 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission AnnouncementsCommission Names Anne K. Small as Deputy General CounselOn March 24, 2011, the Securities and Exchange Commission announced that Anne K. Small has been named a Deputy General Counsel in the SEC’s Office of General Counsel and will join the agency staff next week. Ms. Small fills the position held by Mark Cahn before he was promoted to General Counsel last month. She will serve as Deputy General Counsel for Litigation and Adjudication, a role in which she will help oversee enforcement matters, appellate cases, and adjudications. Ms. Small comes to the SEC from the New York office of WilmerHale LLP, where she was a partner in the firm’s litigation department. She was involved in commercial and securities litigation, a broad range of civil and criminal matters, and trial and appellate work. “We welcome the breadth of experience that Anne brings to the SEC,” said SEC General Counsel Mark Cahn. “She will serve the Commission well, and we are very fortunate to have someone of Anne’s aptitude, judgment and extraordinary skill in this important role.” Ms. Small said, “It is an honor to have the opportunity to contribute to the work of the Commission and its dedicated staff. I look forward to serving the SEC and the public interest in advancing the significant goals of the agency.” Ms. Small began her law career as law clerk for Judge Guido Calabresi on the U.S. Court of Appeals for the Second Circuit and for Justice Stephen G. Breyer on the Supreme Court of the United States. She received her JD in 2001 from Harvard Law School, where she was awarded the Sears Prize and served as President of the Harvard Law Review. She earned her BA from Yale University in 1996. (Press Rel. 2011-71) Enforcement ProceedingsIn the Matter of Joseph A. DawsonThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Joseph A. Dawson, the owner and president of Dawson Trading, LLC. The Order bars Dawson from association with any broker, dealer, investment adviser, municipal securities dealer or transfer agent and from participating in any penny stock offering based upon a final judgment entered against Dawson in the civil action entitled Securities and Exchange Commission v. Joseph A. Dawson, Civil Action No. 1:11-cv-01615, in the United States District Court for the Northern District of Illinois on March 17, 2011. The Commission’s complaint in the action alleged, among other things, that Dawson engaged in a fraudulent offering scheme and unlawful insider trading. The complaint alleged that during a five-year period, Dawson raised approximately $3.8 million from 31 investors through the sale of promissory notes that provided guaranteed returns. The complaint further alleged that instead of investing the $3.8 million on behalf of investors, Dawson misappropriated approximately $2.1 million for his own personal expenses and purposes, and lost $945,000 trading securities. The complaint