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Commission AnnouncementsCommission Charges Former Rochdale Securities Broker for Rogue Trades That Brought Down FirmThe Securities and Exchange Commission (Commission) today charged a former employee at a Connecticut-based brokerage firm with scheming to personally profit from placing unauthorized orders to buy Apple stock. When the scheme backfired, it ultimately caused the firm to cease operations. David Miller, an institutional sales trader who lives in Rockville Centre, N.Y., has agreed to a partial settlement of the SEC’s charges. He also pleaded guilty today in a parallel criminal case. The SEC alleges that Miller misrepresented to Rochdale Securities LLC that a customer had authorized the Apple orders and assumed the risk of loss on any resulting trades. The customer order was to purchase just 1,625 shares of Apple stock, but Miller instead entered a series of orders totaling 1.625 million shares at a cost of almost $1 billion. Miller planned to share in the customer’s profit if Apple’s stock profited, and if the stock decreased he would claim that he erred on the size of the order. The stock wound up decreasing after an earnings announcement later that day, and Rochdale was forced to cease operations in the wake of covering the losses suffered from the rogue trades. “Miller’s scheme was deliberate, brazen, and ultimately ill-conceived,” said Daniel M. Hawke, Chief of the SEC Enforcement Division’s Market Abuse Unit. “This is a wake-up call to the brokerage industry that the unchecked conduct of even a single individual in a position of trust can pose grave risks to a firm and potentially to the markets and investors.” According to the SEC’s complaint filed in federal court in Connecticut, Miller entered purchase orders for 1.625 million shares of Apple stock on Oct. 25, 2012, with the company’s earnings announcement expected later that day. His plan was to share in the customer’s profit from selling the shares if Apple’s stock price increased. Alternatively, if Apple’s stock price decreased, Miller planned to claim that he inadvertently misinterpreted the size of the customer’s order, and Rochdale would then take responsibility for the unauthorized purchase and suffer the losses. According to the SEC’s complaint, Apple’s stock price decreased after Apple’s earnings release was issued on October 25. The customer denied buying all but 1,625 Apple shares, and Rochdale was forced to take responsibility for the unauthorized purchase. Rochdale then sold the Apple stock at an approximately $5.3 million loss, causing the value of the firm’s available liquid assets to fall below regulatory limits required of broker-dealers. Rochdale had to cease operations shortly thereafter. The SEC’s complaint charges Miller with violations of Section 17(a)(1) and (3) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. To settle the SEC’s charges, Miller will be barred in separate SEC administrative proceedings from working in the securities industry or participating in any offering of penny stock. In the partial settlement in court, Miller agreed to be enjoined from future violations of the antifraud provisions of the federal securities laws. A financial penalty will be determined at a later date by the court upon the SEC’s motion. In the criminal proceeding, Miller pleaded guilty to charges of wire fraud and conspiracy to commit securities and wire fraud. He will be sentenced on July 8. (Press Rel. 2013- 60) Commission Charges Denver-Based Businessman with Insider TradingThe Commission