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COMMISSION ANNOUNCEMENTSCommission MeetingsOpen Meeting on March 30, 2011 at 10:00 a.m.The subject matters of the Open Meeting will be: Item 1: The Commission will consider whether to propose joint rules with other Agencies to implement Section 941(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to credit risk retention by securitizers of asset-backed securities. Item 2: The Commission will consider whether to propose a new rule and rule amendments to implement Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires the Commission to direct the national securities exchanges and national securities associations to adopt certain listing standards with respect to compensation committees and compensation advisers. Section 952 also requires the Commission to adopt new disclosure rules concerning the use of compensation consultants At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSDelinquent Filer’s Stock Registrations RevokedAn Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to China Expert Technology, Inc., in Carrier1 International S.A., Admin. Proc. No. 3-14257. The Order Instituting Proceedings (OIP) alleged that two Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Administrative Law Judge found these allegations to be true as to China Expert Technology, Inc., and revoked the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding is still pending as to Carrier1 International S.A., the other respondent named in the OIP. (Rel. No. 34-64118; File No. 3-14257) Delinquent Filer’s Stock Registrations RevokedAn Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Andresmin Gold Corp., Admin. Proc. No. 3-14214. The Order Instituting Proceedings alleged that Andresmin Gold Corp. repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of the company, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. No. 34-64116; File No. 3-14214) In the Matter of Roman LyniukThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative and Cease and Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 (Securities Act), Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934 (Exchange Act), Sections 203(f) and 203(k) of the Investment Advisers Act (Advisers Act) and Section 9(b) of the Investment Company Act (Investment Company Act) against Roman Lyniuk (Lyniuk). The Division of Enforcement alleges in the Order after an investigation that from approximately 2004-2007, Lyniuk was the principal of Atlantis Capital Markets NA, LLC, a now-insolvent entity that acted as the investment advisor to Atlantis Capital Management L.P., a hedge fund (Fund). At the same time, he was a registered representative at several broker-dealers registered with the Commission, including Vtrader Pro LLC and Golden Beneficial Securities The Division of Enforcement also alleges that Lyniuk made material misrepresentations and omissions to potential investors concerning the Fund’s historical performance and assets under management. In the Order, the Division of Enforcement also alleges that, contrary to an express representation that he had no undisclosed conflicts of interest, Lyniuk received substantial undisclosed volume-based compensation from the broker-dealers through which he traded the Fund’s assets. Lyniuk also had a conflict of interest in connection with his investment of Fund assets in a start-up venture, from which he received substantial compensation and expected to receive compensation in the future. Finally, the Division of Enforcement alleges that approximately 90% of the Fund’s assets were lost in August through October 2006 through a combination of trading losses and misappropriation by Lyniuk. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate in the public interest pursuant to Section 15(b) of the Exchange Act, Section 203(f) of the Advisers Act, and Section 9(b) of the Investment Company Act. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. No. 33-9198; File No. 3-14304) Commission Charges Company Executive With Insider TradingThe Securities and Exchange Commission announced the filing of a civil injunctive action in U.S. District Court in Alexandria, Virginia against Daniel F. Wiener II of Leesburg, Virginia. The Commission alleges that Wiener engaged in insider trading by purchasing securities of MTC Technologies, Inc. (“MTC”) prior to MTC’s public announcement that it had entered into a definitive agreement to be acquired by BAE Systems, Inc. (“BAE”). According to the Commission’s complaint, during December 2007, Wiener was an executive at BAE and, in the course of his employment, learned material, nonpublic information regarding BAE’s plan to acquire MTC. Although he was not directly involved in the acquisition of MTC by BAE, prior to the public announcement he had regular contact with other BAE employees who were involved in highly confidential preparations for the acquisition. On December 7, 2007, Wiener participated in a staff meeting during which the proposed acquisition of MTC was discussed under its code name, “Project Mira.” The Commission alleges that Wiener actively participated in the discussion and shared detailed information concerning the target’s business, including its aircraft integration capabilities and specific contract bidding opportunities, which showed that he knew “Mira” referred to MTC. Approximately thirty minutes after the scheduled end of the staff meeting, Wiener placed an order to purchase 10,000 shares of MTC in his personal brokerage account. On December 12, 2007, Wiener placed an order to purchase an additional 1,000 shares of MTC in his wife’s brokerage account. After the market closed on Friday, December 21, 2007, MTC publicly announced its agreement to be acquired by BAE. On January 28, 2008, Wiener sold all 11,000 shares of MTC, realizing a profit of $67,686.99. The Commission’s complaint charges Wiener with violating the antifraud provisions of the federal securities laws. Without admitting or denying the allegations in the complaint, Wiener has consented to the entry of a final judgment permanently enjoining him from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and requiring him to pay disgorgement of $67,686.99, prejudgment interest of $8,323.17, and a civil penalty of $25,000. The Commission recognizes the Financial Industry Regulatory Authority for its assistance in this matter. [SEC v. Daniel F. Wiener II, Civil Action No. 1:11cv292-GBL/IDD, E.D. Va.] (LR-21896). Commission Charges Mike Watson Capital, LLC, Michael P. Watson, and Joshua F. EscobedoThe Securities and Exchange Commission announced that, on March 23, 2011, it filed a civil action in the United States District Court for the District of Utah against Mike Watson Capital, LLC (MWC), a company based in Provo, Utah, Michael P. Watson, a resident of Mapleton, Utah, and Joshua F. Escobedo, a resident of Spanish Fork, Utah, alleging that each of the Defendants violated the antifraud and securities offering registration provisions, and that Watson and Escobedo violated the broker-dealer registration provisions of the federal securities laws. In its Complaint, the Commission alleges that from October 2004 through February 2009, Defendants raised more than $27.5 million from more than 120 investors through MWC’s issuance of promissory notes. According to the Complaint, Watson