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Commission AnnouncementsSEC Suspends Trading in the Securities of Liberty Silver Corp.The United States Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Liberty Silver Corp. (“Liberty Silver”) of Toronto, Ontario, Canada, commencing at 9:30 a.m. EDT, October 5, 2012, and terminating at 11:59 p.m. EDT, on October 18, 2012. The Commission temporarily suspended trading in the securities of Liberty Silver due to a lack of current and accurate information about the company concerning, among other things, the control of its stock, its market price, and trading in the stock. The order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934. The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Liberty Silver’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. (Rel. 34-67989) ENFORCEMENT PROCEEDINGSSEC Charges Four Brokers With Defrauding Customers in $18.7 Million SchemeThe Securities and Exchange Commission today charged four brokers who formerly worked on the cash desk at a New York-based broker-dealer with illegally overcharging customers $18.7 million by using hidden markups and markdowns and secretly keeping portions of profitable customer trades. The SEC alleges that the brokers purported to charge customers very low commission fees that were typically pennies or fractions of pennies per transaction, but in reality they were reporting false prices when executing the orders to purchase and sell securities on behalf of their customers. The brokers made their scheme especially difficult to detect because they deceptively charged the markups and markdowns during times of market volatility in order to conceal the fraudulent nature of the prices they were reporting to their customers. The surreptitiously embedded markups and markdowns ranged from a few dollars to $228,000 and involved more than 36,000 transactions during a four-year period. Some fees were altered by more than 1000 percent of what was being told to customers. The SEC further alleges that when a customer placed a limit order seeking to purchase shares at a specified maximum price, the brokers filled the order at the customer’s limit price but used opportune times to sell a portion of that order back to the market to obtain a secret profit for the firm. They falsely reported back to the customer that they could not fill the order at the limit price. Meanwhile, the brokers made millions of dollars in illicit performance bonuses based on the fraudulent earnings they were generating on the cash desk. The brokers charged in the SEC’s complaint are Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry Condron. “These brokers stole millions of dollars by overcharging customers for trades involving stocks with high trading volumes and price volatility, which are characteristics they wrongly thought would conceal their illicit pricing scheme,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “They underestimated the SEC’s ability and resolve to pursue such illegal schemes.” In a parallel action, the U.S. Attorney’s Office for the Southern District of New York today announced criminal charges against Leszczynski and Chouchane. Condron has pled guilty to criminal charges. According to the SEC’s complaint filed in federal court in Manhattan, the brokers were employed at an interdealer broker firm. Interdealer brokers