08/17/12 Forbes Energy Services Ltd. D0 5.02,9.01 08/15/12 FX Alliance Inc. 1.02,2.01,3.01,3.02, 08/16/12 3.03,5.01,5.02,5.03, 9.01 Gas Natural Inc. OH 1.01,9.01 08/15/12 GATEWAY ENERGY CORP/NE DE 5.02 08/17/12 Geeknet, Inc DE 5.02,9.01 08/20/12 GENUINE PARTS CO GA 8.01,9.01 08/20/12 GOLDEN GLOBAL CORP. NV 5.02 07/25/12 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 08/16/12 Gulf United Energy, Inc. NV 8.01,9.01 08/17/12 H&E Equipment Services, Inc. DE 1.01,2.03,3.03,8.01, 08/17/12 9.01 H&R BLOCK INC MO 1.01,9.01 08/17/12 HANCOCK HOLDING CO MS 5.04,9.01 08/20/12 HARRIS CORP /DE/ DE 5.02,9.01 08/16/12 HARRIS TEETER SUPERMARKETS, INC. NC 5.03,8.01,9.01 08/16/12 HARVEST NATURAL RESOURCES, INC. DE 3.02,7.01,8.01,9.01 08/20/12 HINES REAL ESTATE INVESTMENT TRUST IN 7.01,9.01 08/20/12 HOLLYWOOD MEDIA CORP FL 2.02,9.01 08/20/12 HSBC USA INC /MD/ MD 8.01 08/08/12 HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 08/17/12 ImmunoCellular Therapeutics, Ltd. DE 5.02,9.01 08/14/12 IMPERIAL PETROLEUM INC NV 4.01,4.02,9.01 08/17/12 Independence Bancshares, Inc. SC 5.02 08/16/12 INERGY L P DE 7.01,9.01 08/17/12 INERGY L P DE 8.01,9.01 08/20/12 INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 5.02 08/14/12 InspireMD, Inc. DE 8.01,9.01 08/20/12 Intellicell Biosciences, Inc. NV 7.01,9.01 07/12/12 INVESTORS CAPITAL HOLDINGS LTD MA 2.02 08/14/12 Investview, Inc. NV 1.01,2.03,5.02,9.01 08/17/12 ION GEOPHYSICAL CORP DE 7.01 08/20/12 JPMORGAN CHASE & CO DE 8.01,9.01 08/20/12 Kallo Inc. NV 7.01,9.01 08/20/12 Kentucky First Federal Bancorp 2.02,5.02,9.01 08/17/12 KID BRANDS, INC NJ 5.07 08/14/12 KINDRED HEALTHCARE, INC DE 8.01,9.01 08/20/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01,9.01 08/20/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 08/17/12 LaPorte Bancorp, Inc. X1 8.01,9.01 08/20/12 LaPorte Bancorp, Inc. MD 8.01,9.01 08/20/12 LIBERTY STAR URANIUM & METALS CORP. NV 8.01,9.01 07/30/12 LIBERTY STAR URANIUM & METALS CORP. NV 8.01,9.01 08/06/12 LifeCare Holdings, Inc. DE 5.02 08/14/12 Lightstone Value Plus Real Estate Inv MD 8.01,9.01 08/20/12 Live Nation Entertainment, Inc. DE 1.01,1.02,2.03,8.01, 08/15/12 9.01 LKQ CORP DE 8.01,9.01 08/17/12 Location Based Technologies, Inc. NV 8.01,9.01 08/20/12 LOWES COMPANIES INC NC 2.02,9.01 08/20/12 LSI INDUSTRIES INC OH 5.02 08/14/12 MAGELLAN HEALTH SERVICES INC DE 5.02 08/15/12 MANAS PETROLEUM Corp NV 8.01,9.01 08/20/12 Mandalay Digital Group, Inc. DE 1.01,8.01,9.01 08/14/12 MCCORMICK & CO INC MD 7.01,9.01 08/20/12 Medefile International, Inc. NV 4.02 08/13/12 MERGE HEALTHCARE INC DE 5.02 08/15/12 MESA ROYALTY TRUST/TX TX 2.02,9.01 08/20/12 META FINANCIAL GROUP INC DE 1.01,3.02,9.01 08/16/12 Moody National REIT I, Inc. MD 1.01,5.07,9.01 08/14/12 MOODYS CORP /DE/ DE 1.01,2.03,8.01,9.01 08/15/12 MOTORCAR PARTS AMERICA INC NY 3.01,9.01 08/13/12 MRI INTERVENTIONS, INC. DE 7.01,9.01 08/20/12 MRV COMMUNICATIONS INC DE 1.01,9.01 08/17/12 MULTIBAND CORP MN 5.02 08/15/12 NATIONAL WESTERN LIFE INSURANCE CO CO 8.01 08/17/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 5.02,5.07,8.01,9.01 08/14/12 NEWS CORP 8.01,9.01 08/20/12 NORDSON CORP OH 2.02,9.01 08/20/12 Novus Robotics Inc. NV 1.01,2.01,3.02,5.01, 02/01/12 AMEND 5.02,9.01 NUVEL HOLDINGS, INC. FL 1.01,3.02,3.03,9.01 08/20/12 OFFICEMAX INC DE 8.01,9.01 08/15/12 OHIO LEGACY