 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission AnnouncementsSEC Adds New Charges Against Connecticut-Based Hedge Fund Manager in Ponzi SchemeThe Securities and Exchange Commission today amended its complaint against a Stamford, Conn.-based investment adviser and its principal, Francisco Illarramendi, to additionally charge them with engaging in a multi-year Ponzi scheme involving hundreds of millions of dollars. The SEC previously charged Illarramendi and his firm MK Capital Management LLC in January and obtained an asset freeze against them, alleging that they had misappropriated at least $53 million in investor assets. In a parallel action today, the U.S. Attorney’s Office of the District of Connecticut unsealed criminal charges against Illarramendi for the same misconduct as well as for obstruction of justice for deliberately misleading the SEC staff during the its investigation. “Illarramendi knew that the SEC was onto his scheme and compounded his fraud by attempting to mislead the Commission’s staff,” said David P. Bergers, Director of the SEC’s Boston Regional Office. The SEC alleges that Illarramendi and MK Capital Management – which is not registered with the SEC – have misappropriated investor assets and used two hedge funds they managed for Ponzi-like activity in which they used new investor money to pay off earlier investors. During the SEC’s investigation in December 2010 and January 2011, Illarramendi attempted to hide the fact that his hedge funds were missing assets by providing the SEC staff with a false letter from an accountant in Venezuela that purported to verify the existence of approximately $275 million in assets held by one of the funds. Those assets do not exist. According to the SEC’s amended complaint filed in U.S. District Court for the District of Connecticut, Illarramendi is the majority owner of the Michael Kenwood Group LLC – a holding company for investment adviser Michael Kenwood Capital Management LLC among other entities. Through this adviser entity, Illarramendi manages several hedge funds, including one that purportedly held up to $540 million in assets. The SEC’s complaint alleges that, due to Illarramendi’s misappropriation and his Ponzi activity, the funds hold assets worth substantially less than that amount. Since the filing of the original complaint on Jan. 14, 2011, the Honorable Janet Bond Arterton, U.S. District Judge for the District of Connecticut, entered an order on Jan. 28, 2011, freezing the assets of Illarramendi and his firm. On Feb. 3, 2011, Judge Arterton appointed John J. Carney of Baker Hostetler LLP as the receiver in the case. The SEC’s complaint charges Illarramendi and Michael Kenwood Capital Management, LLC, with violating Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. The complaint also names the following Illarramendi-controlled entities as relief defendants, alleging that they received investor funds to which they have no right: Michael Kenwood Asset Management LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar LP. In addition to preliminary emergency relief, the SEC’s complaint seeks permanent injunctions, disgorgement of ill-gotten gains plus prejudgment interest and penalties from the defendants, and disgorgement plus prejudgment interest from the relief