 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Enforcement proceedingsIn the Matter of Global Sentry Equity Transfer, Inc.On June 16, 2011, the Commission issued an Amended Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 17A(c)(3) and 21C of the Securities Exchange Act of 1934 (Order) against Global Sentry Equity Transfer, Inc. (Global Sentry), a registered transfer agent. The Division of Enforcement alleges that Global Sentry failed to comply with recordkeeping requirements, failed to timely file required annual reports, and failed to allow an on-site examination of its transfer agent records in violation of Sections 17(a)(1), 17(b)(1), and 17A(d)(1) of the Exchange Act and Rules 17Ad-6, 17Ad-7, 17Ad-10, 17Ad-19, and 17Ac2-2 thereunder. A hearing will be scheduled before an administrative law judge to determine whether the allegations in the Order are true, to provide Global Sentry an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 300 days from the date of service of the Order. (Rel. 34-64694; File No. 3-14256) Investment Adviser Registration of Jamerica Financial, Inc. Revoked and Sherwin Brown and Jamerica Barred From Association With an Investment AdviserThe Commission revoked the investment adviser registration of Jamerica Financial, Inc. It also barred Jamerica and Sherwin Brown, Jamerica's president and 50% owner, from association with an investment adviser. Brown and Jamerica had been enjoined by a federal district court from violations of the antifraud and recordkeeping violations. In 2004, Brown organized Brawta LLC, purportedly a a private investment firm. Brown marketed Brawta to Jamerica clients and raised $1.62 million from 53 investors. A Commission investigation found that Brown had transferred $869,833 out of Brawta for non-investment purposes. Brown transferred some of the funds to his personal checking account and to repay a personal loan. Other funds were transferred to Jamerica, claiming they were capital contributions. Jamerica subsequently made payments to various retailers. On March 29, 2006, the Commission filed a complaint in the U.S. District Court for the District of Minnesota against Jamerica, Brown, and Brawta. On May 3, 2010, the Court enjoined Brown and Jamerica from violations of Securities Act Section 17(a), Exchange Act Section 10(b) and Exchange Act Rule 10b-5, Advisers Act Sections 206(1), 206(2), and 204 and Advisers Act rule 204-2. Among other things, the Court found that Brown and Jamerica acted with "severe recklessness." The court ordered respondents, jointly and severally, to disgorge $869,633, plus prejudgment interest of $226,380.77. It also imposed an $80,000 civil penalty on Brown and a $400,000 civil penalty on Jamerica. This case is currently on appeal. (Rel. IA-3217; File No. 3-13908) Commission Declares Decision as to Victor Labi FinalThe Commission has declared final the initial decision of an administrative law judge ordering that Victor Labi cease and desist from committing or causing any violations or future violations of Sections 5(a) and 5(c) of the Securities Act of 1933, Section 17(a) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-8; that Victor Labi