CORP OH 2.02,9.01 08/14/12 Okana Ventures, Inc. NV 4.01,9.01 08/01/12 OptimumBank Holdings, Inc. FL 3.02 08/14/12 Orofino Gold Corp NV 5.02,9.01 06/25/12 Oxford Resource Partners LP DE 5.02,8.01,9.01 08/14/12 PARKWAY PROPERTIES INC MD 9.01 08/16/12 AMEND PATRIOT NATIONAL BANCORP INC CT 8.01,9.01 08/03/12 PEABODY ENERGY CORP DE 7.01,9.01 08/20/12 PennyMac Mortgage Investment Trust MD 1.01,2.03 08/17/12 PENTAIR INC MN 8.01,9.01 08/17/12 PHARMACYCLICS INC DE 7.01,9.01 08/20/12 PIONEER POWER SOLUTIONS, INC. DE 2.02,9.01 08/14/12 Plymouth Opportunity REIT Inc. MD 2.01,9.01 08/20/12 Poly Shield Technologies Inc. DE 7.01,9.01 08/17/12 PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 08/20/12 PROTECTIVE LIFE CORP DE 1.01,2.03,8.01,9.01 08/15/12 Raptor Pharmaceutical Corp DE 5.07 08/17/12 AMEND REAL ESTATE ASSOCIATES LTD VII CA 8.01 08/14/12 REAL ESTATE ASSOCIATES LTD/CA CA 8.01 08/14/12 RESPONSE BIOMEDICAL CORP A1 8.01,9.01 08/16/12 Rio Bravo Oil, Inc. NV 9.01 05/18/12 AMEND ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02,9.01 08/14/12 RURBAN FINANCIAL CORP OH 5.02,9.01 08/14/12 SEFE, INC. NV 2.03,3.02,9.01 08/15/12 Seven Arts Entertainment Inc. NV 1.01 06/27/12 SKY PETROLEUM, INC. NV 8.01 08/19/12 SOUTHERN CALIFORNIA EDISON CO CA 5.02 08/14/12 SPECTRUM GROUP INTERNATIONAL, INC. DE 5.02 08/14/12 SPHERIX INC DE 5.07 08/14/12 SRA INTERNATIONAL, INC. VA 5.02,9.01 08/20/12 STAGE STORES INC NV 2.02,9.01 08/16/12 STATE STREET CORP MA 3.03,5.03,8.01,9.01 08/14/12 STEEL DYNAMICS INC IN 1.01,2.03,8.01,9.01 08/16/12 STEINER LEISURE Ltd C5 1.01,9.01 08/15/12 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 08/15/12 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 08/15/12 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 08/15/12 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 08/15/12 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 08/15/12 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 08/15/12 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 08/15/12 SUBURBAN PROPANE PARTNERS LP DE 8.01,9.01 08/14/12 SUNOCO INC PA 5.04,9.01 08/20/12 Swisher Hygiene Inc. DE 5.02,9.01 08/17/12 Swisher Hygiene Inc. DE 3.01,9.01 08/15/12 Tao Minerals Ltd. NV 4.01,9.01 05/30/12 TAPIMMUNE INC NV 1.01,2.03,3.02 08/17/12 TechTarget Inc 3.01 08/14/12 TELESTONE TECHNOLOGIES CORP CO 2.02,7.01,9.01 08/15/12 TELETECH HOLDINGS INC DE 8.01,9.01 08/20/12 Tempco, Inc. NV 1.01,3.02,9.01 08/14/12 TESSERA TECHNOLOGIES INC DE 7.01,9.01 08/20/12 TOWER FINANCIAL CORP IN 5.02,9.01 08/20/12 TSIC, Inc. DE 7.01,9.01 08/16/12 TUESDAY MORNING CORP/DE DE 2.02,9.01 08/20/12 TurkPower Corp DE 1.01,5.02,5.03 08/14/12 UNITED STATES STEEL CORP DE 1.01,2.03,9.01 08/17/12 VISA INC. DE 8.01 08/16/12 WASHINGTON FEDERAL INC WA 2.01,7.01 08/20/12 Wayside Technology Group, Inc. DE 5.02,9.01 08/20/12 WEBMEDIABRANDS INC. DE 3.03,5.03,8.01,9.01 08/15/12 Wellesley Bancorp, Inc. 5.02,5.07 08/15/12 Wesco Aircraft Holdings, Inc 7.01,9.01 08/20/12 WHITE MOUNTAIN TITANIUM CORP NV 1.02,9.01 08/20/12 WIDEPOINT CORP DE 2.02,9.01 08/14/12 Wright Express CORP 1.01,8.01,9.01 08/14/12 WSFS FINANCIAL CORP DE 8.01,9.01 08/20/12 XERIUM TECHNOLOGIES INC DE 3.02,5.02,9.01 08/15/12 YA ZHU SILK, INC. NV 1.01,2.01,3.02,5.01, 02/20/12 AMEND 5.06,9.01 ZAGG Inc NV 5.02,8.01,9.01 08/20/12 ZIONS BANCORPORATION /UT/ UT 8.01 08/17/12