typically operate only as agents and execute large volumes of securities trades on behalf of customers for low commissions. The cash desk where these brokers worked executed trades in U.S. and Canadian stocks, and customers were primarily large foreign institutions and foreign banks. The firm’s internal records show that customers were to be charged flat commission rates between $0.005 and $0.02 per share. The SEC’s complaint alleges that the scheme spanned from 2005 to 2009. Reyftmann, Chouchane, and Leszczynski were sales brokers on the cash desk who were responsible for finding customers, developing relationships, and taking orders from customers. Reyftmann supervised the cash desk. Condron was a sales trader and middle-office assistant on the cash desk who entered orders received from the sales brokers and ensured the orders were executed. The SEC alleges that the fraudulent scheme worked as follows:
The SEC alleges that the brokers further defrauded customers by stealing portions of their profitable trades and keeping them for the firm:
Meanwhile, the SEC alleges that the brokers’ scheme enriched not only the firm but themselves as well. The four brokers received substantial performance bonuses totaling more than $15.6 million based, in part, on the fraudulent earnings generated by the cash desk. The SEC alleges that Leszczynski, Chouchane, Reyftmann, and Condron violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC is seeking disgorgement of ill-gotten gains with prejudgment interest, financial penalties, and a permanent injunction against the brokers. The SEC’s investigation, which is continuing, has been conducted by Mary P. Hansen (Assistant Director in the Market Abuse Unit in the Philadelphia Regional Office), A. Kristina Littman (Senior Counsel in the Philadelphia office) and Darren Boerner (Specialist in the Market Abuse Unit in the Chicago Regional Office). G. Jeffrey Boujoukos (Regional Trial Counsel) and John V. Donnelly (Senior Trial Counsel) in the Philadelphia office are handling the litigation. The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation. (Press Rel. 2012-207) In the Matter of Weizhan TangThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Weizhan Tang. The Division of Enforcement alleges that the United States District Court for the Northern District of Texas entered a final judgment on October 2, 2012 against Tang, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act, Section 10(b) of the Exchange Act, Rule 10b-5 thereunder, Sections 206(1), 206(2), and 206(4) of the Advisers Act, and Rule 206(4)-8 thereunder. Securities and Exchange Commission v. Oversea Chinese Fund Limited Partnership, et al., Civil Action Number 3:09-CV-0614-O-BK. A hearing before an administrative law judge will be scheduled to determine whether the allegations in the order are true, to provide the Respondent an opportunity to dispute these allegations, and to determine what remedial action, if any, is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. IA-3482; File No. 3-15060) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangesThe Commission granted approval of a proposed rule change, as modified by Amendment No. 1 thereto (SR-Phlx-2012-105), submitted by NASDAQ OMX PHLX LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder regarding Treasury securities options. Publication is expected