and Escobedo told investors that returns were generated by real estate investments, and backed by substantial equity and cash flow produced by company properties. In reality, the properties never generated sufficient income to cover investment interest or redemptions, and therefore investor returns were paid primarily from new investors’ funds. MWC, Watson, and Escobedo agreed to settle the SEC’s charges without admitting or denying the allegations in the Complaint. This settlement is subject to approval by the court. MWC agreed to be permanently enjoined from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and imposing jointly and severally with Watson, disgorgement of $16,383,037.83 and prejudgment interest of $1,953,610.99, and imposing a civil penalty of $130,000. Watson agreed to be permanently enjoined from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act, Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, imposing jointly and severally with MWC, disgorgement of $16,383,037.83 and prejudgment interest of $1,953,610.99, and imposing a civil penalty of $130,000. Escobedo agreed to be permanently enjoined from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act, Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, imposing but waiving disgorgement of $153,822.98 and prejudgment interest of $16,786.56, and not imposing a civil penalty based upon his Sworn Statement of Financial Condition. [SEC v. Mike Watson Capital, LLC, Michael P. Watson, and Joshua F. Escobedo, Civil Action No., 2:11-CV-00275 (DB) (D. Utah)] (LR-21898). Commission Charges Former Consultant at Silicon Valley Private Investment Firm with Insider TradingThe Securities and Exchange Commission today charged a former consultant for Menlo Park, Calif.-based private investment firm Accel-KKR with insider trading. The SEC alleges that Mark Duffell bought shares of Silicon Valley software company SumTotal Systems while he was involved in discussions on AKKR’s behalf regarding a potential acquisition of SumTotal. Without admitting or denying the allegations, Duffell has agreed to settle the charges against him and pay disgorgement and penalties of over $300,000. According to the SEC’s complaint, filed in U.S. District Court for the Northern District of California, Duffell met with the CEO of SumTotal on March 2, 2009, to discuss a potential acquisition of the company by AKKR. Two days later, while in possession of confidential information about the potential deal, Duffell began amassing shares of SumTotal stock in his personal trading account. Between March 4 and March 5, Duffell paid nearly $90,000 to purchase 65,000 shares of SumTotal stock at a price of $1.33 per share. According to the SEC’s complaint, AKKR and SumTotal announced publicly on April 24 that they had signed a preliminary merger agreement under which AKKR would acquire the company at a substantial premium to its trading price. SumTotal’s share price jumped to $3.83 per share on the news, giving Duffell a profit of $162,500 on the shares he had purchased during the confidential discussions. The Commission’s complaint charges Duffell with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Duffell has agreed to settle the SEC’s charges without admitting or denying the allegations. Duffell has consented to the entry of a final judgment permanently enjoining him from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and requiring him to pay $162,500 in disgorgement, $7,163 in prejudgment interest and a $162,500 civil penalty. The SEC acknowledges the assistance of the Financial Industry Regulatory Authority in this matter. (LR-21899) In the Matter of J. Jonathan ColemanThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against J. Jonathan Coleman (Coleman). The Order finds that Coleman was a founding member and the Chief Executive Officer of Jadis Capital, Inc. (Jadis Capital), a New York corporation. Jadis Capital was the sole owner of Jadis Investments, LLC (Jadis Investments), a Delaware limited liability company and Uniondale, Long Island-based investment adviser registered with the Commission. Coleman was a controlling member and Chief Marketing Officer, and then later promoted to President, of Jadis Investments. The Order further finds that Coleman pled guilty to conspiracy to commit securities fraud, in violation of Title 18 United States Code, Section 371 before the United States District Court for the Eastern District of New York. On August 20, a judgment was entered against Coleman. He was sentenced to a prison term of 24 months followed by three years of supervised release and ordered to make restitution in the amount of $3,303,207.99. Based on the above, the Order bars Coleman from association with any investment adviser. Coleman consented to the issuance of the Order without admitting or denying any of the findings in the Order, except for the Commission’s jurisdiction over him and the subject matter of the proceedings and his criminal conviction, which he admitted. (Rel. No. IA-3178; File No. 3-14303) Commission Charges Massachusetts Broker With Fraud as a Result of Churning Accounts of 9/11 WidowThe Securities and Exchange Commission announced that it filed a civil injunctive action today in Massachusetts federal court against James J. Konaxis, of Beverly, Massachusetts, formerly a registered representative of Massachusetts-based broker-dealer Sentinel Securities, Inc. The Commission charged that Konaxis defrauded a former customer who was left widowed by the September 11, 2001 terrorist attacks. Konaxis’s customer made her investments with funds she obtained through the September 11th Victim Compensation Fund. According to the Commission’s complaint, Konaxis excessively traded his customer’s funds while knowingly or recklessly disregarding her interests. The Commission alleges that Konaxis earned approximately $550,000 over approximately two years in commissions on his customer’s accounts. During this period, the Commission alleges that the value of his customer’s accounts decreased from approximately $3.7 million to approximately $1.6 million, much of which was due to Konaxis’s investments and the resulting commissions paid to Konaxis. In particular, the SEC’s complaint alleges that Konaxis violated Section 17(a) of the Securities Act of 1933 (“Securities Act”) and Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder. Konaxis has consented to a partial judgment pursuant to which he will be enjoined from future violations of the antifraud provisions of the Securities Act and Exchange Act, and barred from participating in any offering of penny stock. The SEC also seeks disgorgement of ill-gotten gains plus pre-judgment interest, and the imposition of a civil monetary penalty against Konaxis, and Konaxis has agreed to leave these issues to the discretion of the court. The Commission will also institute separate administrative proceedings against Konaxis in which he has consented to be barred from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. The SEC acknowledges and appreciates the assistance of the Massachusetts Securities Division, which filed separate charges against Konaxis. The SEC’s investigation is continuing. Securities and Exchange Commission v. James J. Konaxis, 1:11-CV-10489 (District of Massachusetts, Complaint filed March 23, 2011) (LR-21897) In