U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-45
March 7, 2012


Commission announcements

SEC Charges CEO of Las Vegas-Based Penny Stock Company and Several Consultants in Pump-and-Dump Scheme

The Securities and Exchange Commission today charged a Las Vegas-based food and beverage company and its CEO with conducting a fraudulent pump-and-dump scheme, and charged several consultants for their illegal sales of company shares into the markets.

The SEC alleges that Prime Star Group Inc. under the direction of CEO Roger Mohlman issued false and misleading press releases that touted lucrative agreements for the company’s food and beverage products. For example, Prime Star falsely claimed in a March 2010 press release that it had entered in a distribution agreement with another company in the beverage business valued at up to $16 million annually. Furthermore, certain Prime Star reports filed with the SEC understated the company’s net losses or overstated its cash balance.

The SEC suspended trading in Prime Star in June 2011 due to questions about the adequacy and accuracy of information about the company.

“Prime Star and Mohlman used backdated consulting agreements and forged attorney opinion letters as a means to issue millions of shares to the consultants who then dumped them on unsuspecting investors,” said Eric I. Bustillo, Director of the SEC’s Miami Regional Office. “The SEC will persist in its efforts to stamp out microcap fraud schemes.”

Since the beginning of fiscal year 2011, the SEC has filed more than 50 enforcement actions for misconduct related to penny stocks, and issued more than 65 orders suspending the trading of suspicious microcap issuers. Microcap stocks are issued by the smallest of companies and tend to be low priced and trade in low volumes. Many penny stock companies do not file financial reports with the SEC, so investing in them entails many risks. The SEC has published a microcap stock guide for investors and an Investor Alert about avoiding microcap fraud perpetrated through social media.

The SEC’s complaint against Prime Star and Mohlman alleges that they fraudulently issued free-trading Prime Star shares to consultants who also are charged in the scheme:

  • Kevin Carson of Lake Worth, Fla.
  • Danny Colon of Edgewater, N.J.
  • Colon’s company DC International Consulting LLC
  • Colon’s wife Marysol Morera of Edgewater, N.J.
  • Colon’s half brother Felix Rivera of Clifton, N.J.
  • Esper Gullatt, Jr. of Aurora, Colo.
  • Gullatt’s Minnesota-based company The Stone Financial Group Inc.
  • Joshua Konigsberg of Palm Beach Gardens, Fla.

The SEC alleges that Prime Star and Mohlman pumped the stock by exaggerating the company’s operations and contracts in a series of press releases issued in October 2009 and March 2010. For instance, they issued an October 14 press release claiming Prime Star’s subsidiary Wild Grill Foods had received purchase orders for more than $1.25 million of seafood products. Mohlman was quoted saying, “Prime Star Group is thrilled at the growth of this business unit. We will continue to grow the Wild Grill brand, its domestic distribution, and have begun exploring international opportunities for distribution abroad.” However, in reality, Prime Star’s just-established Wild Grill subsidiary had no operations and there were no purchase orders.

According to the SEC’s complaint, Prime Star’s press releases coincided with the illegal issuance of millions of unregistered shares of Prime Star stock to the purported business consultants from August 2009 to March 2010. Although Prime Star had a class of shares registered pursuant Section 12(g) of the Securities Exchange Act of 1934, that section does not permit transfers of those shares. To transfer Prime Star stock in compliance with the securities laws, Mohlman, Prime Star and the consultants had to either register an offering of the company’s shares or meet an exemption to the offering registration requirement. However, they did neither.

The SEC alleges that Mohlman and Prime Star’s fraudulent promotional activities caused Prime Star’s stock price and trading volume to increase markedly. For instance, on March 16, a prior day press release caused trading volume to spike to more than 16 million shares, which was 10 times more than the previous day’s trading volume. Prime Star’s stock price plummeted the following day.

The SEC’s complaint filed in federal court in Nevada alleges Prime Star and Mohlman violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act and Rule 10b-5 thereunder. The complaint also alleges that Prime Star violated Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. The complaint further alleges that Mohlman violated Section 13(b)(5) of the Exchange Act and Rules 13a-14, 13b2-1 and 13b2-2 thereunder and aided and abetted Prime Star’s violations of Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1 and 13a-13 thereunder. The SEC also alleges Section 5(a) and 5(c) violations against Colon, Morera, Rivera, DC International Consulting, Carson, Gullatt, The Stone Financial Group, and Konigsberg.

One of the consultants – Konigsberg – has agreed to settle the SEC’s charges without admitting or denying the allegations by consenting to the entry of a judgment that would enjoin him from future violations of Sections 5(a) and 5(c) of the Securities Act. The SEC is seeking penalties and disgorgement plus prejudgment interest against the other consultants and Mohlman as well as an officer and director bar against Mohlman, penny stock bars against Mohlman, Colon, Morera, Rivera, Carson, and Gullatt, and permanent injunctions against all defendants. Separately, the Commission instituted administrative proceedings to determine whether the registration of each class of Prime Star securities should be revoked or suspended based on its failure to file required periodic reports.

The SEC’s investigation was conducted by Julie Russo, Elisha Frank, and Karaz Zaki of the Miami Regional Office, and Edward McCutcheon is leading the SEC’s litigation. (Press Rel. 2012-39; Rel. 34-66524; File No. 3-14787; LR-22278)

Enforcement proceedings

In the Matter of China Yingxia International, Inc.

