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Commission announcementsCommission Extends Temporary Municipal Advisor Registration RuleOn September 23, 2013, the Securities and Exchange Commission (Commission) amended interim final temporary Rule 15Ba2-6T by extending the expiration date of that rule and Form MA-T, which provide a method for municipal advisors to temporarily satisfy the registration requirement under the Securities Exchange Act of 1934. Without the fifteen-month extension, the rule and form would expire on September 30, 2013. The extension will coordinate the expiration of the temporary municipal advisor registration regime with the compliance dates under the permanent municipal advisor registration regime. Publication of the extension is expected in the Federal Register during the week of September 23, 2013 (Rel. 34-70462). Investor Bulletin on New SEC Rule that Allows General Solicitation or Advertising for Private OfferingsThe SEC's Office of Investor Education and Advocacy has issued information for investors on a new SEC rule that allows general solicitation or advertising for private offerings but does not change the requirement that investors in such offerings be accredited investors. An investor alert describes the new rule, which took effect today, and an investor bulletin provides details on the definition of "accredited investor." Both are available on the SEC's website here: http://www.sec.gov/investor/alerts/ia_solicitation.pdf http://www.sec.gov/investor/alerts/ib_accreditedinvestors.pdf ENFORCEMENT PROCEEDINGSCommission Charges Independent Filmmaker with Insider TradingThe Commission today charged a Manhattan-based independent filmmaker with insider trading on confidential information about impending takeovers of two biotechnology companies. The SEC alleges that Lawrence Robbins reaped illicit profits by trading Millennium Pharmaceuticals Inc. and Sepracor Inc. securities based on confidential information that he received from his business partner John Michael Bennett in advance of the acquisition announcements by the two companies. Bennett had received the inside information from his friend Scott Allen. The SEC previously charged Bennett and Allen for their roles in the scheme. Robbins, who lives in New York City, has agreed to settle the SEC's charges by paying more than $1 million. "Robbins plotted with his business partner to perpetrate an insider trading scheme that enabled him to invest a portion of his illegal profits in their film production company," said Sanjay Wadhwa, Senior Associate Director for Enforcement in the SEC's New York Regional Office. "Their plot, however, did not account for the real world consequences of being caught by the SEC." According to the SEC's complaint filed in federal court in Manhattan, Allen learned confidential information in advance of the two acquisitions through his job at a global consulting firm that was advising the acquiring company in each deal. Based on the information that Allen leaked, Robbins and Bennett collectively spent tens of thousands of dollars acquiring call options in the companies. They made more than $2.6 million in illicit profits following public announcements of the deals, and Robbins used a portion of his proceeds to fund the independent film production business that he shared with Bennett. The SEC alleges that Allen communicated with Bennett about the Millennium and Sepracor transactions through phone calls or in-person meetings, some of which were tracked through their simultaneous use of Metrocards at subway stations in New York City as well as large ATM and bank cash withdrawals made by Bennett prior to the meetings. Allen first obtained non-public information about the Millennium transaction in mid-February 2008 when his firm began advising Japan-based Takeda Pharmaceutical Company during its negotiations with Millennium. On February 27, Allen tipped Bennett with inside information about Takeda's impending cash tender offer, and Bennett then tipped Robbins. Starting on February 29 and continuing up until the week before the public announcement of the acquisition, Robbins and Bennett spent tens of thousands of dollars amassing Millennium call options. Additionally, Robbins purchased Millennium shares and sold Millennium put options. After the deal was publicly announced on April 10, the price of Millennium shares increased more than 48 percent, and that afternoon Robbins began liquidating his holdings of Millennium securities for ill-gotten gains of more than $1.12 million. Bennett liquidated his Millennium holdings for illicit profits of more $602,000. The SEC further alleges that in May 2009, Allen participated in due diligence work for the Japanese firm Dainippon Sumitomo Pharma Co. Ltd. (DSP) in connection with its impending acquisition of Sepracor. Allen again tipped Bennett with inside information about the upcoming transaction, and Bennett again shared the information with Robbins. In the months leading up to the September 3 public announcement that DSP had agreed to acquire Sepracor, Robbins and Bennett purchased more than $350,000 worth of call options in Sepracor. Additionally, they sold tens of thousands of dollars of Sepracor put options, and Robbins purchased Sepracor shares. Following the public announcement, Sepracor's stock price rose more than 26 percent, and both Robbins and Bennett liquidated their entire positions in Sepracor for ill-gotten profits of more than $388,000 and $516,000 respectively. The SEC's complaint charges Robbins with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and Section 14(e) of the Exchange Act and Rule 14e-3. Robbins has agreed to pay $865,000 in disgorgement and prejudgment interest and a $150,000 penalty. The settlement, which is subject to court approval, takes into account Robbins's current financial condition. Without admitting or denying the allegations in the complaint, Robbins also agreed to be permanently enjoined from future violations of these provisions of the federal securities laws. The SEC's case continues against Allen