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

SEC News Digest

Issue 2011-72
April 14, 2011

Commission announcements

Commission Meetings

Closed Meeting on Thursday, April 21, 2011 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, April 21, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; an adjudicatory matter; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.

Enforcement proceedings

In the Matter of James J. Konaxis

On April 13, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against James J. Konaxis. The Order finds that on April 5, 2011, a judgment was entered by consent against Konaxis, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and barring him from participating in an offering of penny stock, in the civil action entitled Securities and Exchange Commission v. James J. Konaxis, Civil Action Number 1:11-cv-10489, in the United States District Court for the District of Massachusetts. In particular, the Commission’s complaint alleged that Konaxis, while associated with registered broker-dealer Sentinel, defrauded one of his largest individual customers by repeatedly churning at least three of the customer’s brokerage accounts.

Based on the above, the Order bars Konaxis from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Konaxis consented to the issuance of the Order without admitting or denying any of the findings, except he admitted the entry of the injunction. (Rels. 34-64298; IA-3187; File No. 3-14341)

SEC Charges Subprime Auto Loan Lender and Executives With Fraud

The Securities and Exchange Commission announced that it filed a civil injunctive action today in federal district court in Massachusetts charging Massachusetts-based subprime auto loan provider Inofin Inc. and three company executives with misleading investors about their lending activities and diverting millions of dollars in investor funds for their personal benefit. The SEC also charged two sales agents with illegally offering to sell company securities without being registered with the SEC as broker-dealers.

The SEC alleges that Inofin executives Michael Cuomo of Plymouth, Mass., Kevin Mann of Marshfield, Mass., and Melissa George of Duxbury, Mass., illegally raised at least $110 million from hundreds of investors in 25 states and the District of Columbia through the sale of unregistered notes. Investors in the notes were told that Inofin would use the money for the sole purpose of funding subprime auto loans. As part of the pitch, Inofin and its executives told investors that they could expect to receive returns of 9 to 15 percent because Inofin loaned investor money to its subprime borrowers at an average rate of 20 percent. But unbeknownst to investors, and starting in 2004, approximately one-third of investor money raised was instead used by Cuomo and Mann to open four used car dealerships and begin multiple real estate property developments for their own benefit.

Inofin is not registered with the SEC to offer securities to investors.

According to the SEC’s complaint filed in federal court in Boston, Inofin and the executives materially misrepresented Inofin’s financial performance beginning as early as 2006 and continuing through 2011. Inofin had a negative net worth and a progressively deteriorating financial condition caused not only by the failure of Inofin’s undisclosed business activities, but also by management’s decisions in 2007, 2008, and 2009 to sell some of its auto loan portfolio at a substantial discount to solve ever-increasing cash shortages that Inofin concealed from investors. Nonetheless, Inofin and its principal officers continued to offer and sell Inofin securities while knowingly or recklessly misrepresenting to investors that Inofin was a profitable business and sound investment.

The SEC further alleges that beginning in 2006 and continuing to April 2010, Inofin’s executives defrauded investors while maintaining Inofin’s license to do business as a motor vehicle sales finance company by preparing and submitting materially false financial statements to its licensing authority, the Massachusetts Division of Banks. The SEC’s complaint charges Cuomo, Mann, and George with violating the antifraud and registration provisions of the federal securities laws, and seeks civil injunctions, the return of ill-gotten gains plus prejudgment interest, and financial penalties.

The SEC’s charges against the two sales agents – David Affeldt and Thomas K. (Kevin) Keough – allege that they promoted the offering and sale of Inofin’s unregistered securities. They were unjustly enriched with more than $500,000 in referral fees between 2004 and 2009. Affeldt and Keough are charged with selling the unregistered Inofin securities and failing to register with the SEC as a broker-dealer, and the SEC seeks civil injunctions, the return of ill-gotten gains plus prejudgment interest, and financial penalties. Keough’s wife Nancy Keough is named in the complaint as a relief defendant for the purposes of recovering proceeds she received as a result of the violations.