On March 7, 2012, an Administrative Law Judge issued an Order Making Findings and Revoking Registration by Default (Default Order) in China Yingxia International, Inc., Admin. Proc. No. 3-14729. The Default Order finds that China Yingxia International, Inc. (China Yingxia), an issuer of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act), has failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the Default Order revokes the registration of each class of China Yingxia’s registered securities. (Rel. 34-66523; File No. 3-14729)

In the Matter of Jason Pflaum

On March 7, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Jason Pflaum.

The Order finds that from 2008 to 2010, Pflaum was employed as a technology analyst at Barai Capital, an unregistered investment adviser based in New York, New York. On February 8, 2011, the Commission filed a civil action against Pflaum in SEC v. Longoria et al., Civil Action No. 11-CV-0753 (S.D.N.Y.). On February 21, 2012, the Court entered an order permanently enjoining Pflaum, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s amended complaint alleged that, in connection with the purchase or sale of securities, Pflaum knew, recklessly disregarded, or should have known, that material non-public information he received from a tipper was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and Pflaum is liable for the trading by Barai Capital because he directly or indirectly caused Barai Capital to place trades and/or unlawfully tipped inside information to Barai Capital. On December 17, 2010, in a parallel criminal proceeding, Pflaum pled guilty to one count of securities fraud and one count of conspiracy to commit securities fraud in violation of 15 U.S.C. 78j(b) and 78ff and 18 U.S.C. 371 before the United States District Court for the Southern District of New York, in United States v. Jason Pflaum, 10-CR-01265 (JGK).

Based on the above, the Order bars Jason Pflaum from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Pflaum consented to the issuance of the Order. (Rel. IA-3380; File No. 3-14788)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to allow FINRA to grant exemptions from reporting obligations under the Trade Reporting and Compliance Engine (“TRACE”) reporting rules for certain alternative trading systems (SR-FINRA-2012-016) 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 March 5. (Rel. 34-66513)

A proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-033) relating to fees and rebates in penny pilot options and non-penny pilot options has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66515)

A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2012-15) implementing changes to the NYSE Amex Options Fee Schedule to add fees for Reserve Floor Market Maker Amex Trading Permits has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66518)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-021) to make an amendment regarding the administrative fee related to the marketing fee 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 March 5. (Rel. 34-66520)

Proposed Rule Changes

ICE Clear Credit LLC (“ICC”) filed a proposed rule change (SR-ICC-2012-02) under Section 19(b)(1) of the Securities Exchange Act of 1934 to provide for a T+1 settlement of the Initial Payment related to the CDS contracts cleared by ICC. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66517)

The Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of establishment of a subscription to historical information and documents submitted to the MSRB’s Short-Term Obligation Rate Transparency System (SR-MSRB-2012-03). Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66521)

The Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of establishment of historical data subscription from submissions to the MSRB Electronic Municipal Market Access System (“EMMA”) (SR-MSRB-2012-02). Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66522)

Securities Act Registrations

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-1     Free Flow, Inc., 9130 EDGEWOOD DRIVE, LA MESA, CA, 91941, 
        619 741-1006 - 1,200,000 ($12,000.00) Equity, (File 333-179909 - 
        Mar. 6) (BR. 06)

S-1     IQ PHYSICAL DIAMOND TRUST, C/O INDEXIQ ADVISORS LLC, 
        800 WESTHCESTER AVENUE, RYE BROOK, NY, 10573, 914-697-4946 - 
        0 ($5,000,000.00) Equity, (File 333-179924 - Mar. 6) (BR. )

S-8     SeaBright Holdings, Inc., 1501 4TH AVENUE, SUITE 2600, SEATTLE, WA, 
        98101, 2062698500 - 446,555 ($3,652,819.90) Equity, (File 333-179926 - 
        Mar. 6) (BR. 01A)

S-8     SAVIENT PHARMACEUTICALS INC, ONE TOWER CENTER, EAST BRUNSWICK, NJ, 
        08816, 7324189300 - 0 ($15,811,550.00) Equity, (File 333-179927 - 
        Mar. 6) (BR. 01A)

S-1     CVR PARTNERS, LP, 2277 PLAZA DRIVE, SUITE 500, SUGAR LAND, TX, 77479, 
        (281) 207-3200 - 0 ($250,000,000.00) Equity, (File 333-179930 - Mar. 6) 
        (BR. 05A)

S-8     INFINERA CORP, 140 CASPIAN COURT, SUNNYVALE, CA, 94089, 408-572-5200 - 
        6,418,570 ($49,380,199.32) Equity, (File 333-179931 - Mar. 6) (BR. 11A)

S-3     CEDAR REALTY TRUST, INC., 44 SOUTH BAYLES AVENUE, PORT WASHINGTON, NY, 
        11050, 5167676492 - 0 ($2,656,228.00) Equity, (File 333-179932 - 
        Mar. 6) (BR. 08C)

S-8     SCHWEITZER MAUDUIT INTERNATIONAL INC, 100 NORTH POINT CENTER EAST, 
        SUITE 600, ALPHARETTA, GA, 30022-8246, 8005140186 - 
        1,000,000 ($70,410,000.00) Equity, (File 333-179933 - Mar. 6) (BR. 04A)

