SEC NEWS DIGEST

Commission Suspends Trading in the Securities of Sovereign Lithium, Inc.

The Commission today announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934, of trading in the securities of Sovereign Lithium, Inc. ("Sovereign Lithium"), at 9:30 a.m. EST on November 15, 2013 through 11:59 p.m. EST on November 29, 2013.

The Commission temporarily suspended trading in the securities of Sovereign Lithium because of concerns regarding the accuracy and adequacy of information in the marketplace and potentially manipulative transactions in Sovereign Lithium's common stock. Sovereign Lithium is quoted on OTC Link under the ticker symbol SLCO. The Commission acknowledges the assistance of the Financial Industry Regulatory Authority. See In the Matter of Sovereign Lithium, Inc. (Rel. 34-70882).

Commission Sustains FINRA Disciplinary Action against Edward S. Brokaw

The Commission has sustained FINRA's disciplinary action against Edward S. Brokaw, a former registered representative of FINRA member Deutsche Bank Securities, Inc. The Commission found that Brokaw failed to observe just and equitable principles of trade and caused Deutsche Bank's books and records to be inaccurate. Among other things, the Commission found that Brokaw knowingly engaged in a manipulative scheme to drive down the price of Monogram Biosciences, Inc. common stock. This conduct, the Commission concluded, demonstrated "a disturbing disregard for the integrity of the market in which he was effecting transactions." For Brokaw's failure to observe just and equitable principles of trade, the Commission sustained FINRA's imposition of a one-year suspension and $25,000 fine and, for causing his firm's books and records violations, sustained the imposition of a concurrent thirty-business-day suspension and an additional $5,000 fine. (Rel. 34-70883)

In The Matter of Carlene B. Veara

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Carlene B. Veara (Veara). The Order bars Veara from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order finds that Veara, a resident of South Yarmouth, Massachusetts, was associated with Morgan Stanley Smith Barney, LLC (Morgan Stanley) and that on June 28, 2012, the Commonwealth of Massachusetts Securities Division permanently barred Veara from functioning as an investment adviser or broker-dealer in the Commonwealth of Massachusetts. The Massachusetts consent order found that Veara had conducted an outside business activity without disclosing the activity to Morgan Stanley and that Veara transferred $177,000 from the account of a 98 year-old customer to Veara's outside business activity without the customer's informed consent. (Rel. IA-3718)

Chicago Investment Advisers Sanctioned

The registration of GEI Financial Services, Inc.., a Chicago, Illinois, investment adviser has been revoked, and its owners, Norman Goldstein and Laurie Gatherum, have been barred from the securities industry. The sanctions were ordered in an administrative proceeding before an administrative law judge, following their July 2013 injunction against violating the antifraud and other provisions of the federal securities laws. (Rel. ID-524)     

In the Matter of American Asset Development, Inc.

An Administrative Law Judge issued an Initial Decision on Default as to American Asset Development, Inc., aVinci Media Corp., Ceragenix Pharmaceuticals, Inc., Marshall Holdings International, Inc., MedCom USA, Incorporated, and Millenium Holding Group, Inc., in In the Matter of American Asset Development, Inc.

The Initial Decision found that Respondents are issuers of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that they failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the Administrative Law Judge found it was necessary and appropriate for the protection of investors to revoke the registration of each class of each issuer's registered securities. (Rel. ID-525)

Delinquent Filer's Stock Registration Revoked

The registration of the registered securities of Case Financial, Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. ID-522)    

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by the International Securities Exchange, LLC to address the treatment of certain stop orders during a Limit State or Straddle State (SR-ISE-2013-59) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934.

Publication is expected in the Federal Register during the week of November 18th. (Rel. 34-70884)

A proposed rule change filed by Topaz Exchange, LLC to address the treatment of certain stop orders during a Limit State or Straddle State (SR-TOPAZ-2013-11) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934.  Publication is expected in the Federal Register during the week of November 18th. (Rel. 34-70885)

A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-92) to expand co-location services to provide for a lower-latency 10 gigabit Liquidity Center Network connection in the Exchange's data center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 18th. (Rel. 34-70886)

A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-123) to expand co-location services to provide for a lower-latency 10 gigabit Liquidity Center Network connection in the Exchange's data center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 18th. (Rel. 34-70887)

A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-73) to expand co-location services to provide for a lower-latency 10 gigabit Liquidity Center Network connection in the Exchange's data center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 18th. (Rel. 34-70888)

A proposed rule change filed by National Stock Exchange, Inc. to amend its Fee and Rebate Schedule (SR-NSX-2013-21) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 18th. (Rel. 34-70890)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend Rule 53.23 related to CBSX RMM quoting obligations (SR-CBOE-2013-108) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934.  Publication is expected in the Federal Register during the week of November 18th. (Rel. 34-70889)

Notice of Filing of Proposed National Market System Plan

A National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail (File No. 4-668) has been filed pursuant to Rule 608 of the Exchange Act by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc. and Topaz Exchange, LLC. Publication of the notice is expected to be made in the Federal Register during the week of November 18th. (Rel. 34-70892)