the Matter of Ball CorporationThe U.S. Securities and Exchange Commission announced the issuance of an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, Imposing a Cease-and-Desist Order and a Civil Money Penalty (Order) against Ball Corporation (Ball). The Order finds that from July 2006 through October 2007, Ball, through its Argentine subsidiary Formametal, S.A. (Formametal) and non-governmental customs agents, offered and paid at least ten bribes, totaling at least $106,749, to employees of the Argentine government to secure the importation of prohibited used machinery and the exportation of raw materials at reduced tariffs. The Order further finds that although certain accounting personnel at Ball learned soon after Ball acquired Formametal in March 2006 that Formametal employees may have made questionable payments and caused other compliance problems before the acquisition, Ball failed to take sufficient action to ensure that such activities did not recur after Ball took control of Formametal. The Order finds that Ball violated the books and records and internal controls provisions of the Foreign Corrupt Practices Act, Exchange Act Sections 13(b)(2)(A) and 13(b)(2)(B), in connection with bribes that Formametal paid to Argentine customs officials in 2006 and 2007. Based on the above, the Order requires Ball to cease and desist from committing or causing violations and any future violations of Exchange Act Sections 13(b)(2)(A) and 13(b)(2)(B) and to pay a $300,00 civil penalty. Ball consented to the issuance of the Order without admitting or denying any of the findings contained in the Order. (Rel. No. 34-64123; File No. 3-14305) The Commission Dismisses Its Claim for Disgorgement, Prejudgment Interest and Civil Penalties Against All Defendants Due to Criminal SanctionsThe Commission announced that it dismissed its claims for disgorgement and civil penalties against three individual defendants due to prison sentences and restitution orders entered against the defendants in a parallel criminal action. The Commission dismissed its disgorgement and civil penalty claims against Ronnie Eugene Bass, Abner Alabre, and Brian J. Taglieri in light of Bass’s 204-month prison sentence and $3.9 restitution order, and 60-month prison sentences and $3.9 million restitution orders against Alabre and Taglieri. See US v. Bass, et al., Crim. Action No. 09-80129-CR. On October 16, 2009, the Commission filed its complaint against Bass, Alabre and Taglieri, along with two companies, HomePals LLC and HomePals Investment Club, LLC (collectively HomePals). The complaint alleged they ran a Ponzi scheme and affinity fraud that targeted Haitian–American investors residing in South Florida. Alabre and Taglieri both consented to the entry of an injunction against future violations of the federal securities laws. Bass and HomePals defaulted by failing to appear, answer or otherwise plead in response to the Commission’s complaint and a default judgment of permanent injunction was entered against them. The Commission also dismissed its disgorgement and penalty claims against the two HomePals entities. [Securities and Exchange Commission v. HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri, Civil Action No. 09-CV-81524-Ryskamp/Vitunac (S.D. Fla.)] (LR-21900) INVESTMENT COMPANY ACT RELEASES
|
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 NUMBERS DATE COMMENT
-----------------------------------------------------------------------------------------
22nd Century Group, Inc. NV 2.01,5.03,9.01 03/22/11 AMEND
ACCO BRANDS CORP DE 2.05 03/18/11
ACL SEMICONDUCTORS INC 2.02 03/14/11
Air Transport Services Group, Inc. DE 2.02,7.01,9.01 03/23/11