S-3     ENTERPRISE PRODUCTS PARTNERS L P, 1100 LOUISIANA 10TH FLOOR, HOUSTON, 
        TX, 77002, 7133816500 - 0 ($1,000,000,000.00) Equity, 
        (File 333-179934 - Mar. 6) (BR. 02C)

S-8     CEDAR REALTY TRUST, INC., 44 SOUTH BAYLES AVENUE, PORT WASHINGTON, NY, 
        11050, 5167676492 - 0 ($9,891,000.00) Equity, (File 333-179935 - 
        Mar. 6) (BR. 08C)

S-3ASR  CARNIVAL CORP, 3655 N W 87TH AVE, PO BOX 1347, MIAMI, FL, 33178-2428, 
        3055992600 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179936 - Mar. 6) (BR. 05A)

S-3ASR  HELIX ENERGY SOLUTIONS GROUP INC, 400 N SAM HOUSTON PKWY E, SUITE 400, 
        HOUSTON, TX, 77060, 2816180400 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-179937 - Mar. 6) 
        (BR. 04A)

S-3ASR  MEDTRONIC INC, 710 MEDTRONIC PKWY, MS LC300, MINNEAPOLIS, MN, 55432, 
        7635144000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179938 - Mar. 6) (BR. 10B)

S-8     CFS BANCORP INC, 707 RIDGE ROAD, MUNSTER, IN, 46321, 2198365500 - 
        342,457 ($1,852,693.00) Equity, (File 333-179939 - Mar. 6) (BR. 07C)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

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 NO.          DATE        COMMENT

-----------------------------------------------------------------------------------------

1st Century Bancshares, Inc.            DE       2.02,9.01            12/31/11

A5 Laboratories Inc.                    NV       4.01,9.01            02/13/12    AMEND

ABAKAN, INC                             NV       9.01                 07/13/11    AMEND

ABM INDUSTRIES INC /DE/                 DE       2.02,8.01,9.01       03/05/12

ACACIA AUTOMOTIVE INC                   TX       8.01                 02/28/12

ACACIA AUTOMOTIVE INC                   TX       8.01                 02/28/12

ACADIA PHARMACEUTICALS INC              DE       2.02,9.01            03/06/12

ACCELRYS, INC.                          DE       5.02,9.01            02/29/12

ACCELRYS, INC.                          DE       2.02,9.01            03/06/12

ACCENTIA BIOPHARMACEUTICALS INC         FL       5.02                 02/29/12

ACI WORLDWIDE, INC.                     DE       7.01,9.01            03/06/12

Activision Blizzard, Inc.               DE       5.02                 03/01/12

Aegerion Pharmaceuticals, Inc.          DE       2.02,9.01            03/06/12

AeroGrow International, Inc.            NV       1.01,5.02,9.01       02/29/12

AeroVironment Inc                       DE       2.02,9.01            03/06/12

AFFILIATED MANAGERS GROUP INC           DE       5.02,5.03,9.01       03/03/12

AFFYMETRIX INC                          DE       8.01                 03/05/12

AKORN INC                               LA       2.02,5.02,9.01       03/05/12

ALERE INC.                              DE       5.02                 02/29/12

ALEXANDERS J CORP                       TN       1.01,3.03,5.03,8.01, 03/05/12
                                                 9.01
          
ALLEGHANY CORP /DE                      DE       1.01,2.01,2.03,5.02, 03/06/12
                                                 9.01
          
Allezoe Medical Holdings Inc            DE       1.01,2.01,9.01       03/06/12

ALLOS THERAPEUTICS INC                  DE       2.02,9.01            03/06/12

AMC Networks Inc.                       DE       9.01                 03/02/12

AMERICAN APPAREL, INC                   DE       7.01,9.01            03/05/12

American Assets Trust, Inc.             MD       2.02,7.01,9.01       03/06/12

AMERICAN DG ENERGY INC                  DE       2.02,9.01            03/06/12

AMERICAN INDEPENDENCE CORP              DE       2.02,9.01            12/31/11

AMERICAN INTERNATIONAL GROUP INC        DE       1.01,8.01,9.01       03/03/12

AMERICAN REALTY CAPITAL NEW YORK RECO   MD       8.01,9.01            03/06/12

American Realty Capital Trust III, In   MD       2.02,9.01            03/05/12

American Realty Capital Trust, Inc.     DE       1.01,1.02,5.02,5.03, 03/01/12
                                                 8.01,9.01
     
AMERICAN SAFETY INSURANCE HOLDINGS LT            2.02,9.01            03/06/12

AMERIGROUP CORP                                  1.01                 02/29/12

AMERISOURCEBERGEN CORP                  DE       8.01,9.01            03/06/12

AMSURG CORP                             TN       7.01,9.01            03/06/12

AMYLIN PHARMACEUTICALS INC              DE       5.02                 03/06/12

ANALOGIC CORP                           MA       2.02,9.01            03/06/12

Anthera Pharmaceuticals Inc             DE       5.02,9.01            03/01/12

Anthera Pharmaceuticals Inc             DE       8.01,9.01            03/05/12

Armour Residential REIT, Inc.           MD       2.02,9.01            03/06/12

As Seen On TV, Inc.                     FL       5.02                 03/01/12

Ascend Acquisition Corp.                DE       1.01,2.01,3.02,5.01, 02/29/12
                                                 5.02,5.06,9.01

