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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-56
March 22, 2012


Rules and related matters

Edward Jones & Co. LLP

An order has been issued on an application filed by Edward Jones & Co. LLP (Edward Jones) for an exemption under Section 36(a) of the Securities Exchange Act of 1934 (Exchange Act) from Section 11(d)(1) of the Exchange Act. Based on the representations and the facts presented in its letter and subject to the conditions contained in the order, the order exempts Edward Jones from the new issue lending restriction of Section 11(d)(1) of the Exchange Act to the extent that Edward Jones extends to a customer margin on newly-purchased shares of non-proprietary mutual funds in instances in which the customer makes a dollar-for-dollar substitution by selling an already-margined non-proprietary mutual fund and buying another non-proprietary mutual fund on margin without incurring any fees, commissions or other costs for the transactions, and without Edward Jones otherwise charging the respective customers any fees, commissions or other costs to effect the transactions. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66624)

Enforcement proceedings

In the Matter of Roger Greer

On March 22, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Roger Greer (Greer). The Order finds that on January 31, 2012, Greer was permanently enjoined from violating Sections 17(a)(3) and 17A(d) of the Exchange Act and Rules 17Ad-2, 17f-1, 17f-2(a), 17Ac2-1(c), 17Ac-2-2, 17Ad-6, 17Ad-7, 17Ad-10, 17Ad-13, 17Ad-15(c), 17Ad-17 and 17Ad-19 thereunder, in Securities and Exchange Commission v. National Stock Transfer, et al., Civil No. 2:11-cv-798 (U.S.D.C. Utah).

Based on the above, the Order bars Greer from association with any broker, dealer, investment advisor, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also bars Greer from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent, or other person who engages in activities with a broker, dealer, or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Greer consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the entry of the injunction against him. (Rel. 34-66647; File No. 3-14811)

Court Orders Purported Hedge Fund Manager and Principal to Pay Over $7.5 Million

The Securities and Exchange Commission announced today that, on March 20, 2012, Judge Richard Stearns of the U.S. District Court for the District of Massachusetts entered final judgments by default against Locust Offshore Management, LLC, and its CEO, Andrey C. Hicks, defendants in a civil injunctive action filed by the Commission in October 2011. The Commission’s Complaint charged that Hicks, 28, of Boston, Massachusetts, and Locust Offshore Management engaged in a scheme to mislead prospective investors about their supposed quantitative hedge fund and divert over $2.7 million of investor money to Hicks’ personal bank accounts. The Judgments jointly and severally order Hicks and Locust Offshore Management to pay disgorgement of $2,481,004 and prejudgment interest of $31,054.39. In addition, Hicks was ordered to pay a civil penalty in the amount of $2,512,058.39, and Locust Offshore Management was ordered to pay a civil penalty in the amount of $2,512,058.39.

On October 26, 2011, the SEC filed its Complaint and obtained an emergency asset freeze against the defendants. The Complaint alleged that Hicks and Locust Offshore Management made numerous misrepresentations when soliciting individuals to invest in a purported hedge fund Hicks controlled called Locust Offshore Fund, Ltd. According to the Complaint, Hicks and his advisory firm falsely represented to potential investors that:

  • Hicks obtained undergraduate and graduate degrees from Harvard University;

  • Hicks worked for Barclays Capital, where he “grew his book nearly two-fold and expanded his group’s assets under management to roughly $16 [billion]”;

  • Ernst & Young served as the fund’s auditor;

  • Credit Suisse served as the fund’s prime broker and custodian; and

  • the fund was a business company incorporated under the laws of the British Virgin Islands.

By making these representations and creating other indicia of legitimacy, the SEC alleged that Hicks obtained at least $1.7 million from 10 investors and misappropriated at least a portion of these funds for personal expenses.

