SEC Suspends Trading of 17 Companies in a Broad Effort to Combat Microcap Stock Fraud
The Securities and Exchange Commission ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of 17 issuers quoted on the OTC Markets electronic quotations service because of questions regarding the adequacy and accuracy of information about the companies, including their assets, business operations, current financial condition and/or issuances of shares in company stock.
The names of these companies and the ticker symbols under which they have traded are as follows:
The trading suspensions will last for ten business days. The trading suspensions commenced at 9:30 a.m. EDT on June 7, 2011, and will terminate at 11:59 pm EDT on June 20, 2011.
The Commission ordered the trading suspensions because of questions regarding the adequacy and accuracy of information about the companies, including their assets, business operations, current financial condition, and/or issuances of shares in company stock.
The Commission cautions broker-dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the companies.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspensions, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the above-named securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately contact any of the following individuals:
In connection with AnywhereMD, Inc., Calypso Wireless, Inc., Cascadia Investments, Inc., CytoGenix, Inc., Emerging Healthcare Solutions, Inc., Evolution Solar Corporation, Laidlaw Energy Group, Inc., Montvale Technologies, Inc., MSGI Technology Solutions, Inc. (f/k/a MSGI Security Solutions, Inc.), and United States Oil & Gas Corporation:
Andrew M. Calamari, (212) 336-0042 or firstname.lastname@example.org
Michael Paley, (212) 336-0145 or email@example.com
In connection with American Pacific Rim Commerce Group, Go Solar USA, Inc. Prime Star Group, Inc., and Solar Park Initiatives, Inc.:
Glenn S. Gordon, (305) 982-6360 or firstname.lastname@example.org
Elisha L. Frank, (305) 982-6392 or email@example.com
In connection with Kore Nutrition, Inc. and Mind Technologies, Inc.:
Michele Wein Layne, (323) 965-3850 or firstname.lastname@example.org
Alka N. Patel, (323) 965-2627 or email@example.com
In connection with Global Resource Corporation:
Elaine Greenberg, (215) 597-3100 or firstname.lastname@example.org
Mary Hansen, (215) 597-3100 or email@example.com
Agencies Extend Comment Period on Risk Retention Proposed Rulemaking
Six federal agencies have approved and will submit a Federal Register notice that extends the comment period on the proposed rules to implement the credit risk retention requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The comment period was extended to Aug. 1, 2011, to allow interested persons more time to analyze the issues and prepare their comments. Originally, comments were due by June 10, 2011.
The proposed rule generally would require sponsors of asset-backed securities to retain at least 5 percent of the credit risk of the assets underlying the securities and would not permit sponsors to transfer or hedge that credit risk. The proposal was issued by the Office of the Comptroller of the Currency, the Federal Reserve, the Federal Deposit Insurance Corporation, the U.S. Securities and Exchange Commission, the Federal Housing Finance Agency, and the Department of Housing and Urban Development. (Press Rel. 2011-121)
In the Matter of David L. Olson
On June 6, 2011, an Administrative Law Judge issued an Order Making Findings and Imposing Sanctions by Default against David L. Olson (Olson) in David L. Olson, Admin. Proc. No. 3-14349. The Order Instituting Proceedings (OIP) alleged that Olson was a registered representative associated with World Group Securities, Inc., a broker-dealer registered with the Securities and Exchange Commission, and president of A&O Investments, LLC (A&O), a Florida limited liability company. The OIP alleged that Olson and his business partner raised approximately $14.8 million from at least 100 investors, primarily in Florida and Ohio, through the offer and sale of unregistered securities in the form of promissory notes issued by A&O and several other related entities. According to the complaint, Olson knowingly made material misrepresentations and omitted to state material facts about the use of investor funds, the risks of the investments, and the safety of investor funds. Olson was permanently enjoined from violating Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5 in SEC v. Allen, No. 1:10-cv-1143 (N.D. Ohio 2010). The court found Olson jointly and severally liable with A&O and ordered disgorgement of $10,339,849.95, plus prejudgment interest of $736,631.51, for a total of $11,076,481.46. Olson was ordered to pay a civil penalty of $130,000.
The administrative law judge found the allegations in the OIP to be true and ordered David L. Olson barred from association with a broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and from participating in an offering of penny stock. (Rel. 34-64609; File No. 3-14349)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies for Failure to Make Required Periodic Filings
On June 6, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64610; File No. 3-14411)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Five Public Companies for Failure to Make Required Periodic Filings
On June 6, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64611; File No. 3-14412)
In the Matter of Mark C. Schwartzhoff
On June 7, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions against Mark C. Schwartzhoff (Order), who was the former Vice President of Finance at Dutchmen Manufacturing, Inc., a subsidiary of Thor Industries, Inc. The Order finds that on May 23, 2011, a final judgment was entered against Schwartzhoff in a civil action entitled Securities and Exchange Commission v. Thor Industries Inc., et al., Civil Action Number 1:11-cv-00889 (RMC), in the United States District Court for the District of Columbia. The final judgment permanently enjoins Schwartzhoff from future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 10b-5, 13b2-1, and 13b2-2 thereunder, and aiding and abetting violations of Exchange Act Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) and Exchange Act Rules 12b-20, 13a-1, and 13a-13 thereunder. The final judgment also prohibits Schwartzhoff from serving as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act or that is required to file reports pursuant to Section 15(d) of the Exchange Act, and orders him to pay disgorgement of $394,830, which shall be deemed satisfied by the entry of a restitution order against Schwartzhoff in a parallel criminal case.