and Bennett, who have now pled guilty in parallel criminal actions filed by the U.S. Attorney's Office for the Southern District of New York. The SEC's investigation was conducted by Charles D. Riely of the SEC's Market Abuse Unit in New York and Layla Mayer, Sandra Yanez, and Amelia A. Cottrell in the New York Regional Office. The SEC acknowledges the assistance of the U.S. Attorney's Office for the Southern District of New York, Federal Bureau of Investigation, Options Regulatory Surveillance Authority, and Financial Industry Regulatory Authority. (Press Rel. 2013-191; LR-22809) Commission Charges TD Bank and Former Executive for Roles in Rothstein Ponzi Scheme in South FloridaThe Commission today charged TD Bank and a former executive with violating securities laws in connection with a massive South Florida-based Ponzi scheme conducted by Scott Rothstein, who is now serving a 50-year prison sentence. The SEC alleges that TD Bank and its then-regional vice president Frank A. Spinosa defrauded investors by producing a series of misleading documents and making false statements about accounts that Rothstein held at the bank and used to perpetuate his scheme. Spinosa falsely represented to several investors that TD Bank had restricted the movement of the funds in these accounts when, in fact, Rothstein could transfer investor money however he desired. Spinosa also orally assured investors that certain accounts held balances totaling millions of dollars, but each account actually held zero to $100. TD Bank agreed to settle the SEC's charges in an administrative proceeding and pay $15 million. The SEC filed a complaint against Spinosa in U.S. District Court for the Southern District of Florida. "Financial institutions are key gatekeepers in the transactions and investments they facilitate and will be held to a high standard of accountability when their officers enable fraud," said Andrew J. Ceresney, Co-Director of the SEC's Division of Enforcement. "TD Bank through a regional vice president produced false documents on bank letterhead and told outright lies to investors, failing in its gatekeeper role." Eric I. Bustillo, Director of the SEC's Miami Regional Office, added, "Spinosa played a key supporting role in Rothstein's Ponzi scheme by providing false comfort to investors that their money was safe and secure in the accounts at TD Bank. He enabled Rothstein to con investors into believing he couldn't move their money when he could, and that the bank was holding money that it wasn't." In previous enforcement actions, the SEC has charged two feeder funds to the Rothstein Ponzi scheme. According to the SEC's order and complaint, Rothstein claimed to represent plaintiffs who had reached purported legal settlements that were confidential and payable over time by large corporate defendants. He claimed that the purported plaintiffs were willing to sell their periodic payments to investors at a discount in exchange for one lump-sum payment. The legal settlements were fake and the plaintiffs and defendants were not real. Rothstein told investors that the purported defendants had deposited the entire settlement amounts into attorney trust accounts. Rothstein opened 22 such accounts at Commerce Bank and TD Bank (the two merged in 2008) from November 2007 to October 2009. The SEC alleges that as Rothstein's scheme began to unravel in the fall of 2009, Spinosa made false statements to investors about the safety of their investments that enabled Rothstein to continue raising funds for the scheme. Spinosa executed so-called "lock letters" from TD Bank purporting to irrevocably restrict Rothstein's trust accounts. Under these conditions, TD Bank could only distribute funds in the accounts to the investor's bank account designated in the lock letter. However, the representations were purely false as Spinosa did not apply any procedures to block the accounts or implement any system to restrict Rothstein from moving money out of the trust accounts. Spinosa also misrepresented to Rothstein's investors that the lock letters were commonplace at TD Bank when, in fact, they were never previously used by the bank. In fact, when Spinosa instructed his assistant to prepare the letters on TD Bank letterhead, she questioned whether it was even permissible because she had never seen such a letter before. Spinosa confirmed that she should prepare the letter for his signature anyway. Later, a vice president and branch manager who reported to Spinosa noted to him shortly after the first lock letter went out in August 2009 that the "lock" instructions put onto an account would have no practical effect because Rothstein could still transfer the money without bank officials being alerted. Spinosa dismissed those concerns. The SEC further alleges that Spinosa provided false assurances to two different groups of investors that certain trust accounts held the multi-million dollar balances claimed by Rothstein. On Aug. 17, 2009, Spinosa participated in a conference call with Rothstein and representatives of an investor group who asked how much money was in a particular account. Spinosa responded that it held $22 million - the amount the investor was expecting to hear. Spinosa had full access to the account information to know the actual account balance was no more than $100. The following month, Spinosa met with the same group after it made additional investments with Rothstein, and falsely assured the investors that their money was safe because the provisions of the lock letter restricted the movement of their money. Also in September 2009, a different investor group bought a purported $20 million settlement from Rothstein, and one of the investor group's representatives obtained a TD Bank deposit slip that indicated a $0 balance as of that morning for the account that purportedly held the investor's $20 million. Rothstein falsely stated that the funds were indeed in the account, but the funds would not appear "available" on the deposit slip because they were in TD Bank's "federal wire queue." Rothstein and representatives from the