alleged that despite having never invested the funds or losing the funds that were invested, Dawson provided false quarterly account statements to investors which showed significant returns. The complaint also alleged that through Dawson Trading, Dawson engaged in unlawful insider trading by purchasing options of SPSS Inc. based on material, non-public information in advance of the July 28, 2009 announcement that International Business Machines Corporation was going to acquire SPSS. The complaint alleged that the unlawful trading generated profits of approximately $437,770. Dawson consented to the entry of the judgment without admitting or denying the allegations in the Commission’s complaint. The final judgment entered against Dawson permanently enjoins him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder, and orders him to pay disgorgement of $3,349,455, together with prejudgment interest of $1,449,870, for a total of $4,799,325, provided that the total of such disgorgement and prejudgment interest shall be offset, on a dollar for dollar basis, by any amounts paid by Defendant as restitution pursuant to an order of the Court in the criminal proceeding before the United States District Court for the Northern District of Illinois, United States v. Joseph A. Dawson, Criminal Action No. 1:09-cr-01037-1. On November 18, 2010, Dawson pled guilty to three counts of wire fraud for conduct arising out of the fraudulent offering scheme described in the Complaint and on March 8, 2011, Dawson was sentenced to 54 months in prison and ordered to pay restitution in the amount of $3.3 million. (Rel. No. 34-64126; File No. 3-14309) In the Matter of Kevin HalterThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 17A(c)(4)(C) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Kevin Halter. The Order finds that on February 17, 2011, a final judgment was entered by consent against Halter permanently enjoining him from aiding and abetting violations of Section 17A(d)(1) of the Securities and Exchange Act of 1934 and Rule 17Ad-12(a)(2) thereunder, in the civil action entitled Securities and Exchange Commission v. Kevin Halter, Civil Action Number 3:11-CV-197-N. The Order further finds that the SEC’s complaint in this matter alleged, among other things, that while performing accounting functions for Securities Transfer Corporation (STC), a transfer agent registered with the Commission, Halter misappropriated approximately $2.7 million from ten client accounts. The complaint further alleges that after his conduct was discovered as a result of a Commission examination, Halter promptly repaid all misused funds. Based on the above, the Order bars Halter from association with any transfer agent, broker, dealer, investment adviser, municipal securities dealer, municipal advisor or nationally recognized statistical ratings organization. Halter consented to the Order without admitting or denying any of the findings, except he admitted the