The final judgments imposed permanent injunctions prohibiting Hicks and Locust Offshore Management from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act and Rule 10b-5 thereunder, and Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Hicks and Locust Offshore Management were also ordered jointly and severally to pay disgorgement of $2,481,004 and prejudgment interest of $31,054.39. In addition, Hicks was ordered to pay a civil penalty in the amount of $2,512,058.39, and Locust Offshore Management was ordered to pay a civil penalty in the amount of $2,512,058.39. The final judgments also continued for one year the asset freeze previously ordered as to the defendants’ assets held by financial institutions. On March 16, 2012, the Court granted the SEC’s motion to dismiss without prejudice Locust Offshore Fund, Ltd., as a relief defendant in the case. [SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant (United States District Court for the District of Massachusetts, Civil Action No. 1:11-cv-11888-RGS)] (LR-22302)

SEC v. Andrew Franz

The Securities and Exchange Commission today announced the filing of a complaint alleging fraud charges against Andrew Franz (Franz), a resident of Aurora, Ohio. According to the Complaint, Franz operated a fraudulent scheme in which, through forgery and other fraudulent means, he misappropriated approximately $865,969 from clients of Ruby Corporation (Ruby), a registered investment adviser with which he was associated, including $779,418 from family members and $86,551 from other clients. The Commission’s complaint also alleges that Franz misappropriated approximately $172,000 from Ruby itself by stealing legitimate client fees payable to Ruby. The complaint also alleges that during this same time period, Franz returned approximately $684,000 to Ruby disguised as client fees to conceal the firm’s dwindling client base and revenues. The complaint alleges that Franz thus kept a net of approximately $354,000 in funds stolen from these sources.

In addition, the complaint alleges that in November 2011, despite no longer having access to Ruby’s client files or systems, Franz was able to successfully obtain a fraudulent distribution from a Ruby client account. The complaint alleges that Franz obtained this distribution check through two phone conversations during which he falsely identified himself to be the broker of record and then the chairman of the client corporation. The complaint also alleges that when Franz attempted to deposit the fraudulently obtained check, Franz’s bank stopped the transaction.

At the SEC’s request for emergency relief, the Hon. Benita Y. Pearson, United States District Court, Northern District of Ohio, issued an emergency injunction against Franz, an order freezing all assets under Franz’s control, and other emergency relief.

The SEC’s investigation in this matter is continuing. [SEC v. Andrew Franz, Civil Action No. 5:12-cv-0064 (N.D. Ohio) (J. Pearson)] (LR-22303)

SEC Settles Litigation With Former Veritas Software Corporation Head of Sales

The U.S. Securities and Exchange Commission today announced that, on March 20, 2012, the U.S. District Court for the Northern District of California entered a settled final judgment against Paul A. Sallaberry, the former Executive Vice President of Worldwide Field Operations and head of sales of Veritas Software Corporation, in SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton, Civil Action No. 07 CV 3444 (JF) (PSG) (N.D. Cal. filed July 2, 2007). The final judgment resolves the Commission’s case against Sallaberry. The Commission’s amended complaint alleges that certain former Veritas Software Corporation executives inflated Veritas’ reported revenues by approximately $20 million in connection with a software sale to America Online, Inc.

Without admitting or denying the allegations in the complaint, Sallaberry consented to entry of a final judgment permanently enjoining him from future violations of corporate books and records regulations promulgated under the Securities Exchange Act of 1934 and ordering him to pay disgorgement and prejudgment interest of $75,000 and a civil penalty of $25,000. [SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton, Civil Action No. 07 CV 3444 (JF) (PSG) (N.D. Cal.] (LR-22304; AAE Rel. 3373)

Investment company act releases

Domini Social Investment Trust
Domini Social Investments LLC

A notice has been issued giving interested persons until April 16, 2012 to request a hearing on an application filed by Domini Social Investment Trust and Domini Social Investments LLC, for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-29984 – March 21)

Orders of Deregistration Under the Investment Company Act of 1940

Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:

  • DWS Technology Fund [File No. 811-547]
    [Rel. No. IC-29985]
  • DWS Mutual Funds, Inc. [File No. 811-5565]
    [Rel. No. IC-29986]
  • DWS Advisor Funds [File No. 811-4760]
    [Rel. No. IC-29987]
  • DWS RREEF World Real Estate Fund, Inc. [File No. 811-22046]
    [Rel. No. IC-29988]
  • Old RMR Real Estate Income Fund [File No. 811-22234]
    [Rel. No. IC-29989]
  • DWS Blue Chip Fund [File No. 811-5357]
    [Rel. No. IC-29990]
  • DWS Strategic Government Securities Fund [File No. 811-2719]
    [Rel. No. IC-29991]
  • DWS Strategic Income Fund [File No. 811-2743]
    [Rel. No. IC-29992]
  • DWS High Income Series [File No. 811-2786]
    [Rel. No. IC-29993]
  • DWS State Tax Free Trust [File No. 811-3749]
    [Rel. No. IC-29994]
  • AllianceBernstein Global Growth Fund, Inc. [File No. 811-21064]
    [Rel. No. IC-29995]
  • Coventry Funds Trust [File No. 811-8644]
    [Rel. No. IC-29996]
  • Oppenheimer Balanced Fund [File No. 811-3864]
    [Rel. No. IC-29997]
  • Oppenheimer Principal Protected Trust II [File No. 811-21414]
    [Rel. No. IC-29998]
  • TS&W/Claymore Tax-Advantaged Balanced Fund [File No. 811-21515]
    [Rel. No. IC-29999]
  • Ameritor Security Trust [File No. 811-18]
    [Rel. No. IC-30000]
  • DWS Communications Fund, Inc. [File No. 811-3883]
    [Rel. No. IC-30001]
  • York Enhanced Strategies Fund, LLC [File No. 811-21834]
    [Rel. No. IC-30002]
  • Our Street Funds, Inc. [File No. 811-22279]
    [Rel. No. IC-30003]
  • Kiewit Investment Fund LLLP [File No. 811-21632]
    [Rel. No. IC-30004]
  • Public Facility Loan Trust [File No. 811-5608]
    [Rel. No. IC-30005]

self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the International Securities Exchange, LLC regarding the Short Term Option Series Program (SR-ISE-2012-23) 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 March 19. (Rel. 34-66623)

The National Securities Clearing Corporation (NSCC) filed a proposed rule change (SR-NSCC-2012-04) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend Rule 53 of its Rules and Procedures relating to the Alternative Investment Product Services to standardize and automate the method by which registered AIP Broker-Dealer members meet their good control location obligations for uncertificated securities. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66635)

A proposed rule change filed by The NASDAQ Stock Market LLC to assess a fee for the QView Service (SR-NASDAQ-2012-035) 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 March 19. (Rel. 34-66636)

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-028) to amend its Fees Schedule 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 March 19. (Rel. 34-66637)

A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-009) to amend its Fees Schedule 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 March 19. (Rel. 34-66639)

Approval of Proposed Rule Change

The Commission has approved a proposed rule change (SR-ICEEU-2012-01) filed by ICE Clear Europe Limited under Section 19(b)(1) of the Securities Exchange Act of 1934 to revise rules and procedures related to certain technical and operational changes relating to credit default swap contracts. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66628)

Proposed Rule Changes

ICE Clear Europe Limited (ICE Clear Europe) filed a proposed rule change (SR-ICEEU-2012-05) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the ICE Clear Europe CDS Procedures, Finance Procedures, and Rules with respect to the calculation and payment of interest on mark-to-market margin on CDS transactions. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66629)

The Depository Trust Company filed a proposed rule change (SR-DTC-2012-02) pursuant to Section 19(b)(1) of the Act that would amend DTC’s Settlement Service Guide as it relates to the processing of issuances and maturities in money market instruments. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66630)

ICE Clear Credit LLC filed a proposed rule change (SR-ICC-2012-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 to change its risk model to reduce the current level of risk mutualization among its clearing participants and to modify the initial margin risk model so that it is easier for market participants to measure their risk. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66631)

Accelerated Approval of Proposed Rule Change

A proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) to amend rules relating to Interest Rate Swaps clearing (SR-CME-2012-05) has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66641)

Securities Act Registrations

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-1     TRANSGENOMIC INC, 12325 EMMET ST, OMAHA, NE, 68164, 4027385480 - 
        33,000,000 ($42,900,000.00) Equity, (File 333-180242 - Mar. 21) 
        (BR. 10C)

S-3     HALCON RESOURCES CORP, 1000 LOUISIANA STREET, SUITE 6700, HOUSTON, TX, 
        77002, 832-538-0300 - 44,444,511 ($445,334,000.22) Equity, 
        (File 333-180243 - Mar. 21) (BR. 04A)

S-8     CENTRAL SECURITIES CORP, 630 FIFTH AVENUE, SUITE 820, NEW YORK, NY, 
        10111, 212-698-2020 - 1,000,000 ($22,010,000.00) Equity, 
        (File 333-180248 - Mar. 21) (BR. 17)