The Commission’s complaint alleges that Inofin, Cuomo, Mann, and George violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and that Kevin Keough, and David Affeldt violated Sections 5(a), and 5(c) of the Securities Act and Section 15(a) of the Exchange Act. The Commission seeks the entry of a permanent injunction, disgorgement of ill-gotten gains plus pre-judgment interest, and the imposition of civil monetary penalties against Inofin, Cuomo, Mann, George, Kevin Keough, and David Affeldt. Keough’s wife Nancy Keough is named in the complaint as a relief defendant for the purposes of recovering proceeds she received as a result of the violations. [SEC v. Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough, 1:11-CV-10633 (D. Mass.)] (LR-21929)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-53) to amend Option Floor Procedures Advice F-14 regarding executing hedge and synthetic options orders containing stock components has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64294)

A proposed rule change filed by the New York Stock Exchange (SR-NYSE-2011-14) to alter Listing Fees Applicable to Debt Securities and Structured Products has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64299)

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-8     CARNIVAL CORP, 3655 N W 87TH AVE, PO BOX 1347, MIAMI, FL, 33178-2428, 
        3055992600 - 15,000,000 ($65,567.48) Equity, (File 333-173465 - 
        Apr. 13) (BR. 05A)

        80222, 303-222-1000 - 452,362 ($565,452.50) Equity, (File 333-173466 - 
        Apr. 13) (BR. 09A)

S-3ASR  Pebblebrook Hotel Trust, 2 BETHESDA METRO CENTER, SUITE 1530, BETHESDA, 
        MD, 20814, 240-507-1300 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-173468 - Apr. 13) (BR. 08B)

S-8     Rockville Financial, Inc. /CT/, 1645 ELLINGTON ROAD, SOUTH WINDSOR, CT, 
        06074, 860-291-3600 - 0 ($12,769,133.95) Equity, (File 333-173469 - 
        Apr. 13) (BR. 07)

Recent 8K Filings

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


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant


Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement


Cost Associated with Exit or Disposal Activities


Material Impairments


Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review


Changes in Control of Registrant


Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer


Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


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.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

3Power Energy Group Inc.                NV       8.01                 04/13/11

Addus HomeCare Corp                     DE       8.01,9.01            04/13/11

Adelman Enterprises, Inc.               DE       1.01,9.01            04/11/11

ADTRAN INC                              DE       2.02,9.01            04/12/11

Alamo Energy Corp.                      NV       1.01,2.01,2.03,3.02, 04/12/11
ALEXION PHARMACEUTICALS INC             DE       5.05,9.01            04/10/11