entry of the final judgment. (Rel. No. 34-64124; File No. 3-14306) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Admiralty Holding Co., American Consolidated Management Group, Inc., DnC Multimedia Corp., Dorsey Trailers, Inc. (n/k/a DT Liquidation, Inc.), and ElectraCapital, Inc. (a/k/a Electra Capital, Inc.), have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each 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 revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. No. 34-64125; File No. 3-14291) Delinquent Filers’ Stock Registrations RevokedAn Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in China 9D Construction Group, Admin. Proc. No. 3-14215. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds the allegations to be true and revokes the registration of each class of registered securities of China 9D Construction Group pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. No. 34-64117; File No. 3-14215) Investment Company Act ReleasesSimple Alternatives, LLC, et al.A notice has been issued giving interested persons until April 18, 2011 to request a hearing on an application filed by Simple Alternatives, LLC, et al., 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. No. IC-29616 / March 24, 2011) Self-Regulatory OrganizationsOrder Approving Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-OCC-2011-02) filed by The Options Clearing Corporation under Section 19(b)(1) of the Exchange Act to accommodate the clearance of options on certain indexes measuring the relative performance of one reference security or reference index relative to a second reference security or reference index. Publication is expected in the Federal Register during the week of March 28, 2011. (Rel No. 34-64119) 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.
N-2 ACAP Strategic Fund, 350 MADISON AVENUE, NEW YORK, NY, 10017,
212-389-8712 - 55,685,189 ($556,851,890.00) Equity,
(File 333-173027 - Mar. 24) (BR. 16)
S-1 AlphaPoint Technology, Inc., 5245 OFFICE PARK BLVD. SUITE 102,
BRADENTON, FL, 34203, 941-896-7848 - 4,000,000 ($400,000.00) Equity,
(File 333-173028 - Mar. 24) (BR. 03A)
S-3 ASR NII Capital Corp., 1875 EXPLORER STREET, SUITE 1000, RESTON, VA,
20190, 703-390-5100 - 0 ($0.00) Non-Convertible Debt,
(File 333-173029 - Mar. 24) (BR. 11A)
S-8 CROGHAN BANCSHARES INC, 323 CROGHAN ST, FREMONT, OH, 43420,
4193327301 - 190,951 ($4,540,814.78) Equity, (File 333-173034 -
Mar. 24) (BR. 07A)
S-4 McJunkin Red Man Corp, 2 HOUSTON CENTER, 909 FANNIN, SUITE 3100,
HOUSTON, TX, 77010, (713) 655-1005 - 0 ($1,050,000,000.00)
Non-Convertible Debt, (File 333-173035 - Mar. 24) (BR. )
N-2 NUVEEN INSURED DIVIDEND ADVANTAGE MUNICIPAL FUND, JOHN
NUVEEN & CO INC, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129177794 -
1,000 ($10,000.00) Equity, (File 333-173036 - Mar. 24) (BR. 18)
S-1 McJunkin Red Man Corp, 2 HOUSTON CENTER, 909 FANNIN, SUITE 3100,
HOUSTON, TX, 77010, (713) 655-1005 - 0 ($1.00) Non-Convertible Debt,