Ascent Capital Group, Inc.              DE       2.02,9.01            10/13/11    AMEND

Aspect FuturesAccess LLC                DE       5.03,9.01            02/29/12

Atkore International Holdings Inc.      DE       5.02                 02/29/12

AUSTRALIAN CANADIAN OIL ROYALTIES LTD   A1       2.01,3.02,5.02,9.01  02/29/12

AUTOBYTEL INC                           DE       2.02,9.01            03/01/12

AvStar Aviation Group, Inc.             CO       2.02,4.01,4.02,9.01  10/01/11

AXCELIS TECHNOLOGIES INC                DE       1.01                 03/05/12

AXION INTERNATIONAL HOLDINGS, INC.      CO       2.02,9.01            03/06/12

BANK OF HAWAII CORP                     DE       8.01                 03/05/12

BankUnited, Inc.                        DE       1.01,3.02,3.03,5.03, 02/29/12
                                                 8.01,9.01
     
BIOCANCELL THERAPEUTICS INC.                     5.07                 03/06/12

BIODELIVERY SCIENCES INTERNATIONAL IN   DE       8.01,9.01            03/06/12

BLOUNT INTERNATIONAL INC                DE       2.02,9.01            03/06/12

BLUE SPHERE CORP.                       NV       3.02,5.02            03/01/12

BPZ RESOURCES, INC.                     TX       1.01,7.01,9.01       02/29/12

Bridge Capital Holdings                 CA       2.02,9.01            03/06/12

Bridgepoint Education Inc               DE       2.02,9.01            03/06/12

BRINKS CO                               VA       3.02                 03/06/12

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       7.01,9.01            03/06/12

BUCKEYE PARTNERS, L.P.                  DE       7.01,9.01            03/06/12

CABELAS INC                             DE       5.02                 03/02/12

CABOT MICROELECTRONICS CORP             DE       5.07,7.01,8.01       03/06/12

CALLIDUS SOFTWARE INC                   DE       8.01                 03/05/12

CARBO CERAMICS INC                      DE       1.01,2.03,9.01       03/05/12

CARDINAL FINANCIAL CORP                 VA       5.02,5.03,7.01,9.01  02/29/12

CAREER EDUCATION CORP                   DE       5.02,9.01            02/29/12

CAS MEDICAL SYSTEMS INC                 DE       2.02,9.01            03/06/12

CASEYS GENERAL STORES INC               IA       2.02,9.01            03/06/12

CBRE GROUP, INC.                        DE       7.01,9.01            03/05/12

CD INTERNATIONAL ENTERPRISES, INC.      FL       2.01,5.03,5.07,7.01, 02/29/12
                                                 9.01
          
CEDAR REALTY TRUST, INC.                MD       2.02,7.01,9.01       03/06/12

CEMPRA, INC.                            DE       7.01,9.01            03/06/12

CHEESECAKE FACTORY INC                  DE       5.02,8.01,9.01       02/29/12

Chefs' Warehouse, Inc.                  DE       2.02,9.01            03/06/12

Chelsea Therapeutics International, L   DE       2.02,9.01            03/06/12

China Shandong Industries, Inc.         DE       5.02                 03/06/12

Cindisue Mining Corp                    DE       5.02                 03/05/12

CIRCLE STAR ENERGY CORP.                NV       1.01,5.02,9.01       02/29/12

CITIGROUP INC                           DE       9.01                 03/06/12

CLAIBORNE LIZ INC                       DE       5.02                 02/29/12

Clear Skies Solar, Inc                  DE       5.02                 03/01/12

CNS RESPONSE, INC.                      DE       2.03,3.02,9.01       02/29/12

COLE KENNETH PRODUCTIONS INC            NY       8.01,9.01            03/06/12

COLONY RESORTS LVH ACQUISITIONS LLC     NV       5.02                 03/06/12

COLUMBIA LABORATORIES INC               DE       3.01,9.01            03/06/12

Compass Diversified Holdings            DE       8.01,9.01            03/05/12

COMPETITIVE TECHNOLOGIES INC            DE       5.02,5.03            03/05/12

Computer Software Innovations, Inc.     DE       1.01,3.03,9.01       03/01/12

COMSTOCK RESOURCES INC                  NV       7.01,9.01            03/06/12

Consolidated Communications Holdings,   DE       7.01,9.01            03/06/12

CONTINENTAL RESOURCES INC               OK       1.01,8.01,9.01       03/05/12

Converted Organics Inc.                 DE       8.01,9.01            03/02/12

CORNING NATURAL GAS CORP                NY       1.01,9.01            02/27/12    AMEND

Counsel RB Capital Inc.                 FL       1.01,2.01,8.01,9.01  03/06/12

COVENANT TRANSPORTATION GROUP INC       NV       5.02                 02/29/12

Crescent Financial Bancshares, Inc.              2.02,9.01            03/06/12

CROSS BORDER RESOURCES, INC.            NV       1.01,1.02,2.03,5.02, 03/01/12
                                                 9.01
          