According to the Order, the Commission’s complaint alleges, among other things, that during the second quarter of fiscal 2003 through the second quarter of fiscal 2007, Schwartzhoff created and recorded fraudulent accounting entries and related documentation to hide inventory losses occurring at Dutchmen. The complaint alleges that, instead of properly recording increased cost of goods sold, Schwartzhoff hid inventory losses in various balance sheet accounts, including accounts receivable, accounts payable, and cash. These entries, the complaint alleges, resulted in overstating Dutchmen’s pretax income by approximately $26 million during fiscal 2004 to 2006 and into the second quarter of fiscal 2007. As a result, as alleged in the complaint, Thor’s annual and quarterly financial statements filed with the Commission during this period were false and misleading. In June 2007, Thor filed restated financial statements with the Commission for fiscal years 2004 to 2006 and the first quarter of fiscal 2007.
Based on the above, the Order suspends Schwartzhoff from appearing or practicing before the Commission as an accountant. Schwartzhoff consented to the issuance of the Order without admitting or denying any of the findings in the Order except that he admitted to the Commission’s jurisdiction over him and the subject matter of the proceeding, and the fact that the federal court entered the injunction against him. (Rel. 34-64613; AAE Rel. 3289; File No. 3-14413)
In the Matter of Louis W. Zehil, Esq.
On June 7, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Louis W. Zehil. The Order finds that Zehil, age 44, is and has been an attorney licensed to practice in the State of New York. On May 10, 2011, a final judgment was entered against Zehil, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and rule 10b-5 thereunder, in a civil action entitled Securities and Exchange Commission v. Louis W. Zehil, et al., Civil Action Number 07 Civ. 1439 (LAP), in the United States District Court for the Southern District of New York.
Based on the above, the Order suspended Zehil from appearing or practicing before the Commission as an attorney, effective immediately. Zehil consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of an injunction. (Rel. 34-64618; File No. 3-14414)
SEC Charges California Lawyer With Insider Trading
On June 3, 2011, the Securities and Exchange Commission charged Dean A. Goetz with insider trading in the securities of Advanced Medical Optics, Inc. (NYSE: EYE) in advance of the Jan. 12, 2009 announcement that Abbott Laboratories, Inc. would acquire Advanced Medical Optics in a tender offer. Goetz traded based on material, nonpublic information regarding the impending merger and acquisition involving Advanced Medical Optics that he misappropriated from his daughter, a lawyer who, at the time, worked for the law firm representing Advanced Medical Optics in the transaction. Goetz and his daughter shared a relationship of trust and confidence. Unbeknownst to his daughter, Goetz misappropriated confidential deal information from her while she worked on the transaction at her parents’ house over the holidays in December 2008. By trading on the material, nonpublic information he misappropriated, Goetz breached the duty of trust and confidence that he owed to his daughter.
The Commission’s complaint alleges that Goetz, a California resident and an attorney, knew that his daughter owed a duty of confidentiality to her employer and to her employer’s clients. Despite knowing that his daughter could not, and did not, share nonpublic information with him, Goetz misappropriated information about the impending merger and acquisition and used it for his own benefit. The complaint further alleges that on January 8, 2009 – shortly before the market was to close on the day the deal was originally scheduled to be announced – Mr. Goetz bought 900 shares of Advanced Medical Optics through an online brokerage account he had not accessed in almost a year. As a result of his trading, Goetz earned illegal profits of $11,418.
Without admitting or denying the SEC’s allegations, Goetz agreed to settle the charges against him. The settlement is subject to approval by the court. Specifically, Goetz consented to the entry of a final judgment permanently enjoining him from future violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder and ordering him to pay full disgorgement of $11,418, plus prejudgment interest of $925.65, and a penalty of $11,418, for a total of $23,761.65. [SEC v. Dean A. Goetz, No. 11CV1220-IEG-NLS, SDCA] (LR-21990)
Court Freezes Assets Linked to Suspicious Securities Purchases Ahead of Telvent GIT S.A. Acquisition Announcement
On June 3, 2011, the U.S. District Court for the Southern District of New York entered a Temporary Restraining Order freezing assets and trading proceeds of certain unknown purchasers of the securities of Telvent GIT S.A. (Unknown Purchasers). The Commission filed a complaint alleging that the Unknown Purchasers engaged in illegal insider trading in the days preceding the June 1, 2011 announcement that Schneider Electric S.A., a French company, and Telvent, a company based in Madrid, Spain, had entered into an agreement under which Schneider would offer to acquire all of the outstanding common stock of Telvent at a price of $40 per share, a 16% premium over the previous day’s closing price. The Commission’s complaint alleges that the Unknown Purchasers, through their insider trading, violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint seeks permanent injunctive relief, the disgorgement of all illegal profits, and the imposition of civil money penalties.