is barred from association with any broker or dealer and from participating in any offering of penny stock; that Victor Labi disgorge $152,483, plus prejudgement interest from May 1, 2007 through the date the order was issued; and, that Victor Labi pay a civil money penalty in the amount of $100,000. The law judge found that Victor Labi, a registered representative, while associated with Leeb Brokerage Services, Inc., failed to conduct a "reasonable inquiry" before allowing his customers to sell stock to the public in violation of the registration provisions of the federal securities laws; and aided and abetted and caused his firm's failure to file Suspicious Activity Reports (SARS). Victor Labi ignored obvious signs indicating that some of his customers were violating securities laws by engaging in illegal distributions of securities through the Leeb accounts. Labi further acknowledged his instant messages indicate that his customers engaged in pump and dump schemes to their financial benefit. (Rels. 33-9225; 34-64698; File No. 3-13871) District Court Orders Disgorgement, Prejudgment Interest, and Civil Penalty Against Defendant William L. GunlicksThe Commission announced that on June 13, 2011, the United States District Court for the Middle District of Florida, upon Motion of the Commission, has issued an Order and Opinion Setting Disgorgement and Prejudgment Interest Amounts and Imposing a Civil Penalty against Defendant William L. Gunlicks. A supplemental final judgment was issued on June 15, 2011 ordering Gunlicks to pay disgorgement in the amount of $28,635,966.55 representing the ill-gotten gains received, pre-judgment interest in the amount of $2,193,842.31, and a civil penalty in the amount of $1,000,000.00. The Complaint filed by the Commission against Gunlicks and Founding Partners Capital Management, Co. on April 20, 2009 alleged violation of the antifraud provisions of the federal securities laws. On March 3, 2010 an Order of Permanent Injunction by Consent was entered against Gunlicks, enjoining him from violating Section 17(a) of the Securities Act of 1933, Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934, and Sections 206(1), 206(2), 206(4) and Rule 206(4)-8 of the Investment Advisers Act of 1940. The Court will retain jurisdiction of this matter for the purpose of implementing the payment terms of the judgment. [SEC v. Founding Partners Capital Management Co., et al., Case No. 02-09-cv-229-FtM-29DNF (M.D. Fla.)] (LR-22003) Investment company act releasesHighmark Funds, et al.A notice has been issued giving interested persons until July 11, 2011, to request a hearing on an application filed by Highmark Funds, et al., for an order under Section 6(c) of the Investment Company Act for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29694 – June 16) Self-regulatory organizationsApproval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-CHX-2011-07) submitted by the Chicago Stock Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend its Minor Rule Plan. Publication is expected in the Federal Register during the week of June 20. (Rel. 34-64686) The Commission approved a proposed rule change (SR-Phlx-2011-56) submitted