(File 333-173037 - Mar. 24) (BR. )
S-1 Continental Alloy Wheel Corp, 5348 VEGAS DRIVE, LAS VEGAS, NV, 89108,
202-973-0186 - 1,500,000 ($15,000.00) Equity, (File 333-173038 -
Mar. 24) (BR. )
S-1 ANVEX INTERNATIONAL, INC., 2360 CORPORATE CIRCLE - SUITE 400,
HENDERSON, NV, 89074-7722, (702) 358-0509 -
3,000,000 ($60,000.00) Equity, (File 333-173039 - Mar. 24) (BR. )
S-1 Inventtech Inc., 5348 VEGAS DRIVE, SUITE 677, LAS VEGAS, NV, 89108,
209-694-4885 - 850,000 ($42.50) Equity, (File 333-173040 - Mar. 24)
(BR. )
S-8 ZOLL MEDICAL CORP, 269 MILL ROAD, CHELMSFORD, MA, 01824-4105,
9784219655 - 0 ($40,176,850.00) Equity, (File 333-173041 - Mar. 24)
(BR. 10C)
S-1 AMC ENTERTAINMENT INC, 920 MAIN STREET, N/A, KANSAS CITY, MO, 64105,
8162214000 - 0 ($1.00) Other, (File 333-173042 - Mar. 24) (BR. 05B)
S-4 BRIDGE BANCORP INC, 2200 MONTAUK HGWAY, BRIDGEHAMPTON, NY, 11932,
6315371000 - 0 ($2,127,250.00) Equity, (File 333-173043 - Mar. 24)
(BR. 07A)
S-3 ASR HealthSpring, Inc., 9009 CAROTHERS PARKWAY, SUITE 501, FRANKLIN, TN,
37067, 615-291-7000 - 0 ($0.00) Equity, (File 333-173044 - Mar. 24)
(BR. 01C)
S-3 ASR ACACIA RESEARCH CORP, 500 NEWPORT CENTER DRIVE, 7TH FLOOR,
NEWPORT BEACH, CA, 92660, 9494808300 - 0 ($1.00) Equity,
(File 333-173045 - Mar. 24) (BR. 03B)
S-3 Armour Residential REIT, Inc., 3001 OCEAN DRIVE, SUITE 201, VERO BEACH,
FL, 32963, (772) 617-4340 - 4,000,000 ($29,000,000.00) Equity,
(File 333-173046 - Mar. 24) (BR. 08B)
S-8 THRESHOLD PHARMACEUTICALS INC, 1300 SEAPORT BOULEVARD, SUITE 500,
REDWOOD CITY, CA, 94063, 650 474 8200 -
1,350,000 ($2,216,000.00) Equity, (File 333-173047 - Mar. 24) (BR. 01C)
S-11 Plymouth Opportunity REIT Inc., 2 LIBERTY SQUARE 10TH FLOOR, BOSTON,
MA, 02109, 617-340-3827 - 65,000,000 ($642,500,000.00) Equity,
(File 333-173048 - Mar. 24) (BR. )
S-8 AAA PUBLIC ADJUSTING GROUP, INC., 6365 TAFT STREET SUITE 1003,
HOLLYWOOD, FL, 33024, 954-894-0043 - 0 ($300,000.00) Equity,
(File 333-173049 - Mar. 24) (BR. 01C)
S-4 KINDRED HEALTHCARE, INC, 680 SOUTH FOURTH STREET, LOUISVILLE, KY,
40202, 5025967300 - 12,041,470 ($267,673,423.00) Equity,
(File 333-173050 - Mar. 24) (BR. 11C)
S-3ASR HYPERDYNAMICS CORP, 12012 WICKCHESTER LANE,, SUITE 475, HOUSTON,, TX,
77079, 7133539400 - 0 ($0.00) Other, (File 333-173051 - Mar. 24)
(BR. 04C)
S-1 LOGIC DEVICES Inc, 1375 GENEVA DRIVE, SUNNYVALE, CA, 94089,
4085425400 - 1,740,000 ($922,200.00) Equity, (File 333-173052 -
Mar. 24) (BR. 10B)
S-8 VONAGE HOLDINGS CORP, 23 MAIN STREET, HOLMDEL, NJ, 07733,
732-528-2600 - 23,398,128 ($93,592,512.00) Equity, (File 333-173053 -
Mar. 24) (BR. 11B)
S-8 AMAZON COM INC, 410 TERRY AVENUE NORTH, SEATTLE, WA, 98109,
2062661000 - 0 ($7,935,000.00) Equity, (File 333-173054 - Mar. 24)
(BR. 02B)
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
21ST CENTURY HOLDING CO FL 2.02,9.01 03/24/11
ACCELLENT INC 2.02,9.01 03/24/11
Accenture plc L2 2.02,9.01 03/24/11
ACCENTURE SCA 2.02,9.01 03/24/11
Advanced BioEnergy, LLC DE 5.07,8.01 02/23/11