The Commission’s complaint alleges that between April 29, 2011 and May 27, 2011, the Unknown Purchasers bought 1,200 Telvent call option contracts through an account at Pershing LLC. About two-thirds of the call option contracts were purchased within five calendar days (or two trading days) before the acquisition announcement and comprised as much as 52% of the volume of that series of call options that day. The price of the call options held by the Unknown Purchasers rose dramatically. In one instance, the price of the options increased by about 480%. The complaint alleges that, as a result, the Unknown Purchasers realized total profits of approximately $475,000 from the sale of the call options.
In addition to freezing the assets relating to the trading, the Temporary Restraining Order requires the Unknown Purchasers to identify themselves, imposes an expedited discovery schedule, and prohibits the defendants from destroying documents. [SEC v. One or More Purchasers of Securities of Telvent GIT S.A., 11 Civ. 3794 (TPG) (S.D.N.Y)] (LR-21991)
SEC Obtains Preliminary Injunction Freezing Assets in Case Involving Ponzi Scheme by Co-Founder of China Voice Holding Corp.
On June 5, 2011, the Securities and Exchange Commission obtained a preliminary injunction against multiple defendants in a case involving the co-founder of China Voice Holding Corp. The Commission also received additional relief it sought, including an order freezing the assets of multiple defendants and relief defendants. The preliminary injunction prevents the defendants from violating certain provisions of the securities laws, orders the preservation of documents, and requires the defendants to provide an accounting to determine the disposition of investor funds.
The Commission filed an emergency action on April 28, 2011, alleging that China Voice’s co-founder and former Chief Financial Officer, David Ronald Allen, with the assistance of two associates, Alex Dowlatshahi and Christopher Mills, and numerous related entities, launched what became an ongoing fraud that sought to raise at least $8.6 million from investors across the country. The Commission alleged that, contrary to what investors were told, proceeds were used to pay back earlier investors; to make payments to Allen, Dowlatshahi, and Mills; and to make payments to Allen-affiliated business, including China Voice.
The SEC’s complaint charges Allen, Dowlatshahi, Mills, and various related companies with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC’s complaint also charges China Voice, its former chairman and CEO William Burbank IV, Gerald Patera, Ilya Drapkin, and Robert Wilson with violations of, among other things, Section 10(b) of the Securities Exchange Act and Rule 10b-5 thereunder.
The SEC’s investigation is ongoing. [SEC v. David Ronald Allen, et al., Civil Action No. 3:11-CV-822-O (N.D. Tex.)] (LR-21992)
UBS AG, et al.
The Commission has issued a permanent order to UBS AG, et al. under Section 9(c) of the Investment Company Act with respect to an injunction issued against UBS Financial Services Inc. (UBSFS) by the U.S. District Court for the District of New Jersey on May 6, 2011. The permanent order exempts UBS AG, UBS IB Co-Investment 2001 GP Limited, UBSFS, UBS Alternative and Quantitative Investment LLC, UBS Willow Management, L.L.C., UBS Eucalyptus Management, L.L.C., UBS Juniper Management, L.L.C., UBS Global Asset Management (Americas) Inc. and UBS Global Asset Management (US) Inc., as well as companies of which UBSFS is or becomes an affiliated person, from the provisions of Section 9(a) of the Act. (Rel. IC-29690 – June 6)