by the NASDAQ OMX PHLX establishing a Qualified Contingent Cross order for execution on the floor of the exchange. Publication is expected in the Federal Register during the week of June 20. (Rel. 34-64688) The Commission approved a proposed rule change (SR-NYSEArca-2011-18) submitted by NYSE Arca pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade the Meidell Tactical Advantage ETF. Publication is expected in the Federal Register during the week of June 20. (Rel. 34-64689) The Commission approved a proposed rule change (SR-NYSEArca-2011-17) submitted by NYSE Arca 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 the Madrona Forward Domestic ETF, Madrona Forward International ETF, and Madrona Forward Global Bond ETF. Publication is expected in the Federal Register during the week of June 20. (Rel. 34-64690) The Commission approved a proposed rule change (SR-Phlx-2011-58) filed by NASDAQ OMX PHLX to increase the position limit for options on the Standard and Poor's® Depositary Receipts (SPDRs®). Publication is expected in the Federal Register during the week of June 20. (Rel. 34-64695) Proposed Rule ChangeA proposed rule change filed by the Financial Industry Regulatory Authority (SR-FINRA-2011-013) adopting FINRA Rule 1230(b)(6) establishing a registration category and qualification examination requirement for certain operations personnel and adopting continuing education requirements for such operations personnel, and adopting NASD Rule 1120 (Continuing Education Requirements) as FINRA Rule 1250 (Continuing Education Requirements) in the consolidated FINRA rulebook has become effective. Publication is expected in the Federal Register during the week of June 20. (Rel. 34-64687) 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-4 Kansas City Southern de Mexico, S.A. de C.V., MONTES URALES NO. 625,
COL. LOMAS DE CHAPULTEPEC, MEXICO CITY, O5, 11000, 011525591785836 -
0 ($185,000,000.00) Non-Convertible Debt, (File 333-174927 - Jun. 16)
(BR. 05B)
S-3 Cereplast Inc, 300 N. CONTINENTAL, SUITE 100, EL SEGUNDO, CA, 90245,
310-676-5000 - 0 ($12,500,000.00) Debt Convertible into Equity,
(File 333-174929 - Jun. 16) (BR. 06B)
S-8 GENTIVA HEALTH SERVICES INC, 3350 RIVERWOOD PARKWAY, SUITE 1400,
ATLANTA, GA, 30339, 7709516450 - 0 ($43,239,000.00) Equity,
(File 333-174930 - Jun. 16) (BR. 09A)
S-4 Kansas City Southern de Mexico, S.A. de C.V., MONTES URALES NO. 625,
COL. LOMAS DE CHAPULTEPEC, MEXICO CITY, O5, 11000, 011525591785836 -
0 ($200,000,000.00) Non-Convertible Debt, (File 333-174931 - Jun. 16)
(BR. 05B)
S-4 OPPENHEIMER HOLDINGS INC, SUITE 1110, P.O. BOX 2015,
20 EGLINTON AVE. WEST, TORONTO, A6, M4R 1K8, (416)322-1515 -
0 ($200,000,000.00) Non-Convertible Debt, (File 333-174932 - Jun. 16)
(BR. 08A)
S-3 OPPENHEIMER HOLDINGS INC, SUITE 1110, P.O. BOX 2015,
20 EGLINTON AVE. WEST, TORONTO, A6, M4R 1K8, (416)322-1515 -
0 ($1.00) Non-Convertible Debt, (File 333-174933 - Jun. 16) (BR. 08A)
S-8 ON THE MOVE SYSTEMS CORP., 3001 NORTH ROCKY POINT EAST, SUITE 200,
TAMPA, FL, 33607, (813) 367-7748 - 6,000,000 ($15,000,000.00) Equity,
(File 333-174934 - Jun. 16) (BR. 05B)
S-8 ATLANTIC TELE NETWORK INC /DE, 600 CUMMINGS CENTER, BEVERLY, MA, 01915,