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-8     AVNET INC, 2211 SOUTH 47TH STREET, PHOENIX, AZ, 85034, 4806432000 - 
        0 ($198,700,000.00) Equity, (File 333-192289 - Nov. 13) (BR. 10A)

S-3     DELTA APPAREL, INC, 322 S. MAIN STREET, GREENVILLE, SC, 29601, 
        864-232-5200 - 100,000,000 ($100,000,000.00) Other, (File 333-192290 - 
        Nov. 13) (BR. 09A)

F-1     Luxoft Holding, Inc, AKARA BLDG., 24 DE CASTRO STREET, 
        WICKHAMS CAY I, PO BOX 3136, ROAD TOWN, TORTOLA, D8, 00000, 
        410445568446 - 0 ($87,528,000.00) Equity, (File 333-192292 - Nov. 13) 
        (BR. 03A)

S-11    Physicians Realty Trust, 250 EAST WISCONSIN AVENUE, MILWAUKEE, WI, 
        53202, 414-978-6494 - 0 ($115,000,000.00) Equity, (File 333-192293 - 
        Nov. 13) (BR. 08B)

S-1     Carroll Bancorp, Inc., 1321 LIBERTY ROAD, SYKESVILLE, MD, 21784, 
        410-795-1900 - 0 ($3,000,000.00) Equity, (File 333-192294 - Nov. 13) 
        (BR. 07B)

S-8     China Lodging Group, Ltd, NO 2266, HONGQIAO ROAD, CHANGNING DISTRICT, 
        SHANGHAI 200336, F4, -, (86) 21 6195-2011 - 
        0 ($38,617,584.43) ADRs/ADSs, (File 333-192295 - Nov. 13) (BR. 08B)

S-8     IntercontinentalExchange Group, Inc., 2100 RIVEREDGE PARKWAY, 
        SUITE 500, ATLANTA, GA, 30328, 770-857-4700 - 
        7,974,153 ($1,506,814,313.61) Equity, 0 ($778,857.00) Other, 
        (File 333-192301 - Nov. 13) (BR. 08B)

S-3ASR  CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10022, 2125591000 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-192302 - Nov. 13) 
        (BR. 12A)

S-8     1 800 FLOWERS COM INC, 1600 STEWART AVE, WESTBURY, NY, 11590, 
        5162376000 - 3,250,000 ($15,892,500.00) Equity, (File 333-192304 - 
        Nov. 13) (BR. 02C)

S-4     ALLIANCE ONE INTERNATIONAL, INC., 8001 AERIAL CENTER PARKWAY, 
        MORRISVILLE, NC, 27560-8413, 9193794300 - 0 ($735,000,000.00) Other, 
        (File 333-192306 - Nov. 13) (BR. 05B)

S-8     HORIZON PHARMA, INC., 520 LAKE COOK ROAD, SUITE 520, DEERFIELD, IL, 
        60062, 224-383-3000 - 0 ($906,000.00) Equity, (File 333-192316 - 
        Nov. 13) (BR. 01B)

S-1     Pershing Gold Corp., 1658 COLE BOULEVARD, BUILDING 6, SUITE 210, 
        LAKEWOOD, CO, 80401, (877) 705-9357 - 0 ($17,381,490.00) Equity, 
        (File 333-192317 - Nov. 13) (BR. 05A)

S-8     INOVIO PHARMACEUTICALS, INC., 11494 SORRENTO VALLEY ROAD, SAN DIEGO, 
        CA, 92121-1318, 858 597-6006 - 0 ($3,740,702.42) Equity, 
        (File 333-192318 - Nov. 13) (BR. 10A)

S-3     ONE LIBERTY PROPERTIES INC, 60 CUTTER MILL RD, SUITE 303, GREAT NECK, 
        NY, 11021-3190, 5164663100 - 0 ($51,402,948.00) Other, 
        (File 333-192319 - Nov. 13) (BR. 08C)

S-8     FTD Companies, Inc., 3113 WOODCREEK DRIVE, DOWNERS GROVE, IL, 60515, 
        (630) 719-7800 - 0 ($15,513,636.27) Equity, (File 333-192320 - Nov. 13) 
        (BR. 02)

S-3     Accelerate Diagnostics, Inc, 303 E 17TH AVE, SUITE 108, DENVER, CO, 
        80203, 303-863-8088 - 0 ($150,000,000.00) Equity, (File 333-192321 - 
        Nov. 13) (BR. 10A)

S-3     NATIONAL HEALTH INVESTORS INC, 222 ROBERT ROSE DRIVE, MURFREESBORO, TN, 
        37129, 6158909100 - 0 ($1.00) Unallocated (Universal) Shelf, 
        (File 333-192322 - Nov. 13) (BR. 08B)

Form 8-K is used by companies to file current reports on the following events:

Form 8-K filings can be researched through several SEC EDGAR searches, some of which have item filtering functionality.

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