S-8     Standard Financial Corp., 2640 MONROEVILLE BOULEVARD, MONROEVILLE, PA, 
        15146, 412-856-0363 - 486,943 ($4,114,668.00) Equity, 
        (File 333-180249 - Mar. 21) (BR. 07B)

S-1     E-WASTE CORP., 5209 STROKES RD. SUITE C1, MEDFORD, NJ, 08059, 
        914-420-2894 - 3,000,000 ($36,000.00) Equity, (File 333-180251 - 
        Mar. 21) (BR. 06)

S-8     NEWPORT CORP, 1791 DEERE AVE, IRVINE, CA, 92714, 7148633144 - 
        0 ($56,874,648.00) Equity, (File 333-180254 - Mar. 21) (BR. 10B)

S-3     Heelys, Inc., 3200 BELMEADE, CARROLLTON, TX, 75006, 214-390-1831 - 
        9,317,310 ($22,827,410.00) Equity, (File 333-180255 - Mar. 21) (BR. 09A)

S-3     NORTHSTAR REALTY FINANCE CORP., 399 PARK AVENUE,, 18TH FLOOR, NEW YORK, 
        NY, 10022, 212-547-2640 - 0 ($1.00) Equity, (File 333-180256 - Mar. 21) 
        (BR. 08B)

S-3ASR  MID AMERICA APARTMENT COMMUNITIES INC, 6584 POPLAR AVE, STE 340, 
        MEMPHIS, TN, 38138, 9016826600 - 0 ($131,000,000.00) Equity, 
        (File 333-180257 - Mar. 21) (BR. 08B)

S-3     AVI BIOPHARMA INC, 3450 MONTE VILLA PARKWAY, SUITE 101, BOTHELL, WA, 
        98021, 425-354-5038 - 
        0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-180258 - 
        Mar. 21) (BR. 01B)

S-8     Spy Inc., 2070 LAS PALMAS DRIVE, CARLSBAD, CA, 92009, (760) 804-8420 - 
        0 ($1,155,000.00) Equity, (File 333-180261 - Mar. 21) (BR. 10B)

F-1     Edwards Group Ltd, MANOR ROYAL, CRAWLEY, WEST SUSSEX, X0, RH10 9LW, 
        44(0) 1293 528844 - 0 ($150,000,000.00) Other, (File 333-180262 - 
        Mar. 21) (BR. )

S-3     METROPOLITAN HEALTH NETWORKS INC, 777 YAMATO ROAD, SUITE 510, 
        BOCA RATON, FL, 33431, 5618058500 - 
        0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-180264 - 
        Mar. 21) (BR. 01B)

Recent 8K Filings

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

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

AAR CORP                                DE       2.02,9.01            03/20/12

AbitibiBowater Inc.                     DE       8.01,9.01            03/20/12

ACACIA RESEARCH CORP                    DE       2.01,9.01            01/12/12    AMEND

ACTUANT CORP                            WI       2.02,9.01            03/21/12

ALASKA PACIFIC BANCSHARES INC           AK       2.02,9.01            03/21/12

ALBANY MOLECULAR RESEARCH INC           DE       2.05                 03/19/12

ALLEGHENY TECHNOLOGIES INC              DE       7.01,9.01            03/20/12

Alliance Holdings GP, L.P.              DE       1.01                 03/16/12

ALLIANCE RESOURCE PARTNERS LP           DE       1.01                 03/16/12

Alto Group Holdings Inc.                NV       5.02,5.07            03/20/12

AMERICAN AIRLINES INC                   DE       7.01                 03/21/12

AMERICAN CAMPUS COMMUNITIES INC         MD       5.02,7.01,9.01       03/20/12

AMERIGAS PARTNERS LP                    DE       8.01,9.01            03/15/12

AMERIGAS PARTNERS LP                    DE       9.01                 03/21/12

AMR CORP                                DE       7.01                 03/21/12

AMYRIS, INC.                            DE       5.02                 03/15/12

Andatee China Marine Fuel Services Co   DE       8.01,9.01            03/21/12

Antero Resources LLC                    DE       2.02,9.01            03/21/12

AON CORP                                DE       1.01,1.02,2.03,5.02, 03/15/12
                                                 9.01
          