CROSS COUNTRY HEALTHCARE INC            DE       2.02,7.01,9.01       03/05/12

Cullen Agricultural Holding Corp        DE       1.01                 03/05/12

CVB FINANCIAL CORP                      CA       7.01,8.01,9.01       03/06/12

CYTOKINETICS INC                                 8.01,9.01            03/06/12

DAYSTAR TECHNOLOGIES INC                DE       5.02,9.01            02/29/12

DealerTrack Holdings, Inc.              DE       1.01,2.03,3.02,9.01  02/29/12

DESTINY MEDIA TECHNOLOGIES INC          CO       1.01,9.01            03/05/12

DICKS SPORTING GOODS INC                DE       2.02,9.01            03/06/12

DIGITAL RIVER INC /DE                   DE       5.02,8.01            02/29/12

DIVERSIFIED GLOBAL HOLDINGS GROUP INC   FL       1.01,9.01            12/31/11

Domark International Inc.               NV       1.01,2.03,9.01       03/05/12

DUNE ENERGY INC                         DE       5.02,8.01,9.01       03/05/12

DYNAVAX TECHNOLOGIES CORP               DE       2.02,9.01            03/06/12

E TRADE FINANCIAL Corp                  DE       7.01,9.01            03/05/12

Eastern Insurance Holdings, Inc.        PA       2.02,9.01            03/05/12

EASTMAN CHEMICAL CO                     DE       1.01,2.03,9.01       02/29/12

EASTMAN KODAK CO                        NJ       1.01,9.01            03/05/12

EDIETS COM INC                          DE       1.02,5.02            03/05/12    AMEND

EMC METALS CORP.                        A1       8.01                 02/29/12

EMERITUS CORP\WA\                       WA       2.02,9.01            02/29/12

EMPIRE DISTRICT ELECTRIC CO             KS       8.01                 02/29/12

EMPIRE ENERGY CORP                      UT       8.01                 03/05/12

EMPIRE ENERGY CORP                      UT       8.01                 03/06/12

EMPIRE GLOBAL CORP.                     DE       1.01                 12/09/11    AMEND

Encore Bancshares Inc                   TX       8.01,9.01            03/06/12

ENDURANCE SPECIALTY HOLDINGS LTD                 5.02,9.01            03/06/12

ENSIGN GROUP, INC                                8.01,9.01            03/01/12

EPIQ SYSTEMS INC                        MO       9.01                 12/28/11    AMEND

ESSA Bancorp, Inc.                      PA       8.01,9.01            03/05/12

Essex Rental Corp.                      DE       7.01,9.01            03/06/12

EVOLUTION PETROLEUM CORP                NV       1.01,2.03,9.01       02/29/12

FEDERAL AGRICULTURAL MORTGAGE CORP               1.01                 02/29/12

Federal Home Loan Bank of Atlanta       X1       2.03                 03/06/12

Federal Home Loan Bank of Chicago       X1       2.03                 02/29/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            02/29/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            03/02/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            03/03/12

Federal Home Loan Bank of New York      X1       2.03,9.01            02/29/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            02/29/12