Proposed Rule Change
NYSE Arca filed a proposed rule change (SR-NYSEArca-2011-31) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade the shares of the WisdomTree Dreyfus Euro Debt Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64608)
Immediate Effectiveness of Proposed Rule Change
The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2011-04) under Section 19(b)(1) of the Exchange Act, which proposed rule change became effective upon filing, to permit brokers to process specified pool trade activity at the Mortgage-Backed Securities Division in broker accounts. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64604)
Approval of Proposed Rule Change
The Commission approved a proposed rule change (SR-DTC-2011-05) filed by The Depository Trust Company under Section 19(b)(1) of the Exchange Act. The approved rule change will amend DTC’s rules relating to its Memo Segregation Function to no longer permit certain deliveries when there is a deficit n the Memo Segregation account. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64605)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 SONOSITE INC, 21919 30TH DRIVE SE, BOTHELL, WA, 98021-3904, 4259511200 - 633,439 ($19,966,740.49) Other, (File 333-174728 - Jun. 6) (BR. 10C) S-1 HECATE EXPLORATION, 6623 LAS VEGAS BLVD SOUTH, SUITE 255, LAS VEGAS, NV, 89119, (702)360-0652 - 9,000,000 ($90,000.00) Equity, (File 333-174729 - Jun. 6) (BR. ) S-8 XOMA LTD /DE/, 2910 SEVENTH ST, BERKELEY, CA, 94710, 5106441170 - 5,600,000 ($16,856,000.00) Equity, (File 333-174730 - Jun. 6) (BR. 01C) S-4 BROOKLINE BANCORP INC, 160 WASHINGTON STREET, BROOKLINE, MA, 02147, 6177303500 - 0 ($87,157,838.00) Equity, (File 333-174731 - Jun. 6) (BR. 07B) S-8 SUNESIS PHARMACEUTICALS INC, 395 OYSTER POINT BOULEVARD, SUITE 400, SOUTH SAN FRANCISCO, CA, 94080, 650-266-3500 - 0 ($15,748,229.69) Equity, (File 333-174732 - Jun. 6) (BR. 01C) S-4 EXIDE TECHNOLOGIES, 13000 DEERFIELD PARKWAY, BUILDING 200, ALPHARETTA, GA, 30004, 6785669000 - 0 ($675,000,000.00) Non-Convertible Debt, (File 333-174733 - Jun. 6) (BR. 10A) S-4 SHERIDAN GROUP INC, 11311 MCCORMICK RD, STE 260, HUNT VALLEY, MD, 21031-1437, 4107857277 - 0 ($150,000,000.00) Debt, (File 333-174734 - Jun. 6) (BR. 05C) S-8 HAWKINS INC, 3100 E HENNEPIN AVE, MINNEAPOLIS, MN, 55413, 6123316910 - 0 ($42,795,909.00) Equity, (File 333-174735 - Jun. 6) (BR. 06A) S-8 Hill International, Inc., 303 LIPPINCOTT CENTRE, MARLTON, NJ, 08053, (856) 810-6200 - 0 ($13,800,000.00) Equity, (File 333-174737 - Jun. 6) (BR. 06C) S-8 HANCOCK HOLDING CO, ONE HANCOCK PLZ, P.O. BOX 4019, GULFPORT, MS, 39501, 6018684605 - 0 ($4,776,000.00) Equity, (File 333-174738 - Jun. 6) (BR. 07B) S-3 Resource Capital Corp., 712 FIFTH AVENUE, 12TH FLOOR, NEW YORK, NY, 10019, 212-506-3870 - 0 ($139,217,000.00) Equity, (File 333-174739 - Jun. 6) (BR. 08C) S-3ASR OLD NATIONAL BANCORP /IN/, ONE MAIN ST, EVANSVILLE, IN, 47708, 8124641434 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-174740 - Jun. 6) (BR. 07A) S-3 REX ENERGY CORP, 476 ROLLING RIDGE DRIVE, SUITE 300, STATE COLLEGE, PA, 16801, 814-278-7267 - 0 ($184,525,000.00) Unallocated (Universal) Shelf, (File 333-174741 - Jun. 6) (BR. 04C) S-3 Kennedy-Wilson Holdings, Inc., 9701 WILSHIRE BLVD., SUITE 700, BEVERLY HILLS, CA, 90210, 310-887-6400 - 0 ($250,000,000.00) Equity, (File 333-174742 - Jun. 6) (BR. 08B) S-8 CRACKER BARREL OLD COUNTRY STORE, INC, PO BOX 787, LEBANON, TN, 370880787, 6154439217 - 1,500,000 ($70,222,500.00) Equity, (File 333-174744 - Jun. 6) (BR. 05A)