today charged a prominent Denver-based businessman with insider trading based on confidential information he obtained from the CEO of an oil and gas company that was about to secure a huge investment. An investigation by the SEC’s Enforcement Division found that Scott Reiman obtained inside information about Delta Petroleum ahead of the company’s announcement that it had secured a $684 million investment from private investment firm Tracinda. After the major investment was publicly announced, Delta Petroleum’s stock price jumped almost 20 percent and Reiman reaped substantial illicit profits. The SEC previously charged Reiman’s source, then-CEO Roger Parker, as well as another trader, Michael Van Gilder, in this insider trading investigation. To settle the SEC’s charges, Reiman agreed to pay nearly $900,000 and be barred from the securities industry and from serving as an officer or director of a public company for at least five years. “Reiman took advantage of highly confidential information that he obtained through his friendship with Parker and traded on it for significant and entirely illegal profits,” said Daniel M. Hawke, Chief of the SEC Enforcement Division’s Market Abuse Unit. Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “These enforcement actions against Reiman, Parker, and Van Gilder show that the SEC will unravel the story behind suspicious trades and root out corporate insiders who give away confidential information as well as those who can’t resist the temptation to trade on it.” According to the SEC’s order instituting proceedings, Reiman is the founder and president of the Denver-based investment firm Hexagon Inc. He received repeated tips from Parker about Tracinda’s potential investment in Delta Petroleum. On three occasions in late November and early December 2007, Reiman bought Delta Petroleum stock or highly speculative option contracts shortly after speaking to Parker, including once within minutes after getting off the phone with him. When Delta publicly announced the Tracinda investment on Dec. 31, 2007, the value of Reiman’s fraudulently obtained Delta Petroleum securities soared nearly 20 percent. The SEC’s order charged Reiman with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. Reiman neither admitted nor denied the charges. Reiman agreed to pay disgorgement of $398,000 plus prejudgment interest of $93,567 and a penalty of $398,000. The order bars Reiman from acting as an officer or director of any public company for a period of five years, bars him from the securities industry with the right to reapply for reentry after five years, and requires him to cease-and-desist from future violations. The SEC’s investigation has been conducted by members of the Enforcement Division’s Market Abuse Unit – Michael Holland, Jeffrey Oraker, Joseph Sansone, and Jay Scoggins – with substantial assistance from Neil Hendelman in the New York Regional Office and Thomas Krysa in the Denver Regional Office. The case has been supervised by Daniel M. Hawke and Sanjay Wadhwa. (Press Rel. 2013-61) ENFORCEMENT PROCEEDINGSCommission Charges Former Rochdale Securities Broker for Rogue TradesThe Commission announced today that it filed a partially settled civil injunctive action in federal court in Connecticut against David Miller, a resident of Rockville Centre, New York, who formerly worked as an institutional sales trader at Rochdale Securities LLC, a Connecticut-based brokerage firm. The action alleges that Miller, alone or in concert with others, concocted a scheme to personally profit from placing a series