AIRTRAN HOLDINGS INC NV 5.07,7.01,9.01 03/23/11
ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 03/23/11
ALLIANCE DATA SYSTEMS CORP DE 5.02 03/21/11
ALNYLAM PHARMACEUTICALS, INC. 8.01 03/22/11
alpha-En Corp DE 4.01,9.01 03/22/11
ALPHATRADE COM NV 5.02,9.01 03/14/11
AMERICA SERVICE GROUP INC /DE DE 8.01 03/23/11
AMERICA SERVICE GROUP INC /DE DE 3.01 03/18/11
AMERICAN APPAREL, INC DE 5.02,9.01 03/17/11
AMERICAN BIOGENETIC SCIENCES INC DE 4.01,9.01 03/22/11
American Energy Fields, Inc. DE 1.01,3.02,9.01 03/17/11
AMERIGAS PARTNERS LP DE 1.01,9.01 03/17/11
ANAVEX LIFE SCIENCES CORP. NV 8.01,9.01 03/15/11
AON CORP DE 5.02 03/17/11
ARES CAPITAL CORP MD 8.01,9.01 03/22/11
ARYx Therapeutics, Inc. DE 2.04 03/16/11
ASTORIA FINANCIAL CORP DE 8.01,9.01 03/23/11
ATHENA SILVER CORP CA 7.01,9.01 03/23/11
ATSI COMMUNICATIONS INC/DE NV 2.02,5.03,9.01 03/18/11
Babcock & Wilcox Co DE 1.01,2.03,9.01 03/17/11
BAKKEN RESOURCES INC 8.01 03/18/11
BANK OF AMERICA CORP /DE/ DE 8.01 03/18/11
BENCHMARK ELECTRONICS INC TX 5.02 03/21/11
BIOJECT MEDICAL TECHNOLOGIES INC OR 2.02,9.01 03/23/11
BIOLARGO, INC. DE 1.01,4.01,5.02,9.01 03/17/11
Black Tusk Minerals Inc. NV 3.02,5.02,9.01 03/17/11
BLACKSANDS PETROLEUM, INC. NV 1.01,3.02,9.01 03/17/11
BODY CENTRAL CORP 5.02 03/21/11
Book Merge Technology, Inc. NV 1.01,2.01,3.02,5.01, 03/23/11 AMEND
5.02,5.06,9.01
BROADCOM CORP CA 8.01,9.01 03/18/11
BTHC XV, Inc. DE 4.01,9.01 03/17/11
BUCKEYE PARTNERS, L.P. DE 7.01,9.01 03/23/11
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 03/14/11 AMEND
CABELAS INC DE 5.02 03/21/11
CAMBRIDGE HEART INC DE 2.02,9.01 03/23/11
CapLease, Inc. 5.02,9.01 03/22/11
CENTRAL VIRGINIA BANKSHARES INC VA 5.02,9.01 03/21/11
CFS BANCORP INC IN 7.01,9.01 03/21/11
CHANCELLOR GROUP INC/ NV 1.02,9.01 03/22/11
CHEETAH OIL & GAS LTD. NV 7.01,9.01 03/23/11
China Food & Beverage Acquisition Cor DE 9.01 03/23/11
CHINA MEDICINE CORP NV 4.02 03/17/11
China Shenghuo Pharmaceutical Holding 8.01,9.01 03/22/11
Clark Holdings Inc. DE 5.02 03/17/11
CLIFFS NATURAL RESOURCES INC. OH 8.01,9.01 03/23/11
CONTINENTAL RESOURCES INC OK 1.01,9.01 03/18/11
Copano Energy, L.L.C. 1.01,7.01,9.01 03/22/11
Cord Blood America, Inc. FL 8.01 01/27/11
COSI INC DE 5.02 03/18/11
CREE INC NC 7.01,9.01 03/23/11
CSS INDUSTRIES INC DE 1.01,1.02,2.03,9.01 03/17/11
Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 03/23/11
CYPRESS SEMICONDUCTOR CORP /DE/ DE 5.02 03/18/11
CYTODYN INC CO 5.02 03/17/11
DecisionPoint Systems, Inc. DE 9.01 12/31/10 AMEND
DEXCOM INC 5.02,5.03,9.01 03/17/11
DIODES INC /DEL/ DE 7.01,9.01 03/23/11
Discover Financial Services DE 7.01,9.01 03/23/11
DRIL-QUIP INC DE 5.03,9.01 03/23/11
EAGLE ROCK ENERGY PARTNERS L P DE 4.01,9.01 03/23/11
Echo Therapeutics, Inc. DE 1.01,9.01 03/17/11
EDUCATION MANAGEMENT CORPORATION 8.01 03/22/11
ELOYALTY CORP DE 1.01,5.02,7.01,9.01 03/17/11
EMPIRE ENERGY CORP UT 5.02 03/23/11
EMPIRE RESORTS INC DE 3.01 03/22/11
ENERGY PARTNERS LTD DE 9.01 02/14/11 AMEND
Energy Transfer Partners, L.P. DE 7.01,9.01 03/22/11
Ensco plc 1.01,2.03,9.01 03/17/11
Eworld Interactive, Inc. FL 5.02 03/18/11
EXELON CORP PA 1.01,1.02,2.03,9.01 03/23/11
EXTERRAN PARTNERS, L.P. DE 7.01,8.01,9.01 03/22/11
Federal Home Loan Bank of Dallas 2.03,9.01 03/17/11
FIRST ASIA HOLDINGS Ltd A6 3.02 03/22/11
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 1.01,3.02,9.01 03/18/11
FIRST DEFIANCE FINANCIAL CORP OH 8.01,9.01 03/23/11
FIRST FEDERAL BANCSHARES OF ARKANSAS TX 8.01 03/18/11 AMEND
FIRST PACTRUST BANCORP INC MD 8.01,9.01 03/22/11
FORCE FUELS INC. 5.02 03/18/11
Fortress International Group, Inc. DE 2.02,9.01 03/23/11
FS Investment CORP MD 2.02,9.01 03/23/11