Form 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 ABM INDUSTRIES INC /DE/ DE 5.07 03/08/11 AMEND ACE MARKETING & PROMOTIONS INC NY 3.02 05/25/11 ACORDA THERAPEUTICS INC 8.01,9.01 06/06/11 ACURA PHARMACEUTICALS, INC NY 8.01,9.01 06/06/11 ADCARE HEALTH SYSTEMS INC OH 2.01,8.01,9.01 06/06/11 Ads In Motion, Inc. DE 1.01,3.02,9.01 05/31/11 ADVENT SOFTWARE INC /DE/ DE 2.01,8.01,9.01 06/01/11 AGENUS INC DE 8.01,9.01 06/06/11 Alpine Alpha 3, Ltd. DE 5.03,9.01 06/03/11 ALSERES PHARMACEUTICALS INC /DE DE 1.01 06/01/11 ALSERES PHARMACEUTICALS INC /DE DE 1.01 06/01/11 Altegris QIM Futures Fund, L.P. DE 3.02 06/01/11 ALTEGRIS WINTON FUTURES FUND LP CO 3.02 06/01/11 Alternative Energy Partners, Inc. FL 1.02,5.02 06/01/11 AMERICAN AIRLINES INC DE 8.01 06/06/11 AMERICAN BILTRITE INC DE 1.01,9.01 06/03/11 AMERICAN CAMPUS COMMUNITIES INC MD 7.01,9.01 06/06/11 American Security Resources Corp. NV 5.02 05/16/11 AMERICAN STATES WATER CO CA 8.01,9.01 05/31/11 AMERICAS ENERGY Co - AECO NV 5.02 06/01/11 AMR CORP DE 8.01 06/06/11 APAC CUSTOMER SERVICES, INC IL 5.02,9.01 05/31/11 API Technologies Corp. DE 1.01,2.01,2.03,5.02, 06/01/11 5.03,8.01,9.01 APPLIED MATERIALS INC /DE DC 1.01,9.01 06/01/11 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 06/06/11 Arlington Asset Investment Corp. VA 5.02,5.07,9.01 06/02/11 Armour Residential REIT, Inc. MD 8.01,9.01 06/06/11 ARQULE INC DE 5.02,5.07,9.01 06/01/11 Ascent Media CORP DE 5.02 05/31/11 ASSOCIATED MATERIALS, LLC DE 5.02,9.01 06/02/11 ASSURANCE GROUP INC. FL 4.01 06/06/11 AMEND Atrinsic, Inc. DE 5.02,9.01 06/01/11 AVALONBAY COMMUNITIES INC MD 5.02,7.01 06/03/11 AVI BIOPHARMA INC OR 5.02,9.01 06/01/11 BAKKEN RESOURCES INC 5.02 05/31/11 BANKATLANTIC BANCORP INC FL 8.01,9.01 06/03/11 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 5.02 05/31/11 Boomerang Systems, Inc. DE 7.01,9.01 06/06/11 BPZ RESOURCES, INC. TX 5.02,7.01,9.01 06/01/11 CALLIDUS SOFTWARE INC DE 5.07 06/01/11 CAMAC Energy Inc. DE 5.02,9.01 06/06/11 CAMDEN PROPERTY TRUST TX 7.01,9.01 06/06/11 Capital City Energy Group, Inc. NV 5.02,9.01 05/20/11 Capstone Therapeutics Corp. DE 7.01,9.01 06/06/11 Cardium Therapeutics, Inc. DE 5.07,8.01 06/02/11 CARRIZO OIL & GAS INC TX 5.07,7.01,9.01 06/02/11 CAVIUM NETWORKS, INC. DE 5.07 06/03/11 CEDAR SHOPPING CENTERS INC MD 1.01,5.02,9.01 06/01/11 CERUS CORP DE 1.01,9.01 06/03/11 CHEESECAKE FACTORY INC DE 5.07 06/01/11 CHENIERE ENERGY INC DE 1.01,7.01,8.01,9.01 05/31/11 CHINA CHANGJIANG MINING & NEW ENERGY DE 4.02,9.01 01/05/11 AMEND CHINA ELECTRIC MOTOR, INC. DE 5.02,9.01 06/06/11 CHINA ELECTRIC MOTOR, INC. DE 4.01,4.02,9.01 06/06/11 China Growth CORP E9 1.01,2.01,3.02,4.01, 12/15/10 AMEND 5.01,5.02,5.03,9.01 CHINA ORGANIC FERTILIZER, INC. NV 4.01,9.01 05/29/11 CIGNA CORP DE 7.01 06/06/11 Clean Energy Fuels Corp. DE 1.01,9.01 06/06/11 CLIFFS NATURAL RESOURCES INC. OH 8.01,9.01 06/02/11 CLIFFS NATURAL RESOURCES INC. OH 9.01 05/10/11 AMEND CLOUD PEAK ENERGY INC. DE 1.01,2.03,9.01 06/03/11 CMS ENERGY CORP MI 7.01,9.01 06/06/11 COEUR D ALENE MINES CORP ID 7.01 06/06/11 COMCAM INTERNATIONAL INC DE 1.01,9.01 05/21/11 AMEND COMERICA INC /NEW/ 7.01,9.01 06/06/11 COMMUNITY WEST BANCSHARES / CA 5.03,9.01 06/01/11 COMPUTER SCIENCES CORP NV 8.01 06/06/11 COMVERGE, INC. DE 5.02,8.01,9.01 05/31/11 CONCHO RESOURCES INC DE 5.07 06/02/11 