9786191300 - 0 ($17,497,500.00) Equity, (File 333-174935 - Jun. 16)
(BR. 11C)
S-3D UMH PROPERTIES, INC., 3499 ROUTE 9 N, SUITE 3-C,
JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779997 -
1,500,000 ($15,075,000.00) Equity, (File 333-174939 - Jun. 16) (BR. 08C)
S-8 ADVENTRX PHARMACEUTICALS INC, 12390 EL CAMINO REAL, SUITE 150,
SAN DIEGO, CA, 92130, 8585520866 - 0 ($8,547,925.00) Equity,
(File 333-174940 - Jun. 16) (BR. 01A)
S-1 Mister Goody, Inc., 7877 EMERALD WINDS CIRCLE, BOYNTON BEACH, FL,
33473, 561-396-0554 - 400,000 ($40,000.00) Equity, (File 333-174941 -
Jun. 16) (BR. )
S-8 YAHOO INC, 4083493300 - 163,755 ($2,353,618.55) Equity,
(File 333-174942 - Jun. 16) (BR. 03B)
S-8 YAHOO INC, 4083493300 - 59,994 ($913,108.68) Equity, (File 333-174943 -
Jun. 16) (BR. 03B)
S-1 Aegerion Pharmaceuticals, Inc., 1140 ROUTE 22 EAST, SUITE 304,
BRIDGEWATER, NJ, 08807, (908) 704-1300 - 0 ($82,647,625.00) Equity,
(File 333-174944 - Jun. 16) (BR. 01C)
S-3 AASTROM BIOSCIENCES INC, 24 FRANKL LLOYD WRIGHT DR, PO BOX 376,
ANN ARBOR, MI, 48106, 7349305555 -
0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-174945 -
Jun. 16) (BR. 01A)
S-4 DEAN FOODS CO, 2711 N. HASKELL AVENUE, SUITE 3400, DALLAS, TX, 75204,
2143033400 - 0 ($400,000,000.00) Non-Convertible Debt,
(File 333-174946 - Jun. 16) (BR. 04C)
S-8 JETBLUE AIRWAYS CORP, 118-29 QUEENS BOULEVARD, FOREST HILLS, NY, 11375,
7182867900 - 0 ($127,190,000.00) Equity, (File 333-174947 - Jun. 16)
(BR. 05B)
S-1 InspireMD, Inc., 3 MENORAT HAMOR ST., TEL AVIV, L3, 67448,
972-3-6917691 - 414,942 ($1,087,148.00) Equity, (File 333-174948 -
Jun. 16) (BR. 10B)
S-1 PEOPLESTRING CORP, 157 BROAD STREET, SUITE 109, RED BANK, NJ, 07701,
732-741-2840 - 7,450,000 ($4,180,000.00) Equity, (File 333-174949 -
Jun. 16) (BR. 03B)
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
AASTROM BIOSCIENCES INC MI 1.01,7.01,9.01 06/16/11
ABBOTT LABORATORIES IL 5.07 04/29/11 AMEND
ACME PACKET INC DE 1.01,9.01 06/10/11
ACTUANT CORP WI 2.02,9.01 06/16/11
ADCARE HEALTH SYSTEMS INC OH 2.03,9.01 06/16/11
ADVENTRX PHARMACEUTICALS INC DE 5.02,5.07 06/15/11
AEP INDUSTRIES INC DE 8.01 06/16/11
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.07 06/10/11
ALEXANDERS INC DE 1.01,2.03,9.01 06/10/11
ALLIED HEALTHCARE INTERNATIONAL INC NY 5.07 06/15/11
ALLSTATE CORP DE 7.01,9.01 06/16/11
Alto Group Holdings Inc. NV 1.01 06/13/11
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 5.07 06/15/11
AMERISAFE INC TX 5.07 06/15/11
AMERISTAR CASINOS INC NV 1.01,5.07,9.01 06/15/11
Animal Health Holdings, Inc. DE 1.01,5.02,5.03,9.01 06/10/11
ARI NETWORK SERVICES INC /WI WI 7.01,9.01 06/16/11
Ascent Solar Technologies, Inc. DE 5.07 06/15/11
ASHLAND INC. KY 7.01,9.01 06/16/11
ASTORIA FINANCIAL CORP DE 5.02,9.01 06/15/11
ATHENAHEALTH INC DE 5.02,5.07,9.01 06/09/11
ATLANTIC POWER CORP A1 5.02 06/10/11
ATLANTIC TELE NETWORK INC /DE DE 5.07 06/14/11
Avatar Ventures Corp. NV 8.01 06/16/11
AVI BIOPHARMA INC OR 5.02,5.07,9.01 06/13/11
BANK OF NEW ENGLAND CORP MA 1.03 05/31/11
Bank of New York Mellon CORP DE 5.07 04/12/11 AMEND
BEAZER HOMES USA INC DE 1.01 06/10/11
Behringer Harvard Opportunity REIT I, MD 7.01,9.01 06/16/11