Federal Home Loan Bank of San Francis   X1       2.03                 02/29/12

Federal Home Loan Bank of Seattle                2.03                 02/29/12

Federal Home Loan Bank of Topeka                 2.03,9.01            02/29/12

Fidelity National Information Service            8.01,9.01            03/05/12

First Federal of Northern Michigan Ba            2.02,9.01            03/06/12

Forex International Trading Corp.       NV       2.02,7.01,9.01       03/05/12

Fortress Investment Group LLC           DE       7.01                 03/06/12

FRONTIER FUND                           DE       1.01,1.02,8.01       02/29/12

FURMANITE CORP                          DE       1.01,1.02,2.03       03/05/12

FURMANITE CORP                          DE       2.02,7.01,9.01       03/06/12

FX ENERGY INC                           NV       7.01,9.01            03/06/12

GASTAR EXPLORATION LTD                           7.01,9.01            03/05/12

GATEWAY ENERGY CORP/NE                  DE       1.01,2.03,8.01,9.01  02/29/12

GBS Enterprises Inc                     NV       5.02,7.01,9.01       03/01/12

GENESCO INC                             TN       7.01                 03/06/12

Genesis Biopharma, Inc                  NV       1.01,3.01,9.01       02/29/12

GENTIVA HEALTH SERVICES INC             DE       1.01,2.03,7.01,9.01  03/06/12

GEORGIA GULF CORP /DE/                  DE       7.01,9.01            03/06/12

GEORGIA POWER CO                        GA       8.01,9.01            02/29/12

GIBRALTAR INDUSTRIES, INC.              DE       5.02                 03/02/12

GLEACHER & COMPANY, INC.                DE       1.01,2.03,9.01       02/29/12

Global Cash Access Holdings, Inc.       DE       2.02,9.01            03/06/12

GlobalOptions Group, Inc.                        8.01                 02/29/12

GLOBALSCAPE INC                         DE       7.01                 03/06/12

GOLDMAN SACHS HEDGE FUND PARTNERS LLC   DE       7.01                 03/06/12

GREAT SOUTHERN BANCORP INC              MD       8.01,9.01            03/02/12

Greektown Superholdings, Inc.           DE       8.01,9.01            12/31/11

Green Ballast, Inc.                     DE       1.01,9.01            02/29/12

GREEN DOT CORP                          DE       7.01                 03/02/12

Green Global Investments, Inc.          FL       1.01,3.02,5.02,9.01  03/05/11

GreenHouse Holdings, Inc.               NV       3.02                 02/29/12

GREENLITE VENTURES INC                           1.01,3.02,9.01       03/06/12

GULFMARK OFFSHORE INC                   DE       1.01,8.01,9.01       03/01/12

H&R BLOCK INC                           MO       5.02,9.01            02/29/12

HANDENI GOLD INC.                       NV       7.01,9.01            03/06/12

HARMONIC INC                            DE       5.02,5.03            02/29/12

Hawaiian Telcom Holdco, Inc.            DE       1.01,2.03,9.01       02/29/12

HFF, Inc.                               DE       2.02,9.01            03/05/12

HICKORY TECH CORP                       MN       2.02,7.01,9.01       03/06/12

Highbridge Commodities FuturesAccess    DE       5.03,9.01            02/29/12

HORNBECK OFFSHORE SERVICES INC /LA      DE       1.01,8.01,9.01       03/02/12

Huntsman CORP                           DE       1.01,2.03,9.01       03/06/12

IDENIX PHARMACEUTICALS INC              DE       5.02,9.01            02/29/12

Independence Energy Corp.               NV       5.02                 03/01/12

INDEPENDENCE HOLDING CO                 DE       2.02,9.01            03/05/12

INDUSTRIAL SERVICES OF AMERICA INC /F   FL       5.03,9.01            02/29/12

INSITE VISION INC                       DE       5.02                 02/29/12

INSTITUTIONAL FINANCIAL MARKETS, INC.   MD       2.02,9.01            03/06/12

International Stem Cell CORP                     3.02                 02/29/12

INTERSIL CORP/DE                        DE       5.02,9.01            03/05/12

INUVO, INC.                             NV       1.01,2.01,2.03,5.01, 02/29/12
                                                 5.02,5.03,5.07,7.01,
                                                 9.01
   