Advanced Life Sciences Holdings, Inc. 2.02,9.01 03/24/11
ALKERMES INC PA 5.02,9.01 03/22/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 03/24/11
AMAZON COM INC DE 7.01 03/24/11
AMERICAN STATES WATER CO CA 5.02 03/20/11
AMERISOURCEBERGEN CORP DE 1.01,1.02,9.01 03/18/11
Answers CORP 8.01,9.01 03/24/11
APOLLO GROUP INC AZ 1.01,9.01 03/24/11
APRICUS BIOSCIENCES, INC. NV 1.01,3.03,5.03,9.01 03/22/11
ARAMARK CORP DE 2.01,9.01 03/18/11
ARTHROCARE CORP DE 5.02,9.01 03/23/11
ASTEA INTERNATIONAL INC DE 2.02,9.01 03/24/11
ATLANTIC AMERICAN CORP GA 2.02 03/24/11
ATLANTIC POWER CORP A1 7.01,9.01 03/21/11
AVISTA CORP WA 7.01 03/23/11
BAKKEN RESOURCES INC 1.01,3.02,9.01 03/18/11
BAKKEN RESOURCES INC 8.01 03/18/11 AMEND
BALDWIN TECHNOLOGY CO INC DE 5.02,9.01 03/18/11
BALLANTYNE STRONG, INC. DE 5.02 03/19/11
BANK OF SOUTH CAROLINA CORP SC 8.01,9.01 03/24/11
BEHRINGER HARVARD MULTIFAMILY REIT I 8.01 03/22/11
BEST BUY CO INC MN 2.02,9.01 03/24/11
BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 03/24/11
Bluerock Enhanced Multifamily Trust, MD 8.01 03/22/11
BODY CENTRAL CORP 2.02,9.01 03/24/11
BOLT TECHNOLOGY CORP CT 9.01 01/06/11 AMEND
BON TON STORES INC PA 1.01,8.01,9.01 03/21/11
BOWL AMERICA INC MD 5.02 03/22/11
CANTEL MEDICAL CORP DE 5.02,9.01 03/22/11
CAPITAL GOLD CORP NV 5.07 03/18/11
CAPSTEAD MORTGAGE CORP MD 7.01,9.01 03/24/11
Cardo Medical, Inc. DE 1.01,2.03,9.01 03/18/11
Carter Validus Mission Critical REIT, MD 8.01,9.01 03/18/11
CASELLA WASTE SYSTEMS INC DE 1.01,9.01 03/18/11
CHARMING SHOPPES INC PA 2.02,9.01 03/24/11
CHINA EDUCATION ALLIANCE INC. NC 1.01,8.01,9.01 03/21/11
CHINA FIRE & SECURITY GROUP, INC. 5.02 03/24/11
China Golf Group, Inc. DE 1.01,9.01 03/22/11
China Health Industries Holdings, Inc 4.01,9.01 03/23/11
CHINDEX INTERNATIONAL INC DE 5.02,8.01 03/20/11
CLARCOR INC DE 5.07,8.01 03/21/11
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,8.01,9.01 03/21/11
CLEAN POWER CONCEPTS INC. 5.02 03/23/11
CMS ENERGY CORP MI 7.01,9.01 03/24/11
COCA-COLA ENTERPRISES, INC. DE 8.01 03/24/11
Cole Credit Property Trust III, Inc. MD 7.01,9.01 03/24/11
COLONIAL COMMERCIAL CORP NY 2.02,9.01 03/24/11
COMMERCETEL CORP NV 8.01,9.01 03/24/11
COMPOSITE TECHNOLOGY CORP NV 1.01,2.03,3.02,9.01 03/18/11
Computer Software Innovations, Inc. DE 2.02,9.01 03/24/11
CONAGRA FOODS INC /DE/ DE 2.02,9.01 03/24/11
Conmed Healthcare Management, Inc. DE 2.02,9.01 03/24/11
CORNERSTONE HEALTHCARE PLUS REIT, INC MD 7.01 03/24/11
CORNING NATURAL GAS CORP NY 8.01,9.01 03/21/11
CPI CORP DE 5.02,9.01 03/18/11
CRC Health CORP DE 2.05 03/23/11
CREDO PETROLEUM CORP DE 8.01,9.01 03/23/11
CTC Media, Inc. 8.01,9.01 03/24/11
CTPARTNERS EXECUTIVE SEARCH INC. DE 2.02,9.01 03/24/11
DARDEN RESTAURANTS INC FL 2.02,9.01 03/24/11
DecisionPoint Systems, Inc. DE 1.01,8.01,9.01 03/22/11
DENBURY RESOURCES INC DE 8.01,9.01 03/17/11
DIAMOND HILL INVESTMENT GROUP INC OH 1.01,9.01 03/24/11
DIGAGOGO VENTURES CORP DE 1.01,2.03,3.02,9.01 03/24/11
Dividend Capital Total Realty Trust I 8.01 03/24/11