ASIAINFO-LINKAGE, INC                   DE       5.02                 03/20/12

ASSISTED LIVING CONCEPTS INC            NV       5.02,9.01            03/15/12

ASTORIA FINANCIAL CORP                  DE       5.02                 03/15/12

Atlas Resource Partners, L.P.                    1.01,3.02,7.01,9.01  03/15/12

ATMEL CORP                              DE       4.01,9.01            03/16/12

BAKER HUGHES INC                        DE       7.01,9.01            03/21/12

Bank of Commerce Holdings               CA       8.01,9.01            03/21/12

BARRY R G CORP /OH/                     OH       5.02                 03/15/12

BELDEN INC.                             DE       5.02                 03/21/12

BIOMODA INC/NM                                   5.02                 03/21/12

BIOTIME INC                             CA       7.01,9.01            03/21/12

BLACKBAUD INC                                    8.01,9.01            03/21/12

Bluerock Enhanced Multifamily Trust,    MD       8.01                 03/07/12

BofI Holding, Inc.                      DE       5.02,5.05            03/15/12

BRIDGFORD FOODS CORP                    CA       5.07                 03/21/12

BROADCOM CORP                           CA       8.01,9.01            03/21/12

BRT REALTY TRUST                        MA       5.02,5.07            03/20/12

Business Development Corp of America    MD       2.02,9.01            03/20/12

CABCO SERIES 2004-102 TRUST (SBC COMM            8.01,9.01            03/15/12

CAMAC Energy Inc.                       DE       2.02,9.01            03/15/12

Cardiovascular Systems Inc              DE       3.01                 03/15/12

CARRIZO OIL & GAS INC                   TX       7.01,8.01,9.01       03/15/12

CASTLE A M & CO                         MD       7.01,9.01            03/21/12

CEF EQUIPMENT HOLDING LLC               DE       1.01,9.01            03/21/12

CENTER BANCORP INC                      NJ       7.01,9.01            03/21/12

CENTRAL FEDERAL CORP                    DE       8.01,9.01            03/21/12

CENTURY ALUMINUM CO                     DE       5.02,9.01            03/16/12

CENTURYLINK, INC                        LA       8.01,9.01            03/21/12

China Biologic Products, Inc.                    8.01                 03/21/12

CHINA SHEN ZHOU MINING & RESOURCES, I   NV       1.01,8.01,9.01       03/21/12

CIBER INC                               DE       5.02,9.01            03/15/12

CITIZENS FINANCIAL SERVICES INC         PA       7.01,9.01            03/21/12

CLECO CORP                              LA       8.01,9.01            03/21/12

CMS ENERGY CORP                         MI       5.02                 03/16/12

CNA FINANCIAL CORP                      DE       8.01,9.01            03/21/12

CNB FINANCIAL CORP/PA                   PA       5.02,9.01            03/13/12

CNH CAPITAL RECEIVABLES LLC             DE       1.01,9.01            03/21/12

CONSOL Energy Inc                       DE       5.02,7.01,9.01       03/19/12

CORRECTIONS CORP OF AMERICA             MD       1.01,5.02,9.01       03/16/12

CTS CORP                                IN       7.01,9.01            03/21/12

DEARBORN BANCORP INC /MI/               MI       8.01                 03/21/12

Delta Tucker Holdings, Inc.             DE       2.02,9.01            03/21/12