investor group met with Spinosa on Sept. 14, 2009, and Spinosa falsely represented that the $20 million did not appear as available funds for the same reason provided by Rothstein. Spinosa falsely represented that the lock letter restricted the movement of their money. In reality, TD Bank was not holding the money in such a queue, and the account didn't contain the $20 million. TD Bank consented to the entry of an administrative order finding that it violated Sections 17(a)(2) and (3) of the Securities Act of 1933. Without admitting or denying the SEC's findings, TD Bank agreed to pay $15 million and cease and desist from committing or causing any violations and any future violations of Sections 17(a)(2) and (3) of the Securities Act. The SEC's complaint against Spinosa charges him with violating Sections 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act of 1933 and Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934. Spinosa also is charged with aiding and abetting Scott Rothstein's violations of Section 10(b) of the Exchange Act and Rule 10b-5. The complaint seeks disgorgement plus prejudgment interest, financial penalties, and a permanent injunction. The SEC coordinated the filing of its cases with the Office of the Comptroller of the Currency and the Financial Crimes Enforcement Network, which today announced their own actions against TD Bank. The SEC's investigation was conducted by Steven J. Meiner, D. Corey Lawson, Tonya E. Tullis under the supervision of Chad Alan Earnst in the Miami Regional Office. The SEC's litigation against Spinosa will be led by Amie Riggle Berlin. The SEC appreciates the assistance of the U.S. Attorney's Office for the Southern District of Florida, the Federal Bureau of Investigation, and the Internal Revenue Service. (Press Rel. 2013-192; LR-22810) Commission Charges Former Qualcomm Executive and his Financial Advisor with Insider Trading through Secret Offshore AccountsThe Commission today charged a former executive at Qualcomm Inc. and his former financial advisor with insider trading ahead of major announcements by the San Diego-based wireless technology company for more than a quarter-million dollars in profits. The SEC alleges that Jing Wang, a former executive vice president and president of global business operations at Qualcomm, used a secret offshore brokerage account to make illegal trades based on confidential information that he learned on the job. Gary Yin, a former registered representative at Merrill Lynch, helped Wang set up the account. Yin also created a secret offshore account of his own and traded on the non-public information gleaned from Wang. When Wang eventually realized that insider trading in the offshore accounts still may be discovered by the SEC or other regulators, he concocted a plan to conceal his trading activity by claiming the trades were made by his brother. Wang even convinced Yin to travel to China and go over the account statements with Wang's brother so he could explain the trades if asked by investigators. "Wang violated his duty as an insider to protect confidential information when he made timely illegal trades ahead of major announcements to the detriment of other Qualcomm shareholders who did not have the same information," said Michele Wein Layne, Director of the SEC's Los Angeles Regional Office. "Wang and Yin went to extraordinary lengths to conceal their trading and cover it up afterwards, but despite their expansive efforts they still wound up in law enforcement's crosshairs." In a parallel action, the U.S. Attorney's Office for the Southern District of California today announced criminal charges against Wang and Yin. According to the SEC's complaint, Wang and Yin became friends in 2005 as members of the same church. When Wang learned that Yin was a financial advisor at Merrill Lynch, he asked Yin to manage his money and opened a number of brokerage accounts at the firm's San Diego branch office. Each account was disclosed to Qualcomm because, as a company officer, Wang was restricted in his ability to trade Qualcomm stock and required to pre-clear all Qualcomm trades with the company. The SEC alleges that in early 2006, Wang approached Yin about hiding cash transactions. Yin suggested that Wang create an entity registered in the British Virgin Islands (BVI) and use the name of a non-U.S. citizen family member as the beneficial owner. Then he could open a brokerage account in the newly created entity's name. Yin then helped Wang set up a secret account in the name of a BVI company called Unicorn Global Enterprises, and Wang's older brother was listed as the owner. Yin similarly created his own BVI-registered entity named Pacific Rim and put it in his mother-in-law's name. Yin opened a Merrill Lynch brokerage account for Pacific Rim and used it to hide funds that he was using for investments. The SEC alleges that Wang and Yin used their secret offshore accounts to trade on material, non-public information that Wang learned as an executive at Qualcomm. In early 2010, Wang was aware that Qualcomm executives were planning a board proposal to increase Qualcomm's quarterly dividends and request authority to initiate a stock repurchase program. Qualcomm informed Wang and all executives that they would not be permitted to trade Qualcomm stock. On March 1, Wang attended a Qualcomm board meeting where the quarterly dividend increase and stock repurchase were approved. Wang immediately instructed Yin to use all of the funds in the offshore Unicorn account to purchase Qualcomm stock. Yin knew that Wang did not pre-clear these trades and realized that the purchase was out of character for Wang because he previously never purchased Qualcomm stock on the open market in his Merrill Lynch accounts. Within the hour of executing the trades for Wang, Yin himself bought Qualcomm stock on the basis of the material, non-public information. The stock price increased 6.7 percent after Qualcomm publicly announced the quarterly cash dividend and stock repurchase program. Wang and Yin profited when they sold all of their