defendants. The SEC’s investigation is ongoing. The SEC acknowledges and appreciates the assistance of the U.S. Attorney’s Office for the District of Connecticut and the Federal Bureau of Investigation. For more information about this enforcement action, contact: David P. Bergers, Regional Director (Press Rel. 2011-62; LR-21875) Enforcement ProceedingsCourt Enters Final Judgment Against Anthony Fareri and Fareri Financial ServicesOn Feb. 28, 2011, the United States District Court for the Southern District of Florida entered judgments by default against defendants Anthony Fareri, Fareri Financial Services d/b/a Amerifinancial, and Relief Defendant Anthony Fareri & Associates, Inc. The district court’s order enjoins Fareri and Fareri Financial Services from violating Section 17(a) of the Securities Act, Section 10(b) of the Securities Exchange Act and Rule 10b-5 thereunder. The order also enjoins defendant Fareri Financial Services, a broker-dealer controlled by Fareri, from violating Section 15(c)(1) of the Securities Exchange Act. As part of the court’s judgment, Fareri is subject to a disgorgement order requiring him to pay either individually or jointly-and-severally a combined total of $1,840,703 plus prejudgment interest of $667,031.73 for a grand total of $2,507,734.73. Under the order, Fareri Financial Services is jointly and severally liable for $160,703.74 of the disgorgement and Anthony Fareri & Associates is jointly and severally liable for $820,000 in disgorgement plus prejudgment interest of $297,150.61 for a total of $1,117,150.61. The district court also imposed a civil penalty in the amount of $100,000 on Fareri and permanently barred him from participating in the offering of penny stocks. For additional information on related Commission actions, see Litigation Release No. 20931(March 5, 2009). The Commission acknowledges the assistance of the U.S. Attorney's Office for the District of Columbia, the Federal Bureau of Investigation, the United States Postal Inspection Service, NASD (now known as the Financial Industry Regulatory Authority), and the British Columbia Securities Commission. [SEC v. Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc., Civil Action No. 09-80360-CIV (S.D. Fla.)] (LR-21874) Self-Regulatory OrganizationsDesignation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove a Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings to determine whether to disapprove a proposed rule change (SR-BX-2010-059) filed by NASDAQ OMX BX as modified by Amendment No. 1, to create a listing market on the exchange. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64028) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market to modify the Minor Rules Violation Plan of the Nasdaq Options Market with respect to standardized options (SR-NASDAQ-2011-029) 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 7. (Rel. 34-64032) A proposed rule change filed by the EDGX Exchange (SR-EDGX-2011-05) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 7. (Rel. 34-64036) A proposed rule change filed by the EDGA Exchange (SR-EDGA-2011-06) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 7. (Rel. 34-64037) A proposed rule change (SR-ISE-2011-12) filed by the International Securities Exchange relating to access fees for foreign currency options 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 7. (Rel. 34-64038) 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-8 LTX-CREDENCE CORP, 825 UNIVERSITY AVENUE, NORWOOD, MA, 02062,