BIDGIVE INTERNATIONAL INC DE 4.01 04/05/11 AMEND
BIOLASE TECHNOLOGY INC DE 1.01,9.01 06/15/11
BIOSPECIFICS TECHNOLOGIES CORP DE 5.07 06/16/11
BIOSTEM U.S. CORP NV 1.01,5.02,5.03,5.07, 06/10/11
8.01,9.01
Bizzingo, Inc. NV 5.02 06/14/11
BLACKROCK CALIFORNIA MUNICIPAL 2018 T DE 7.01,9.01 06/15/11
BLACKROCK INVESTMENT QUALITY MUNICIPA MA 7.01,9.01 06/15/11
BLACKROCK MARYLAND MUNICIPAL BOND TRU DE 7.01,9.01 06/15/11
BLACKROCK MUNICIPAL 2018 TERM TRUST DE 7.01,9.01 06/15/11
BLACKROCK MUNICIPAL BOND INVESTMENT T DE 7.01,9.01 06/15/11
BLACKROCK MUNICIPAL BOND TRUST DE 7.01,9.01 06/15/11
BLACKROCK MUNICIPAL INCOME INVESTMENT DE 7.01,9.01 06/15/11
BLACKROCK MUNICIPAL INCOME INVESTMENT DE 7.01,9.01 06/15/11
BLACKROCK MUNIHOLDINGS FUND INC 7.01,9.01 06/15/11
BLACKROCK MUNIHOLDINGS NEW YORK QUALI MD 7.01,9.01 06/15/11
BLACKROCK NEW JERSEY MUNICIPAL BOND T DE 7.01,9.01 06/15/11
BLACKROCK NEW YORK MUNICIPAL BOND TRU DE 7.01,9.01 06/15/11
BLACKROCK PENNSYLVANIA STRATEGIC MUNI DE 7.01,9.01 06/15/11
BLACKROCK VIRGINIA MUNICIPAL BOND TRU DE 7.01,9.01 06/15/11
BLOUNT INTERNATIONAL INC DE 1.01,9.01 06/13/11
C&D TECHNOLOGIES INC DE 8.01,9.01 06/16/11
CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 06/15/11
CANO PETROLEUM, INC 5.02,7.01,9.01 06/10/11
CAPITAL ONE FINANCIAL CORP DE 7.01,8.01,9.01 06/16/11
CARDTRONICS INC DE 5.07 06/16/11
CASELLA WASTE SYSTEMS INC DE 2.02,9.01 06/15/11
CATASYS, INC. DE 5.02 06/10/11
Celldex Therapeutics, Inc. DE 5.07 06/15/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 1.01,2.03,9.01 06/15/11
CENTURY BANCORP INC MA 5.02,9.01 06/14/11
CENTURYLINK, INC LA 8.01,9.01 06/16/11
CHESAPEAKE ENERGY CORP OK 5.02,5.07,7.01,8.01, 06/10/11
9.01
Chesapeake Lodging Trust MD 1.01 06/15/11
Chesapeake Lodging Trust MD 1.01 06/15/11
CHESAPEAKE MIDSTREAM PARTNERS LP DE 1.01,9.01 06/10/11
CHINA GENGSHENG MINERALS, INC. NV 5.03,9.01 06/15/11 AMEND
China Intelligent Lighting & Electron DE 3.01,7.01,9.01 06/10/11
CIBER INC DE 5.02,9.01 06/14/11
CIFC Deerfield Corp. DE 5.02,9.01 06/10/11
CKX, Inc. DE 5.02,9.01 06/16/11
CKX, Inc. DE 7.01,9.01 06/16/11
CLEAN HARBORS INC MA 2.01,9.01 06/10/11
CLOUD PEAK ENERGY INC. DE 7.01,8.01,9.01 06/15/11
CNL LIFESTYLE PROPERTIES INC MD 5.07 06/15/11
Cogito Media Group Inc. CO 7.01 06/15/11
COLDWATER CREEK INC DE 5.02,5.07 06/11/11
COLLECTIVE BRANDS, INC. DE 5.02,9.01 06/15/11
Converted Organics Inc. DE 8.01,9.01 06/15/11
Cooper Industries plc 8.01,9.01 06/16/11
Cornerstone OnDemand Inc DE 8.01 06/07/11
COWEN GROUP, INC. 5.07,8.01,9.01 06/15/11
CROSS BORDER RESOURCES, INC. NV 8.01 06/15/11
CULP INC NC 2.02,9.01 06/16/11
DAVE & BUSTERS INC MO 2.02,9.01 06/15/11
DecisionPoint Systems, Inc. DE 8.01,9.01 06/16/11
Deep Down, Inc. NV 4.01,9.01 06/08/11
DG FastChannel, Inc DE 1.01,7.01,9.01 06/16/11
DGSE COMPANIES INC NV 8.01,9.01 06/16/11
DIGITAL YEARBOOK, INC. NV 1.01,8.01,9.01 06/13/11
DISH Network CORP NV 1.01 06/16/11
DOVER Corp DE 7.01,9.01 06/16/11
DPL INC OH 8.01,9.01 06/15/11
DRI CORP NC 3.01 06/10/11
EARTHLINK INC DE 8.01,9.01 06/16/11
EARTHLINK INC DE 9.01 04/01/11 AMEND
EARTHSTONE ENERGY INC DE 2.01,9.01 06/15/11
EATON CORP OH 8.01,9.01 06/16/11
EcoReady Corp FL 4.02 06/16/11
EDGEWATER TECHNOLOGY INC/DE/ DE 5.02 06/08/11 AMEND