of unauthorized orders to buy a total of more than 1.6 million shares of Apple, Inc. stock on October 25, 2012. According to the Commission's complaint, after receiving a customer order to purchase 1,625 shares of Apple stock as part of the fraudulent scheme, Miller instead entered a series of orders to purchase a total of 1,625,000 shares of Apple (at a cost of almost $1 billion) on October 25, 2012. Miller planned to share in the customer's profit from selling the 1,625,000 shares if Apple's stock price increased following Apple's expected earnings announcement later that day. Alternatively, if Apple's stock price decreased, Miller planned to claim that he inadvertently misinterpreted the size of the customer's order, and planned for Rochdale to take responsibility for the unauthorized purchase and suffer the losses. Miller misrepresented to Rochdale and its principals and employees that one of Rochdale's customers had authorized the Apple orders and assumed the risk of loss on any resulting trades. Apple's stock price decreased after Apple's earnings release was issued on October 25, the customer denied buying all but 1,625 Apple shares, and, as Miller planned, Rochdale took responsibility for the unauthorized purchase. Rochdale then sold the Apple stock at an approximately $5.3 million loss, causing the value of Rochdale's available liquid assets to fall below limits required by SEC rules applicable to broker-dealers. Rochdale effectively ceased operations shortly thereafter. The Commission's complaint charges Miller with violations of Section 17(a)(1) and (3) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 and seeks a permanent injunction and a civil monetary penalty. The Commission's complaint charges Miller with violations of Section 17(a)(1) and (3) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 and seeks a permanent injunction and a civil monetary penalty. To settle the Commission's charges in the injunctive action and related administrative proceedings that the Commission will separately institute, Miller has consented to be barred from any future association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and to be barred from participating in any offering of penny stock. Miller also has consented, subject to court approval, to be enjoined from future violations of the antifraud provisions of the federal securities laws. The amount of any civil monetary penalty will be determined at a later date by the court upon the SEC's motion. In a parallel criminal proceeding, Miller pleaded guilty to one count of conspiracy to commit securities and wire fraud and one count of wire fraud. He will be sentenced at a later date. The SEC's investigation, which is continuing, was conducted by Eric A. Forni, David H. London, and Michele T. Perillo of the SEC's Market Abuse Unit in the Boston Regional Office. The SEC acknowledges the assistance of the United States Attorney's Office for the District of Connecticut, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority. [SEC v. David Miller, Civil Action No. 3:13-cv-00522] (LR-22671) In the Matter Of David AffeldtThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against David Affeldt. The Order finds that on April 5, 2013, the United States District Court for the District of Massachusetts entered a final judgment by consent against Affeldt, permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933 and Section 15(a) of the Securities Exchange Act of 1934 in the civil action entitled Securities and Exchange Commission v. Inofin. Inc., et al., Civil Action Number 