DONEGAL GROUP INC DE 8.01,9.01 03/24/11
DOW CHEMICAL CO /DE/ DE 5.02 03/24/11
Dresser-Rand Group Inc. DE 1.01,2.03,3.03,7.01, 03/21/11
9.01
DRUGSTORE COM INC DE 1.01,7.01,9.01 03/23/11
EARTHSTONE ENERGY INC DE 5.02,9.01 03/23/11
Edgen Murray II, L.P. DE 2.02 03/24/11
Ensco plc 1.02 03/23/11
Entergy Louisiana, LLC TX 8.01,9.01 03/24/11
ENZON PHARMACEUTICALS INC DE 5.02 03/21/11
EPIC ENERGY RESOURCES, INC. CO 1.03 03/23/11
EPL Intermediate, Inc. DE 1.01 03/19/11
EXELON CORP PA 8.01,9.01 03/24/11
Federal Home Loan Bank of Atlanta X1 2.03 03/24/11
Federal Home Loan Bank of Boston X1 2.03 03/21/11
Federal Home Loan Bank of Chicago X1 2.03 03/21/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/22/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/24/11
Federal Home Loan Bank of New York X1 2.03,9.01 03/21/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/21/11
Federal Home Loan Bank of San Francis X1 2.03 03/21/11
Federal Home Loan Bank of Seattle 2.03 03/21/11
Federal Home Loan Bank of Topeka 2.03,9.01 03/21/11
Federal Home Loan Bank of Topeka 7.01,9.01 03/24/11
FINISH LINE INC /IN/ IN 2.02,9.01 03/24/11
FIRST MERCHANTS CORP IN 7.01,9.01 03/24/11
FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 03/24/11
FIRSTCITY FINANCIAL CORP DE 2.02,7.01,9.01 03/24/11
FISERV INC WI 5.02 03/23/11
FRANKLIN COVEY CO UT 8.01 03/24/11
FREDS INC TN 2.02,9.01 03/24/11
FULLER H B CO MN 2.02,9.01 03/23/11
FusionTech, Inc. NV 1.01,2.03,3.02,9.01 03/21/11
GameStop Corp. DE 2.02,9.01 03/24/11
General Motors Co 1.01,5.02,9.01 03/18/11
GEOVIC MINING CORP. DE 5.02 03/24/11
Glen Rose Petroleum CORP DE 5.02 03/17/11
Global Investor Services, Inc. UT 1.01,2.03,3.02,9.01 03/17/11
GLOBALSCAPE INC DE 5.02 03/24/11
GMX RESOURCES INC OK 1.01,9.01 03/14/11
GOLDMAN SACHS GROUP INC DE 9.01 03/24/11
GREATBATCH, INC. DE 7.01,9.01 03/24/11
HARMAN INTERNATIONAL INDUSTRIES INC / DE 7.01,9.01 03/24/11
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 03/24/11
HAWAIIAN HOLDINGS INC DE 1.01,2.03,3.02,9.01 03/18/11
Heartland Bridge Capital, Inc. DE 1.01,2.01,3.02,7.01, 03/22/11
9.01
HeartWare International, Inc. DE 8.01,9.01 03/24/11
HERE ENTERPRISES, INC. NV 5.02,8.01 02/09/11
High Plains Gas, Inc. NV 1.01,9.01 03/24/11
HKN, Inc. DE 5.07 03/23/11
HOME DEPOT INC DE 5.02 03/21/11
Horiyoshi Worldwide Inc. NV 4.01,9.01 02/11/11 AMEND
HOSPIRA INC DE 7.01 03/24/11
HUNTINGTON INGALLS INDUSTRIES, INC. DE 5.02,7.01,9.01 03/21/11
HYPERDYNAMICS CORP DE 5.02 03/21/11
HYPERDYNAMICS CORP DE 7.01,9.01 03/24/11
INVIVO THERAPEUTICS HOLDINGS CORP. NV 2.02,9.01 03/24/11
IRON MOUNTAIN INC DE 1.01,3.03,5.03,9.01 03/23/11
Iveda Solutions, Inc. NV 1.01,1.02 03/21/11
J P MORGAN CHASE & CO DE 8.01,9.01 03/23/11
J P MORGAN CHASE & CO DE 8.01,9.01 03/22/11
James River Coal CO VA 8.01,9.01 03/24/11
JONES GROUP INC PA 5.02 03/20/11
Juma Technology Corp. 1.01,9.01 03/18/11
KAIBO FOODS Co Ltd NV 8.01 03/22/11
KANSAS CITY SOUTHERN DE 7.01,9.01 03/24/11
KBW, INC. 5.02,9.01 03/21/11
