 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Enforcement proceedingsIn the Matters of Steven E. Malin and Michael A. PiconeThe United States Securities and Exchange Commission (Commission) announced the issuance of Orders Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (the Orders) against Steven E. Malin (Malin) and Michael A. Picone (Picone). The Orders find that from approximately August 1993 through December 1996, Malin was employed as a consultant at A.B. Watley Group, Inc., the parent company of A.B. Watley, Inc., a day trading firm registered with the Commission as a broker-dealer, and from approximately May 1996 through the present, Malin was Chief Executive Officer and Chairman of the Board of A.B. Watley Group, Inc. From December 2002 through August 2003, Picone was the Chief Operating Officer of A.B. Watley Group, Inc., and from August 2003 through 2004, was a consultant to A.B. Watley Group, Inc. Picone held series 7 and 63 licenses. During the time in which they engaged in the conduct underlying the civil action referenced below, Malin and Picone were associated with a broker-dealer. The Orders further find that on March 21, 2011, final judgments were entered by consent against Malin and Picone, permanently enjoining them from future violations of 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, and from aiding and abetting violations of Section 15(c) of the Exchange Act in the civil action entitled Securities and Exchange Commission v. A. B. Watley Group, Inc., et al., Civil Action Number 1:06-CV-1274, in the United States District Court for the Eastern District of New York. The Commission’s complaint alleged, inter alia, that while Malin and Picone were associated with a broker-dealer, they participated in a scheme to improperly obtain material confidential information from broker-dealers’ “squawk boxes” so that day traders at the broker-dealer could trade ahead of the broker-dealers’ institutional orders. The Orders bar Picone from association with any broker or dealer with the right to reapply for association after three (3) years to the appropriate self-regulatory organization, or if there is none, to the Commission, and bar Malin from association with any broker or dealer with the right to reapply for association after one (1) year to the appropriate self-regulatory organization, or if there is none, to the Commission. Malin and Picone consented to the issuance of the Orders without admitting or denying any of the findings in the Orders except as to the final judgments entered against them, which they admit. (Picone - Rel. 34-64301, File No. 3-14342; Malin - Rel. 34-64302, File No. 3-14343) Thomas Michael Rittweger SanctionedThomas Michael Rittweger (Rittweger), of New Jersey, has been barred from association with any broker or dealer. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. Rittweger was enjoined from violating the antifraud provisions of the federal securities laws following a conviction for securities fraud, wire fraud, racketeering, and other crimes. The misconduct on which the injunction and conviction were based occurred in the late 1990s when Rittweger was associated with Credit Bancorp, Ltd., which ran a Ponzi scheme. (Initial Decision No. 417; File No. 3-14070) SEC Files Settled Civil Action Against Former Zale Employee for Causing Zale to Record Inaccurate Television Advertising CostsOn April 14, 2011, the Commission filed a settled civil action in the United States District Court for the Northern District of Texas, Dallas Division, against Rebecca Lynn Higgins, a former vice president of marketing at Zale Corporation, for causing Zale to record certain television advertising costs as prepaid advertising when, in fact, those costs should have been expensed in the periods in which they were incurred. The Commission alleges that Higgins’s conduct caused Zale’s publicly reported prepaid advertising and advertising expense for the years and quarters from 2004 through 2009 to be materially misstated. Without admitting or denying the allegations, Higgins has consented to entry of a final judgment permanently enjoining her from aiding and abetting violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934 and Rules 12b-20, 13a-1, and 13a-13 thereunder. She also has agreed to pay a $25,000 civil penalty. [SEC v. Rebecca Lynn Higgins, Civil Action No. 3:11-cv-763 (N.D. Tex.) (April 14, 2011)] (LR-21930; AAE Rel. 3270) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the International Securities Exchange (SR-ISE-2011-20) relating to fees and rebates for adding and removing liquidity has become immediately 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 April 18, 2011. (Rel. 34-64296) A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-52) relating to rebates and fees for Customer Complex Orders 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 April 18, 2011. (Rel. 34-64300) 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-3ASR ETFS Gold Trust, ETF SECURITIES USA LLC,
555 CALIFORNIA STREET, SUITE 2900, SAN FRANCISCO, CA, 94104,
415-404-6332 - 14,000,000 ($2,029,300,000.00) Equity,
(File 333-173472 - Apr. 14) (BR. 08B)
S-1 Intervia Inc., 702-989-5429 - 12,000,000 ($99,960.00) Equity,
(File 333-173474 - Apr. 14) (BR. 10B)
S-1 BENACO, INC., K CERVENEMU VRCHU 845/2B, APT. 223, PRAGUE 6, 2N, 160 00,
011-420-77777-2181 - 3,000,000 ($90,000.00) Equity, (File 333-173476 -
Apr. 14) (BR. )
S-8 CERAGON NETWORKS LTD, 24 RAOUL WALLENBERG ST, 972-3-645-5733,
TEL AVIV ISRAEL, L3, 69719, 0119723645 -
1,450,000 ($17,182,500.00) Equity, (File 333-173480 - Apr. 14) (BR. 11A)
S-11 Hudson Pacific Properties, Inc., 11601 WILSHIRE BLVD., SUITE 1600,
LOS ANGELES, CA, 90025, (310) 445-5700 - 0 ($106,925,175.00) Equity,
(File 333-173487 - Apr. 14) (BR. 08A)