7814611000 - 7,433,350 ($66,677,149.50) Equity, (File 333-172605 -
Mar. 4) (BR. 10B)
S-8 KINDER MORGAN, INC., 500 DALLAS STREET, SUITE 1000, HOUSTON, TX, 77002,
713-369-9000 - 15,000,000 ($457,200,000.00) Equity, (File 333-172606 -
Mar. 4) (BR. 02)
S-3ASR Bunge LTD, 50 MAIN STREET, 6TH FLOOR, WHITE PLAINS, NY, 10606,
914-684-2800 - 0 ($0.00) Debt, (File 333-172608 - Mar. 4) (BR. 04A)
F-3D NEXEN INC, 801-7TH AVENUE SW, CALGARY ALBERTA CANA, A0, T2P 3P7,
4036994000 - 4,000,000 ($109,480,000.00) Equity, (File 333-172612 -
Mar. 4) (BR. 04C)
S-3 REEDS INC, 13000 SOUTH SPRING STREET, LOS ANGELES, CA, 90061,
310-217-9400 - 426,832 ($1,069,520.00) Equity, (File 333-172614 -
Mar. 4) (BR. 09B)
S-8 ViewPoint Financial Group Inc., 1309 W 15TH STREET SUITE 400, PLANO,
TX, 75075, 972-578-5000 - 1,913,181 ($24,830,336.00) Equity,
(File 333-172615 - Mar. 4) (BR. 07B)
S-4 OMEGA HEALTHCARE INVESTORS INC, 200 INTERNATIONAL CIRCLE, SUITE 3500,
HUNT VALLEY, MD, 21030, 410-427-1700 - 0 ($575,000,000.00) Debt,
(File 333-172616 - Mar. 4) (BR. 08C)
S-3ASR AMGEN INC, ONE AMGEN CENTER DRIVE, MAIL STOP 24-1-B, THOUSAND OAKS, CA,
91320-1799, (805)313-1762 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-172617 - Mar. 4) (BR. 01A)
S-8 ATHENAHEALTH INC, 311 ARSENAL STREET, WATERTOWN, MA, 02472,
617-402-1000 - 3,529,781 ($161,028,609.22) Equity, (File 333-172619 -
Mar. 4) (BR. 02A)
S-4 GigOptix, Inc., 2300 GENG ROAD, SUITE 250, PALO ALTO, CA, 94303,
(650) 424-1937 - 0 ($28,503,719.84) Equity, (File 333-172620 - Mar. 4)
(BR. 10B)
F-3ASR GLAXOSMITHKLINE PLC, 980 GREAT WEST ROAD, BRENTFORD MIDDLESEX, X0,
TW8 9GS, 011442080475000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-172621 - Mar. 4) (BR. 01A)
S-8 Mayflower Bancorp Inc, PO BOX 311, MIDDLEBORO, MA, 02346,
508-947-4343 - 0 ($1,309,696.00) Equity, (File 333-172622 - Mar. 4)
(BR. 07C)
S-3 OCZ TECHNOLOGY GROUP INC, 6373 SAN IGNACIO AVENUE, SAN JOSE,, CA,
95119-1200, 408-733-8400 - 100,000,000 ($100,000,000.00) Equity,
(File 333-172623 - Mar. 4) (BR. 03A)
S-8 EV Energy Partners, LP, 1001 FANNIN, SUITE 800, HOUSTON, TX, 77002,
713-659-3500 - 0 ($139,650,000.00) Equity, (File 333-172624 - Mar. 4)
(BR. 04C)
S-8 DELTEK, INC, 13880 DULLES CORNER LANE, HERNDON, VA, 20171, 7037348606 -
2,064,083 ($15,583,827.00) Equity, (File 333-172625 - Mar. 4) (BR. 03C)
S-4 SUSQUEHANNA BANCSHARES INC, 26 N CEDAR ST, LITITZ, PA, 17543,
7176264721 - 0 ($288,276,515.15) Equity, (File 333-172626 - Mar. 4)
(BR. 07B)
N-2 ABERDEEN CHILE FUND, INC., C/O ABERDEEN ASSET MANAGEMENT INC.,
1735 MARKET STREET - 32ND FLOOR, PHILADELPHIA, PA, 19103,
215-405-2021 - 0 ($75,000,000.00) Equity, (File 333-172627 - Mar. 4)
(BR. 17)
S-3 KEMET CORP, 2835 KEMET WAY, 2835 KEMET WAY, SIMPSONVILLE, SC, 29681,
8039636300 - 0 ($96,530,000.00) Equity, (File 333-172628 - Mar. 4)
(BR. 10B)
S-1 Empeiria Acquisition Corp, 142 W. 57TH STREET, 12TH FLOOR, NEW YORK,
NY, 10019, 212-887-1150 - 0 ($273,750,100.00) Equity,
(File 333-172629 - Mar. 4) (BR. )
S-1 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC.,
17872 CARTWRIGHT ROAD, IRVINE, CA, 92614, 949-399-4500 -