CORCEPT THERAPEUTICS INC DE 8.01,9.01 06/04/11 CorMedix Inc. DE 5.07 06/02/11 COVER ALL TECHNOLOGIES INC DE 5.07 06/02/11 CTC Media, Inc. 5.02,9.01 06/03/11 CUBIST PHARMACEUTICALS INC DE 5.07 06/02/11 DCB FINANCIAL CORP OH 5.02,5.07,9.01 06/06/11 DCT Industrial Trust Inc. MD 1.01,2.03,9.01 06/03/11 Delta Seaboard International, Inc. NV 5.02,9.01 06/05/11 DESERT CAPITAL REIT INC MD 1.01,5.02,9.01 05/31/11 DiamondRock Hospitality Co 1.01,8.01,9.01 06/02/11 DIGITAL ANGEL CORP DE 1.01,5.02 05/31/11 DIGITAL RIVER INC /DE DE 5.07 06/02/11 Discover Card Execution Note Trust DE 1.01,8.01,9.01 06/06/11 Domark International Inc. NV 1.02,9.01 06/03/11 Domark International Inc. NV 1.01,9.01 06/03/11 DUOYUAN PRINTING, INC. WY 8.01,9.01 06/06/11 ECOLOGY COATINGS, INC. NV 1.01 06/06/11 EFT BIOTECH HOLDINGS INC NV 5.03 05/27/11 EL CAPITAN PRECIOUS METALS INC NV 5.07 06/02/11 ELANDIA INTERNATIONAL INC. DE 1.01,2.01,3.02,5.01, 05/31/11 5.02,9.01 Electromed, Inc. MN 5.02,9.01 06/02/11 AMEND ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 06/03/11 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 5.07 06/03/11 ELITE PHARMACEUTICALS INC /DE/ DE 8.01,9.01 05/31/11 Emergent BioSolutions Inc. DE 1.01 05/31/11 EMERITUS CORP\WA\ WA 1.01,1.02,2.03,9.01 06/01/11 Encore Bancshares Inc TX 5.02 06/03/11 ENDEAVOUR INTERNATIONAL CORP NV 8.01 06/06/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01,9.01 06/03/11 ENERNOC INC DE 5.07 06/01/11 Enertopia Corp. NV 1.01,3.02,5.02,7.01, 06/06/11 9.01 Environmental Infrastructure Holdings DE 8.01,9.01 06/01/11 AMEND EQUITY LIFESTYLE PROPERTIES INC MD 7.01,9.01 06/06/11 EQUITY RESIDENTIAL MD 7.01 06/06/11 EUROPE 2001 HOLDRS TRUST NY 8.01,9.01 06/06/11 Excel Trust, Inc. MD 1.01,2.03,9.01 06/03/11 ExlService Holdings, Inc. DE 2.01,9.01 05/31/11 EXOPACK HOLDING CORP 1.01,2.03,2.04,5.02, 05/31/11 8.01,9.01 FERRELLGAS PARTNERS L P DE 7.01,9.01 06/06/11 FiberTower CORP DE 5.07 06/02/11 First National Master Note Trust DE 8.01 05/31/11 FIRST PACTRUST BANCORP INC MD 8.01,9.01 06/06/11 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 06/06/11 FISERV INC WI 8.01,9.01 06/06/11 FIVE STAR QUALITY CARE INC 2.03 06/01/11 FLUSHING FINANCIAL CORP DE 7.01,9.01 06/06/11 FOREST CITY ENTERPRISES INC OH 2.02,9.01 06/06/11 FOREST CITY ENTERPRISES INC OH 2.02,9.01 06/06/11 Fortress Investment Group LLC DE 7.01 06/06/11 FriendFinder Networks Inc. NV 2.01,7.01,9.01 06/06/11 FUQI INTERNATIONAL, INC. DE 3.01 05/31/11 FX ENERGY INC NV 8.01,9.01 06/06/11 G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 06/06/11 GARMIN LTD V8 1.01,5.07,8.01,9.01 06/03/11 GBS Enterprises Inc NV 7.01,9.01 03/14/11 AMEND GEMINI EXPLORATIONS, INC. NV 5.07 06/02/11 GENCOR INDUSTRIES INC DE 8.01 06/06/11 General Motors Co 8.01 06/01/11 Genpact LTD D0 1.01,9.01 06/06/11 GEOPETRO RESOURCES CO CA 1.01 05/31/11 GOLDMAN SACHS GROUP INC DE 9.01 06/06/11 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 06/06/11 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 06/06/11 GOLDRICH MINING CO AK 3.02 05/31/11 Graystone Co DE 8.01 06/06/11 GREAT PLAINS ENERGY INC MO 8.01 06/02/11 AMEND Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 06/06/11 GSV Capital Corp. MD 8.01,9.01 06/06/11 GTJ REIT, Inc. MD 1.01,5.02,8.01 05/27/11 GTX INC /DE/ DE 8.01,9.01 06/06/11 HANCOCK HOLDING CO MS 2.01,5.02,8.01,9.01 06/03/11 HARLEYSVILLE GROUP INC DE 5.07 04/27/11 AMEND HARTFORD FINANCIAL SERVICES GROUP INC DE 7.01 06/06/11 HAWAIIAN HOLDINGS INC DE 5.07 05/31/11 Helix