S-8 DNA BRANDS INC, 508 NW 77TH STREET, BOCA RATON, FL, 33487,
954-978-8401 - 2,400,000 ($2,280,000.00) Equity, (File 333-173492 -
Apr. 14) (BR. 11A)
S-8 USA TECHNOLOGIES INC, 100 DEERFIELD LANE, SUITE 140, MALVERN, PA,
19355, 6109890340 - 300,000 ($615,000.00) Equity, (File 333-173493 -
Apr. 14) (BR. 03B)
S-8 NEOGENOMICS INC, 1726 MEDICAL BOULEVARD, SUITE 201, SUITE 201, NAPLES,
FL, 34108, 9419231949 - 120,000 ($168,000.00) Equity,
(File 333-173494 - Apr. 14) (BR. 09A)
S-8 Sonora Resources Corp., 3120 S. DURAGO DRIVE, SUITE 305, LAS VEGAS, NV,
89117-4454, 702-579-7922 - 8,500,000 ($3,272,500.00) Equity,
(File 333-173495 - Apr. 14) (BR. 02B)
S-8 Arcos Dorados Holdings Inc., Roque Saenz Pena 432, B1636FFB Olivos,
Buenos Aires, C1, None, 011 54 11 4711 2000 -
5,238,235 ($89,049,995.00) Equity, (File 333-173496 - Apr. 14) (BR. 05C)
S-1 Optex Systems Holdings Inc, 340 HAVEN AVENUE, #2N, NEW YORK, NY, 10033,
201-344-8467 - 25,000,000 ($250,000.00) Equity, (File 333-173502 -
Apr. 14) (BR. 10B)
S-3ASR APARTMENT INVESTMENT & MANAGEMENT CO, 4582 S ULSTER ST PARKWAY, DENVER,
CO, 80237, 3037578101 - 0 ($1.00) Equity, (File 333-173503 - Apr. 14)
(BR. 08A)
S-4 EVERTEC, Inc., CUPEY CENTER BUILDING, ROAD 176, KM 1.3, RIO PIEDRAS,
PR, 00926, 787.759.9999 - 0 ($220,000,000.00) Non-Convertible Debt,
(File 333-173504 - Apr. 14) (BR. )
S-4 YCC Holdings LLC, 16 Yankee Candle Way, South Deerfield, MA, 01373,
4136658306 - 0 ($537,960,211.00) Debt, (File 333-173505 - Apr. 14)
(BR. )
S-1 Brightstar Corp., 2010 N.W. 84TH AVENUE, MIAMI, FL, 33122,
(305) 477-8676 - 0 ($300,000,000.00) Equity, (File 333-173506 -
Apr. 14) (BR. 10A)
S-1 Salient Products Corp, 6455 AVENIDA WILFREDO, LA JOLLA, CA, 92037,
206-426-1775 - 4,000,000 ($40,000.00) Equity, (File 333-173508 -
Apr. 14) (BR. )
F-3ASR CORPBANCA/FI, HUERFANOS 1072, SANTIAGO CHILE, F3, 00000,
56 (2) 687-8000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-173509 - Apr. 14) (BR. 07A)
S-3 NuStar Energy L.P., 2330 NORTH LOOP 1604 WEST, SAN ANTONIO, TX, 78248,
2109182000 - 0 ($200,000,000.00) Unallocated (Universal) Shelf,
(File 333-173510 - Apr. 14) (BR. 04A)
S-4 NARA BANCORP INC, 3731 WILSHIRE BLVD, SUITE 1000, LOS ANGELES, CA,
90010, 2136391700 - 0 ($289,841,604.00) Equity, (File 333-173511 -
Apr. 14) (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
3Power Energy Group Inc. NV 5.07 04/14/11
AAR CORP DE 1.01,1.02,5.05,8.01, 04/12/11
9.01
ABC Acquisition Corp 1502 NV 1.01,2.01,3.02,5.01, 01/07/11
5.02,5.03,5.06,9.01
ABSOLUTE LIFE SOLUTIONS, INC. NV 5.01,8.01,9.01 04/14/11
AIRTRAN HOLDINGS INC NV 7.01,8.01,9.01 04/14/11
ALCOA INC PA 8.01,9.01 04/13/11
ALCOA INC PA 2.02,9.01 04/11/11
Alto Group Holdings Inc. NV 1.01,3.02 04/04/11
AMEREN CORP MO 8.01 04/12/11
AMERICAN AIRLINES INC DE 7.01 04/14/11
American Environmental Energy, Inc. MN 5.02,8.01,9.01 04/04/11
AMERICAN LITHIUM MINERALS, INC. 1.01,3.02,7.01,8.01, 04/07/11
9.01