0 ($13,627,404.00) Equity, (File 333-172630 - Mar. 4) (BR. 05B)
S-4 DSW Inc., 810 DSW DRIVE, COLUMBUS, OH, 43219, (614) 237-7100 -
0 ($905,320,514.70) Equity, (File 333-172631 - Mar. 4) (BR. 09B)
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
A&J Venture Capital Group, Inc. 1.02,5.03,9.01 02/24/11
ACACIA RESEARCH CORP DE 8.01 03/02/11
ACCELRYS, INC. DE 8.01,9.01 03/04/11
ACCELRYS, INC. DE 9.01 07/01/10 AMEND
ACCENTURE SCA 3.02 02/28/11
ACTIVE POWER INC DE 5.02 02/28/11
ACTUANT CORP WI 2.01,9.01 02/28/11
Aegerion Pharmaceuticals, Inc. DE 1.01,2.03,9.01 02/28/11
AGENUS INC DE 3.01,9.01 03/04/11
AGREE REALTY CORP DE 2.02,9.01 03/01/11
Air Transport Services Group, Inc. DE 2.02,9.01 03/03/11
AIS FUTURES FUND IV LP DE 3.02 02/28/11
ALBEMARLE CORP VA 5.02 02/28/11
ALLOS THERAPEUTICS INC DE 5.02,9.01 02/28/11
Ally Financial Inc. DE 1.01,3.03,5.07,9.01 03/01/11
AlphaMetrix Managed Futures III LLC ( DE 3.02 03/01/11
AlphaMetrix Managed Futures LLC (Aspe DE 3.02 03/01/11
Altegris QIM Futures Fund, L.P. DE 3.02 03/01/11
ALTEROLA BIOTECH INC. 5.02,9.01 02/28/11
AMERCO /NV/ NV 8.01,9.01 03/01/11
AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 03/04/11
America's Suppliers, Inc. 5.02 03/01/11
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01 02/28/11 AMEND
AMERICAN GREETINGS CORP OH 8.01 03/04/11
American Liberty Petroleum Corp. NV 2.03 02/28/11
American Reprographics CO DE 5.02,9.01 03/04/11
American Tire Distributors Holdings, 5.02 03/02/11
AMYLIN PHARMACEUTICALS INC DE 5.02 03/01/11
ANADYS PHARMACEUTICALS INC 1.01 02/28/11
ANAVEX LIFE SCIENCES CORP. NV 1.01,3.02,5.02,9.01 02/11/11 AMEND
ANGIOTECH PHARMACEUTICALS INC 8.01,9.01 03/04/11
ante5, Inc. DE 1.01,2.01,9.01 03/01/11
ANTS SOFTWARE INC DE 1.01,9.01 03/03/11
Apple REIT Ten, Inc. VA 1.01 03/01/11
ARBINET Corp DE 2.01,3.01,3.03,5.01, 02/28/11
5.02,5.03,9.01
ARBOR REALTY TRUST INC MD 2.02,9.01 03/04/11
ARENA PHARMACEUTICALS INC DE 5.02 03/01/11
ARGENTEX MINING CORP DE 3.02 03/03/11
ARI NETWORK SERVICES INC /WI WI 1.01,2.01,9.01 03/01/11
ARK RESTAURANTS CORP NY 8.01 03/04/11
Ascent Media CORP DE 2.01,7.01,9.01 02/28/11
ASSISTED LIVING CONCEPTS INC NV 2.02,9.01 03/04/11
Atlas Capital Holdings, Inc. NV 5.06 03/01/11
AUTOBYTEL INC DE 8.01 03/03/11
AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 1.01,9.01 02/28/11
Axcan Intermediate Holdings Inc. DE 5.02 02/28/11
Bacterin International Holdings, Inc. DE 3.01,7.01,9.01 03/04/11
BANKUNITED FINANCIAL CORP FL 8.01,9.01 02/25/11
BARNES & NOBLE INC DE 8.01 03/04/11
BENCHMARK ELECTRONICS INC TX 5.02,9.01 03/02/11
BERRY PETROLEUM CO DE 1.01,5.02,9.01 03/02/11
Biodel Inc 5.07 03/01/11
Biodel Inc 5.07 03/01/11 AMEND
Bioflamex Corp NV 5.02 03/04/11
BIOSANTE PHARMACEUTICALS INC DE 1.01,7.01,9.01 03/03/11
BIOTIME INC CA 7.01,9.01 03/04/11
BLUEGREEN CORP MA 2.03 02/28/11
BOSTON BEER CO INC MA 5.02 02/28/11
BOSTON SCIENTIFIC CORP DE 5.02 02/28/11
BRISTOL MYERS SQUIBB CO DE 5.02,9.01 03/01/11
Bronco Drilling Company, Inc. DE 2.02,9.01 03/04/11
BROOKFIELD HOMES CORP DE 3.01 02/28/11
CABCO TRUST FOR J.C. PENNEY DEBENTURE DE 8.01,9.01 03/01/11
CADENCE PHARMACEUTICALS INC 2.02,9.01 03/03/11
CALAVO GROWERS INC CA 2.02,9.01 03/02/11
CALIFORNIA GOLD CORP. NH 4.01 07/08/10 AMEND
CAPELLA EDUCATION CO 8.01,9.01 03/01/11
CAPITAL SENIOR LIVING CORP DE 5.02,9.01 03/01/11
CAPITOL BANCORP LTD MI 2.02,9.01 03/04/11