in the Federal Register during the week of October 8. (Rel. 34-67976) The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-92) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of iShares 2018 S&P AMT-Free Municipal Series and iShares 2019 S&P AMT-Free Municipal Series under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02. Publication is expected in the Federal Register during the week of October 8. (Rel. 34-67985) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the NASDAQ Stock Market LLC to extend the fee pilot program for NASDAQ Last Sale (SR-NASDAQ-2012-108) 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 October 8. (Rel. 34-67979) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-45) relating to amendments to the EDGA Exchange, Inc. Fee 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 October 8. (Rel. 34-67980) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-45) relating to amendments to the EDGX Exchange, Inc. Fee 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 October 8. (Rel. 34-67981) A proposed rule change (SR-BOX-2012-015) filed by BOX Options Exchange, LLC to Amend the Fee Schedule for Trading on BOX 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 October 8. (Rel. 34-67984) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-104) proposing to amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 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 October 8. (Rel. 34-67986) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-110) to amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to amend the fees charged for routing orders to the New York Stock Exchange LLC 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 October 8. (Rel. 34-67987) SECURITIES ACT REGISTRATIONSThe 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 MURPHY OIL CORP /DE, 200 PEACH ST, PO BOX 7000, EL DORADO, AR, 71731-7000, 8708626411 - 0 ($474,280,500.00) Other, (File 333-184286 - Oct. 4) (BR. 04A) S-3ASR MURPHY OIL CORP /DE, 200 PEACH ST, PO BOX 7000, EL DORADO, AR, 71731-7000, 8708626411 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184287 - Oct. 4) (BR. 04A) F-10 Just Energy Group Inc., 6345 DIXIE ROAD, SUITE 200, MISSISSAUGA, A6, L5T 2E6, 905-795-4206 - 1,017,400,000 ($1,017,400,000.00) Equity, (File 333-184289 - Oct. 4) (BR. 02) N-2 PIMCO Dynamic Credit Income Fund, 1633 BROADWAY, NEW YORK, NY, 10019, 617-951-7239 - 40,000 ($1,000,000.00) Equity, (File 333-184290 - Oct. 4) (BR. ) S-8 CORELOGIC, INC., 40 PACIFICA, SUITE 900, IRVINE, CA, 92618, (949) 214-1000 - 1,000,000 ($26,400,000.00) Equity, (File 333-184292 - Oct. 4) (BR. 03A) S-3 FXCM Inc., 55 WATER ST., FL 50, NEW YORK, NY, 10041, 6464322241 - 9,000,000 ($89,100,000.00) Equity, (File 333-184294 - Oct. 4) (BR. 08B) S-3 FXCM Inc., 55 WATER ST., FL 50, NEW YORK, NY, 10041, 6464322241 - 0 ($125,000,000.00) Equity, (File 333-184295 - Oct. 4) (BR. 08B) S-8 Genpact LTD, CANON'S COURT, 22 VICTORIA STREET, HAMILTON, D0, HM122, 4412952244 - 0 ($251,002,735.36) Equity, (File 333-184296 - Oct. 4) (BR. 08B) S-3 Walker & Dunlop, Inc., 7501 WISCONSIN AVENUE, SUITE 1200E, BETHESDA, MD, 20814, (301) 215-5500 - 0 ($331,029,576.00) Equity, (File 333-184297 - Oct. 4) (BR. 07C) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
1ST SOURCE CORP IN 8.01 09/28/12
A. H. Belo CORP DE 2.02,9.01 10/03/12
AASTROM BIOSCIENCES INC MI 5.02,9.01 10/04/12