shares. According to the SEC's complaint, Wang used the funds from that sale to conduct insider trading again - this time in the shares of San Jose-based Atheros Communications, which was the highly confidential target of a planned acquisition by Qualcomm. Wang was regularly briefed on the transaction internally tabbed as "Project Tango" to protect its confidentiality. Wang instructed Yin to sell all of his Qualcomm stock in the Unicorn account on Dec. 2, 2010, and prepare to buy as many shares of Atheros stock as possible with the funds in that account. He told Yin that he was leaving on a trip to China and would contact him to execute the Atheros trade. On December 6, Wang attended a Qualcomm board meeting in Hong Kong and a resolution was passed to pursue the acquisition. Wang learned that Qualcomm planned to acquire Atheros at $45 per share. Wang and Yin immediately communicated several times through phone calls and a text message, and Wang then purchased the maximum number of shares he could purchase with the existing funds in the Unicorn account at prices between $34 and $35 per share. At Wang's encouragement, Yin also purchased Atheros stock for himself in his offshore account. When the news became public in early January, Atheros stock increased more than 20 percent. Yin sold all of his Atheros shares in the Pacific Rim account on January 12, and Wang sold his Atheros shares in the Unicorn account on January 25. According to the SEC's complaint, Wang took his next insider trading step merely four minutes after selling the Atheros stock, using the proceeds to purchase Qualcomm shares in advance of a company announcement that it would raise its revenue and earnings guidance for the 2011 fiscal year. Wang had learned the confidential information prior to the board meeting he attended in Hong Kong, where Qualcomm's better-than-expected first quarter financial performance was further discussed. Wang learned that Qualcomm planned to announce its earnings results on January 26, and thus purchased his Qualcomm shares the day before the announcement. After Qualcomm issued a press release to announcing its positive first quarter results, Qualcomm's stock increased 5.9 percent. The SEC alleges that Wang made more than $244,000 in illegal profits through the insider trading scheme, and Yin realized gains of more than $27,000. Wang eventually realized that his illegal trading may be detected by Merrill Lynch or others. Wang first asked Yin to delete records of the trades in the Unicorn account, but because they were permanent records in Merrill Lynch's systems they could not be erased. Around January 2012, Wang directed Yin to establish a new BVI corporation named Clearview Resources and open a new account at Merrill Lynch to which they transferred the insider trading proceeds in the Unicorn account to further distance Wang from the suspicious trades. A few months later, Wang informed Yin that the trades may have been detected because the SEC had subpoenaed his e-mails. So Wang devised a cover story and convinced Yin if ever questioned to say that the Atheros trades were made by Wang's brother. Because Yin had never communicated with Wang's brother, Wang instructed him to travel to China with the Unicorn account statements and review the trades with his brother so he could explain the trading if asked. Yin did so in May 2012. To further hide Wang's ownership of the Unicorn account and his link to the Atheros trades, Yin removed the Unicorn account from Wang's "household" in Merrill Lynch's computer system in July 2012. "Householding" is a function used by Merrill Lynch to link related accounts. The SEC's complaint charges Wang, who lives in Del Mar, Calif., with violating Sections 10(b) and 16(a) of the Securities Exchange Act of 1934 and Rules 10b-5 and 16a-3. Yin, who lives in San Diego, is charged with violating Section 10(b) of the Exchange Act and Rule 10b-5. The SEC's complaint seeks disgorgement of ill-gotten gains plus prejudgment interest, financial penalties, and permanent injunctions. The SEC also seeks an officer-and-director bar against Wang. The SEC's investigation has been conducted by Ann C. Kim, Wendy E. Pearson, Nina Yamamoto, and Finola H. Manvelian of the Los Angeles Regional Office. The SEC's litigation will be led by Sam Puathasnanon. The SEC appreciates the assistance of the Department of Justice's Criminal Division, the U.S. Attorney's Office for the Southern District of California, and the Federal Bureau of Investigation. (Press Rel. 2013-193; LR-22087) Commission Charges 10 Brokers for Roles in McGinn Smith Ponzi SchemeThe Commission today announced charges against 10 former brokers at an Albany, N.Y.-based firm at the center of a $125 million investment scheme for which the co-owners have received jail sentences. The SEC filed an emergency action in 2010 to halt the scheme at McGinn Smith & Co. and freeze the assets of the firm and its owners Timothy M. McGinn and David L. Smith, who were later charged criminally by the U.S. Attorney's Office for the Northern District of New York and found guilty. The SEC's Enforcement Division alleges that 10 brokers who recommended the unregistered investment products involved in the scheme made material misrepresentations and omissions to their customers. The registered representatives ignored red flags that should have led them to conduct more due diligence into the securities they were recommending to their customers. "As securities professionals, these brokers had an important duty to determine whether the securities they recommended to customers were suitable, especially when red flags were apparent. These registered representatives performed inadequate due diligence and failed to fulfill their duties," said Andrew M. Calamari, Director of the SEC's New York Regional Office. The SEC's order names 10 former McGinn Smith brokers in the administrative proceeding: • Donald J. Anthony, Jr. of Loudonville, N.Y. • Frank H. Chiappone of Clifton Park, NY. • Richard D. Feldmann of Delmar, N.Y. • William P. Gamello of Rexford, N.Y. • Andrew G. Guzzetti