DEX ONE Corp                            DE       8.01,9.01            03/20/12

Diamond Foods Inc                       DE       1.01,7.01,9.01       03/21/12

Discover Financial Services             DE       2.02,9.01            03/21/12

DOLLAR TREE INC                         VA       5.02,9.01            03/14/12

DRI CORP                                NC       1.01,2.03,9.01       03/13/12

DRIVETIME AUTOMOTIVE GROUP INC          DE       1.01,9.01            03/15/12

EASTERN VIRGINIA BANKSHARES INC         VA       5.02                 03/15/12

ELECTRONICS FOR IMAGING INC             DE       5.05,9.01            03/19/12

ELSINORE SERVICES INC                   DE       4.01,9.01            03/16/12    AMEND

EMERSON ELECTRIC CO                     MO       7.01                 03/21/12

EMISPHERE TECHNOLOGIES INC              DE       2.02,9.01            03/21/12

EMPIRE RESORTS INC                      DE       4.01,9.01            03/20/12

Energy Services of America CORP         DE       5.02                 03/14/12

ENGLOBAL CORP                           NV       8.01,9.01            03/21/12

ENXNET INC                              OK       7.01,9.01            03/20/12

ESTEE LAUDER COMPANIES INC              DE       2.05                 02/05/09    AMEND

FiberTower CORP                         DE       5.02                 03/15/12

FIDELITY D & D BANCORP INC              PA       5.02,9.01            03/20/12

FIRSTFED FINANCIAL CORP                 DE       8.01,9.01            03/15/12

FREDS INC                               TN       2.02,9.01            03/21/12

Fresh Market, Inc.                      DE       5.02,9.01            03/20/12

FUELCELL ENERGY INC                     DE       5.02,8.01,9.01       03/21/12

FULTON FINANCIAL CORP                   PA       5.02,9.01            03/20/12

GATX CORP                               NY       7.01,9.01            03/20/12

GE Capital Credit Card Master Note Tr   DE       1.01,9.01            03/19/12

GENERAL MILLS INC                       DE       2.02,9.01            03/21/12

GEOKINETICS INC                         DE       1.01,3.02,8.01       03/15/12

GLIMCHER REALTY TRUST                   MD       1.01,8.01            03/21/12

GLOBAL GREEN INC.                       FL       8.01                 03/21/12

GOLDFIELD CORP                          DE       5.02,9.01            03/15/12

GOLDMAN SACHS GROUP INC                 DE       9.01                 03/21/12

GRAND RIVER COMMERCE INC                MI       5.02,9.01            02/01/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            02/29/12

GRAPHON CORP/DE                         DE       2.02,9.01            03/15/12

GREEN EQUITY HOLDINGS, INC.             NV       1.02                 03/20/12

Green Global Investments, Inc.          FL       1.01,9.01            03/05/12    AMEND

GRYPHON GOLD CORP                       NV       7.01,8.01,9.01       03/20/12

GSI GROUP INC                           A3       8.01                 03/21/12

HANDENI GOLD INC.                       NV       8.01,9.01            03/19/12

Hanover Portfolio Acquisitions, Inc.    DE       1.01,3.02,5.01,5.02, 03/19/12
                                                 9.01
          