CARBO CERAMICS INC DE 1.01 02/28/11
CATO CORP DE 5.02 03/04/11
CAVCO INDUSTRIES INC DE 1.01,9.01 03/04/11
CDW Corp DE 8.01,9.01 03/04/11
CERADYNE INC DE 7.01,9.01 03/03/11
CHINA CLEAN ENERGY INC DE 5.02 02/28/11
China Direct Industries, Inc. FL 1.02,8.01 03/04/11
CHINA EDUCATION ALLIANCE INC. NC 5.02,9.01 02/28/11
CHINA ELECTRIC MOTOR, INC. DE 1.01,9.01 03/04/11 AMEND
CHINA FUND INC MD 5.07 03/03/11
China inSure Holdings, Inc NV 1.01,5.01,5.02,5.03, 01/06/11 AMEND
9.01
China Intelligent Lighting & Electron DE 5.02 03/01/11
CHINA JO-JO DRUGSTORES, INC. 7.01,9.01 03/04/11
ChromaDex Corp. DE 5.02 03/02/11
CLARIENT, INC DE 1.01,9.01 12/21/09
CNB FINANCIAL CORP/PA PA 7.01,9.01 03/04/11
COBIZ FINANCIAL INC CO 7.01 03/04/11
COLUMBUS MCKINNON CORP NY 1.02,8.01,9.01 03/01/11
COMMERCETEL CORP NV 1.01 03/03/11
COMPETITIVE TECHNOLOGIES INC DE 8.01 02/23/11
COMPETITIVE TECHNOLOGIES INC DE 1.01,9.01 03/04/11
CONSOLIDATED CAPITAL PROPERTIES IV CA 1.02 03/01/11
Corporate Resource Services, Inc. DE 2.01,9.01 01/31/11 AMEND
COWEN GROUP, INC. 2.02,9.01 03/04/11
CRIMSON EXPLORATION INC. 8.01,9.01 03/02/11
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 03/03/11
CrowdGather, Inc. NV 3.02,7.01,9.01 03/03/11
Cullen Agricultural Holding Corp DE 1.01 03/02/11
CYTORI THERAPEUTICS, INC. DE 5.02,9.01 02/28/11
DEAN FOODS CO DE 5.02,9.01 03/04/11
dELiAs, Inc. DE 8.01,9.01 03/04/11
DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01,9.01 03/01/11
Digitiliti Inc DE 1.01,2.03,3.02,9.01 02/28/11
DPL INC OH 8.01,9.01 02/28/11
Dresser-Rand Group Inc. DE 1.01,3.02,7.01,9.01 03/03/11
DUNE ENERGY INC DE 2.02,9.01 03/03/11
DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 03/02/11
E-Band Media, Inc. DE 4.01,9.01 02/28/11 AMEND
Eagle Bulk Shipping Inc. 2.02,9.01 03/02/11
Eastern Insurance Holdings, Inc. PA 8.01,9.01 03/04/11
EINSTEIN NOAH RESTAURANT GROUP INC DE 5.02 02/28/11
EL PASO ELECTRIC CO /TX/ TX 5.02 03/02/11
ELITE PHARMACEUTICALS INC /DE/ DE 8.01,9.01 03/02/11
Emergent BioSolutions Inc. DE 5.02 02/28/11
ENDO PHARMACEUTICALS HOLDINGS INC DE 5.02,9.01 03/03/11
ENER1 INC FL 1.01,9.01 02/28/11
ENERGY PARTNERS LTD DE 2.02,9.01 03/03/11
ENHERENT CORP DE 1.02 02/28/11
Ensco plc 1.01,9.01 03/01/11
EQUITY LIFESTYLE PROPERTIES INC MD 1.01,5.03,8.01,9.01 03/01/11
Eureka Financial Corp. 5.02,8.01,9.01 02/28/11
EXAR CORP DE 2.05,2.06,9.01 03/01/11
Exobox Technologies Corp. NV 5.07 03/02/11
EXTERRAN HOLDINGS INC. DE 1.01,8.01,9.01 03/01/11
EXTERRAN PARTNERS, L.P. DE 1.01,8.01,9.01 03/01/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/01/11
FIRST BUSEY CORP /NV/ NV 5.07 03/04/11
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 7.01,9.01 03/04/11
FIRST DEFIANCE FINANCIAL CORP OH 5.02,9.01 03/04/11
FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 03/04/11
FIRST MID ILLINOIS BANCSHARES INC DE 1.01,3.02,3.03 03/02/11
FIRST NORTHERN COMMUNITY BANCORP CA 8.01,9.01 03/03/11
FIRST PACTRUST BANCORP INC MD 5.03,9.01 02/28/11
FLANIGANS ENTERPRISES INC FL 5.07 02/25/11
FLUSHING FINANCIAL CORP DE 7.01,9.01 03/04/11
Fortegra Financial Corp DE 2.02 03/03/11
Fortress Investment Group LLC DE 7.01 03/04/11
FRONTIER FUND DE 1.02,8.01 02/28/11
Game Face Gaming, Inc. FL 1.01,2.03,9.01 03/01/11
GASCO ENERGY INC NV 2.02,9.01 03/02/11
GE Dealer Floorplan Master Note Trust DE 1.01,9.01 03/01/11