FTI CONSULTING INC MD 5.02,7.01,9.01 03/21/11
FX ENERGY INC NV 8.01,9.01 03/23/11
GASTAR EXPLORATION LTD 5.05,9.01 03/22/11
General Finance CORP DE 3.01,9.01 03/23/11
GENERAL MILLS INC DE 2.02,9.01 03/23/11
GEORESOURCES INC CO 2.02,9.01 03/09/11
GLOBAL 8 ENVIRONMENTAL TECHNOLOGIES, NV 5.02,8.01,9.01 03/22/11
GOLDFIELD CORP DE 5.02,9.01 03/17/11
GOLDMAN SACHS GROUP INC DE 9.01 03/23/11
GRUBB & ELLIS CO DE 8.01,9.01 03/21/11
HARMAN INTERNATIONAL INDUSTRIES INC / DE 7.01,9.01 03/23/11
Hatteras Financial Corp 1.01,9.01 03/18/11
Helix Wind, Corp. NV 1.01,3.02,8.01,9.01 03/18/11
HOST HOTELS & RESORTS L.P. DE 3.02,3.03 03/17/11
IDACORP INC ID 7.01,9.01 03/23/11
IDT CORP DE 7.01,9.01 03/23/11
IMMEDIATEK INC NV 1.01,9.01 03/17/11
Innophos Holdings, Inc. 5.02,8.01,9.01 03/18/11
Inova Technology Inc. NV 8.01,9.01 03/23/11
INSIGNIA SYSTEMS INC/MN MN 8.01 03/18/11
INSITUFORM TECHNOLOGIES INC DE 7.01,9.01 03/22/11
Intcomex, Inc. DE 8.01,9.01 03/18/11
INTEGRATED FREIGHT Corp FL 3.02,5.02 03/18/11
INTELSAT S.A. N4 8.01,9.01 03/21/11
IPG PHOTONICS CORP DE 5.02,8.01 03/23/11
ISDERA NORTH AMERICA, INC. 4.01 02/22/11 AMEND
ISLE OF CAPRI CASINOS INC DE 5.07 03/18/11
ITP Energy Corp 5.03,7.01,9.01 03/21/11
IVANHOE ENERGY INC 7.01,9.01 03/22/11
J P MORGAN CHASE & CO DE 8.01,9.01 03/23/11
J2 GLOBAL COMMUNICATIONS INC DE 8.01,9.01 03/21/11
JACK IN THE BOX INC /NEW/ DE 7.01,9.01 03/23/11
KEYCORP /NEW/ OH 8.01,9.01 03/18/11
KEYNOTE SYSTEMS INC DE 5.02,5.07 03/18/11
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,8.01,9.01 03/22/11
KV PHARMACEUTICAL CO /DE/ DE 1.01,2.03,9.01 03/17/11
LAKES ENTERTAINMENT INC MN 1.01,9.01 03/17/11
Liberty Global, Inc. 5.02 03/17/11
LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 1.01,2.01,9.01 03/21/11
Lightstone Value Plus Real Estate Inv MD 8.01 03/21/11
LIMITED BRANDS INC DE 8.01,9.01 03/22/11
LOJACK CORP MA 8.01 03/22/11
LTC PROPERTIES INC MD 1.01,7.01,9.01 03/22/11
LTV CORP DE 8.01,9.01 03/17/11
Marina Biotech, Inc. DE 2.02,9.01 03/23/11
MCCLATCHY CO DE 5.02 03/22/11
MERCHANTS BANCSHARES INC DE 5.02,9.01 03/17/11
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 03/15/11
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 03/15/11
MESA ROYALTY TRUST/TX TX 2.02,9.01 03/23/11
METLIFE INC DE 5.02 03/21/11
MICRON TECHNOLOGY INC DE 2.02,9.01 03/03/11
MIDDLEBY CORP DE 7.01,9.01 03/22/11
MIMEDX GROUP, INC. FL 1.01,5.02,9.01 03/18/11 AMEND
MOKITA, INC. NV 3.02,5.01,5.02 02/28/11
MUELLER INDUSTRIES INC DE 7.01,9.01 03/23/11
Mueller Water Products, Inc. DE 5.07 03/23/11 AMEND
MULTIMEDIA GAMES INC TX 5.03,5.07,9.01 03/22/11
MUSTANG ALLIANCES, INC. 5.02,9.01 03/17/11
NEOGEN CORP MI 2.02,9.01 03/22/11
NEOGEN CORP MI 8.01 01/07/11 AMEND
NEOPROBE CORP DE 8.01,9.01 03/23/11
NETWORK 1 FINANCIAL GROUP, INC. DE 1.02 03/17/11
NETWORK ENGINES INC DE 5.02,5.07 03/17/11
NEXT GENERATION ENERGY CORP. NV 2.01,2.06,9.01 03/22/11
NNN 2002 VALUE FUND LLC 7.01,9.01 03/21/11
NORDSTROM INC WA 8.01,9.01 03/23/11
NORTHERN STATES POWER CO MN 1.01,1.02,2.03,9.01 03/17/11
NORTHERN STATES POWER CO /WI/ WI 1.01,2.03,9.01 03/17/11
OGE ENERGY CORP. OK 7.01 03/23/11
OPHTHALMIC IMAGING SYSTEMS CA 4.02,7.01,9.01 03/17/11
OPTICAL CABLE CORP VA 2.02,9.01 03/17/11
Orient Paper Inc. NV 4.01,9.01 12/01/09 AMEND
OXIGENE INC DE 3.02,5.07,8.01 03/18/11
PACIFICHEALTH LABORATORIES INC DE 1.01,3.02,5.02 03/22/11
PARK CITY GROUP INC 2.02,8.01,9.01 03/23/11
PAYCHEX INC DE 2.02,9.01 03/23/11
PEOPLES EDUCATIONAL HOLDINGS MN 7.01,9.01 03/23/11
PERMA FIX ENVIRONMENTAL SERVICES INC DE 5.02,9.01 03/17/11
Piedmont Office Realty Trust, Inc. MD 7.01,8.01 03/22/11
PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 03/23/11
PIRANHA VENTURES INC NV 5.02 03/22/11