HARLAND CLARKE HOLDINGS CORP            DE       2.02,9.01            03/21/12

HARLAND CLARKE HOLDINGS CORP            DE       1.01                 03/21/12

HARTFORD FINANCIAL SERVICES GROUP INC   DE       2.05,7.01,8.01,9.01  03/21/12

HEALTH CARE REIT INC /DE/               DE       8.01                 03/15/12

HENRY SCHEIN INC                        DE       8.01,9.01            03/21/12

Hines Global REIT, Inc.                 MD       1.01,2.03,9.01       03/15/12

HORNBECK OFFSHORE SERVICES INC /LA      DE       1.01,2.03,8.01,9.01  03/15/12

HORNE INTERNATIONAL, INC.               DE       5.02                 03/21/12

HOUSTON AMERICAN ENERGY CORP            DE       7.01,9.01            03/21/12

Ingersoll-Rand plc                      L2       1.01,1.02,2.03,9.01  03/15/12

IntelGenx Technologies Corp.            DE       5.03                 03/21/12

INTERMOUNTAIN COMMUNITY BANCORP         ID       8.01,9.01            03/20/12

INVENTURE FOODS, INC.                   DE       5.02,9.01            03/16/12

Islet Sciences, Inc                     NV       1.01,3.02,9.01       03/20/12

KELLOGG CO                              DE       1.01,2.03,9.01       03/16/12

KIMBERLY CLARK CORP                     DE       5.02,9.01            03/21/12

Kraton Performance Polymers, Inc.       DE       1.01,2.03,9.01       03/15/12

Laredo Petroleum Holdings, Inc.         DE       2.02,7.01,9.01       03/20/12

Lifeloc Technologies Inc                CO       2.02,9.01            03/20/12

Lightwave Logic, Inc.                   NV       5.02,9.01            03/20/11

LIMITED BRANDS INC                      DE       5.07                 03/21/12    AMEND

LIVEWIRE ERGOGENICS INC.                         3.02,8.01            03/19/12

Location Based Technologies, Inc.       NV       1.01,3.02            03/16/12

Location Based Technologies, Inc.       NV       8.01,9.01            03/19/12

LOOKSMART LTD                           DE       2.02,9.01            03/20/12

LTV CORP                                DE       8.01,9.01            03/20/12

LUBYS INC                               DE       2.02,9.01            03/21/12

MAMMATECH CORP                          FL       1.01                 03/20/12

Manning & Napier, Inc.                           5.02,8.01,9.01       03/20/12

MATERION Corp                                    7.01,9.01            03/21/12

Medley Capital Corp                     DE       1.01,2.03,9.01       03/21/12

Memorial Production Partners LP         DE       2.02,7.01,9.01       03/21/12

MERRILL LYNCH DEPOSITOR INC PPLUS TRU   DE       8.01,9.01            03/15/12

METROPOLITAN HEALTH NETWORKS INC        FL       9.01                 10/04/11    AMEND

MILLER ENERGY RESOURCES, INC.                    2.02,7.01,9.01       03/21/12

MILLER HERMAN INC                       MI       2.02,9.01            03/21/12

MONEYGRAM INTERNATIONAL INC                      5.02,7.01,9.01       03/21/12

NATIONAL RURAL UTILITIES COOPERATIVE    DC       2.06                 03/20/12

NETSOL TECHNOLOGIES INC                 NV       7.01                 03/20/12

NETSUITE INC                            DE       5.02,9.01            03/20/12

NETWORK ENGINES INC                     DE       5.02,5.07            03/15/12

NEUROLOGIX INC/DE                       DE       1.03                 03/16/12

New Enterprise Stone & Lime Co., Inc.   DE       1.01,2.03,9.01       03/15/12

NEWS CORP                                        8.01,9.01            03/21/12

NEXT FUEL, INC.                         NV       8.01,9.01            03/20/12

NGP Capital Resources Co                MD       7.01,9.01            03/21/12

Nissan Auto Lease Trust 2012-A          DE       1.01,9.01            03/21/12

NORTH BAY RESOURCES INC                 DE       1.01,2.03,3.02,9.01  03/15/12

NOVADEL PHARMA INC                      DE       2.02,9.01            03/20/12

OBA Financial Services, Inc.            MD       8.01,9.01            03/16/12

Ocean Shore Holding Co.                          8.01,9.01            03/20/12

OCLARO, INC.                            DE       1.01,2.01,9.01       03/19/12

Oilsands Quest Inc                               1.01,8.01,9.01       03/15/12

OLYMPIC STEEL INC                       OH       1.01,2.03,9.01       03/16/12

OM GROUP INC                            DE       5.02,9.01            03/15/12

Oryon Holdings, Inc.                    NV       5.03,5.07            03/19/12

OVERSTOCK.COM, INC                      DE       5.02,9.01            03/19/12

Oxford Resource Partners LP             DE       1.01,2.05,7.01,9.01  03/15/12

PAM TRANSPORTATION SERVICES INC         DE       7.01,9.01            03/20/12

PARK OHIO HOLDINGS CORP                 OH       5.02                 03/21/12

PAULSON CAPITAL CORP                    OR       3.01,9.01            03/21/12

PDI INC                                          5.02                 03/20/12

PENSON WORLDWIDE INC                    DE       1.01,2.02,5.02,9.01  03/12/12    AMEND

PENSON WORLDWIDE INC                    DE       8.01,9.01            03/13/12    AMEND

Photovoltaic Solar Cells, Inc.          NV       1.01,2.01,3.02,5.01, 02/27/12
                                                 5.02,5.03,5.06,8.01,
                                                 9.01
   