EDIETS COM INC DE 8.01,9.01 06/15/11
Embassy Bancorp, Inc. PA 8.01,9.01 06/16/11
EMCORE CORP NJ 5.02,5.07,9.01 06/14/11
EMS TECHNOLOGIES INC GA 5.02,9.01 06/12/11
Endeavor Power Corp NV 1.01,1.02,5.02,9.01 06/10/11
Energy Recovery, Inc. DE 5.07 06/16/11
Energy Transfer Equity, L.P. DE 7.01,8.01,9.01 06/16/11
ENTERCOM COMMUNICATIONS CORP PA 5.07 06/14/11 AMEND
ENTERPRISE FINANCIAL SERVICES CORP DE 5.02 06/10/11
EVOLVING SYSTEMS INC DE 5.03,5.07 06/16/11
EXTREME NETWORKS INC DE 8.01 06/14/11
FAUCET IMPRESSIONS INTERNATIONAL, INC NV 1.01,3.02,5.01,5.02, 06/09/11
5.03,8.01,9.01
Federal Home Loan Bank of Atlanta X1 2.03 06/16/11
Federal Home Loan Bank of Boston X1 2.03 06/14/11
Federal Home Loan Bank of Chicago X1 2.03 06/13/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/14/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 06/14/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/16/11
Federal Home Loan Bank of New York X1 2.03,9.01 06/13/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/13/11
Federal Home Loan Bank of San Francis X1 2.03 06/13/11
Federal Home Loan Bank of Seattle 2.03 06/13/11
Federal Home Loan Bank of Topeka 2.03,9.01 06/13/11
FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02 06/15/11
Financial Engines, Inc. DE 5.02 06/15/11
FLORIDIAN FINANCIAL GROUP INC 5.02,9.01 06/15/11
FNB CORP/FL/ FL 8.01,9.01 06/15/11 AMEND
FNB United Corp. NC 1.01,3.01,3.02,9.01 06/10/11
FULL HOUSE RESORTS INC DE 2.01,9.01 04/01/11 AMEND
FURNITURE BRANDS INTERNATIONAL INC DE 9.01 08/09/07 AMEND
FXCM Inc. 5.07 06/15/11
GAIN Capital Holdings, Inc. DE 5.07 06/15/11
GAMETECH INTERNATIONAL INC DE 1.01,2.03,5.02,9.01 06/10/11
GC NET LEASE REIT, INC. 5.07 06/15/11
General Growth Properties, Inc. DE 5.02,9.01 06/15/11
Genesis Biopharma, Inc NV 5.02,9.01 06/13/11
GETTY REALTY CORP /MD/ MD 9.01 03/31/11 AMEND
Gevo, Inc. DE 1.01,5.02,5.07,8.01, 06/14/11
9.01
Global Indemnity plc L2 5.07 06/15/11
GLOBAL PARI-MUTUEL SERVICES, INC. NV 8.01,9.01 06/16/11
GOLDMAN SACHS GROUP INC DE 9.01 06/16/11
GREAT PLAINS ENERGY INC MO 8.01 06/10/11
GREENHILL & CO INC DE 1.01,2.01,9.01 06/10/11
Greenwood Gold Resources, Inc. NV 5.03,9.01 06/02/11
GREER BANCSHARES INC SC 7.01,9.01 06/14/11
GRUBB & ELLIS CO DE 5.02,8.01,9.01 06/10/11
Grubb & Ellis Healthcare REIT II, Inc MD 5.03,5.07,8.01,9.01 06/14/11
GSE SYSTEMS INC DE 5.07 06/16/11
HALOZYME THERAPEUTICS INC DE 1.01,9.01 06/10/11
HELIX ENERGY SOLUTIONS GROUP INC MN 5.02 06/16/11
HERITAGE BANKSHARES INC /VA VA 7.01,9.01 06/16/11
HERITAGE BANKSHARES INC /VA VA 5.07 06/16/11
HERSHEY CO DE 5.02,9.01 06/13/11
HERSHEY CO DE 5.07 05/03/11 AMEND
HEWLETT PACKARD CO DE 5.02,5.03,8.01,9.01 06/10/11
HKN, Inc. DE 8.01 06/16/11
HOUSTON AMERICAN ENERGY CORP DE 7.01,9.01 06/16/11
HSW International, Inc. DE 7.01,9.01 06/15/11
ICO Global Communications (Holdings) DE 5.07 06/14/11
II-VI INC PA 7.01,9.01 06/15/11
IMMUCELL CORP /DE/ DE 5.07 06/15/11
IMPAX LABORATORIES INC DE 5.02 06/15/11
INDEPENDENT BANK CORP MA 8.01 06/16/11
INFOSONICS CORP 5.07 06/13/11
INFOSPACE INC DE 1.01 06/10/11
INTERACTIVE INTELLIGENCE INC IN 5.07 06/10/11
International Gold Corp. NV 1.01,9.01 06/16/11
INX Inc DE 5.02,9.01 06/14/11