of Saratoga Springs, N.Y. • William F. Lex of Phoenixville, Pa. • Thomas E. Livingston of Slingerlands, N.Y. • Brian T. Mayer of Princeton, N.J. • Philip S. Rabinovich of Roslyn, N.Y. • Ryan C. Rogers of East Northport, N.Y. According to the SEC's order, the scheme victimized approximately 750 investors and led to $80 million in investor losses. Guzzetti was the managing director of McGinn Smith's private client group from 2004 to 2009, and he supervised brokers who recommended the firm's offerings. The SEC's Enforcement Division alleges that despite his knowledge of serious red flags, Guzzetti failed to take any action to investigate the offerings and instead encouraged the brokers to sell the notes to McGinn Smith customers. The SEC's Enforcement Division alleges that the other nine brokers charged in the administrative proceeding should have conducted a searching inquiry prior to recommending the products to their customers. The brokers continued to sell McGinn Smith notes even after being told that customers placed in some of the firm's offerings could only be redeemed if a replacement customer was found. This was contrary to the offering documents. In January 2008, the brokers learned that four earlier offerings that raised almost $90 million had defaulted, yet they failed to conduct any inquiry into subsequent offerings and continued to recommend McGinn Smith notes. The SEC's order alleges that the misconduct of Anthony, Chiappone, Feldmann, Gamello, Lex, Livingston, Mayer, Rabinovich, and Rogers resulted in violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The order alleges that Guzzetti failed to reasonably supervise the nine brokers, giving rise to liability under Section 15(b)(6) of the Exchange Act, incorporating by reference Section 15(b)(4). The SEC's civil case continues against the firm as well as McGinn and Smith, who were sentenced to 15 and 10 years imprisonment respectively in the criminal case. The SEC's investigation was conducted by David Stoelting, Kevin P. McGrath, Lara Shalov Mehraban, Haimavathi V. Marlier, Joshua Newville, Kerri Palen, Michael Paley, and Roseann Daniello of the New York office. Mr. Stoelting, Ms. Marlier and Michael Birnbaum will lead the Enforcement Division's litigation. (Press Rel. 2013-194) In The Matter Of James R. LanierThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act, and Notice of Hearing (Order) against James Ryan Lanier (Lanier). The Order alleges that on November 1, 2012, Lanier entered a guilty plea in United States District Court for the Northern District of Florida to 13 counts of wire fraud in violation of 18 U.S.C. §§1343 & 2, seven counts of mail fraud in violation of 18 U.S.C. §§1341 & 2, four counts of money laundering in violation of 18 U.S.C. §§1957 and 2, and two counts of aggravated identity theft in violation of 18 U.S.C. §§1028A and 2 (U.S. v. James Ryan Lanier, Crim. Case No. 4:12-CR-51-RH-CAS). As alleged in the Order, Lanier, who maintains a residence in Sylvester, Georgia, worked as both a registered representative and investment adviser representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in Tallahassee, Florida, from August 2007 to April 2010. As alleged in Lanier's grand jury indictment, Lanier misappropriated $887,931 from the advisory and/or brokerage accounts of Merrill Lynch clients and customers between September 2008 and March 2010. As further alleged in the indictment, Lanier forged letters purportedly authorizing the transfer of customer and/or client funds to bank accounts controlled by Lanier; Lanier used customer and/or client funds to purchase a condominium, vehicles, and an interest in a cellular telecommunications business; and, in order to conceal his fraud, Lanier transferred a portion of the misappropriated funds to the bank accounts of customers and/or clients who requested liquidation of their Merrill Lynch accounts. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondent with an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order requires that the administrative law judge issue an initial decision no later than 210 days from the date of service of the Order. (Rel. 34-70471) Commission Orders Hearing on Registration Suspension or Revocation against Eight Public Companies for Failure to Make Required Periodic FilingsToday, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission: • Skyview Holdings Corp. • Stonecrest One, Inc. • Sunstates Corp. • Tetragenex Pharmaceuticals, Inc. • Tia III, Inc. (n/k/a PTL Energy, Inc.) • Tia IV, Inc. • Ultimate Indoor Football League, Inc. • United States Oil and Gas Corp. (USOG) In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and/or 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70474) Commission Orders Hearing On Registration Suspension or Revocation against Six Public Companies for Failure to Make Required Periodic FilingsToday, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission: • Bonanza One, Inc. • China Century Dragon Media, Inc. • Farrallon, Inc. • Ora Electronics, Inc. • Tia I, Inc. • Tia II, Inc. In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and/or 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70475) Commission Charges Atlanta-area Defendants with Securities FraudOn September 23, 2013, the Commission filed an action in federal court in the Northern District of Georgia, charging Stephen L. Kirkland (Kirkland), a Marietta, Georgia resident, and his company The Kirkland Organization, Inc. (TKO), a Georgia corporation, with violations of the federal securities laws for making false and misleading statements to investors in the United States and in Great Britain. The Commission's complaint seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest, and civil penalties against the defendants. The Commission's complaint alleges that between late 2008 and late 2010, Kirkland and TKO repeatedly made false and misleading statements to investors and potential investors including but not limited to: (a) if they invested with the defendants through a managed account at Westover Energy Trading