GENERAL DYNAMICS CORP DE 5.02,9.01 03/02/11
GENERAL NUTRITION CENTERS, INC. 1.01,1.02,2.03,2.04 03/04/11
GENERAL STEEL HOLDINGS INC NV 7.01,9.01 03/04/11
GENESCO INC TN 2.02,9.01 03/04/11
GENTA INC DE/ DE 8.01 03/04/11
GEOPETRO RESOURCES CO CA 3.02,9.01 12/30/10
Georgetown Bancorp, Inc. X1 1.01,5.02,9.01 02/28/11
GERMAN AMERICAN BANCORP, INC. IN 5.02 02/28/11
GigOptix, Inc. DE 8.01 03/03/11
GLOBAL AXCESS CORP NV 5.02,9.01 02/28/11
GLOBAL DEFENSE TECHNOLOGY & SYSTEMS, DE 2.01,9.01 12/17/10 AMEND
Global Investor Services, Inc. UT 5.02 03/03/11
GOLD HORSE INTERNATIONAL, INC. FL 7.01,9.01 03/04/11
Golden Growers Cooperative MN 4.02 03/01/11 AMEND
GOLDEN PHOENIX MINERALS INC NV 1.01,7.01,9.01 03/04/11
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 03/04/11
Government Properties Income Trust MD 9.01 03/04/11
GRAFTECH INTERNATIONAL LTD DE 8.01 03/01/11
Greatmat Technology Corp NV 4.01,9.01 03/02/11
GREIF INC DE 2.02,7.01,9.01 03/04/11
GRYPHON GOLD CORP NV 7.01,9.01 03/04/11
GULF RESOURCES, INC. DE 5.02,9.01 03/02/11
GULF RESOURCES, INC. DE 1.01,8.01,9.01 11/05/10
HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 03/04/11
HARRIS & HARRIS GROUP INC /NY/ NY 7.01,9.01 03/04/11
HAWAIIAN ELECTRIC INDUSTRIES INC HI 7.01,8.01,9.01 03/04/11
HAWKINS INC MN 8.01,9.01 03/04/11
HAYNES INTERNATIONAL INC DE 5.07 02/28/11
Healthsport, Inc. DE 5.02 02/28/11
HERITAGE COMMERCE CORP CA 7.01,8.01,9.01 12/31/10
HERTZ CORP DE 5.02,9.01 02/28/11
HERTZ GLOBAL HOLDINGS INC 5.02,9.01 02/28/11
HF FINANCIAL CORP DE 7.01,9.01 03/04/11
HI TECH PHARMACAL CO INC NY 8.01,9.01 03/03/11
Highpower International, Inc. DE 2.02,7.01,9.01 03/04/11
Hines Global REIT, Inc. MD 1.01 03/03/11
HOLOGIC INC DE 5.03,5.07,9.01 03/02/11
IA GLOBAL INC DE 5.02 03/04/11
IDENTIVE GROUP, INC. DE 5.02 02/28/11
Imperial Resources, Inc. 1.01,5.02 03/04/11
INDEPENDENCE REALTY TRUST, INC MD 5.02 02/28/11
INDEPENDENT BANK CORP /MI/ MI 3.02 03/03/11
Infusion Brands International, Inc. NV 1.01,9.01 02/17/11
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 03/03/11
INNERWORKINGS INC 7.01,9.01 03/04/11
INOVIO PHARMACEUTICALS, INC. 5.02 03/04/11
Intcomex, Inc. DE 5.02 03/04/11
INTEGRAL SYSTEMS INC /MD/ MD 5.02,9.01 03/02/11
IntelGenx Technologies Corp. DE 5.02,9.01 03/04/11
INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 03/03/11
INTERNATIONAL GAME TECHNOLOGY NV 5.02,5.07,9.01 03/01/11
INTERNATIONAL MONETARY SYSTEMS LTD /W WI 5.02,9.01 02/28/11
International Surf Resorts, Inc. NV 5.03,8.01,9.01 03/01/11
International Surf Resorts, Inc. NV 8.01,9.01 03/02/11
ISABELLA BANK CORP MI 8.01,9.01 03/03/11
JOURNAL COMMUNICATIONS INC 8.01,9.01 03/04/11
JUNIPER NETWORKS INC DE 1.01,2.03,9.01 02/28/11
KATY INDUSTRIES INC DE 1.01,2.03,9.01 02/14/11
KEY ENERGY SERVICES INC MD 1.01,2.03,9.01 03/01/11
Keyser Resources, Inc. NV 8.01 02/28/11
Kryptic Entertainment Inc. 1.01,2.01,5.01,5.02, 02/28/11
5.03,9.01
KUNEKT CORP NV 3.02 03/03/11
LAKELAND BANCORP INC NJ 7.01,9.01 03/04/11
Laredo Oil, Inc. DE 5.02,8.01 03/01/11
LaSalle Hotel Properties MD 5.02 03/03/11
Laxai Pharma Ltd L3 1.01,3.02,5.01,5.02, 02/18/11
8.01,9.01
LECG CORP DE 1.01,9.01 02/28/11
LianDi Clean Technology Inc. NV 7.01,9.01 03/04/11
LML PAYMENT SYSTEMS INC A1 1.01,9.01 03/04/11
LOGIC DEVICES Inc CA 3.01 03/01/11
LogMeIn, Inc. DE 5.02,9.01 03/01/11