AMERICAN RIVER BANKSHARES CA 7.01,9.01 04/13/11
American Standard Energy Corp. DE 1.01,9.01 04/08/11
AMERICAN WAGERING INC NV 1.01,2.03,5.07,8.01, 04/13/11
9.01
AMERITRANS CAPITAL CORP DE 1.01,1.02,3.02,8.01, 04/12/11
9.01
AMN HEALTHCARE SERVICES INC DE 5.07 04/12/11
AMR CORP DE 7.01 04/14/11
ANIXTER INTERNATIONAL INC DE 1.01,1.02,9.01 04/08/11
Answers CORP 8.01,9.01 04/13/11
Answers CORP 8.01,9.01 04/13/11
APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01,9.01 04/14/11
APD ANTIQUITIES, INC. NV 1.01,9.01 04/08/11
API Technologies Corp. DE 2.02,9.01 04/14/11
APPALACHIAN POWER CO VA 2.06 04/14/11
ATRION CORP DE 5.03,9.01 04/13/11
AUXILIUM PHARMACEUTICALS INC 5.02 04/12/11
Axcan Intermediate Holdings Inc. DE 1.01 04/11/11
AZAZ Capital Corp. NV 5.02 04/11/11
BALDWIN & LYONS INC IN 8.01,9.01 04/14/11
BANK OF THE OZARKS INC AR 2.02,7.01,8.01,9.01 04/13/11
BASSETT FURNITURE INDUSTRIES INC VA 2.02,9.01 04/12/11
BEL FUSE INC /NJ NJ 8.01,9.01 04/14/11
BEST BUY CO INC MN 7.01,9.01 04/14/11
BILL BARRETT CORP 7.01,9.01 04/13/11
BIOMIMETIC THERAPEUTICS, INC. DE 1.01,9.01 04/14/11
BJs RESTAURANTS INC CA 8.01,9.01 04/14/11
BPZ RESOURCES, INC. TX 7.01,9.01 04/13/11
Breezer Ventures Inc. NV 1.01 04/11/11
BSQUARE CORP /WA WA 5.02 04/12/11
Bullion Monarch Mining, Inc. (NEW) UT 5.02,9.01 04/08/11
Burger King Holdings Inc DE 2.02,5.02,9.01 04/11/11
Cape Bancorp, Inc. MD 1.01,9.01 04/11/11
CAPITAL SENIOR LIVING CORP DE 1.01,2.03,7.01,9.01 04/08/11
CASEYS GENERAL STORES INC IA 7.01 04/14/11
CB RICHARD ELLIS REALTY TRUST MD 1.01,2.01,2.03,9.01 04/11/11
CDW Corp DE 1.01,2.03,8.01,9.01 04/12/11
CENTRA FINANCIAL HOLDINGS INC WV 8.01 04/12/11
China Environmental Protection Inc. NV 4.01 01/21/11
China Industrial Waste Management Inc NV 2.02,9.01 04/13/11
China Media Group CORP TX 1.01,9.01 04/14/11
China Media Group CORP TX 5.02 04/14/11
ChinaNet Online Holdings, Inc. NV 8.01 04/13/11
CHRISTOPHER & BANKS CORP DE 2.02,9.01 04/14/11
CIBER INC DE 1.02,5.02 04/13/11
CIRCOR INTERNATIONAL INC DE 5.02,8.01,9.01 04/08/11
CLEAN POWER CONCEPTS INC. 1.01,3.02,9.01 04/13/11
CLIFFS NATURAL RESOURCES INC. OH 1.01 04/08/11
Columbia Seligman Premium Technology MD 7.01 04/14/11
COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 04/14/11
Commercial Vehicle Group, Inc. DE 1.01,8.01,9.01 04/13/11
Comstock Mining Inc. NV 4.02 04/13/11
CONSOL Energy Inc DE 1.02,8.01 04/11/11
Convio, Inc. DE 5.02 04/08/11
CoroWare, Inc, DE 5.02 04/08/11
CRACKER BARREL OLD COUNTRY STORE, INC TN 7.01,9.01 02/24/11
CUBIST PHARMACEUTICALS INC DE 2.02,9.01 04/14/11
CVR ENERGY INC DE 7.01,9.01 04/14/11
CVR ENERGY INC DE 2.01,8.01,9.01 04/13/11
CVR PARTNERS, LP DE 7.01,9.01 04/14/11
CYTODYN INC CO 5.02,9.01 04/08/11
DAIS ANALYTIC CORP 5.02 04/11/11
DecisionPoint Systems, Inc. DE 1.01,9.01 04/08/11
Deerfield Capital Corp. MD 1.01,2.01,3.02,3.03, 04/12/11
5.01,5.02,5.03,5.07,
9.01
DELCATH SYSTEMS INC DE 8.01,9.01 04/13/11