Partners, LLC (Westover), there would be no risk of losing their principal; (b) they would earn 2% to 3% per month; (c) a specified New York real estate developer/owner was a manager of Westover; and (d) the New York real estate developer/owner's substantial wealth would be used to indemnify investors against loss. Investors in the United States and Great Britain have invested at least $800,000 with the defendants based upon those false representations. The complaint alleges that Kirkland and TKO violated the antifraud provisions of the federal securities laws, Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 10b-5 thereunder. It further alleges that while acting as investment advisors, the Defendants violated Sections 206 (1) and Section 206 (2) of the Investment Advisers Act of 1940 ("Advisers Act"), the antifraud provisions of the Advisers Act. With respect to Kirkland, the complaint also alleges that he, while acting as a control person, induced violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. [SEC v. Stephen L. Kirkland and The Kirkland Organization, Inc., Civil Action No. 1:13-cv-3150-JEC (N.D. Ga.)](LR-22808) Commission Declares Decision as to Mark A. Gelazela and Steven E. Woods FinalThe initial decision of an administrative law judge with respect to Mark A. Gelazela and Steven E. Woods ("Respondents") has become final. The initial decision barred Mark A. Gelazela and Steven E. Woods from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The law judge found that on December 18, 2012, a federal district court permanently enjoined Respondents from violating Sections 5 and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and ordered them jointly and severally with others, to disgorge $6,195,908 in ill-gotten gains plus prejudgment interest of $548,175.49 and pay a civil penalty of $6,195,908. SEC v. Wilde, No. 8:11-cv-00315 (C.D. Cal. Dec. 18, 2012), appeal docketed, No. 13-55043 (9th Cir. Jan. 8, 2013). The district court found that Respondents, while acting as unregistered broker dealers, along with entities under their control, operated a "prime bank" scheme from October 2009 through mid-March 2010. The scheme involved promising "extraordinary" returns, which enabled them to raise approximately $6.3 million from unwitting investors. The law judge found that Respondents' conduct was egregious and recurrent and involved at least a reckless degree of scienter. (Rel. 34-70476) Commission Declares Decision as to Jeffrey A. Liskov FinalThe initial decision of an administrative law judge with respect to Jeffrey A. Liskov has become final. The initial decision barred Liskov from associating with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, and nationally recognized statistical rating organization. The law judge found that on December 12, 2012, a federal district court entered a final judgment permanently enjoining Liskov from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Sections 204, 206(a), and 206(2) of the Investment Advisers Act of 1940 and various provisions under Rule 204-2 thereunder. Liskov was ordered by the court, jointly and severally, with EagleEye Asset Management LLC ("EagleEye"), a registered investment adviser, to pay disgorgement of $301,502.26, plus prejudgment interest of $29,603.59, and to pay, severally, a civil penalty of $725,000. SEC v. EagleEye Asset Management, LLC, No. 11-CV-11576 (WYG). Liskov was the sole owner, officer, and employee of EagleEye, a registered investment adviser. In the district court action, the jury found that beginning in 2008 through 2010, Liskov intentionally or recklessly made material misrepresentations to at least six of EagleEye's clients in connection with the purchase or sale of securities, failed to disclose his unsuccessful prior trading record and attempted to intentionally defraud his investors. The law judge noted that Liskov's conduct was egregious and recurrent, and that his failure to understand that his actions were wrongful was troubling. (Rel. 34-70478) Commission Declares Decision as to EagleEye Asset Management, LLC FinalThe initial decision of an administrative law judge with respect to EagleEye Asset Management, LLC ("EagleEye"), has become final. The initial decision revoked the investment adviser's registration. The law judge found that on December 12, 2012, a federal district court entered a final judgment permanently enjoining EagleEye from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 204, 206(1), and 206(2) of the Investment Advisers Act of 1940 and various provisions of Rule 204-2 thereunder. The court ordered EagleEye, along with its sole owner and employee, Jeffrey A. Liskov, to pay, jointly and severally, disgorgement of $301,502.26, plus prejudgment interest of $29,603.59. SEC v. EagleEye Asset Management, LLC, No. 11-CV-11576 (WGY). In the district court action, the jury found that from 2008 through 2010, EagleEye, a registered investment adviser, along with its owner Liskov, intentionally or recklessly made material misrepresentations to at least six of their clients in connection with the purchase or sale of securities, failed to disclose Liskov's unsuccessful prior trading record, and intentionally engaging in a scheme to defraud the investors. The law judge found, among other things, that EagleEye's conduct was egregious and recurrent. A parallel administrative proceeding against Liskov was instituted by the Commission based on the judgment in the underlying proceeding. Jeffrey A. Liskov, Administrative Proceeding File No. 151155, Advisers Act Release No. 3527 (Dec. 27, 2012). (Rel. 34-70478) Investment company ordersTHE KP FUNDS
A notice has been issued giving interested persons until October 18, 2013 to request a hearing on an application filed by The KP Funds and Callan Associates Inc. for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order would permit the applicants to enter into and materially amend subadvisory agreements with wholly-owned subadvisors and non-affiliated subadvisors without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30693 / September 23, 2013)