IPARTY CORP DE 5.07 06/10/11
Iridium Communications Inc. DE 7.01,9.01 06/16/11
IRON MOUNTAIN INC DE 5.07 06/16/11
J P MORGAN CHASE & CO DE 5.02,9.01 06/14/11
KB HOME DE 1.01 06/10/11
KEATING CAPITAL INC 7.01,9.01 06/14/11
KIWA BIO-TECH PRODUCTS GROUP CORP DE 4.01,9.01 06/16/11
Kohlberg Capital CORP DE 5.02,5.07,8.01 06/10/11
KROGER CO OH 2.02,7.01,9.01 06/16/11
LABRANCHE & CO INC DE 8.01,9.01 06/16/11
LAS VEGAS SANDS CORP NV 5.07 06/10/11
LEGG MASON, INC. MD 8.01 06/16/11
LEMAITRE VASCULAR INC 5.07 06/14/11
LEUCADIA NATIONAL CORP NY 8.01 06/14/11
LEVI STRAUSS & CO DE 5.02,9.01 06/09/11
Liberty Global, Inc. 8.01 06/15/11
Lightwave Logic, Inc. NV 8.01,9.01 06/16/11
MACATAWA BANK CORP MI 8.01,9.01 06/16/11
MAKO Surgical Corp. DE 5.07 06/16/11
Manitex International, Inc. MI 7.01,9.01 06/16/11
MARINEMAX INC DE 5.02,5.03,9.01 06/10/11
MB FINANCIAL INC /MD 5.02,5.03,5.07,9.01 06/13/11
MCKESSON CORP DE 7.01,9.01 06/16/11
MECHANICAL TECHNOLOGY INC NY 5.07 06/16/11
MEDCATH CORP DE 8.01 06/15/11
MEDCATH CORP DE 1.01,3.03,5.03,8.01, 06/15/11
9.01
MEDIA TECHNOLOGIES, INC. NV 1.01,9.01 06/15/11
MediaMind Technologies Inc. DE 1.01,5.02,9.01 06/15/11
MEDICAL CONNECTIONS HOLDINGS, INC. FL 5.03,8.01,9.01 06/15/11
MERU NETWORKS INC DE 1.01,8.01,9.01 06/13/11
MICHAELS STORES INC DE 5.02 06/12/11
MICROMET, INC. DE 5.02,8.01,9.01 06/14/11
Midas Medici Group Holdings, Inc. 5.03,9.01 06/10/11
MILLER ENERGY RESOURCES, INC. 1.01,2.03,7.01,9.01 06/12/11
MMRGlobal, Inc. DE 5.07 06/15/11
Molycorp, Inc. DE 1.01,2.03,3.02,9.01 06/15/11
MONRO MUFFLER BRAKE INC NY 1.01,9.01 06/13/11
MOTORCAR PARTS AMERICA INC NY 1.01,9.01 06/10/11
MULTIBAND CORP MN 7.01,9.01 06/16/11
National Asset Recovery Corp. NV 8.01,9.01 06/10/11
NATIONAL BEEF PACKING CO LLC DE 1.01,9.01 06/10/11
National CineMedia, Inc. DE 5.02,9.01 06/16/11
NEOPROBE CORP DE 8.01,9.01 06/16/11
NeurogesX Inc CA 8.01,9.01 06/16/11
NeuroMetrix, Inc. DE 7.01,9.01 06/15/11
nFinanSe Inc. 5.03,9.01 06/13/11
NGP Capital Resources Co MD 7.01,9.01 06/16/11
NICHOLAS FINANCIAL INC FL 5.02,9.01 06/15/11
NICOR INC IL 5.07 06/16/11
NIKE INC OR 5.02,9.01 06/16/11
NORTEL NETWORKS CORP 8.01 06/16/11
NUTRACEA CA 5.07 06/14/11
ODYSSEY MARINE EXPLORATION INC NV 8.01,9.01 06/15/11
OLD LINE BANCSHARES INC MD 2.01,9.01 04/01/11
OPPENHEIMER HOLDINGS INC A6 8.01,9.01 06/16/11
OPTICAL CABLE CORP VA 2.02,9.01 06/14/11
ORTHOFIX INTERNATIONAL N V 5.02,7.01,9.01 06/15/11
OVERLAND STORAGE INC CA 5.07 06/14/11
OXFORD INDUSTRIES INC GA 5.07 06/15/11
Pacira Pharmaceuticals, Inc. DE 8.01 06/14/11
PARKVALE FINANCIAL CORP PA 1.01,7.01,9.01 06/15/11
PARKVALE FINANCIAL CORP PA 1.01,9.01 06/15/11 AMEND
PATRICK INDUSTRIES INC IN 7.01,9.01 06/16/11
PDL BIOPHARMA, INC. DE 8.01,9.01 06/16/11
Pegasus Tel, Inc DE 5.03 06/16/11
PENNICHUCK CORP NH 5.07,9.01 06/15/11
PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 06/15/11
PetroAlgae Inc. DE 5.02,7.01,9.01 06/15/11
PETROLEUM DEVELOPMENT CORP NV 5.07 06/10/11
PETROLEUM DEVELOPMENT CORP NV 5.02 06/10/11
PIER 1 IMPORTS INC/DE DE 2.02,9.01 06/16/11
PLAINSCAPITAL CORP TX 8.01 06/16/11
POZEN INC /NC 8.01 06/13/11
PREMIER FINANCIAL BANCORP INC KY 5.07 06/15/11
Premier Power Renewable Energy, Inc. DE 1.01,9.01 06/10/11