DELTATHREE INC DE 2.03 04/14/11
DIGAGOGO VENTURES CORP DE 5.06,9.01 04/14/11
DORCHESTER MINERALS LP DE 2.02,7.01,9.01 04/14/11
Eastern Environment Solutions Corp. 5.02 04/13/11
ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 04/13/11
ECOLOGY COATINGS, INC. NV 3.02 04/13/11
EDUCATION MANAGEMENT CORPORATION 8.01 04/14/11
EL PASO CORP/DE DE 8.01,9.01 04/14/11
Elite Energies, Inc. DE 5.02,9.01 04/14/11
ENDO PHARMACEUTICALS HOLDINGS INC DE 1.01,9.01 04/10/11
ENER1 INC FL 1.01 04/08/11
Energy Future Holdings Corp /TX/ TX 2.02,8.01,9.01 04/14/11
Energy Future Holdings Corp /TX/ TX 8.01,9.01 04/14/11
EPL Intermediate, Inc. DE 8.01,9.01 04/14/11
EVERGREEN ENERGY INC DE 1.01 04/12/11
EZENIA INC DE 4.01,9.01 04/04/11
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 04/14/11
Federal Home Loan Bank of Atlanta X1 2.03 04/14/11
Federal Home Loan Bank of Boston X1 2.03 04/12/11
Federal Home Loan Bank of Chicago X1 2.03 04/11/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/11/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/12/11
Federal Home Loan Bank of Indianapoli X1 2.03 04/11/11
Federal Home Loan Bank of New York X1 2.03,9.01 04/11/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/11/11
Federal Home Loan Bank of San Francis X1 2.03 04/11/11
Federal Home Loan Bank of Seattle 2.03 04/11/11
Federal Home Loan Bank of Topeka 2.03,9.01 04/11/11
FINDEX COM INC NV 3.02 04/08/11
FIRST WEST VIRGINIA BANCORP INC WV 5.07 04/12/11
FLOTEK INDUSTRIES INC/CN/ DE 5.02 04/08/11
FREDERICK COUNTY BANCORP INC MD 5.07 04/14/11
FXCM Inc. 7.01,9.01 04/14/11
GAIN Capital Holdings, Inc. DE 8.01 04/08/11
GENEREX BIOTECHNOLOGY CORP DE 1.01,9.01 04/13/11
GENESEE & WYOMING INC DE 1.01,9.01 04/08/11
GENTOR RESOURCES, INC. FL 5.02 04/07/11
GLOBAL CROSSING LTD 1.01,8.01,9.01 04/10/11
GLOBAL CROSSING LTD 5.02 04/09/11
Global Investor Services, Inc. UT 5.02,7.01,9.01 04/12/11
GOLD STANDARD MINING CORP. NV 5.02,9.01 04/08/11
Golden State Water CO CA 8.01,9.01 04/11/11
GOLDMAN SACHS GROUP INC DE 9.01 04/14/11
GOODYEAR TIRE & RUBBER CO /OH/ OH 5.07 04/12/11
Google Inc. DE 2.02,8.01,9.01 04/14/11
Graham Packaging Co Inc. DE 1.01,1.02,5.02,9.01 04/12/11
GREAT PLAINS ENERGY INC MO 2.05 03/10/11 AMEND
GREEN ENVIROTECH HOLDINGS CORP. DE 1.01,3.02,9.01 04/08/11
Grubb & Ellis Healthcare REIT II, Inc MD 1.01,2.03,9.01 04/08/11
Guaranty Financial Group Inc. DE 8.01,9.01 04/12/11
Gunpowder Gold Corp NV 3.02,9.01 04/08/11
HASBRO INC RI 2.01,9.01 04/14/11
HAVAYA CORP 1.01,5.06,9.01 04/14/11
HD SUPPLY, INC. DE 2.02,9.01 04/14/11
HERE ENTERPRISES, INC. NV 8.01 04/07/11
HIGHLANDS BANKSHARES INC /WV/ WV 8.01 04/12/11
HOLLYWOOD MEDIA CORP FL 2.02,9.01 04/14/11
HOUSTON AMERICAN ENERGY CORP DE 7.01,9.01 04/13/11
HUMAN GENOME SCIENCES INC DE 7.01,9.01 04/14/11
HUNT J B TRANSPORT SERVICES INC AR 2.02,9.01 04/13/11
Huron Consulting Group Inc. DE 5.03,8.01,9.01 04/11/11
IAC/INTERACTIVECORP DE 1.01 04/08/11