11-CV-10633, in the United States District Court of Massachusetts. The civil action was filed by the Commission on April 14, 2011. The Commission’s complaint alleged that between its founding in 1994 and its involuntary bankruptcy in February 2011, Inofin, Inc. raised approximately $110 million from investors by selling securities to investors. Neither Inofin, nor its securities offerings were ever registered with the Commission. According to the Commission’s complaint, beginning in approximately 2003, Inofin's securities sales activities were supported by Affeldt. Originally an Inofin investor, in 2003 Affeldt became a commission-based sales agent for Inofin. Between 2003 and 2010, Affeldt had over one thousand clients for whom he provided tax advice, retirement planning, and tax preparation services. During his consultations with clients, Affeldt discussed the importance of setting aside money for retirement purposes. Clients would routinely ask Affeldt where they could put their money, and Affeldt would mention Inofin as an investment option for those who were looking for a fixed investment or set return. Affeldt told his clients that he was invested in Inofin and that he was receiving a 13% return and that they might receive as much as an 11% return. If his clients were interested, Affeldt provided them with the contact information for Inofin's President, Michael Cuomo, and suggested that they tell Cuomo that they were a client of Affeldt's when they called. Inofin then paid Affeldt a referral fee on each investor that originated from Affeldt. From 2003 through 2010, Inofin paid Affeldt over $130,000 in investor-based commissions. Based on the above, the Order bars Affeldt from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and is barred from participating in any offering of a penny stock with the right to apply for reentry after 3 years. Affeldt consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34- 69377; File No. 3-15276) INVESTMENT COMPANY ACT RELEASESING Life Insurance and Annuity Company, et al.An order has been issued on an application filed by ING Life Insurance and Annuity Company, ING USA Annuity and Life Insurance Company, ReliaStar Life Insurance Company of New York, Security Life of Denver Insurance Company, Variable Annuity Account B of ING Life Insurance and Annuity Company, Variable Annuity Account I of ING Life Insurance and Annuity Company, Separate Account B of ING USA Annuity and Life Insurance Company, Separate Account EQ of ING USA Annuity and Life Insurance Company, ReliaStar Life Insurance Company of New York Separate Account NY-B, Security Life Separate Account S-A1, and ING Investors Trust for an order under Section 26(c) of the Investment Company Act of 1940. The order approves the substitution of shares issued by a certain registered investment company for shares of a certain other registered investment company. (Rel. IC-30461 - April 12, 2013) Trust for Professional Managers
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Entry into a Material Definitive Agreement |
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Termination of a Material Definitive Agreement |
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Bankruptcy or Receivership |
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Completion of Acquisition or Disposition of Assets |
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Results of Operations and Financial Condition |
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant |
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement |
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Cost Associated with Exit or Disposal Activities |
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Material Impairments |
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing |
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Unregistered Sales of Equity Securities |
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Material Modifications to Rights of Security Holders |
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Changes in Registrant's Certifying Accountant |
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review |
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Changes in Control of Registrant |
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer |
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans |
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics |
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Change in Shell Company Status |
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ABS Informational and Computational Material. |
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Change of Servicer or Trustee. |
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Failure to Make a Required Distribution. |
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Securities Act Updating Disclosure. |
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Regulation FD Disclosure |
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Financial Statements and Exhibits |
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 Abtech Holdings, Inc. NV 8.01 04/11/13 ADOBE SYSTEMS INC DE 5.02,5.07,9.01 04/12/13 ADT Corp DE 8.01,9.01 04/12/13 ALCO STORES INC KS 7.01,8.01,9.01 04/10/13 ALPHA & OMEGA SEMICONDUCTOR Ltd 5.02,9.01 04/08/13 Alpha Natural Resources, Inc. DE 1.04 04/08/13 Amarantus Bioscience Holdings, Inc. NV 8.01 04/12/13 AMAZON COM INC DE 7.01,9.01 04/12/13 AMERICAN AIRLINES INC DE 8.01,9.01 04/12/13 AMERICAN HONDA RECEIVABLES LLC DE 6.01,9.01 04/12/13 American Realty Capital Healthcare Tr MD 1.01,8.01,9.01 04/09/13 AMERICAN RESTAURANT CONCEPTS INC 1.01,1.02,9.01 04/08/13 AMES NATIONAL CORP IA 2.02,7.01,9.01 04/12/13 Amincor, Inc. NV 1.01 04/12/13 AMPAL-AMERICAN ISRAEL CORP NY 1.03 04/12/13 AMR CORP DE 8.01,9.01 04/12/13 Applied Nanotech Holdings, Inc TX 5.02 04/10/13 ASSET ACCEPTANCE CAPITAL CORP 8.01,9.01 04/10/13 ASSOCIATED ESTATES REALTY CORP OH 1.01,9.01 04/12/13 AVAYA INC DE 5.02 04/09/13 AXIALL CORP/DE/ DE 2.01,9.01 01/28/13 AMEND BANK OF THE OZARKS INC AR 2.02,8.01,9.01 04/11/13 BIOSANTE PHARMACEUTICALS INC DE 1.01,1.02, 04/12/13 5.06,7.01,9.01 Bitzio, Inc. NV 5.02,9.01 04/12/13 BLUCORA, INC. DE 5.02 04/11/13 BOLDFACE GROUP, INC. NV 1.01,2.03, 04/08/13 3.02,5.02,8.01,9.01 Braeden Valley Mines Inc. NV 4.01,9.01 03/18/13 BROCADE COMMUNICATIONS SYSTEMS INC DE 1.01,5.07 04/11/13 BSD MEDICAL CORP DE 9.01 04/09/13 AMEND CALAVO GROWERS INC CA 8.01 04/10/13 Canwealth Minerals Corp DE 4.01,9.01 04/11/13 Centaur Guernsey L.P. Inc. 5.02,9.01 04/12/13 CHICOS FAS INC FL 8.01,9.01 04/12/13 China Carbon Graphite Group, Inc. NV 4.01,9.01 03/31/13 AMEND CITIZENS & NORTHERN CORP PA 2.02,9.01 04/12/13 CITIZENS REPUBLIC BANCORP, INC. MI 2.01,3.01, 04/12/13 3.03,5.01,9.01 Cleantech Solutions International, In DE 2.02,7.01,9.01 04/11/13 Cole Credit Property Trust III, Inc. MD 7.01,8.01,9.01 04/12/13 Computer Vision Systems Laboratories FL 1.01,9.01 04/10/13 Computer Vision Systems Laboratories FL 8.01,9.01 04/12/13 CONSOL Energy Inc DE 2.02,7.01,9.01 04/12/13 CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 04/11/13 CORE MOLDING