KEYCORP /NEW/ OH 9.01 03/24/11
Kohlberg Capital CORP DE 8.01,9.01 03/24/11
LANSDOWNE SECURITY, INC. TX 4.01,9.01 03/24/11
LEXICON UNITED INC DE 1.01,5.02,9.01 03/24/11
LGL GROUP INC DE 8.01,9.01 03/21/11
Liberty Global, Inc. 1.01 03/21/11
LIGHTPATH TECHNOLOGIES INC DE 8.01,9.01 03/24/11
Limoneira CO DE 5.07 03/22/11
LIQUIDMETAL TECHNOLOGIES INC DE 1.01,3.02 03/19/11
LIVEDEAL INC NV 1.01,8.01,9.01 03/18/11
LOCATEPLUS HOLDINGS CORP 8.01 03/24/11
LOGITECH INTERNATIONAL SA 5.02,9.01 03/18/11
LTC PROPERTIES INC MD 8.01,9.01 03/24/11
MADISON GAS & ELECTRIC CO WI 5.02,9.01 03/18/11
MARSH & MCLENNAN COMPANIES, INC. DE 5.02,9.01 03/23/11
MASS Petroleum Inc. 5.02 03/16/11
MAXLIFE FUND CORP. WY 1.02,9.01 03/23/11
MB FINANCIAL INC /MD MD 5.03,8.01,9.01 03/23/11
MEDCO HEALTH SOLUTIONS INC DE 7.01,9.01 03/24/11
Medical Care Technologies Inc. NV 1.01,2.03,3.02,9.01 03/21/11
MEDICINOVA INC DE 1.01,2.02,8.01,9.01 03/23/11
MEMC ELECTRONIC MATERIALS INC DE 1.01,1.02,2.03 03/23/11
Merck & Co. Inc. NJ 1.02,8.01,9.01 03/21/11
MERIDIAN BIOSCIENCE INC OH 5.02,9.01 03/18/11
MFA FINANCIAL, INC. MD 5.02 03/21/11
MGE ENERGY INC WI 5.02,9.01 03/18/11
MICHAELS STORES INC DE 2.02,9.01 03/24/11
Monarch Financial Holdings, Inc. VA 4.01,9.01 03/24/11
MORGAN STANLEY DE 9.01 03/24/11
Morgans Hotel Group Co. DE 5.02 03/20/11
MPHASE TECHNOLOGIES INC NJ 8.01,9.01 03/24/11
NCO Group, Inc. DE 5.02,9.01 03/18/11
NELNET INC NE 5.03,9.01 03/18/11
Net Savings Link, Inc. NV 7.01,9.01 03/24/11
NEW ENERGY SYSTEMS GROUP NV 5.02 03/18/11
NEW ENERGY TECHNOLOGIES, INC. 1.01,7.01,9.01 03/18/11
New Generation Biofuels Holdings, Inc FL 1.01 03/21/11
New Oriental Energy & Chemical Corp. DE 3.01,5.02,8.01,9.01 03/11/11
NEXAIRA WIRELESS INC. NV 3.02,9.01 03/24/11
NII HOLDINGS INC DE 8.01,9.01 03/24/11
NORTHWESTERN CORP DE 7.01,9.01 03/24/11
NTN BUZZTIME INC DE 2.02,9.01 03/24/11
OLD LINE BANCSHARES INC MD 5.03,9.01 03/24/11
OLIN CORP VA 7.01,9.01 03/24/11
OMNOVA SOLUTIONS INC OH 2.02,9.01 03/23/11
ONCOSEC MEDICAL Inc NV 1.01,2.01,3.02,5.01, 03/24/11
5.02,5.06,9.01
ORACLE CORP 2.02,8.01,9.01 03/24/11
Paradigm Holdings, Inc WY 2.02,9.01 03/24/11
PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 03/24/11
PENN VIRGINIA CORP VA 7.01,9.01 03/24/11
PERVASIP CORP NY 3.02 03/23/11
PFSWEB INC DE 2.02 03/23/11
PHYTOMEDICAL TECHNOLOGIES INC NV 1.02,7.01,9.01 01/20/11
Pinnacle Foods Finance LLC DE 7.01,9.01 03/24/11
Platinum Studios, Inc. CA 5.02 03/02/11
POWRTEC CORP DE 1.01,2.03,3.02,9.01 03/23/11
POZEN INC /NC 1.01 03/21/11
Primo Water Corp DE 2.02,9.01 03/24/11
PrismOne Group, Inc. NV 4.01,5.02,9.01 03/22/11
PROCTER & GAMBLE CO OH 7.01 03/24/11
PSM HOLDINGS INC NV 8.01,9.01 03/18/11
PSP Industries, Inc. UT 4.01,9.01 03/23/11
PSP Industries, Inc. UT 5.02 11/30/10
PULSE ELECTRONICS CORP PA 8.01,9.01 03/24/11
PVF CAPITAL CORP OH 8.01,9.01 03/24/11
QSGI INC. DE 1.03 03/24/11
QUICKSILVER RESOURCES INC DE 8.01,9.01 03/24/10
R & A Productions, Inc. NV 8.01 03/24/11
RACKSPACE HOSTING, INC. 8.01 03/23/11