IMMUCOR INC GA 1.02,5.02,9.01 04/14/11
Imperial Holdings, Inc. 1.01,2.03 04/12/11
INDEPENDENT BANK CORP MA 2.02,7.01,9.01 04/14/11
Indigo-Energy, Inc. NV 8.01,9.01 04/14/11
INSIGNIA SYSTEMS INC/MN MN 8.01 04/08/11
InspireMD, Inc. DE 4.01,9.01 03/31/11 AMEND
Intrepid Potash, Inc. DE 2.02,7.01,9.01 04/14/11
IRON MOUNTAIN INC DE 5.02 04/12/11
ISTA PHARMACEUTICALS INC DE 2.02,9.01 04/14/11
J P MORGAN CHASE & CO DE 8.01,9.01 04/13/11
Jayhawk Energy, Inc. CO 3.02,8.01,9.01 04/13/11
JBI, INC. NV 5.02,8.01,9.01 04/06/11
LAKELAND BANCORP INC NJ 2.02,8.01,9.01 04/14/11
LANTRONIX INC DE 8.01 04/14/11
LAZARE KAPLAN INTERNATIONAL INC DE 2.02,8.01 04/14/11
LEVEL 3 COMMUNICATIONS INC DE 1.01,3.03,5.03,9.01 04/10/11
LEVI STRAUSS & CO DE 5.02 04/12/11
Liberty Coal Energy Corp. 5.02,9.01 04/12/11
MAGNUM HUNTER RESOURCES CORP DE 1.01,2.01,2.03,3.02, 04/13/11
9.01
MAINSOURCE FINANCIAL GROUP IN 5.02 04/08/11
MARINE PRODUCTS CORP DE 8.01,9.01 04/05/11
MDC PARTNERS INC A6 7.01,8.01,9.01 04/14/11
Medidata Solutions, Inc. DE 5.02 04/08/11
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 04/14/11
METLIFE INC DE 7.01,9.01 04/13/11
MGM Resorts International DE 5.02,9.01 04/08/11
MICRON TECHNOLOGY INC DE 8.01,9.01 04/13/11
MINDEN BANCORP, INC. LA 7.01,9.01 04/12/11
MINE SAFETY APPLIANCES CO PA 5.02 04/14/11
MISSION WEST PROPERTIES INC CA 2.02,9.01 04/13/11
MIT Holding, Inc. DE 1.02 04/14/11
Motorola Solutions, Inc. DE 2.02,9.01 04/14/11
MOTRICITY INC DE 2.01,3.02,7.01,9.01 04/14/11
NATIONAL BANKSHARES INC VA 5.07 04/12/11
NATIONAL BANKSHARES INC VA 2.02,9.01 04/14/11
NAUTILUS, INC. WA 5.02 04/11/11
Net Savings Link, Inc. NV 7.01,9.01 04/14/11
NEVADA GOLD & CASINOS INC NV 5.02,9.01 04/14/11
NGAS Resources Inc A1 1.02,2.01,3.01,3.03, 04/13/11
5.01,5.02,9.01
Nissan Auto Receivables 2011-A Owner DE 8.01,9.01 04/13/11
NORTEK INC DE 1.01,9.01 04/14/11
NORTHWEST PIPE CO OR 8.01 04/14/11
NOVELL INC DE 8.01 04/12/11
NPS PHARMACEUTICALS INC DE 1.01,9.01 04/13/11
OIL STATES INTERNATIONAL, INC DE 7.01,9.01 04/14/11
ORTHOVITA INC 8.01,9.01 04/13/11
OVERLAND STORAGE INC CA 8.01 04/14/11
Owens Corning DE 5.07 04/14/11
PACIFIC CONTINENTAL CORP OR 2.02,9.01 04/13/11
Park Sterling Corp NC 5.02 04/11/11
PC TEL INC DE 5.02,9.01 04/12/11
PENN VIRGINIA CORP VA 1.01,2.03,7.01,9.01 04/13/11
PHOTOTRON HOLDINGS, INC. DE 2.01 03/09/11 AMEND
PIER 1 IMPORTS INC/DE DE 5.02,9.01 04/08/11
PNC FINANCIAL SERVICES GROUP INC PA 8.01,9.01 04/13/11
POINDEXTER J B & CO INC DE 2.02,9.01 04/14/11
PORTLAND GENERAL ELECTRIC CO /OR/ OR 5.02 04/14/11
PRESIDENTIAL LIFE CORP DE 8.01,9.01 04/13/11
PRIMEDIA INC DE 7.01,9.01 04/14/11
PROFESSIONAL VETERINARY PRODUCTS LTD NE 7.01,9.01 04/13/11
PROGRESSIVE CORP/OH/ OH 2.02,9.01 04/14/11
PROLOR Biotech, Inc. NV 5.02 04/08/11
PROSPERITY BANCSHARES INC TX 2.02,9.01 04/14/11
PROTECT PHARMACEUTICAL Corp NV 5.02,8.01 04/11/11
PUBLIX SUPER MARKETS INC FL 5.07 04/12/11