LORAL SPACE & COMMUNICATIONS INC. DE 1.01,9.01 03/01/11
M & F WORLDWIDE CORP DE 2.02,9.01 03/04/11
MACQUARIE/FIRST TRUST GLOBAL INFRASTR 7.01,9.01 03/03/11
Madison Square Garden, Inc. DE 2.02,9.01 03/04/11
MATTEL INC /DE/ DE 8.01 02/28/11
McAfee, Inc. DE 5.02 02/28/11
MCG CAPITAL CORP DE 2.02,9.01 03/04/11
MERCER INSURANCE GROUP INC PA 8.01 03/04/11
METLIFE INC DE 8.01,9.01 03/02/11
MF Global Holdings Ltd. DE 5.02,9.01 03/01/11
MICROFLUIDICS INTERNATIONAL CORP DE 8.01,9.01 03/03/11
MICROSEMI CORP DE 1.01,2.03,9.01 03/02/11
MIDAS INC DE 7.01 03/03/11
Midas Medici Group Holdings, Inc. 2.01,5.02,7.01,9.01 02/28/11
ModusLink Global Solutions Inc DE 5.03,9.01 03/02/11
Molycorp, Inc. DE 1.01 02/28/11
MONEYLOGIX GROUP INC. NV 1.01,3.02,9.01 02/16/11
Morningstar, Inc. IL 7.01 03/04/11
MPHASE TECHNOLOGIES INC NJ 8.01 03/04/11
NEPHROS INC DE 3.02,8.01,9.01 03/03/11
NEW YORK MORTGAGE TRUST INC MD 5.02 03/01/11
NewCardio, Inc. DE 1.01,5.02 02/28/11
NEWPARK RESOURCES INC DE 7.01,9.01 03/04/11
Next 1 Interactive, Inc. NV 5.01,9.01 01/15/11
NF Energy Saving Corp DE 8.01,9.01 03/04/11
NGAS Resources Inc A1 8.01 03/01/11
NORDSON CORP OH 5.07 03/01/11
NORTEL NETWORKS CORP 2.02,9.01 03/04/11
NORTH BAY RESOURCES INC DE 3.02,9.01 03/02/11
NORTHEAST UTILITIES MA 5.07,8.01,9.01 03/04/11
NOVAVAX INC DE 1.01,9.01 02/24/11
NSTAR/MA 5.07,8.01,9.01 03/04/11
NUTRI SYSTEM INC /DE/ DE 5.02 03/02/11
O REILLY AUTOMOTIVE INC 8.01 02/28/11
OMEGA PROTEIN CORP NV 2.02,7.01,9.01 03/03/11
Onstream Media CORP FL 3.03,5.03,8.01,9.01 03/02/11
Optionable Inc 1.01,5.02,9.01 03/01/11
Orange 21 Inc. DE 1.01,3.02,9.01 02/28/11
Orient Paper Inc. NV 7.01,9.01 02/28/11
PENGRAM CORP NV 8.01,9.01 03/01/11
PFF BANCORP INC DE 8.01,9.01 02/21/11
PHH CORP MD 5.02,9.01 03/01/11
PICO HOLDINGS INC /NEW CA 1.01,5.02,9.01 02/28/11
PINNACLE ENTERTAINMENT INC. DE 5.02,8.01,9.01 03/03/11
POWERSECURE INTERNATIONAL, INC. DE 9.01 01/14/11 AMEND
PRAXAIR INC DE 1.01,9.01 03/04/11
PRIDE INTERNATIONAL INC DE 1.01,9.01 03/01/11
PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.01,8.01,9.01 02/28/11
QUANTUM SOLAR POWER CORP. 1.01,9.01 02/28/11
QUEPASA CORP NV 1.01,3.02,5.02 02/28/11
Radiation Therapy Services Holdings, DE 1.01,2.02,5.02,9.01 02/28/11
REALOGY CORP DE 2.02,9.01 03/04/11
Redpoint Bio CORP 2.02,9.01 03/04/11
REINSURANCE GROUP OF AMERICA INC MO 2.04,3.03 03/01/11
REPROS THERAPEUTICS INC. DE 5.02,8.01,9.01 02/28/11
Revolutions Medical CORP NV 1.01,2.03,3.02 02/24/11
RiverSource LaSalle International Rea MD 7.01,9.01 03/04/11
Rockville Financial, Inc. /CT/ CT 2.02,9.01 03/04/11
Rodobo International Inc NV 8.01,9.01 02/28/11
RTI Biologics, Inc. DE 5.02 02/28/10
SAGA COMMUNICATIONS INC DE 2.02,9.01 03/04/11
SALIX PHARMACEUTICALS LTD 2.02,9.01 02/28/11
SANDRIDGE ENERGY INC DE 8.01,9.01 03/04/11
SEGWAY IV CORP NJ 4.01 08/13/10 AMEND
SELECT COMFORT CORP MN 7.01,9.01 03/04/11
SELECT COMFORT CORP MN 7.01,9.01 03/04/11
SELECT MEDICAL HOLDINGS CORP 2.02,9.01 03/03/11
SEN YU INTERNATIONAL HOLDINGS, INC. DE 5.02,7.01,9.01 03/03/11
SERACARE LIFE SCIENCES INC 5.02,8.01 03/02/11
SFN Group Inc. DE 5.02 03/04/11
SHAMIKA 2 GOLD, INC. NV 1.01,2.01,3.02,9.01 03/04/11
Shengkai Innovations, Inc. FL 5.07,9.01 03/04/11
Shengkai Innovations, Inc. FL 8.01,9.01 03/03/11
SHILOH INDUSTRIES INC DE 5.02 02/28/11
Shire plc 8.01,9.01 03/03/11