|
| 1.01 | Entry into a Material Definitive Agreement |
1.02 |
Termination of a Material Definitive Agreement |
1.03 |
Bankruptcy or Receivership |
2.01 |
Completion of Acquisition or Disposition of Assets |
2.02 |
Results of Operations and Financial Condition |
2.03 |
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant |
2.04 |
Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement |
2.05 |
Cost Associated with Exit or Disposal Activities |
2.06 |
Material Impairments |
3.01 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing |
3.02 |
Unregistered Sales of Equity Securities |
3.03 |
Material Modifications to Rights of Security Holders |
4.01 |
Changes in Registrant's Certifying Accountant |
4.02 |
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review |
5.01 |
Changes in Control of Registrant |
5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer |
5.03 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
5.04 |
Temporary Suspension of Trading Under Registrant's Employee Benefit Plans |
5.05 |
Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics |
5.06 |
Change in Shell Company Status |
6.01 |
ABS Informational and Computational Material. |
6.02 |
Change of Servicer or Trustee. |
6.03 |
Change in Credit Enhancement or Other External Support. |
6.04 |
Failure to Make a Required Distribution. |
6.05 |
Securities Act Updating Disclosure. |
7.01 |
Regulation FD Disclosure |
8.01 |
Other Events |
9.01 |
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
Actinium Pharmaceuticals, Inc. NV 5.02 09/16/13
ALAS AVIATION CORP. DE 5.02 09/19/13
ALLEGHENY TECHNOLOGIES INC DE 5.02,9.01 09/19/13
Alphatec Holdings, Inc. DE 2.05,9.01 09/16/13
AMBIT BIOSCIENCES CORP DE 3.01 09/19/13
American Nano Silicon Technologies, I CA 3.02 09/20/13
AMERICAN REALTY CAPITAL NEW YORK RECO MD 8.01,9.01 09/20/13
AMERICAN SOFTWARE INC GA 5.07 09/18/13
AMERICAN SOFTWARE INC GA 5.02,7.01,9.01 09/20/13
AMGEN INC DE 1.01,2.03,9.01 09/20/13
ANI PHARMACEUTICALS INC DE 7.01,9.01 09/19/13
Anoteros, Inc. NV 5.02 09/19/13
APACHE CORP DE 5.03,9.01 09/19/13
ARGAN INC DE 8.01,9.01 09/19/13
ATHENAHEALTH INC DE 9.01 05/10/13 AMEND
ATHERSYS, INC / NEW DE 8.01 09/18/13
ATLANTIC TELE NETWORK INC /DE DE 2.01,7.01,9.01 09/20/13
AUTHENTIDATE HOLDING CORP DE 1.01 09/19/13
AUXILIUM PHARMACEUTICALS INC DE 1.01,7.01,9.01 09/19/13
AVALONBAY COMMUNITIES INC MD 8.01,9.01 09/16/13
BAXANO SURGICAL, INC. DE 5.02,8.01,9.01 09/16/13
BECTON DICKINSON & CO NJ 8.01 09/19/13
BIO-PATH HOLDINGS INC UT 8.01,9.01 09/19/13
Black Elk Energy Offshore Operations, TX 3.02,7.01,9.01 09/16/13
Black Stallion Oil & Gas Inc. DE 1.01,5.03,8.01,9.01 09/09/13
BON TON STORES INC PA 8.01,9.01 09/20/13
BON TON STORES INC PA 5.02,9.01 09/20/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 5.02,9.01 09/19/13
CANCER GENETICS, INC 7.01,9.01 09/19/13
Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 09/19/13
CATERPILLAR INC DE 7.01 09/20/13
CATHAY GENERAL BANCORP DE 8.01 09/19/13
Ceetop Inc. OR 1.01,5.03,9.01 09/18/13
CENVEO, INC CO 2.01,9.01 09/16/13
CENVEO, INC CO 8.01,9.01 09/17/13
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 07/15/13 AMEND
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 08/15/13 AMEND
CHC Helicopter S.A. N4 8.01,9.01 09/19/13
Chefs' Warehouse, Inc. DE 8.01,9.01 09/20/13
CIRRUS LOGIC INC DE 5.02,5.03,9.01 09/16/13
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 09/20/13
CMS ENERGY CORP MI 7.01,9.01 09/20/13
Coeur Mining, Inc. DE 5.02,5.03,9.01 09/16/13
COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 09/19/13
Commercial Vehicle Group, Inc. DE 5.02,9.01 09/18/13
COMMUNITY FINANCIAL SHARES INC DE 5.02 09/19/13
Compass Diversified Holdings DE 8.01 09/19/13
CONSOLIDATED EDISON INC NY 5.02,9.01 09/19/13
Cordia Bancorp Inc VA 5.02,9.01 09/16/13
CORELOGIC, INC. DE 5.02 09/16/13
COVANTA HOLDING CORP DE 5.03,9.01 09/19/13
Covidien plc 5.02 09/19/13
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 09/20/13
CYBERONICS INC DE 5.07 09/20/13
DARDEN RESTAURANTS INC FL 2.02,5.02,9.01 09/18/13
DARDEN RESTAURANTS INC FL 5.02,5.07,8.01,9.01 09/18/13
DAVITA HEALTHCARE PARTNERS INC. DE 8.01 09/09/13
DAWSON GEOPHYSICAL CO TX 7.01,9.01 09/19/13
Demandware Inc DE 5.02 09/20/13
DOLE FOOD CO INC DE 1.01,9.01 09/19/13
DONEGAL GROUP INC DE 7.01,9.01 09/20/13
DS HEALTHCARE GROUP, INC. FL 5.02 09/13/13
DTE ENERGY CO MI 7.01,9.01 09/20/13
DTS8 COFFEE COMPANY, LTD. NV 8.01,9.01 09/19/13
DubLi, Inc. NV 3.02 09/20/13
DYNARESOURCE INC DE 7.01,9.01 09/19/13
ECOSPHERE TECHNOLOGIES INC DE 1.01,1.02,9.01 05/24/13 AMEND
Edwards Lifesciences Corp DE 8.01 09/18/13
EMERSON ELECTRIC CO MO 7.01 09/20/13
EMPIRE RESORTS INC DE 8.01,9.01 09/18/13
EMULEX CORP /DE/ DE 1.01,5.03,9.01 09/19/13
EMULEX CORP /DE/ DE 5.02,8.01,9.01 09/19/13
Enduro Royalty Trust DE 2.02,9.01 09/20/13
ENNIS, INC. TX 1.01,2.03,9.01 09/19/13
EXELIXIS, INC. DE 5.02 09/19/13
Federal Home Loan Bank of Topeka 5.02 09/20/13
FIFTH THIRD BANCORP OH 8.01,9.01 09/18/13
FIRST NATIONAL COMMUNITY BANCORP INC PA 8.01 09/11/13 AMEND
FIRSTENERGY CORP OH 5.02 09/16/13
Fraternity Community Bancorp Inc 5.02,9.01 09/17/13
FRESH START PRIVATE MANAGEMENT, INC. NV 5.02,9.01 09/19/13
FS Bancorp, Inc. 5.07 09/18/13
GALLAGHER ARTHUR J & CO DE 1.01,1.02,2.03,9.01 09/19/13
GateHouse Media, Inc. DE 7.01,9.01 09/20/13
GENOMIC HEALTH INC 5.02 09/17/13
GENTIVA HEALTH SERVICES INC DE 1.01,3.02,7.01,9.01 09/18/13
GLIMCHER REALTY TRUST MD 8.01,9.01 09/20/13
Global Clean Energy Holdings, Inc. DE 4.01,9.01 09/18/13
GOLDFIELD CORP DE 5.07 05/30/13 AMEND
GOODYEAR TIRE & RUBBER CO /OH/ OH 7.01,9.01 09/20/13
Green Plains Renewable Energy, Inc. IA 1.01,2.03,3.02, 09/20/13
8.01,9.01
GREENE COUNTY BANCORP INC DE 5.03,9.01 09/17/13
Hamilton Bancorp, Inc. MD 5.02,9.01 09/16/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 5.03,9.01 09/20/13
HAYNES INTERNATIONAL INC DE 1.01,9.01 09/17/13
Hines Global REIT, Inc. MD 5.07,7.01,9.01 09/20/13
HMG COURTLAND PROPERTIES INC DE 5.07 09/19/13
HOME DEPOT INC DE 5.02,9.01 09/20/13
HORIZON BANCORP /IN/ IN 8.01,9.01 09/20/13
Howard Hughes Corp DE 8.01,9.01 09/20/13