PROGRESSIVE CORP/OH/ OH 7.01,9.01 06/15/11
RAINMAKER SYSTEMS INC DE 5.02 06/16/11
RAYMOND JAMES FINANCIAL INC FL 8.01,9.01 06/15/11
ReachLocal Inc DE 5.02,5.07 06/15/11
Real Mex Restaurants, Inc. DE 5.02,9.01 06/10/11
Red Lion Hotels CORP WA 2.01,2.04,9.01 06/14/11
Regeneca, Inc. NV 9.01 06/16/11
Regenicin, Inc. NV 8.01,9.01 06/16/11
RESPECT YOUR UNIVERSE, INC. NV 5.02,5.07,9.01 06/10/11
REVLON CONSUMER PRODUCTS CORP DE 1.01,7.01,9.01 06/16/11
REVLON INC /DE/ DE 1.01,7.01,9.01 06/16/11
Revolutionary Concepts Inc NV 5.02,9.01 06/16/11
Rhino Resource Partners LP DE 1.01,2.01,2.03,7.01, 06/10/11
9.01
RIMAGE CORP MN 8.01,9.01 06/15/11
SCHOOL SPECIALTY INC WI 2.02,9.01 06/16/11
SCIENTIFIC INDUSTRIES INC DE 1.01 06/14/11
SCOLR Pharma, Inc. DE 1.01,2.03,3.02,9.01 06/16/11
SCOLR Pharma, Inc. DE 8.01 06/16/11
SELECT COMFORT CORP MN 5.02,7.01,9.01 06/15/11
Sensata Technologies Holding N.V. P7 1.01,9.01 06/14/11
SENTRY PETROLEUM LTD. 7.01,9.01 06/15/11
SEQUENOM INC DE 5.02,5.07 06/15/11
SL GREEN REALTY CORP MD 5.07 06/15/11
SMART Modular Technologies (WWH), Inc E9 7.01,9.01 06/16/11
Smart Ventures Inc. NV 1.01,9.01 06/15/11
Smart-tek Solutions Inc NV 1.01,7.01,9.01 06/15/11
SMITHFIELD FOODS INC VA 1.01,2.03,9.01 06/09/11
SMITHFIELD FOODS INC VA 2.02,9.01 06/16/11
SOLERA HOLDINGS, INC DE 1.01,2.01,2.03,5.02, 06/10/11
8.01,9.01
Solera National Bancorp, Inc. DE 7.01,9.01 06/16/11
Somaxon Pharmaceuticals, Inc. DE 8.01 06/16/11
SOUTHERN COMMUNITY FINANCIAL CORP 5.07 06/15/11
SOUTHERN UNION CO DE 7.01,8.01,9.01 06/16/11
SOUTHERN UNION CO DE 7.01,8.01,9.01 06/16/11
SPEEDEMISSIONS INC FL 5.07 06/14/11
SRA INTERNATIONAL INC DE 8.01,9.01 06/16/11
STAMPS.COM INC DE 5.07 06/15/11
STEINER LEISURE Ltd C5 5.07 06/14/11
Stewart & Stevenson LLC DE 5.02,9.01 06/15/11
STRUCTURED OBLIGATIONS CORP TRUST SPR DE 8.01,9.01 06/03/11
SUN HEALTHCARE GROUP INC DE 5.07 06/15/11
Surna Inc. NV 5.03 06/16/11
Thermon Holding Corp. DE 7.01,9.01 06/15/11
TIANYIN PHARMACEUTICAL CO., INC. DE 4.02,8.01,9.01 06/16/11
Tiger X Medical, Inc. DE 2.01,5.02,5.03,9.01 06/10/11
TOLL BROTHERS INC DE 5.03,8.01,9.01 06/10/11
TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 06/13/11
Transocean Ltd. V8 7.01,9.01 06/16/11
ULURU INC. NV 5.07 06/16/11
United Continental Holdings, Inc. DE 8.01 06/16/11
UNITED ONLINE INC DE 1.01,1.02,2.03,9.01 06/10/11
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02 06/07/11 AMEND
Upstream Worldwide, Inc. DE 5.02 06/10/11
UROLOGIX INC MN 5.02,9.01 06/03/11
Vertro, Inc. DE 5.07 06/15/11
Vicor Technologies, Inc. DE 5.02 06/15/11
VISION INDUSTRIES CORP FL 5.02,9.01 06/14/11
VISTA GOLD CORP B0 7.01 06/16/11
Vitacost.com, Inc. DE 1.01,1.02,2.02,3.03, 06/16/11
9.01
VITAL IMAGES INC MN 2.01,3.01,3.02,3.03, 06/15/11
5.02,5.03,9.01
VMWARE, INC. DE 1.01 06/10/11
Vulcan Materials CO NJ 7.01,9.01 06/16/11
WILEY JOHN & SONS, INC. NY 7.01 04/30/11
WINNEBAGO INDUSTRIES INC IA 2.02,9.01 06/16/11
WSB Holdings Inc DE 5.02,9.01 04/27/11
XOMA LTD /DE/ DE 5.02,9.01 06/14/11
XTRA-GOLD RESOURCES CORP 5.02,5.03,5.07,9.01 06/16/11
ZHONGPIN INC. DE 5.02,5.07,9.01 06/15/11
Zoo Entertainment, Inc DE 5.02 06/13/11
http://www.sec.gov/news/digest/2011/dig061711.htm
|