TECHNOLOGIES INC DE 8.01,9.01 04/11/13 COUSINS PROPERTIES INC GA 1.01,7.01,9.01 04/09/13 Covidien plc 2.03,8.01,9.01 04/08/13 CREDIT ACCEPTANCE CORP MI 1.01,9.01 04/11/13 CROSS BORDER RESOURCES, INC. NV 7.01,9.01 04/12/13 Crumbs Bake Shop, Inc. DE 1.01,2.02,9.01 04/11/13 Digital Realty Trust, Inc. 1.01,3.02, 04/08/13 3.03,5.03,9.01 DUPONT FABROS TECHNOLOGY, INC. MD 1.01,9.01 04/09/13 Dynacast International Inc. DE 5.07,9.01 04/11/13 Empire Global Gaming, Inc. NV 1.01,9.01 04/08/13 EMPIRE RESORTS INC DE 1.01,9.01 04/12/13 ENVESTNET, INC. DE 1.01,7.01,9.01 04/11/13 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01 04/12/13 ENVIVIO INC DE 8.01 04/12/13 EVCARCO, INC. NV 5.02,9.01 04/09/13 EXAR CORP DE 8.01,9.01 04/12/13 FAIRPOINT COMMUNICATIONS INC DE 5.02 04/09/13 FARMERS & MERCHANTS BANCORP DE 8.01,9.01 04/12/13 FEDERAL SIGNAL CORP /DE/ DE 5.02,9.01 04/10/13 FERRO CORP OH 2.02,7.01,9.01 04/08/13 FIRST SECURITY GROUP INC/TN TN 3.02,5.02,7.01,9.01 04/12/13 FIRSTIN WIRELESS TECHNOLOGY, INC. NV 1.01,9.01 04/01/13 FIRSTMERIT CORP /OH/ OH 2.01,3.02,9.01 04/12/13 FISHER COMMUNICATIONS INC WA 1.01,9.01 04/11/13 Five Oaks Investment Corp. MD 7.01,9.01 04/12/13 FLUSHING FINANCIAL CORP DE 8.01,9.01 04/12/13 FOREST OIL CORP NY 7.01,9.01 04/12/13 FREDERICK COUNTY BANCORP INC MD 5.02 04/11/13 FROZEN FOOD EXPRESS INDUSTRIES INC TX 1.01 04/11/13 FUELCELL ENERGY INC DE 1.01,8.01,9.01 04/12/13 FXCM Inc. 5.02 04/11/13 General Finance CORP DE 5.03,9.01 04/11/13 GENSPERA INC DE 7.01,9.01 04/10/13 GLOBAL AXCESS CORP NV 5.02 04/11/13 GLOBAL CASINOS INC UT 1.01,1.02,8.01,9.01 04/08/13 Granite Falls Energy, LLC MN 5.02 04/08/13 Greektown Superholdings, Inc. DE 2.02,9.01 04/12/13 GREENSHIFT CORP DE 4.02 03/29/13 AMEND HARBINGER GROUP INC. DE 7.01 04/12/13 HERBALIFE LTD. E9 4.01,4.02,8.01,9.01 04/08/13 AMEND HMS INCOME FUND, INC. MD 8.01,9.01 04/12/13 HOLLY ENERGY PARTNERS LP 7.01,9.01 04/11/13 HollyFrontier Corp DE 7.01,9.01 04/11/13 HUDSON CITY BANCORP INC DE 8.01,9.01 04/12/13 HUDSON CITY BANCORP INC DE 8.01,9.01 04/12/13 HUNT J B TRANSPORT SERVICES INC AR 2.02,9.01 04/11/13 ICEWEB INC DE 1.01,3.03,9.01 04/10/13 iGambit, Inc. DE 1.01,1.02,9.01 04/08/13 IHS Inc. DE 5.02 04/09/13 IMPLANT SCIENCES CORP MA 7.01,9.01 04/12/13 Imprimis Pharmaceuticals, Inc. DE 9.01 04/12/13 INFINITY PHARMACEUTICALS, INC. DE 1.01,1.02,8.01,9.01 04/10/13 INFRAX SYSTEMS, INC. FL 8.01 04/12/13 Inland American Real Estate Trust, In MD 7.01,9.01 04/12/13 INLAND REAL ESTATE CORP MD 8.01,9.01 04/09/13 INTERNATIONAL TOWER HILL MINES LTD A1 7.01,9.01 04/12/13 INTERPHASE CORP TX 3.01 04/11/13 Invesco Ltd. D0 8.01 04/11/13 ITC Holdings Corp. MI 1.01,9.01 04/09/13 ITRONICS INC TX 8.01 04/11/13 IXIA CA 2.02,9.01 04/11/13 JETBLUE AIRWAYS CORP DE 5.02,9.01 04/12/13 JOE'S JEANS INC. DE 5.02,5.07 04/08/13 JPMORGAN CHASE & CO DE 2.02,9.01 04/12/13 JPMORGAN CHASE & CO DE 7.01,9.01 04/12/13 LabStyle Innovations Corp. DE 7.01,9.01 04/12/13 LAS VEGAS RAILWAY EXPRESS, INC. DE 1.01,2.03,3.02,9.01 03/16/13 Legend Oil & Gas, Ltd. CO 5.02 04/11/13 Life Nutrition Products, Inc DC 1.01,2.01,3.02, 04/11/13 5.01,5.02,5.03,5.06,9.01 LIGAND PHARMACEUTICALS INC DE 5.03,9.01 04/12/13 Limelight Networks, Inc. DE 5.02 04/09/13 Limoneira CO DE 1.01,2.06,9.01 04/08/13 LINKEDIN CORP DE 3.02,7.01,9.01 04/11/13 LUFKIN INDUSTRIES INC TX 7.01 04/12/13 M&T BANK CORP NY 8.01,9.01 03/06/13 Mandalay Digital Group, Inc. DE 1.01,2.01,3.02,9.01 04/12/13 Mascot Ventures, Inc. NV 5.02 04/09/13 McEwen Mining Inc. CO 7.01,9.01 04/11/13 MESABI TRUST NY 2.02,9.01 04/12/13 MFA FINANCIAL, INC. MD 1.01,9.01 04/08/13 Mid-Con Energy