Wind, Corp. NV 5.03,9.01 06/06/11 Hoku Corp DE 1.01,2.03,9.01 06/02/11 Hudson Pacific Properties, Inc. MD 7.01,9.01 06/03/11 ICAGEN INC DE 5.07 06/02/11 ICF International, Inc. DE 5.02,5.07,9.01 06/03/11 IDENIX PHARMACEUTICALS INC DE 5.07 06/02/11 IMAX CORP A6 5.07 06/01/11 IMPAX LABORATORIES INC DE 8.01,9.01 06/03/11 INDUSTRIAL MINERALS INC DE 7.01,9.01 06/06/11 Information Services Group Inc. DE 5.02,9.01 06/06/11 Ingersoll-Rand plc L2 5.07 06/02/11 Inland American Real Estate Trust, In MD 7.01,9.01 06/06/11 INOLIFE TECHNOLOGIES, INC. 4.02,9.01 06/02/11 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 1.01,2.01,5.02,8.01, 05/31/11 9.01 INTELLIGENT COMMUNICATION ENTERPRISE PA 5.02,7.01,9.01 06/01/11 INUVO, INC. NV 1.01,2.03,8.01,9.01 06/02/11 INX Inc DE 7.01,9.01 06/06/11 IRONCLAD PERFORMANCE WEAR CORP 5.07 05/31/11 IXYS CORP /DE/ DE 5.02 06/02/11 Kaiser Federal Financial Group, Inc. MD 5.02,9.01 05/31/11 LA JOLLA PHARMACEUTICAL CO DE 8.01 06/03/11 LA JOLLA PHARMACEUTICAL CO DE 2.01,5.02,8.01 06/02/11 LAKES ENTERTAINMENT INC MN 5.07 06/01/11 LEAPFROG ENTERPRISES INC 5.02,5.07,9.01 06/02/11 LEVEL 3 COMMUNICATIONS INC DE 5.02,9.01 06/01/11 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 2.01,9.01 03/21/11 AMEND LIME ENERGY CO. DE 5.02,5.07,8.01,9.01 06/02/11 LIME ENERGY CO. DE 5.02,9.01 06/03/11 LOCKHEED MARTIN CORP MD 8.01,9.01 06/06/11 Lone Pine Resources Inc. DE 5.02,9.01 06/01/11 LTS Nutraceuticals, Inc. NV 5.02 06/02/11 MABCURE INC. NV 5.02 06/02/11 MAINSOURCE FINANCIAL GROUP IN 8.01,9.01 06/06/11 MAJESCO ENTERTAINMENT CO DE 2.01,3.02,9.01 06/03/11 MANHATTAN SCIENTIFICS INC DE 1.01,2.01,3.02,8.01, 05/31/11 9.01 MASSEY ENERGY CO DE 8.01 05/31/11 Mayflower Bancorp Inc MA 2.02,9.01 06/02/11 mBeach Software, Inc. FL 1.01,9.01 05/31/11 Measurement Specialties Inc NJ 5.02 05/31/11 MERGE HEALTHCARE INC DE 1.01,9.01 06/05/11 Mesa Energy Holdings, Inc. DE 1.01,9.01 06/01/11 MIDWEST BANC HOLDINGS INC DE 1.03,9.01 06/01/11 MITCHAM INDUSTRIES INC TX 2.02,9.01 06/06/11 MOOG INC NY 8.01,9.01 06/03/11 MORGAN STANLEY SMITH BARNEY SPECTRUM NY 1.01,9.01 06/01/11 Mueller Water Products, Inc. DE 7.01,9.01 06/06/11 MxEnergy Holdings Inc 5.07 05/31/11 NATIONWIDE HEALTH PROPERTIES INC MD 1.01,2.03,9.01 06/03/11 NATIONWIDE HEALTH PROPERTIES INC MD 1.01,2.03,9.01 06/03/11 NATURAL ALTERNATIVES INTERNATIONAL IN DE 8.01,9.01 06/03/11 NEOPROBE CORP DE 5.02,9.01 06/01/11 NeurogesX Inc CA 5.07 06/02/11 NOBILITY HOMES INC FL 2.02,9.01 06/03/11 NORTHERN OIL & GAS, INC. 7.01,9.01 06/06/11 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,3.02 05/31/11 OCWEN FINANCIAL CORP FL 1.01,9.01 06/05/11 ON THE MOVE SYSTEMS CORP. FL 5.02 06/01/11 Orbitz Worldwide, Inc. DE 5.02,5.07,9.01 05/31/11 Orbitz Worldwide, Inc. DE 1.01,1.02 11/01/10 AMEND ORION ENERGY SYSTEMS, INC. WI 5.02,9.01 05/31/11 OXIGENE INC DE 8.01,9.01 06/04/11 OXIGENE INC DE 7.01,9.01 06/01/11 OXIGENE INC DE 8.01,9.01 06/06/11 PARKWAY PROPERTIES INC MD 5.02 06/06/11 PDL BIOPHARMA, INC. DE 8.01,9.01 06/06/11 PEP BOYS MANNY MOE & JACK PA 2.02,9.01 06/06/11 PEPSICO INC NC 7.01,9.01 06/06/11 Perfumania Holdings, Inc. FL 7.01,9.01 06/02/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01,5.02,8.01 06/01/11 Pet Airways Inc. IL 1.01,3.02,5.03,8.01, 06/03/11 9.01 PHARMACYCLICS INC DE 7.01,9.01 06/06/11 PLUG POWER INC DE 3.01,9.01 06/06/11 POTASH AMERICA, INC. NV 7.01 06/02/11 PRIVATEBANCORP, INC DE 7.01,9.01 06/06/11 PROFESSIONAL VETERINARY PRODUCTS LTD NE 7.01,9.01 06/06/11 PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 06/06/11 PROLOGIS MD 7.01,9.01 06/06/11 Prologis, Inc. MD 7.01,9.01 06/06/11 RAMBUS INC DE 8.01,9.01 06/06/11 REALNETWORKS INC WA 5.02 05/31/11 REGIONS FINANCIAL CORP DE 8.01 06/02/11 REPROS THERAPEUTICS INC. DE 5.02 06/01/11 REPUBLIC AIRWAYS HOLDINGS INC DE 5.07 06/02/11 REVLON INC /DE/ DE 8.01,9.01 06/05/11 Rhino Resource Partners LP DE 5.02 05/31/11 Riverbed Technology, Inc. DE 5.07 06/01/11 Rosetta Resources Inc. DE 7.01,9.01 06/03/11 ROWAN COMPANIES INC DE 7.01,9.01 06/06/11 RPM INTERNATIONAL INC/DE/ DE 1.01,9.01 05/31/11 RUBY TUESDAY INC GA 8.01,9.01 06/03/11 SABA SOFTWARE INC DE 5.02,7.01,9.01 06/01/11 SHARPS COMPLIANCE CORP DE 5.02,9.01 06/06/11 SINGLE TOUCH SYSTEMS INC DE 1.01,5.02 06/01/11 SMITH A O CORP DE 5.02,9.01 06/06/11 Solar Power, Inc. CA 1.01,2.03,9.01 06/01/11 Solar Senior Capital Ltd. MD 7.01,9.01 06/06/11 SOLERA HOLDINGS, INC DE 5.02 06/06/11 Sono Resources, Inc. NV 5.02 05/31/11 SORL Auto Parts Inc DE 5.07 06/01/11 SPECTRUM CONTROL INC PA 1.02,2.01,2.04,3.01, 06/01/11 3.03,5.01,5.02,5.03 SpectrumDNA, Inc. DE 5.02,8.01 06/01/11 SPORT CHALET INC DE 2.02,9.01 06/02/11 SRA INTERNATIONAL INC DE 8.01,9.01 06/06/11 STRATS SM TRUST FOR DOMINION RESOURCE DE 8.01 06/06/11 Stream Global Services, Inc. DE 1.01,8.01,9.01 06/03/11 SUBAYE, INC. 3.01 05/31/11 SUN RIVER ENERGY, INC CO 7.01 06/06/11 SUNESIS PHARMACEUTICALS INC DE 5.07 06/03/11 Sunstone Hotel Investors, Inc. MD 7.01,9.01 06/06/11 SUNTRUST BANKS INC GA 5.02 06/01/11 SYNTA PHARMACEUTICALS CORP 5.07,8.01,9.01 06/02/11 TANDY BRANDS ACCESSORIES INC DE 5.02 06/03/11 TANGER FACTORY OUTLET CENTERS INC NC 7.01,9.01 06/06/11 TASER INTERNATIONAL INC 5.07 05/26/11 TECKMINE INDUSTRIES INC. NV 5.02,9.01 06/02/11 TEMPLE INLAND INC DE 8.01,9.01 06/06/11 Texas Rare Earth Resources Corp. NV 3.02 05/31/11 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 06/06/11 Tim Hortons Inc. A6 5.02,8.01,9.01 05/31/11 Titan Machinery Inc. DE 1.01,5.02,5.07,9.01 06/02/11 Titanium Group LTD D8 2.01,3.02,5.06,8.01, 05/31/11 9.01 Tops Holding Corp DE 2.02,9.01 06/06/11 TRANS1 INC 5.07 06/02/11 TTM TECHNOLOGIES INC WA 5.03,9.01 06/03/11 TUTOR PERINI Corp MA 1.01,5.07,7.01,9.01 06/01/11 UDR, Inc. MD 7.01,9.01 06/06/11 ULURU INC. NV 5.07 06/01/11 UNIGENE LABORATORIES INC DE 5.07,9.01 06/02/11 UNION PACIFIC CORP UT 8.01,9.01 06/06/11 Uniontown Energy Inc. NV 1.01 05/31/11 UNIPROP MANUFACTURED HOUSING COMMUNIT MI 5.02 06/06/11 UNITED ONLINE INC DE 5.07 06/02/11 UNITED THERAPEUTICS Corp DE 8.01,9.01 06/06/11 UNITEDHEALTH GROUP INC MN 7.01 06/06/11 UNIVERSAL DETECTION TECHNOLOGY CA 3.02,9.01 06/06/11 US GEOTHERMAL INC DE 1.01,7.01,9.01 06/06/11 VALMONT INDUSTRIES INC DE 9.01 06/06/11 VERMILLION, INC. DE 5.07 06/06/11 VISHAY INTERTECHNOLOGY INC DE 5.02,9.01 06/04/11 Vishay Precision Group, Inc. DE 8.01,9.01 06/06/11 Vishay Precision Group, Inc. DE 5.02,5.03,5.07,9.01 06/02/11 Vitamin Shoppe, Inc. DE 5.07 06/01/11 Vystar Corp GA 2.03,5.07,8.01 05/31/11 WALTER INVESTMENT MANAGEMENT CORP MD 7.01,9.01 06/06/11 WARP 9, INC. NV 5.05 06/03/11 Weatherford International Ltd./Switze V8 8.01,9.01 06/06/11 WEST PHARMACEUTICAL SERVICES INC PA 7.01 06/06/11 WESTMOUNTAIN INDEX ADVISOR INC CO 5.03 06/06/11 WESTWOOD HOLDINGS GROUP INC DE 7.01,9.01 06/02/11 WHITNEY HOLDING CORP LA 3.01,3.03,5.01,9.01 06/04/11 WSB Holdings Inc DE 1.01 06/03/11 XETA TECHNOLOGIES INC OK 1.01,2.03 06/03/11 Xun Energy, Inc. NV 5.02 05/31/11 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 06/06/11