SILGAN HOLDINGS INC DE 8.01,9.01 03/01/11
SILVERLEAF RESORTS INC 1.01,2.03,9.01 02/28/11
Sino American Oil Co NV 5.02,8.01 03/04/11
Skilled Healthcare Group, Inc. DE 8.01,9.01 03/04/11
SOKO FITNESS & SPA GROUP, INC. DE 7.01,9.01 03/04/11
Sound Worldwide Holdings, Inc. 5.03,9.01 02/28/11
SOVRAN SELF STORAGE INC MD 5.02 03/03/11
SPOT MOBILE INTERNATIONAL LTD. DE 3.02 02/28/11
ST JOE CO FL 3.03,5.02,5.03,8.01, 03/03/11
9.01
STAGE STORES INC NV 8.01,9.01 03/03/11
STAR SCIENTIFIC INC DE 1.01,3.02,9.01 02/28/11
STEMCELLS INC DE 3.01 03/03/11
STERLING BANCORP NY 7.01,9.01 03/03/11
SUNLINK HEALTH SYSTEMS INC OH 1.01,9.01 03/01/11
SUPERIOR UNIFORM GROUP INC FL 8.01 03/03/11
SURMODICS INC MN 1.01,2.03,9.01 02/28/11
SWEET SPOT GAMES INC NV 1.01,5.01,5.02,9.01 03/02/11
Swisher Hygiene Inc. DE 1.01,2.01,3.02,9.01 02/28/11
SWORDFISH FINANCIAL, INC. MN 8.01 03/04/11
SYNOVUS FINANCIAL CORP GA 5.02 03/02/11
Talecris Biotherapeutics Holdings Cor DE 8.01,9.01 03/04/11
TERREMARK WORLDWIDE INC. DE 1.01,9.01 02/28/11
TESORO CORP /NEW/ DE 5.02 02/04/11 AMEND
TETRA TECHNOLOGIES INC DE 7.01,9.01 03/04/11
THORATEC CORP CA 5.02 02/28/11
TIGRENT INC CO 5.02,8.01,9.01 03/04/11
TIMKEN CO OH 7.01,9.01 03/04/11
TORCHLIGHT ENERGY RESOURCES INC NV 5.02 03/03/11
TORCHMARK CORP DE 2.01,9.01 12/31/10 AMEND
TOYS R US INC DE 2.02,9.01 03/04/11
TPC Group Inc. DE 2.02,7.01,9.01 03/04/11
TRI-CONTINENTAL CORP MD 7.01,9.01 03/04/11
TRICO MARINE SERVICES INC DE 7.01,8.01,9.01 02/25/11
Tropicana Entertainment Inc. DE 1.01,9.01 02/28/11
Tupper, Inc. NV 4.01,9.01 03/04/11
U.S. Auto Parts Network, Inc. DE 1.01,9.01 02/28/11
UDR, Inc. MD 8.01,9.01 03/04/11
Ulta Salon, Cosmetics & Fragrance, In DE 5.02 03/02/11
UNITED BANKSHARES INC/WV WV 5.02 02/28/11
United Maritime Group, LLC FL 5.02 02/28/11
UNITED RENTALS INC /DE DE 7.01,9.01 03/02/11
UNIVERSAL GOLD MINING CORP. NV 5.02 02/28/11
URANIUM ENERGY CORP NV 8.01,9.01 03/04/11
USA Mobility, Inc DE 1.01,2.01,7.01,9.01 03/03/11
VAALCO ENERGY INC /DE/ DE 5.02,9.01 03/04/10
Valeant Pharmaceuticals International A6 8.01,9.01 03/03/11
VALHI INC /DE/ DE 7.01,9.01 03/03/11
VALPEY FISHER CORP MD 2.02,9.01 03/03/11
VASOMEDICAL INC DE 1.01,9.01 02/28/11
VASOMEDICAL INC DE 5.02 02/28/11
VGTel, Inc. 1.01,5.01,5.02,9.01 01/10/11 AMEND
VGTel, Inc. 1.01,5.02,9.01 02/15/11 AMEND
VIRGIN MEDIA INC. DE 8.01 03/04/11
VIRGINIA COMMERCE BANCORP INC 5.02 02/28/11
VISTA GOLD CORP B0 7.01 03/02/11
VISTA GOLD CORP B0 7.01,9.01 03/02/11
VIVUS INC CA 2.02,9.01 02/28/11
VWR Funding, Inc. DE 7.01,9.01 03/04/11
WASHINGTON GAS LIGHT CO DC 5.07 03/03/11
WAUSAU PAPER CORP. WI 5.02 03/01/11
WERNER ENTERPRISES INC NE 7.01,9.01 03/04/11
WESTMOUNTAIN INDEX ADVISOR INC 1.01,2.01,3.02,5.01, 02/28/11
5.02,5.06,9.01
Winthrop Realty Trust OH 1.01,2.02,2.03,7.01, 03/03/11
8.01,9.01
WINTON FUTURES FUND LP (US) CO 3.02 03/01/11
WIZZARD SOFTWARE CORP /CO CO 1.01,9.01 03/01/11
World Omni Auto Receivables Trust 201 DE 1.01,8.01,9.01 03/02/11
WYNDHAM WORLDWIDE CORP DE 5.02 02/28/11
XCEL ENERGY INC MN 8.01 02/28/11
Xsovt Brands, Inc. NV 5.02,9.01 03/01/11
Xun Energy, Inc. NV 1.01,9.01 03/04/11
ZION OIL & GAS INC DE 8.01,9.01 03/04/11
ZOGENIX, INC. DE 5.02 03/01/11
Zoom Telephonics, Inc. DE 2.02,9.01 02/23/11
ZST Digital Networks, Inc. DE 2.02,7.01,9.01 03/04/11
http://www.sec.gov/news/digest/2011/dig030711.htm
|