ACACIA RESEARCH CORP DE 8.01 09/28/12
AccelPath, Inc. DE 1.01,2.03,3.02,9.01 10/01/12
ACCREDITED BUSINESS CONSOLIDATORS COR PA 1.01,2.01,8.01 09/26/12
ACM Corp NV 5.02 09/28/12
Affinion Group Holdings, Inc. DE 7.01 10/04/12
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 8.01 06/04/12 AMEND
Allison Transmission Holdings Inc DE 1.01,9.01 10/04/12
Alta Mesa Holdings, LP TX 1.01,9.01 10/03/12
AMERICAN APPAREL, INC DE 2.02,9.01 10/04/12
AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE 8.01 10/03/12
American Realty Capital Trust III, In MD 1.01,3.02 09/28/12
AMERICAN SPECTRUM REALTY INC MD 5.02 10/02/12
AMERIGROUP CORP 8.01,9.01 10/03/12
Amincor, Inc. NV 5.02 10/04/12
ANTARES PHARMA, INC. DE 8.01,9.01 10/03/12
APD ANTIQUITIES, INC. NV 1.01,9.01 09/30/12
ARES CAPITAL CORP MD 8.01,9.01 10/04/12
ARETE INDUSTRIES INC CO 1.01,2.03 09/29/12
Aspect FuturesAccess LLC DE 5.03,9.01 09/30/12
ASPEN GROUP, INC. DE 5.02,7.01,9.01 09/28/12
AUTHENTEC INC DE 2.01,3.01,3.03,5.01, 10/04/12
5.02,5.03,5.07,9.01
BANK OF THE OZARKS INC AR 8.01,9.01 10/04/12
BASIC ENERGY SERVICES INC 1.01,2.03,7.01,8.01, 10/01/12
9.01
BBX CAPITAL CORP FL 1.01 09/28/12
BECTON DICKINSON & CO NJ 8.01 10/04/12
BeesFree, Inc. NV 5.03,9.01 09/28/12
BEHRINGER HARVARD REIT I INC MD 7.01,8.01,9.01 10/04/12
Bidz.com, Inc. CA 8.01,9.01 10/04/12
BioFuel Energy Corp. 2.04,9.01 09/28/12 AMEND
BioNeutral Group, Inc NV 5.01 10/04/12
BIOSANTE PHARMACEUTICALS INC DE 1.01,7.01,9.01 10/03/12
BIOTIME INC CA 1.01 09/28/12
Black Diamond, Inc. DE 1.01,2.01,9.01 09/28/12
Black Elk Energy Offshore Operations, TX 5.02,9.01 07/13/12
Blackwater Midstream Corp. 5.07,9.01 10/01/12
Blueknight Energy Partners, L.P. DE 5.02,9.01 09/13/12 AMEND
Bluforest Inc. NV 8.01 09/30/12
BOSTON BEER CO INC MA 7.01 10/01/12
Boston Therapeutics, Inc. DE 8.01,9.01 10/04/12
Bristow Group Inc DE 2.01,9.01 10/04/12
Bristow Group Inc DE 1.01,2.03,8.01,9.01 10/01/12
BROADVIEW NETWORKS HOLDINGS INC DE 1.03,8.01,9.01 10/03/12
Buildablock Corp. FL 5.02 09/30/12
Carbon Natural Gas Co DE 5.02 10/01/12
Cardium Therapeutics, Inc. DE 1.01,2.01,3.02,9.01 09/28/12
CARLISLE COMPANIES INC DE 2.05,2.06 09/28/12
Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 09/28/12
CEMPRA, INC. DE 8.01,9.01 10/04/12
Chaparral Energy, Inc. DE 7.01,9.01 10/04/12
Chaparral Energy, Inc. DE 5.02 10/04/12
CHIQUITA BRANDS INTERNATIONAL INC NJ 5.02,9.01 10/01/12
CISCO SYSTEMS, INC. CA 5.02,5.03,9.01 10/03/12
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 10/04/12
CLEAN TRANSPORTATION GROUP, INC. 1.01,2.01,3.02,5.02, 09/28/12
9.01
COMMAND SECURITY CORP NY 5.02 10/01/12
Cord Blood America, Inc. FL 1.01,2.01,8.01,9.01 09/28/12
CORPORATE PROPERTY ASSOCIATES 15 INC MD 2.01,3.03,5.01 09/28/12
CORTEX PHARMACEUTICALS INC/DE/ DE 5.02 09/28/12
Court Document Services, Inc. FL 5.02,5.03,9.01 10/01/12
Court Document Services, Inc. FL 5.02,5.03,9.01 10/04/12 AMEND
CPI International Holding Corp. 5.02 10/03/12
CYCLONE POWER TECHNOLOGIES INC FL 7.01,9.01 10/01/12
DARDEN RESTAURANTS INC FL 8.01,9.01 10/01/12
DATALINK CORP MN 1.01,2.01,2.02,2.03, 10/02/12
3.02,9.01
DealerTrack Holdings, Inc. DE 9.01 10/01/12 AMEND
DIRECTV DE 1.01,2.03,9.01 09/28/12
Divine Skin Inc. FL 8.01 09/15/12
DJO Finance LLC DE 1.01,2.03,9.01 10/01/12
DOCUMENT SECURITY SYSTEMS INC NY 1.01,3.02,5.02,7.01, 10/01/12
8.01,9.01
DONALDSON CO INC DE 5.02,9.01 09/28/12