HUGOTON ROYALTY TRUST TX 2.02,9.01 09/20/13
Huntsman CORP DE 1.01,7.01,9.01 09/17/13
INDEPENDENT BANK CORP MA 8.01 09/20/13
Industrial Income Trust Inc. MD 1.01,2.01,2.03,9.01 09/17/13
INERGY MIDSTREAM, L.P. DE 8.01,9.01 06/07/13 AMEND
Ingersoll-Rand plc L2 7.01 09/20/13
INNOCOM TECHNOLOGY HOLDINGS, INC. NV 5.03,5.07,9.01 09/17/13
INTREXON CORP VA 2.02,9.01 09/19/13
INUVO, INC. NV 7.01,9.01 09/20/13
INVENTURE FOODS, INC. DE 5.02 09/18/13
JPMORGAN CHASE & CO DE 5.02,5.03 09/16/13
JTH Holding, Inc. DE 3.01,7.01,9.01 09/18/13
KAISER ALUMINUM CORP DE 5.02 09/18/13
KANSAS CITY SOUTHERN DE 5.03,5.05,9.01 09/13/13
Kennedy-Wilson Holdings, Inc. DE 1.01,9.01 09/19/13
Kodiak Oil & Gas Corp B0 9.01 09/20/13 AMEND
L2 MEDICAL DEVELOPMENT CO NV 2.01,9.01 09/04/13 AMEND
LEAPFROG ENTERPRISES INC 4.01,9.01 09/17/13
Liberty Global plc X0 7.01 09/20/13
Life Stem Genetics Inc. NV 5.03,8.01,9.01 09/16/13
LIFEWAY FOODS INC IL 1.01,2.03,9.01 09/04/13
LIONS GATE ENTERTAINMENT CORP /CN/ A1 5.02,9.01 09/16/13
LORILLARD, INC. DE 5.02,9.01 09/18/13
MACKINAC FINANCIAL CORP /MI/ MI 8.01,9.01 09/20/13
MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 09/19/13
MDC HOLDINGS INC DE 1.01,2.03,9.01 09/20/13
MEADOWBROOK INSURANCE GROUP INC MI 1.01,9.01 09/19/13
MEDIABISTRO INC. DE 5.02 09/19/13
Medley Capital Corp DE 8.01 09/20/13
METLIFE INC DE 5.02,9.01 09/17/13
MEXCO ENERGY CORP CO 8.01,9.01 09/20/13
MICROSOFT CORP WA 7.01 09/19/13
Millennial Media Inc. DE 7.01,8.01,9.01 09/20/13
MINERALRITE Corp NV 1.01,8.01 09/18/13
MINERALS TECHNOLOGIES INC DE 8.01,9.01 09/18/13
Mobiquity Technologies, Inc. NY 7.01,9.01 09/19/13
MVP REIT, Inc. MD 2.01 09/20/13
Nationstar Mortgage Holdings Inc. DE 1.01 09/19/13
NEWBRIDGE BANCORP NC 8.01,9.01 09/20/13
Nielsen Holdings N.V. P7 7.01 09/20/13
Nielsen Holdings N.V. P7 7.01 09/20/13
NORTHERN MINERALS & EXPLORATION LTD. NV 5.02 09/19/13
NORTHROP GRUMMAN CORP /DE/ 5.02,9.01 09/18/13
NUMBEER, INC. NV 1.01,2.01,3.02,4.01,5.01,5.02,5.03,5.06,9.01
09/20/13 AMEND
OptimizeRx Corp NV 1.01,3.02,5.02, 09/20/13
8.01,9.01
OptimumBank Holdings, Inc. FL 1.01,3.02,9.01 09/13/13
Orion Marine Group Inc 8.01 09/20/13
OVERSEAS SHIPHOLDING GROUP INC DE 7.01,9.01 09/20/13
OXIGENE INC DE 1.01,3.02,3.03, 09/18/13
5.03,9.01
PARTNERRE LTD 8.01 09/18/13
PATRIOT NATIONAL BANCORP INC CT 5.07 09/17/13
PENNS WOODS BANCORP INC PA 5.02,9.01 09/20/13
People's United Financial, Inc. DE 5.02,9.01 09/19/13
PINNACLE FINANCIAL PARTNERS INC TN 5.02 09/20/13
PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 09/20/13
PORTLAND GENERAL ELECTRIC CO /OR/ OR 7.01 09/19/13
PRUCO LIFE INSURANCE CO AZ 8.01 09/20/13
PRUCO LIFE INSURANCE OF NEW JERSEY NJ 8.01 09/20/13
PRUDENTIAL ANNUITIES LIFE ASSURANCE C CT 8.01 09/20/13
RECOVERY ENERGY, INC. NV 5.02,7.01,9.01 09/16/13
Red Giant Entertainment, Inc. NV 1.01,2.03,3.02,9.01 09/20/13
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
Regional Management Corp. DE 8.01,9.01 09/19/13
REINSURANCE GROUP OF AMERICA INC MO 1.01,8.01,9.01 09/19/13
REPUBLIC AIRWAYS HOLDINGS INC DE 5.07 09/17/13
RESPONSE GENETICS INC 1.01,8.01,9.01 09/19/13
Restoration Hardware Holdings Inc DE 1.01,9.01 09/16/13
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 09/19/13
RIGHTSCORP, INC. NV 5.03,8.01,9.01 07/18/13 AMEND
ROCKWELL COLLINS INC DE 7.01,9.01 09/20/13
Rosetta Resources Inc. DE 7.01,9.01 09/19/13 AMEND
ROYALE GROUP HOLDING, INC. NV 3.02 09/19/13
rue21, inc. DE 5.07,8.01,9.01 09/20/13
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 09/20/13
San Lotus Holding Inc NV 1.01,2.01,3.02, 09/17/13
5.06,9.01
SANDY SPRING BANCORP INC MD 5.04,9.01 09/13/13
Scio Diamond Technology Corp NV 1.01 09/16/13
Seagate Technology plc L2 5.02 09/19/13
Sequoia Mortgage Trust 2013-7 8.01,9.01 09/19/13
SHARPROCK RESOURCES INC. NV 8.01 09/19/13
Shire plc 8.01,9.01 09/20/13
SHORE BANCSHARES INC MD 7.01,9.01 09/17/13
SMSA CRANE ACQUISITION CORP. NV 1.01,5.01,5.02 09/16/13
SOHU COM INC DE 1.01,2.01,8.01,9.01 09/16/13 AMEND
SOLARFLEX CORP DE 4.01,9.01 09/20/13
SOLAZYME INC DE 5.07 09/19/12 AMEND
SPARTAN STORES INC MI 5.02 09/20/13
Spectra Energy Partners, LP DE 1.01,9.01 09/16/13
Spectrum Brands Holdings, Inc. DE 5.02,9.01 09/16/13
Spectrum Brands, Inc. DE 5.02,9.01 09/16/13
SPORT CHALET INC DE 7.01,9.01 09/20/13
SPRINT Corp DE 5.02,9.01 09/17/13
SPRINT Corp DE 5.02 09/16/13 AMEND
Standard Drilling, Inc. 1.01,2.01,3.02, 09/20/13 AMEND
4.01,5.01,5.02,5.06,9.01
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/16/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/16/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/16/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 09/16/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 09/16/13
Summit Midstream Partners, LP DE 8.01,9.01 09/20/13
SURMODICS INC MN 5.02,9.01 09/16/13
TAKE TWO INTERACTIVE SOFTWARE INC DE 7.01,9.01 09/20/13
TEJON RANCH CO DE 5.02 09/19/13
TELEPHONE & DATA SYSTEMS INC /DE/ DE 1.01,9.01 09/16/13
TGC INDUSTRIES INC TX 1.01,2.03 09/16/13
THERAVANCE INC DE 8.01,9.01 09/20/13
TIDELANDS ROYALTY TRUST B TX 7.01,9.01 09/20/13
TIPTREE FINANCIAL INC. MD 1.01,2.03,8.01,9.01 09/18/13
Tronox Ltd 8.01 09/16/13
TWENTY-FIRST CENTURY FOX, INC. 5.03 09/19/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/20/13
UNITED ONLINE INC DE 8.01,9.01 09/20/13
United Realty Trust Inc MD 8.01 09/20/13
UNITED STATES CELLULAR CORP DE 1.01,9.01 09/16/13
UniTek Global Services, Inc. DE 4.01 09/16/13
USANA HEALTH SCIENCES INC UT 4.01,9.01 09/16/13
VEECO INSTRUMENTS INC DE 9.01 09/18/13 AMEND
VIVUS INC CA 8.01,9.01 09/20/13
Vystar Corp GA 5.07,9.01 09/16/13
Walter Energy, Inc. DE 8.01,9.01 09/19/13
WAVE SYSTEMS CORP DE 1.01,3.02,9.01 09/16/13
WESTERN DIGITAL CORP DE 5.02,7.01,9.01 09/19/13
Westinghouse Solar, Inc. DE 5.07 09/19/13
WESTMORELAND COAL Co DE 7.01,9.01 09/19/13
Xhibit Corp. NV 1.01,2.03,5.01,9.01 09/20/13
XPO Logistics, Inc. 2.01,9.01 08/03/12 AMEND
XPO Logistics, Inc. 2.01,9.01 10/24/12 AMEND
YRC Worldwide Inc. DE 5.02,9.01 09/20/13
ZIPREALTY INC 5.07 05/30/13 AMEND
http://www.sec.gov/news/digest/2013/dig092313.htm
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