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,8.01,9.01 03/22/11
POINDEXTER J B & CO INC DE 5.02,9.01 03/21/11
Polypore International, Inc. 1.01,8.01,9.01 03/17/11
POWIN CORP 3.03,9.01 02/15/11 AMEND
PPLUS Trust Series JPM-1 DE 8.01,9.01 03/15/11
Pregis Holding II CORP DE 2.02,9.01 03/23/11
PRINCETON NATIONAL BANCORP INC DE 5.02 03/21/11
PROFILE TECHNOLOGIES INC DE 5.03,9.01 03/22/11
Protalix BioTherapeutics, Inc. FL 9.01 03/17/11 AMEND
PUBLIC SERVICE CO OF COLORADO CO 1.01,1.02,2.03,9.01 03/17/11
PULSE ELECTRONICS CORP PA 8.01,9.01 03/23/11
QUIKSILVER INC DE 5.02,5.07,9.01 03/22/11
RADIOSHACK CORP DE 7.01 03/18/11
RAE SYSTEMS INC DE 2.02,9.01 03/22/11
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 03/23/11
REALTY INCOME CORP MD 8.01,9.01 03/23/11
RED HAT INC DE 2.02,9.01 03/23/11
Regency Energy Partners LP DE 7.01,9.01 03/22/11
RENT A CENTER INC DE 8.01,9.01 03/22/11
RESOURCE HOLDINGS, INC. NV 4.02 03/17/11
ROTATE BLACK INC NV 8.01,9.01 03/21/11
SAIC, Inc. 2.02,9.01 03/23/11
SANUWAVE Health, Inc. NV 4.02 03/23/11
SCHAWK INC 7.01 03/23/11
SeaBright Holdings, Inc. DE 5.02,9.01 03/17/11
SENSIENT TECHNOLOGIES CORP WI 1.01,2.03,9.01 03/22/11
Shrink Nanotechnologies, Inc. DE 1.01,3.02,4.01,7.01, 03/23/11 AMEND
8.01,9.01
Silver Dragon Resources Inc. DE 7.01,9.01 03/23/11
SINO PAYMENTS, INC. NV 7.01,9.01 03/23/11
SINOHUB, INC. DE 7.01,9.01 03/23/11
SOLTA MEDICAL INC DE 5.02 03/17/11
SOUTHWESTERN PUBLIC SERVICE CO NM 1.01,1.02,2.03,9.01 03/17/11
STAR SCIENTIFIC INC DE 5.02 03/17/11
STAR SCIENTIFIC INC DE 8.01,9.01 03/23/11
STEELCASE INC MI 2.02,5.02,7.01,9.01 03/21/11
STRATEGIC AMERICAN OIL CORP NV 1.01,2.03 03/17/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/11
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 03/15/11
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 03/15/11
SunSi Energies Inc. NV 9.01 11/30/10 AMEND
SUNTRUST BANKS INC GA 8.01,9.01 03/18/11
SWEET SPOT GAMES INC NV 3.03,5.03,8.01 03/21/11
SYCAMORE NETWORKS INC DE 8.01 03/16/11
SYNALLOY CORP DE 5.02 01/24/11 AMEND
SYNERGY RESOURCES CORP CO 3.02 03/21/11
TBS International plc L2 9.01 03/23/11 AMEND
Teaching Time, Inc. FL 5.02,5.03,9.01 03/15/11
TECKMINE INDUSTRIES INC. NV 5.02,9.01 03/21/11
Telanetix,Inc DE 8.01,9.01 03/23/11
TESCO CORP 3.01 03/17/11
TESSERA TECHNOLOGIES INC DE 7.01,9.01 03/23/11
TITAN INTERNATIONAL INC IL 5.02,9.01 01/03/11
TRI VALLEY CORP DE 2.02,9.01 03/22/11
Triangle Petroleum Corp NV 8.01,9.01 03/21/10
TRINITY INDUSTRIES INC DE 7.01,9.01 03/23/11
Trius Therapeutics Inc DE 2.02,9.01 03/23/11
UFood Restaurant Group, Inc. NV 8.01,9.01 03/21/11
UNISOURCE ENERGY CORP AZ 7.01,9.01 03/23/11
Urban Ag. Corp. 5.02,9.01 02/17/11
UTAH MEDICAL PRODUCTS INC UT 1.01,2.01,2.03,9.01 03/17/11
V F CORP PA 5.02 03/21/11
VAALCO ENERGY INC /DE/ DE 5.02,7.01,9.01 03/18/11
Valeant Pharmaceuticals International A6 5.02,8.01,9.01 03/21/11
Vangent, Inc. DE 2.02,9.01 03/23/11
VERIFONE SYSTEMS, INC. DE 7.01 03/22/11
Voice Assist, Inc. NV 1.01,8.01 03/17/11
Vuzix Corp DE 5.02,9.01 03/17/11
W&T OFFSHORE INC TX 7.01 03/23/11
WEBTRADEX INTERNATIONAL Corp NV 5.02 03/23/11
WEIKANG BIO-TECHNOLOGY GROUP CO., INC NV 2.02,9.01 03/22/11
WESTAR ENERGY INC /KS KS 7.01,9.01 03/23/11
Western Refining, Inc. DE 7.01,9.01 03/23/11
White River Capital Inc IN 5.02,9.01 03/18/11
WILMINGTON TRUST CORP DE 5.07,9.01 03/22/11
WindTamer Corp NY 2.04 03/17/11
XCEL ENERGY INC MN 1.01,1.02,2.03,9.01 03/17/11
XCEL ENERGY INC MN 7.01 03/23/11
XOMA LTD /DE/ DE 8.01,9.01 03/22/11
ZAXIS INTERNATIONAL INC DE 4.01,9.01 03/22/11
ZEBRA TECHNOLOGIES CORP 2.01,5.02,9.01 03/18/11
http://www.sec.gov/news/digest/2011/dig032411.htm
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