DynaVox Inc. 5.02,9.01 10/03/12
DYNEGY INC. DE 1.01,1.02,3.02,3.03, 10/01/12
5.02,5.03,7.01,9.01
EDISON INTERNATIONAL CA 8.01,9.01 10/04/12
ELEPHANT TALK COMMUNICATIONS CORP DE 2.02,7.01,9.01 10/04/12
EMMIS COMMUNICATIONS CORP IN 7.01,9.01 10/02/12
Encompass Energy Services, Inc. DE 5.02 10/01/12
ENDO HEALTH SOLUTIONS INC. DE 7.01,9.01 10/04/12
EnteroMedics Inc 1.01,9.01 10/04/12
ENTERTAINMENT PROPERTIES TRUST MD 7.01 10/04/12
EZCORP INC DE 1.01,5.02,5.07 09/28/12
Fairmount Bancorp, Inc. MD 7.01,9.01 10/02/12
Farm Lands of Africa, Inc. NV 2.01,3.02,5.01 09/28/12
Federal Home Loan Bank of Atlanta X1 2.03 10/01/12
Federal Home Loan Bank of Boston X1 2.03 10/01/12
Federal Home Loan Bank of Chicago X1 2.03 10/01/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/01/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/02/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/04/12
Federal Home Loan Bank of New York X1 2.03,9.01 10/01/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/01/12
Federal Home Loan Bank of San Francis X1 2.03 10/01/12
Federal Home Loan Bank of Seattle 2.03 10/02/12
Federal Home Loan Bank of Topeka 2.03,9.01 10/01/12
FERRELLGAS PARTNERS L P DE 4.01 09/04/12 AMEND
Fiesta Restaurant Group, Inc. DE 5.02 09/28/12
FLATBUSH FEDERAL BANCORP INC 8.01 10/02/12
FLOWERS FOODS INC GA 2.01,9.01 07/21/12 AMEND
Ford Credit Auto Lease Trust 2012-B DE 1.01,9.01 10/03/12
Fortress Investment Group LLC DE 7.01 10/03/12
Fortune Brands Home & Security, Inc. DE 5.03,8.01,9.01 10/04/12
Fresh Harvest Products, Inc. NJ 3.02,3.03,5.01,5.02, 10/01/12
9.01
FRISCHS RESTAURANTS INC OH 5.07 10/03/12
GABRIEL TECHNOLOGIES CORP DE 8.01,9.01 10/04/12
GALECTIN THERAPEUTICS INC NV 1.02 09/29/12
GAP INC DE 7.01,9.01 10/04/12
GASTAR EXPLORATION LTD 7.01,9.01 10/04/12
General Finance CORP DE 1.01,2.03,3.02,5.05, 09/28/12
9.01
General Motors Co 8.01 10/02/12
Genesis Biopharma, Inc NV 1.01,9.01 09/30/12
GEOKINETICS INC DE 5.07,8.01,9.01 09/28/12
GLOBAL AXCESS CORP NV 1.01,9.01 09/28/12
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 10/04/12
GOODRICH PETROLEUM CORP DE 2.01,7.01,9.01 09/28/12
Google Inc. DE 2.05 08/03/12 AMEND
GRAFTECH INTERNATIONAL LTD DE 5.03,9.01 09/30/12
Graymark Healthcare, Inc. OK 1.01,9.01 09/28/12
Griffin Capital Net Lease REIT, Inc. 1.01,2.03,9.01 10/02/12
GROWLIFE, INC. DE 1.01,2.03,9.01 09/28/12
GS ENVIROSERVICES, INC. DE 3.02,5.01,5.02 07/31/12
Hamilton Bancorp, Inc. MD 8.01,9.01 10/04/12
HARLAND CLARKE HOLDINGS CORP DE 7.01,9.01 10/04/12
HARRIS CORP /DE/ DE 1.01,1.02,2.03,9.01 09/28/12
Healthient, Inc. 5.03,9.01 09/25/12
HomeTrust Bancshares, Inc. MD 8.01,9.01 10/04/12
HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 10/04/12
HPC POS SYSTEM, CORP. NV 2.02 09/30/11
HYSTER-YALE MATERIALS HANDLING, INC. DE 1.01,9.01 09/28/12
ICU MEDICAL INC/DE DE 8.01,9.01 10/04/12
IKANOS COMMUNICATIONS CA 7.01,9.01 10/04/12
IMAGE ENTERTAINMENT INC DE 2.01,3.03,5.01,5.02 10/03/12
IMPACT EXPLORATIONS INC. NV 8.01 10/01/12
Industrial Income Trust Inc. MD 8.01,9.01 10/04/12
INFORMATICA CORP DE 2.02,9.01 10/04/12
Inland Diversified Real Estate Trust, MD 1.01,2.01,2.03,9.01 09/28/12
INLAND REAL ESTATE CORP MD 8.01,9.01 10/04/12
INTEGRATED ELECTRICAL SERVICES INC DE 5.02,9.01 10/02/12
INTERNATIONAL SPEEDWAY CORP FL 2.02,7.01,8.01,9.01 10/04/12
IPG PHOTONICS CORP DE 5.02,8.01 09/27/12
iSatori, Inc. DE 5.02,5.07,9.01 09/28/12