Iridium Communications Inc.             DE       2.02,9.01            03/06/12

IRIS INTERNATIONAL INC                  DE       5.02,9.01            02/29/12

JOHNSON OUTDOORS INC                    WI       5.07                 03/01/12

JOY GLOBAL INC                          DE       5.02,5.07,9.01       03/06/12

KEY ENERGY SERVICES INC                 MD       8.01,9.01            03/05/12

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                 03/06/12

KINDER MORGAN MANAGEMENT LLC            DE       7.01                 03/06/12

KINDER MORGAN, INC.                     DE       7.01                 03/06/12

KMG CHEMICALS INC                       TX       4.01,9.01            02/29/12

KRONOS INTERNATIONAL INC                DE       7.01,9.01            03/05/12

KRONOS WORLDWIDE INC                             7.01,9.01            03/06/12

KVH INDUSTRIES INC \DE\                 DE       1.01,9.01            03/01/12

LEUCADIA NATIONAL CORP                  NY       2.01,9.01            12/30/11    AMEND

LIQUIDITY SERVICES INC                  DE       5.07                 02/29/12

LITHIA MOTORS INC                       OR       8.01                 03/06/12

LPATH, INC                              NV       1.01,9.01            03/06/12

LPL Investment Holdings Inc.            DE       7.01,9.01            03/06/12

Lumos Networks Corp.                    VA       7.01,9.01            03/06/12

MAKEMUSIC, INC.                         MN       2.02,9.01            03/06/12

MAKO Surgical Corp.                     DE       2.02,9.01            03/06/12

Man AHL FuturesAccess LLC               DE       5.03,9.01            02/29/12

MB FINANCIAL INC /MD                             8.01,9.01            03/05/12

MCDERMOTT INTERNATIONAL INC             R1       5.02,9.01            02/29/12

MDU RESOURCES GROUP INC                 DE       5.02,9.01            03/01/12

MEADWESTVACO Corp                       DE       8.01                 03/05/12

MEDICINES CO /DE                        DE       8.01                 03/05/12

Medidata Solutions, Inc.                DE       2.02,8.01,9.01       03/05/12

MEDTRONIC INC                           MN       8.01                 03/06/12

METABOLIX, INC.                                  2.02,9.01            03/06/12

Mid-Con Energy Partners, LP             DE       2.02,7.01,9.01       03/06/12

Millburn Multi-Markets Fund L.P.        DE       3.02                 03/01/12

MIT Holding, Inc.                       DE       4.02                 03/05/12

ML BlueTrend FuturesAccess LLC          DE       5.03,9.01            02/29/12

ML Transtrend DTP Enhanced FuturesAcc   DE       5.03,9.01            02/29/12

ML Winton FuturesAccess LLC             DE       5.03,9.01            02/29/12

Modern Mobility Aids, Inc.              NV       1.01,9.01            03/01/12

MOMENTIVE SPECIALTY CHEMICALS INC.      NJ       7.01                 03/06/12

Moody National REIT I, Inc.             MD       5.02                 02/29/12

MOUNTAIN NATIONAL BANCSHARES INC        TN       5.02,9.01            03/05/12

Nationstar Mortgage LLC                 DE       1.01,9.01            03/06/12

NCI BUILDING SYSTEMS INC                DE       2.02,9.01            03/06/12

Neogenix Oncology Inc                   MD       8.01,9.01            03/06/12

NESTOR PARTNERS                         NJ       3.02                 03/01/12

NEW ENERGY SYSTEMS GROUP                NV       8.01                 03/01/12

NEWMONT MINING CORP /DE/                DE       8.01,9.01            03/05/12

NEWS CORP                                        8.01,9.01            03/06/12

NL INDUSTRIES INC                       NJ       7.01,9.01            03/06/12

NOVASTAR FINANCIAL INC                  MD       5.02,9.01            03/01/12

NRG ENERGY, INC.                        DE       5.02                 03/05/12

NTELOS HOLDINGS CORP                             7.01,9.01            03/06/12

NTELOS HOLDINGS CORP                             5.02                 02/29/12

NTS, INC.                               NV       5.02,8.01,9.01       03/06/12

OFFICE DEPOT INC                        DE       7.01,8.01,9.01       03/06/12

OFFICE DEPOT INC                        DE       8.01                 03/06/12

OMNICARE INC                            DE       7.01,9.01            03/06/12

ONCOSEC MEDICAL Inc                     NV       5.03,5.07,9.01       03/02/12

Oncothyreon Inc.                        DE       8.01                 03/06/12

OPTIMER PHARMACEUTICALS INC                      5.02                 02/29/12

ORB Automotive                          E9       4.01,9.01            02/29/12

ORBCOMM Inc.                            DE       9.01                 12/23/11    AMEND

OSL HOLDINGS INC.                                4.01,9.01            03/02/12

OUTDOOR CHANNEL HOLDINGS INC                     2.02,9.01            03/06/12

PAA NATURAL GAS STORAGE LP              DE       7.01                 02/06/12

PACIFICORP /OR/                         OR       8.01,9.01            03/06/12

Pandora Media, Inc.                     DE       2.02,9.01            03/06/12

Parametric Sound Corp                   NV       5.02,9.01            03/05/12

PARK OHIO HOLDINGS CORP                 OH       1.01,9.01            03/05/12

PARKER DRILLING CO /DE/                 DE       5.02,9.01            03/01/12

PATAPSCO BANCORP INC                    MD       5.02                 03/02/12

PATRIOT NATIONAL BANCORP INC            CT       2.02,9.01            03/05/12

PDI INC                                          1.01,9.01            02/22/12

PDL BIOPHARMA, INC.                     DE       7.01,9.01            03/06/12

Pershing Gold Corp.                     NV       8.01,9.01            03/02/12

PHOTRONICS INC                          CT       1.01,1.02,8.01,9.01  02/29/12

PHYSICIANS FORMULA HOLDINGS, INC.       DE       2.02,7.01,9.01       03/06/12

PLAINS ALL AMERICAN PIPELINE LP         DE       7.01                 03/06/12

Plata Resources, Inc.                   NV       8.01                 03/06/12

PLUG POWER INC                          DE       1.01                 02/29/12

PORTFOLIO RECOVERY ASSOCIATES INC       DE       5.07                 06/14/11    AMEND

POTLATCH CORP                           DE       7.01,9.01            03/06/12

POWERWAVE TECHNOLOGIES INC              DE       8.01                 02/29/12

PRECISION OPTICS Corp INC               MA       5.02                 03/05/12

PRGX GLOBAL, INC.                       GA       5.02                 02/29/12

PRICELINE COM INC                       DE       8.01                 03/06/12

PRIME GLOBAL CAPITAL GROUP Inc          NV       1.01,3.02,9.01       02/13/12

PROGRESSIVE CORP/OH/                    OH       5.02,9.01            02/29/12

Protea Biosciences Group, Inc.          DE       1.01,3.02,7.01,9.01  03/01/12

pSivida Corp.                           DE       5.02                 03/05/12

QLOGIC CORP                             DE       2.01,9.01            02/29/12

QUIDEL CORP /DE/                        DE       5.02,9.01            03/02/12

RADIOSHACK CORP                         DE       5.02                 03/05/12

RAMBUS INC                              DE       8.01,9.01            03/02/12

RAMBUS INC                              DE       8.01,9.01            03/05/12

RAYMOND JAMES FINANCIAL INC             FL       7.01                 03/06/12

RELM WIRELESS CORP                      NV       2.02,9.01            03/06/12

Resolute Energy Corp                    DE       8.01,9.01            03/05/12

RETRACTABLE TECHNOLOGIES INC            TX       5.02                 02/29/12

Rock-Tenn CO                            GA       7.01,9.01            03/06/12

ROI Acquisition Corp.                   DE       1.01,3.02,5.03,8.01, 02/29/12
                                                 9.01
          