Partners, LP DE 7.01,9.01 04/12/13 MONARCH CEMENT CO KS 5.03,5.07,9.01 04/10/13 Monster Offers NV 1.01,3.02 04/02/13 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 5.02 04/08/13 MYERS INDUSTRIES INC OH 1.01,5.03,9.01 04/11/13 Naugatuck Valley Financial Corp 4.01,9.01 04/08/13 NEW ENERGY SYSTEMS GROUP NV 8.01,9.01 04/12/13 NEW MEDIA INSIGHT GROUP, INC. NV 8.01 04/12/13 NEWMONT MINING CORP /DE/ DE 5.02 04/12/13 NEWS CORP 8.01,9.01 04/12/13 NISOURCE INC/DE DE 1.01,2.03,9.01 04/09/13 NT MINING Corp 4.01 04/12/13 NUCOR CORP DE 5.02,9.01 04/12/13 OCZ TECHNOLOGY GROUP INC DE 3.01,9.01 04/11/13 OLIN CORP VA 7.01,9.01 04/12/13 Orchid Island Capital, Inc. MD 6.04,8.01 04/11/13 PC TEL INC DE 5.02 04/09/13 PENN VIRGINIA CORP VA 7.01,9.01 04/12/13 Performant Financial Corp DE 5.02 04/09/13 Perfumania Holdings, Inc. FL 7.01,9.01 04/10/13 PG&E Corp CA 8.01 04/11/13 Pharma-Bio Serv, Inc. 5.03,5.07,9.01 04/09/13 Pharmagen, Inc. NV 1.01,3.02,9.01 03/29/13 Pharmagen, Inc. NV 1.01,3.02,9.01 03/29/13 AMEND PROCERA NETWORKS INC NV 5.02 04/11/13 QKL Stores Inc. DE 4.02 04/10/13 QUALSTAR CORP CA 5.02,9.01 04/08/13 Rainbow Coral Corp. FL 5.01 04/12/13 RAND WORLDWIDE INC DE 1.01,9.01 04/12/13 Red Giant Entertainment, Inc. NV 1.01,2.01,2.02, 06/06/12 AMEND 3.02,4.01,5.01,5.02,5.06,9.01 RED METAL RESOURCES, LTD. NV 1.01,9.01 04/09/13 RED MOUNTAIN RESOURCES, INC. FL 5.02,7.01,9.01 04/11/13 RED MOUNTAIN RESOURCES, INC. FL 9.01 12/31/12 AMEND Regency Energy Partners LP DE 8.01,9.01 04/12/13 RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 04/12/13 REYNOLDS AMERICAN INC 2.03 04/10/13 RiceBran Technologies CA 5.02 04/08/13 RJD Green, Inc. NV 5.01,5.02 03/18/13 ROI Acquisition Corp. DE 7.01,8.01,9.01 04/12/13 ROYAL GOLD INC DE 8.01,9.01 04/10/13 SCG Financial Acquisition Corp. DE 1.01,2.01,3.02, 04/08/13 3.03,5.01,5.02,5.06,8.01,9.01 SeaCube Container Leasing Ltd. D0 8.01 04/11/13 Sector 5, Inc. NV 4.01,9.01 04/12/13 SERVICEMASTER CO DE 5.02,9.01 04/09/13 Shire plc 8.01,9.01 04/12/13 SINCLAIR BROADCAST GROUP INC MD 7.01,8.01,9.01 04/11/13 SINCLAIR BROADCAST GROUP INC MD 1.01,2.03,9.01 04/09/13 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 04/12/13 SIONIX CORP NV 5.02,8.01,9.01 04/08/13 SKYLINE CORP IN 3.01,8.01,9.01 04/12/13 SM Energy Co DE 7.01,9.01 04/11/13 Snap Interactive, Inc DE 5.02,9.01 04/09/13 Spectrum Brands Holdings, Inc. DE 8.01,9.01 04/08/13 Spectrum Brands, Inc. DE 8.01,9.01 04/08/13 SpendSmart Payments Co CO 5.03,9.01 04/12/13 STARWOOD PROPERTY TRUST, INC. 8.01,9.01 04/09/13 STEC, INC. CA 8.01 04/11/13 TELETOUCH COMMUNICATIONS INC DE 5.02,5.03,9.01 04/08/13 Tennessee Valley Authority 8.01 04/10/13 TEXAS INSTRUMENTS INC DE 7.01 04/11/13 THERMOGENESIS CORP DE 8.01 04/11/13 THOMAS PROPERTIES GROUP INC DE 1.01 04/10/13 TREE TOP INDUSTRIES, INC. NV 5.03,8.01,9.01 11/15/12 Tribute Pharmaceuticals Canada Inc. A6 1.01,2.01, 12/01/11 AMEND 2.03,3.02,5.02,8.01,9.01 TRUSTCO BANK CORP N Y NY 8.01,9.01 04/12/13 TRUSTMARK CORP MS 5.02 04/12/13 UNIGENE LABORATORIES INC DE 1.01,2.03, 04/08/13 3.02,5.01,8.01,9.01 UniTek Global Services, Inc. DE 2.02,4.02,5.02,9.01 04/10/13 US AIRWAYS GROUP INC DE 8.01,9.01 04/10/13 USChina Taiwan Inc NV 5.03 12/31/12 VALIDUS HOLDINGS LTD 7.01,9.01 04/12/13 VICTORY ENERGY CORP NV 8.01 04/12/13 VONAGE HOLDINGS CORP DE 5.02 04/09/13 VORNADO REALTY TRUST MD 7.01,9.01 04/12/13 Walter Energy, Inc. DE 2.02,9.01 04/11/13 WATTS WATER TECHNOLOGIES INC DE 5.02,9.01 04/09/13 WELLS FARGO & COMPANY/MN DE 2.02,9.01 04/12/13 WMS INDUSTRIES INC /DE/ DE 8.01,9.01 04/12/13
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