ISC8 INC. /DE DE 1.01,2.03,3.02,3.03 09/28/12
JAKKS PACIFIC INC DE 1.01,2.03,9.01 09/27/12 AMEND
James River Holding Corp. DE 1.01,2.01,9.01 09/25/12
KAYDON CORP DE 2.05,2.06,9.01 09/28/12
KFORCE INC FL 5.02,9.01 09/28/12
KINGOLD JEWELRY, INC. DE 1.01,2.03,9.01 10/04/12
KOHLS Corp WI 2.02,9.01 10/04/12
KOKO LTD. NV 1.01,1.02,2.01,3.02, 09/30/12
5.02,5.06,9.01
KSW INC NY 1.01,9.01 10/01/12
KVH INDUSTRIES INC \DE\ DE 5.02 10/01/12
Laidlaw Energy Group, Inc. NY 1.01 09/01/12
LANCASTER COLONY CORP OH 5.07 11/21/11 AMEND
Lantheus Medical Imaging, Inc. DE 5.02 09/30/12
LaPorte Bancorp, Inc. X1 8.01,9.01 10/04/12
LaPorte Bancorp, Inc. MD 8.01,9.01 10/04/12
LGL GROUP INC DE 1.01,2.03,9.01 09/28/12
Liberty Media Corp DE 7.01,9.01 09/21/12 AMEND
LIFESTYLE MEDICAL NETWORK, INC. NV 5.02 09/01/12
LIN TV CORP. DE 7.01,9.01 10/03/12
LINN ENERGY, LLC DE 1.01 10/03/12
LKQ CORP DE 1.01,2.03,9.01 09/28/12
Location Based Technologies, Inc. NV 8.01,9.01 10/02/12
Location Based Technologies, Inc. NV 8.01,9.01 10/04/12
LPATH, INC NV 5.03,8.01,9.01 10/03/12
LUCAS ENERGY, INC. NV 5.02,9.01 10/01/12
LVB Acquisition, Inc. 1.01,2.03,3.03,8.01, 10/02/12
9.01
LYDALL INC /DE/ DE 5.02,9.01 09/29/12
MANITOWOC CO INC WI 8.01,9.01 10/04/12
Matador Resources Co TX 1.01,2.03,9.01 09/28/12
MATTRESS FIRM HOLDING CORP. DE 7.01,9.01 10/04/12
MATTSON TECHNOLOGY INC DE 5.02,9.01 10/03/12
MAVERICK MINERALS CORP NV 1.01,3.02 09/28/12
MAYS J W INC NY 2.02 07/31/12
MEADE INSTRUMENTS CORP DE 4.02 09/28/12
MEI Pharma, Inc. DE 1.01 09/28/12
METLIFE INC DE 3.03,8.01,9.01 10/04/12
MITCHAM INDUSTRIES INC TX 7.01 10/04/12
ML Transtrend DTP Enhanced FuturesAcc DE 5.03,9.01 09/30/12
ML Winton FuturesAccess LLC DE 5.03,9.01 09/30/12
MobileBits Holdings Corp NV 2.01,3.02,5.02,9.01 09/28/12
Morgans Hotel Group Co. DE 3.03,9.01 10/02/12
MRC GLOBAL INC. DE 8.01,9.01 10/04/12
MTS SYSTEMS CORP MN 1.01,2.03,9.01 09/28/12
MYERS INDUSTRIES INC OH 8.01,9.01 10/02/12
NACCO INDUSTRIES INC DE 1.01,2.01,2.05,9.01 09/28/12
Neutral Tandem Inc 5.02,7.01,9.01 10/01/12
NEW FRONTIER MEDIA INC CO 5.02,9.01 09/29/12
New Western Energy Corp NV 5.02,9.01 10/01/12
NEWMONT MINING CORP /DE/ DE 5.02 10/01/12
NEWS CORP 8.01,9.01 10/04/12
Nexeo Solutions Holdings, LLC DE 7.01 10/04/12
Nielsen Holdings N.V. P7 1.01,2.03,9.01 10/02/12
NII HOLDINGS INC DE 5.02,9.01 10/01/12
NORDSTROM INC WA 7.01,9.01 10/04/12
Northfield Bancorp, Inc. X1 8.01 10/02/12
NuStar Energy L.P. DE 1.01,2.01,9.01 09/28/12
Oasis Petroleum Inc. DE 1.01,2.03,5.02,9.01 10/01/12
OCTAGON 88 RESOURCES, INC. NV 1.01,5.02,9.01 10/03/12
OLD LINE BANCSHARES INC MD 5.02,9.01 10/01/12
OMNICARE INC DE 1.01,2.03,9.01 09/28/12
OptimizeRx Corp NV 7.01,9.01 10/04/12
OXIGENE INC DE 2.02,8.01 09/30/12
PACIFIC GOLD CORP NV 3.02 10/01/12
PARKERVISION INC FL 5.03,5.07,9.01 10/02/12
PARKWAY PROPERTIES INC MD 5.02 10/04/12
Pathfinder Cell Therapy, Inc. DE 2.03,3.02 10/01/12
Patient Safety Technologies, Inc DE 7.01,9.01 10/04/12
PC MALL INC DE 1.01,2.03,9.01 10/03/12
PINNACLE AIRLINES CORP DE 5.02 10/01/12
Poly Shield Technologies Inc. DE 3.02,9.01 09/28/12
Power of The Dream Ventures Inc DE 1.01,3.02,3.03,5.02, 09/28/12
5.03
POWERSECURE INTERNATIONAL, INC. DE 1.01,1.02,5.02,9.01 09/28/12
Primerica, Inc. DE 1.01,9.01 10/03/12
PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01 09/28/12
PROSPERITY BANCSHARES INC TX 8.01,9.01 10/01/12