PLAINSCAPITAL CORP                      TX       7.01,9.01            03/21/12

PLATINUM ENERGY SOLUTIONS, INC.         NV       8.01,9.01            03/15/12

PLUG POWER INC                          DE       1.01,9.01            03/21/12

PPLUS Trust Series JPM-1                DE       8.01,9.01            03/15/12

PROSPECT CAPITAL CORP                   MD       1.01,9.01            03/19/12

PROSPECT GLOBAL RESOURCES INC.          NV       5.02,5.03            03/16/12

RACKSPACE HOSTING, INC.                          5.03,8.01,9.01       03/15/12

RADIO ONE, INC.                         DE       2.02,5.02,9.01       03/15/12

RARE ELEMENT RESOURCES LTD              A1       7.01,9.01            03/15/12

ROOMLINX INC                            NV       5.02                 03/14/12

SAN JUAN BASIN ROYALTY TRUST            TX       2.02,9.01            03/20/12

SANDY SPRING BANCORP INC                MD       8.01,9.01            03/21/12

SAVANNAH BANCORP INC                    GA       5.02                 03/18/12

SCHOLASTIC CORP                         DE       2.02,9.01            03/21/12

SEACHANGE INTERNATIONAL INC             DE       7.01,9.01            03/21/12

SEATTLE GENETICS INC /WA                DE       5.02                 03/19/12

SHOE CARNIVAL INC                       IN       2.02,9.01            03/21/12

Silicon Graphics International Corp     DE       2.05                 03/16/12

SL GREEN REALTY CORP                    MD       8.01,9.01            03/21/12

SONIC CORP                              DE       2.02,9.01            03/21/12

SOUTH JERSEY INDUSTRIES INC             NJ       1.01,2.03,9.01       03/15/12

SPAR GROUP INC                          DE       2.02,8.01,9.01       03/19/12

Spectrum Brands Holdings, Inc.          DE       8.01                 03/20/12

Spectrum Brands Holdings, Inc.          DE       8.01                 03/20/12    AMEND

Spectrum Brands, Inc.                   DE       1.01,2.03,7.01,9.01  03/20/12

STURM RUGER & CO INC                    DE       8.01,9.01            03/21/12

SUNPOWER CORP                           DE       5.02                 03/21/12

SUNRISE SENIOR LIVING INC               DE       2.03                 03/20/12

SUPERMEDIA INC.                         DE       5.02                 03/15/12

SWS GROUP INC                           DE       8.01                 03/16/12

SYNERGETICS USA INC                              7.01,9.01            03/21/12

TIDEWATER INC                           DE       8.01,9.01            03/20/12

TMST, Inc.                              MD       7.01,9.01            03/20/12

TNP Strategic Retail Trust, Inc.        MD       7.01,8.01,9.01       03/21/12

TNP Strategic Retail Trust, Inc.        MD       7.01,8.01,9.01       03/21/12

TORO CO                                 DE       5.07                 03/20/12

TOYS R US INC                           DE       2.02,9.01            03/21/12

TRAILER BRIDGE INC                               1.03,9.01            03/16/12

TRIDENT MICROSYSTEMS INC                DE       1.01                 03/16/12

Trunkbow International Holdings Ltd     NV       4.02,9.01            03/16/12

UMH PROPERTIES, INC.                    MD       7.01,9.01            03/21/12

UNISOURCE ENERGY CORP                   AZ       7.01,9.01            03/21/12

UNISOURCE ENERGY CORP                   AZ       2.03,9.01            03/20/12

UNITED COMMUNITY BANKS INC              GA       5.02,9.01            03/20/12

UNITED SURGICAL PARTNERS INTERNATIONA   DE       7.01,9.01            03/21/12

URANIUM ENERGY CORP                     NV       7.01,9.01            03/21/12

URBAN OUTFITTERS INC                    PA       5.02,9.01            03/19/12

US CONCRETE INC                         DE       4.01,9.01            03/19/12

Vantage Drilling CO                     E9       1.01,9.01            03/20/12

VISTA GOLD CORP                         B0       7.01,9.01            03/16/12

Vista International Technologies Inc    DE       4.01,9.01            03/16/12

Voyager Oil & Gas, Inc.                 DE       5.02,9.01            03/15/12

VSUS TECHNOLOGIES INC                   DE       4.01,9.01            02/15/12    AMEND

VYCOR MEDICAL INC                       DE       1.01,1.02,9.01       01/04/12    AMEND

WEBMEDIABRANDS INC.                     DE       3.01                 03/16/12

WELLS FARGO & CO/MN                     DE       9.01                 03/21/12

WIRED ASSOCIATES SOLUTIONS INC          NV       5.06,9.01            02/17/12    AMEND

Wonder Auto Technology, Inc             NV       5.02                 03/19/12    AMEND

YADKIN VALLEY FINANCIAL CORP            NC       5.02                 03/15/12

Zayo Group LLC                          DE       7.01,9.01            03/16/12

 

http://www.sec.gov/news/digest/2012/dig032212.htm


Modified: 03/22/2012