QUAINT OAK BANCORP INC 7.01,9.01 04/13/11
QUICKSILVER RESOURCES INC DE 1.01,2.03,9.01 04/14/11
RADIANT LOGISTICS, INC DE 9.01 04/06/11 AMEND
RADIENT PHARMACEUTICALS Corp DE 8.01,9.01 04/13/11
RODMAN & RENSHAW CAPITAL GROUP, INC. DE 2.01,5.02,9.01 04/08/11
ROLLINS INC DE 8.01,9.01 04/13/11
RPC INC DE 8.01,9.01 04/05/11
RPC INC DE 8.01,9.01 04/05/11
RXI PHARMACEUTICALS CORP 1.01,2.01,5.02,9.01 04/13/11
RXI PHARMACEUTICALS CORP 9.01 04/13/11 AMEND
SANDRIDGE ENERGY INC DE 1.01,9.01 04/12/11
Sanswire Corp. DE 8.01,9.01 04/14/11
Santander Holdings USA, Inc. PA 8.01,9.01 04/13/11
SECURITY FEDERAL CORP SC 8.01,9.01 04/11/11
SENSUS (BERMUDA 2) LTD D0 7.01 04/14/11
SHEERVISION, INC. DE 5.02 04/14/11
SIGMA LABS, INC. NV 3.02 04/08/11
SILICON IMAGE INC DE 8.01,9.01 04/14/11
Sky Harvest Windpower Corp. NV 5.01,9.01 04/14/11
SKYE INTERNATIONAL, INC NV 5.02 04/08/11
SMTC CORP DE 5.02 04/08/11
Solar Park Initiatives, Inc. NV 1.01,2.03,3.02,9.01 04/07/11
SOLIGENIX, INC. DE 5.02 04/12/11
SOLITARIO EXPLORATION & ROYALTY CORP. CO 1.01,9.01 04/13/11
SONUS NETWORKS INC DE 5.02 04/14/11
SRA INTERNATIONAL INC DE 8.01 03/30/11
SS&C Technologies Holdings Inc DE 1.01,9.01 04/14/11
STANCORP FINANCIAL GROUP INC OR 2.02,9.01 04/14/11
STAR GAS PARTNERS LP DE 2.02,7.01,9.01 04/14/11
STEEL DYNAMICS INC IN 5.02,8.01,9.01 04/14/11
Strategic Storage Trust, Inc. MD 7.01,9.01 04/14/11
SUNRISE SENIOR LIVING INC DE 1.01,2.02,8.01,9.01 04/08/11
SUNRISE SENIOR LIVING INC DE 8.01,9.01 04/14/11
SUPERVALU INC DE 2.02,9.01 04/14/11
Sustainable Environmental Technologie CA 7.01,9.01 04/13/11
SYNERGY RESOURCES CORP CO 2.02,8.01,9.01 04/12/11
T3 Motion, Inc. DE 1.01,9.01 04/08/11
TASTY BAKING CO PA 1.01,3.03,9.01 04/10/11
TEGAL CORP /DE/ DE 1.01,3.03,5.03,9.01 04/13/11
TELKONET INC UT 5.02,9.01 11/03/10
Tennessee Valley Authority 2.02 04/14/11
TEXAS INDUSTRIES INC DE 8.01,9.01 04/13/11
THRESHOLD PHARMACEUTICALS INC DE 4.01,9.01 04/11/11
Tongli Pharmaceuticals (USA), Inc. DE 5.02,5.03,9.01 04/11/11
TORVEC INC NY 4.01 04/08/11
Transocean Ltd. V8 7.01,9.01 04/14/11
TRI-CONTINENTAL CORP MD 7.01 04/14/11
TRICO MARINE SERVICES INC DE 7.01,9.01 04/14/11
TRIM HOLDING GROUP NV 5.02 04/11/11
U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 04/14/11
U.S. Natural Nutrients & Minerals, In NV 1.01,5.03,5.07,8.01 04/14/11
UNIVERSAL FOREST PRODUCTS INC MI 5.07 04/13/11
UNIVERSAL HEALTH SERVICES INC DE 8.01,9.01 04/14/11
UNIVERSAL TRAVEL GROUP NV 4.01,9.01 04/10/11
URBAN OUTFITTERS INC PA 5.02,9.01 04/11/11
VSB BANCORP INC NY 2.02,9.01 04/13/11
WALGREEN CO IL 5.02,9.01 04/11/11
WAVE SYSTEMS CORP DE 8.01,9.01 04/14/11
WEGENER CORP DE 8.01,9.01 04/13/11
WELLS REAL ESTATE FUND XIII L P 1.01 04/11/11
WILSON BANK HOLDING CO TN 5.07 04/12/11
WOUND MANAGEMENT TECHNOLOGIES, INC. TX 1.01,9.01 03/08/11
WVS FINANCIAL CORP PA 2.02,9.01 04/14/11
Yongye International, Inc. NV 2.02,9.01 04/11/11
http://www.sec.gov/news/digest/2011/dig041511.htm
|