Protea Biosciences Group, Inc. DE 1.01,2.03,3.02,9.01 09/25/12
Punchline Resources Ltd. NV 8.01 10/02/12
QUALITY SYSTEMS, INC CA 5.02 10/02/12
RAIT Financial Trust MD 1.01,3.02,3.03,5.03, 10/01/12
9.01
RELIV INTERNATIONAL INC DE 2.03,9.01 09/30/12
RESPONSE BIOMEDICAL CORP A1 1.02,9.01 10/02/12
Rock-Tenn CO GA 1.01,2.03,8.01,9.01 09/27/12
Rosetta Resources Inc. DE 7.01,9.01 10/04/12
Rouse Properties, Inc. DE 1.01,9.01 09/28/12
ROYAL HAWAIIAN ORCHARDS, L.P. DE 5.03,9.01 10/01/12
SABA SOFTWARE INC DE 1.01,3.01,7.01,9.01 09/28/12
Sarepta Therapeutics, Inc. OR 8.01 10/03/12
Sarepta Therapeutics, Inc. OR 8.01,9.01 10/02/12 AMEND
SBA COMMUNICATIONS CORP FL 1.01,9.01 10/01/12
SeaBright Holdings, Inc. DE 8.01,9.01 10/04/12
SERVOTRONICS INC /DE/ DE 5.02 09/29/12
SIONIX CORP NV 1.01 09/29/12
SMART ONLINE INC DE 2.03,3.02 10/01/12
Solar Senior Capital Ltd. MD 7.01,9.01 10/04/12
SOUTH DAKOTA SOYBEAN PROCESSORS LLC 1.01,2.03 10/04/12
SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 10/04/12
SOUTHERN COMMUNITY FINANCIAL CORP 2.01,3.01,3.03,5.01, 10/01/12
5.02,5.03,9.01
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 1.01 10/04/12
SPRINT NEXTEL CORP KS 5.02 09/30/12 AMEND
Steadfast Income REIT, Inc. MD 1.01,2.01,2.03,9.01 09/28/12
STEMCELLS INC DE 8.01,9.01 10/04/12
STILLWATER MINING CO /DE/ DE 7.01,9.01 10/03/12
Summit Midstream Partners, LP DE 1.01,2.01,3.02,5.01, 10/03/12
5.02,5.03,9.01
SunCoke Energy, Inc. 7.01,9.01 10/04/12
SunCoke Energy, Inc. 7.01,9.01 10/04/12
SUPERCONDUCTOR TECHNOLOGIES INC DE 3.01 10/03/12
SYNERGETICS USA INC 7.01,9.01 10/04/12
Systematic Momentum FuturesAccess LLC DE 5.03,9.01 09/30/12
T3 Motion, Inc. DE 1.01,9.01 09/28/12
TENGION INC DE 1.01,1.02,2.03,3.02, 10/02/12
9.01
TESSERA TECHNOLOGIES INC DE 5.02,7.01,9.01 10/02/12
Thompson Creek Metals CO Inc. A6 2.05,9.01 10/03/12
Thompson Creek Metals CO Inc. A6 2.04 09/30/12
THT Heat Transfer Technology, Inc. NV 5.02,9.01 10/04/12
Timios National Corp DE 5.02 10/02/12
Tornier N.V. P7 1.01,1.02,2.01,2.03, 10/04/12
3.02,9.01
Trunkbow International Holdings Ltd NV 3.01 10/02/12
tw telecom inc. DE 1.01,2.03,8.01,9.01 10/02/12
TYCO INTERNATIONAL LTD V8 2.01,9.01 09/28/12
Unilife Corp DE 1.01,5.02,9.01 09/29/12
UNITED COMMUNITY BANKS INC GA 1.01,2.03,9.01 10/03/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 7.01,9.01 10/04/12
URSTADT BIDDLE PROPERTIES INC MD 1.01,9.01 10/01/12
Vantage Drilling CO E9 8.01,9.01 10/02/12
Vera Bradley, Inc. 5.02,9.01 10/01/12
VERTICAL HEALTH SOLUTIONS INC FL 1.01,3.02,9.01 09/28/12
VILLAGE SUPER MARKET INC NJ 2.02,9.01 10/04/12
VISION INDUSTRIES CORP FL 7.01,9.01 09/24/12
VISTEON CORP DE 5.02,9.01 10/03/12
VISUALANT INC NV 4.01,9.01 09/29/12
VOLT INFORMATION SCIENCES, INC. NY 7.01,9.01 10/01/12
WATSCO INC FL 9.01 10/04/12
WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 10/04/12
Wells Timberland REIT, Inc. MD 1.01,2.01,2.03,8.01 09/28/12
WINNEBAGO INDUSTRIES INC IA 7.01,9.01 10/04/12
WOLVERINE WORLD WIDE INC /DE/ MI 1.01,9.01 09/28/12
World Energy Solutions, Inc. DE 1.01,2.01,2.03,3.02, 10/03/12
9.01
WORTHINGTON INDUSTRIES INC OH 7.01,9.01 10/04/12
Wright Express CORP 8.01,9.01 10/04/12
WYNDHAM WORLDWIDE CORP DE 1.01,2.03,9.01 10/02/12
X-CHANGE CORP NV 1.01,2.01,3.02,5.06, 08/31/12
9.01
ZAGG Inc NV 5.02,9.01 10/01/12
ZAGG Inc NV 1.01,9.01 09/28/12
http://www.sec.gov/news/digest/2012/dig100512.htm
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