RAM ENERGY RESOURCES INC DE 5.02,9.01 03/23/11
RAND WORLDWIDE INC DE 8.01,9.01 03/24/11
Reach Messaging Holdings, Inc. DE 1.01,2.03,3.02 03/08/11
Resource Capital Corp. MD 8.01,9.01 03/24/11
Rhino Resource Partners LP DE 8.01 03/18/11
RICHARDSON ELECTRONICS LTD/DE DE 5.02 03/18/11
RICKS CABARET INTERNATIONAL INC TX 8.01,9.01 03/22/11
RIVAL TECHNOLOGIES INC NV 4.01,9.01 03/15/11 AMEND
RYLAND GROUP INC MD 8.01,9.01 03/24/11
SABA SOFTWARE INC DE 2.02,9.01 03/24/11
SAVIENT PHARMACEUTICALS INC DE 8.01 03/23/11
SCHOLASTIC CORP DE 2.02,9.01 03/24/11
SERENA SOFTWARE INC DE 5.02,5.07,9.01 03/21/11
SERVICE CORPORATION INTERNATIONAL TX 1.01,2.03,9.01 03/18/11
SIGNATURE GROUP HOLDINGS INC NV 5.02 03/23/11
Sinobiopharma, Inc. NV 5.02 03/19/11
SM Energy Co DE 5.02,7.01,9.01 03/23/11
SMART Modular Technologies (WWH), Inc E9 2.02,9.01 03/24/11
SONIC AUTOMOTIVE INC DE 5.02 03/18/11
SOURCEFIRE INC DE 1.01,1.02 03/21/11
SOUTHERN COMMUNITY FINANCIAL CORP 2.02,9.01 03/24/11
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 5.07 03/18/11
STARTEK INC DE 1.01,9.01 03/24/11
STATE BANCORP INC NY 5.02 03/18/11
STREAMLINE HEALTH SOLUTIONS INC. DE 1.02,5.02,9.01 03/18/11
Sucampo Pharmaceuticals, Inc. 1.01,7.01,8.01,9.01 03/22/11
SunSi Energies Inc. NV 5.03,9.01 03/24/11
SUNTRUST BANKS INC GA 7.01,8.01,9.01 03/21/11
SUPERIOR INDUSTRIES INTERNATIONAL INC CA 5.02 03/24/11
Suspect Detection Systems, Inc. DE 1.01,9.01 03/21/11
Swisher Hygiene Inc. DE 1.01,3.02,9.01 03/22/11
SYMBOLLON CORP DE 4.01 03/07/11
SYNNEX CORP DE 2.02,5.07,9.01 03/21/11
TALBOTS INC DE 2.02,2.05,9.01 03/24/11
TARGACEPT INC 8.01,9.01 03/24/11
TELETECH HOLDINGS INC DE 8.01,9.01 03/24/11
TELVUE CORP DE 1.01,9.01 03/23/11
TENGASCO INC TN 7.01,8.01,9.01 03/24/11
TEXAS INDUSTRIES INC DE 2.02,9.01 02/28/11
THUNDER MOUNTAIN GOLD INC NV 8.01,9.01 03/22/11
Timberline Resources Corp DE 5.02,5.07,7.01,9.01 03/21/11
TMST, Inc. MD 7.01,9.01 03/22/11
TomoTherapy Inc WI 8.01,9.01 03/21/11
Tootie Pie Company, Inc. TX 5.02,9.01 12/06/10 AMEND
TRANSATLANTIC PETROLEUM LTD. D0 1.01 03/18/11
TRUMP ENTERTAINMENT RESORTS, INC. DE 5.02 03/18/11
UNIGENE LABORATORIES INC DE 8.01,9.01 03/24/11
UNION NATIONAL FINANCIAL CORP / PA PA 1.01,9.01 03/24/11
Uniontown Energy Inc. NV 1.01,9.01 03/17/11
UNITED GUARDIAN INC DE 2.02,9.01 03/24/11
USEC INC DE 1.01 03/23/11
UTi WORLDWIDE INC D8 2.02,9.01 03/24/11
VCG HOLDING CORP CO 1.01,8.01,9.01 03/17/11
VENTAS INC DE 5.02,9.01 03/22/11
VINYL PRODUCTS, INC. DE 1.01,2.01,2.03,3.02, 12/31/10 AMEND
5.01,5.02,9.01
VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT DE 8.01,9.01 03/24/11
WALGREEN CO IL 8.01,9.01 03/24/11
WATSCO INC FL 1.01,9.01 03/18/11
Weatherford International Ltd./Switze V8 5.02 03/18/11
WET SEAL INC DE 5.02,9.01 03/21/11
WIRELESS TELECOM GROUP INC NJ 5.02 03/22/11
YTB International, Inc. DE 1.01 03/18/11
Zenitech Corp 5.02 03/19/11
ZST Digital Networks, Inc. DE 5.02,7.01,9.01 03/18/11
http://www.sec.gov/news/digest/2011/dig032511.htm
|