Ruths Hospitality Group, Inc.           DE       7.01,9.01            03/06/12

SABINE ROYALTY TRUST                    TX       2.02,9.01            03/05/12

SAFEWAY INC                             DE       2.02,8.01,9.01       03/06/12

Sandalwood Ventures                     NV       4.01,9.01            03/01/12

Sara Lee Corp                           MD       8.01,9.01            03/01/12

SAVANNAH BANCORP INC                    GA       1.01,7.01            03/01/12

SavWatt USA, Inc.                       DE       3.02                 01/24/12

SCHAWK INC                                       2.02,9.01            03/06/12

SERVICEMASTER CO                        DE       2.02,7.01,9.01       03/06/12

ShoreTel Inc                            CA       5.02                 03/01/12

SIERRA MONITOR CORP /CA/                CA       2.02,9.01            03/06/12

SILVERSTAR MINING CORP.                 NV       5.03                 02/29/12

SIMULATIONS PLUS INC                             8.01,9.01            03/05/12

SIONIX CORP                             NV       1.01,3.02,9.01       03/02/12

SIONIX CORP                             NV       1.01,9.01            02/21/12

Skinny Nutritional Corp.                NV       1.01,2.03,3.02       02/29/12

SONIC AUTOMOTIVE INC                    DE       5.02                 03/02/12

SONO TEK CORP                           NY       7.01,9.01            03/05/12

SONOSITE INC                                     3.01                 03/02/12

Sound Financial, Inc.                            5.02                 03/05/12

Southern Products, Inc.                 NV       1.01,9.01            02/27/12

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       1.01,9.01            02/29/12

SOUTHWESTERN ENERGY CO                  DE       1.01,2.03,9.01       03/05/12

Spirit Airlines, Inc.                   DE       5.02,7.01,9.01       03/01/12

STANDARD MOTOR PRODUCTS INC             NY       2.02,9.01            03/06/12

STANDARD REGISTER CO                    OH       5.02,9.01            03/06/12

STEVIA NUTRA CORP.                      NV       5.02                 03/05/12

STONE ENERGY CORP                       DE       1.01,2.03,3.02,9.01  02/29/12

SUN HYDRAULICS CORP                     FL       8.01,9.01            03/05/12

SUNOCO INC                              PA       5.02,8.01            03/01/12

SUNOCO LOGISTICS PARTNERS L.P.          DE       5.02                 03/01/12

SunOpta Inc.                                     2.02,9.01            03/06/12

SUNPEAKS VENTURES, INC.                          3.02,8.01,9.01       03/01/12

SUNRISE SENIOR LIVING INC               DE       5.02                 02/29/12

Systematic Momentum FuturesAccess LLC   DE       5.03,9.01            02/29/12

THERMADYNE HOLDINGS CORP /DE            DE       1.01,2.03,3.03,9.01  02/29/12

TNS INC                                          5.02,9.01            02/29/12

TNS INC                                          2.02,5.02,7.01,9.01  03/06/12

Tonix Pharmaceuticals Holding Corp.     NV       1.01,3.02,8.01,9.01  03/01/12

TRANS ENERGY INC                        NV       1.01,2.03,9.01       02/29/12

TRANSATLANTIC HOLDINGS INC              DE       2.01,3.01,3.03,5.01, 03/06/12
                                                 5.02,9.01
     
TRANSAX INTERNATIONAL LTD               CO       1.01,2.01,3.02,5.01, 12/30/11    AMEND
                                                 5.02,5.06,9.01

Transcept Pharmaceuticals Inc           DE       5.02                 02/29/12

TREE TOP INDUSTRIES, INC.               NV       1.01,9.01            03/02/12

TRUE RELIGION APPAREL INC               DE       7.01,9.01            03/06/12

TRX INC/GA                              GA       4.02                 02/29/12

TRX INC/GA                              GA       2.02,9.01            12/31/11

U.S. SILICA HOLDINGS, INC.              DE       5.02                 02/29/12

UNISOURCE ENERGY CORP                   AZ       7.01,9.01            03/06/12

United Development Funding III, LP      DE       8.01,9.01            03/06/12

UNITED NATURAL FOODS INC                DE       2.02,9.01            03/06/12

UNITED SECURITY BANCSHARES              CA       5.02                 03/06/12

URANIUM ENERGY CORP                     NV       7.01,9.01            03/06/12

VAIL RESORTS INC                        DE       2.02,9.01            02/29/12

Vanity Events Holding, Inc.             DE       1.01,5.02,9.01       02/27/12

VAULT AMERICA, INC.                     A0       1.01,2.01,3.02,5.01, 02/29/12
                                                 5.02,5.06,9.01

VICTORY ENERGY CORP                     NV       1.01,8.01,9.01       02/29/12

WARREN RESOURCES INC                    MD       2.02,7.01,9.01       03/06/12

WESTMORELAND COAL Co                    DE       2.02,9.01            03/01/12

WESTMORELAND COAL Co                    DE       1.01,3.03,5.02,9.01  02/29/12

WEYCO GROUP INC                         WI       5.02                 12/31/11

WILLIAM LYON HOMES                      DE       1.01,2.03,2.04,3.02, 02/25/12
                                                 5.02,8.01,9.01

WITS BASIN PRECIOUS MINERALS INC        MN       1.01                 03/01/12

WORLD FUEL SERVICES CORP                FL       7.01,9.01            03/06/12

Wright Express CORP                              1.01,8.01,9.01       03/02/12

XCEL ENERGY INC                         MN       7.01                 03/06/12

XTRALINK Corp                           NV       3.02                 02/27/12

Xtreme Oil & Gas, Inc.                  NV       5.02,9.01            02/24/12

ZALDIVA INC                             FL       1.01,9.01            03/06/12

ZION OIL & GAS INC                      DE       5.02                 03/02/12

ZIPREALTY INC                                    2.02,9.01            03/06/12

Zoo Entertainment, Inc                  DE       1.01,2.03            02/29/12

 

http://www.sec.gov/news/digest/2012/dig030712.htm


Modified: 03/07/2012