Allezoe Medical Holdings Inc            DE       8.01,9.01            04/07/11

ALLIANCE FINANCIAL CORP /NY/            NY       2.02,9.01            04/13/11

Ally Financial Inc.                     DE       8.01,9.01            04/13/11

AMERICAN LITHIUM MINERALS, INC.                  5.02                 04/06/11

AmeriCredit Automobile Receivables Tr            8.01,9.01            04/13/11

ANAVEX LIFE SCIENCES CORP.              NV       1.01,3.02,9.01       03/30/11

ANWORTH MORTGAGE ASSET CORP             MD       8.01,9.01            04/13/11

ARETE INDUSTRIES INC                    CO       8.01,9.01            04/13/11

Armour Residential REIT, Inc.           MD       8.01,9.01            04/13/11

ASTORIA FINANCIAL CORP                  DE       5.02                 03/16/11

AvStar Aviation Group, Inc.             CO       1.01,2.03,3.02       04/19/10

Bank of Commerce Holdings               CA       5.02,9.01            04/13/11

BANKATLANTIC BANCORP INC                FL       3.01                 04/06/11

Banyan Rail Services Inc.               DE       1.01,2.03,9.01       04/07/11

BE Resources Inc.                       CO       7.01,9.01            04/12/11

Behringer Harvard Opportunity REIT I,   MD       1.01,2.03            04/11/11

BERRY PETROLEUM CO                      DE       1.01,2.03,9.01       04/13/11

BIGLARI HOLDINGS INC.                   IN       5.07                 04/07/11

BJs RESTAURANTS INC                     CA       8.01,9.01            04/13/11

BRIGHAM EXPLORATION CO                  DE       5.02                 04/07/11

BROCADE COMMUNICATIONS SYSTEMS INC      DE       5.07                 04/12/11

Brooklyn Federal Bancorp, Inc.          X1       5.02,9.01            04/07/11

Buckingham Exploration Inc.                      1.02                 04/08/11

CAMAC Energy Inc.                       DE       1.01,5.02,5.03,9.01  04/12/11

CBIZ, Inc.                              DE       1.01,9.01            04/11/11

Celanese CORP                           DE       7.01,9.01            04/13/11

CENTURY BANCORP INC                     MA       2.02,9.01            04/13/11

CHASE CORP                              MA       2.02,9.01            04/07/11

CHESAPEAKE ENERGY CORP                  OK       7.01,9.01            04/11/11

China Marketing Media Holdings, Inc.    TX       4.01,8.01,9.01       04/13/11

China MediaExpress Holdings, Inc.       DE       5.02,9.01            03/11/11

CLEAN DIESEL TECHNOLOGIES INC           DE       1.01,2.03,3.02,8.01, 04/11/11
Cogdell Spencer Inc.                    MD       5.02,9.01            04/07/11

Congaree Bancshares Inc                 SC       1.02,8.01,9.01       04/12/11

CONVERSION SERVICES INTERNATIONAL INC   DE       1.01,9.01            04/07/11

Copano Energy, L.L.C.                            8.01,9.01            04/13/11

CORELOGIC, INC.                         DE       8.01                 04/11/11

CPI CORP                                DE       9.01                 01/26/11    AMEND

CRIMSON EXPLORATION INC.                         8.01,9.01            04/11/11

CVR ENERGY INC                          DE       1.01,2.03,8.01,9.01  04/07/11

CVR PARTNERS, LP                        DE       1.01,2.03,3.02,3.03, 04/07/11
diaDexus, Inc.                          DE       1.01                 04/08/11

DIGUANG INTERNATIONAL DEVELOPMENT CO.   NV       1.01                 04/12/11

Discover Card Execution Note Trust      DE       1.01,8.01,9.01       04/13/11

DOLLAR FINANCIAL CORP                   DE       1.01,9.01            04/07/11

DRUGSTORE COM INC                       DE       5.02,8.01,9.01       04/08/11

EAGLE ROCK ENERGY PARTNERS L P          DE       1.01,3.02,7.01,9.01  04/12/11

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01,9.01            04/12/11

EDEN ENERGY CORP                        NV       1.01,5.02,9.01       04/01/11

ELECTRONICS FOR IMAGING INC             DE       5.02,9.01            04/13/11

Emrise CORP                             DE       7.01,9.01            04/13/11

ENB Financial Corp                      PA       2.02,9.01            04/12/11

Encore Energy Partners LP               DE       1.01,9.01            04/13/11

ENER1 INC                               FL       5.02,9.01            04/08/11

Energy Future Holdings Corp /TX/        TX       1.01                 04/12/11

ENSURGE INC                             NV       4.02,9.01            04/13/11    AMEND

ENTECH SOLAR, INC.                      DE       1.01,3.02,5.02       04/13/11

ESSA Bancorp, Inc.                      PA       7.01,9.01            04/12/11

ESSEX PROPERTY TRUST INC                MD       1.01,3.03,5.03,8.01, 04/08/11
Federal Home Loan Bank of Dallas                 2.03,9.01            04/07/11

FEMALE HEALTH CO                        WI       7.01,9.01            04/13/11

FIRST CITIZENS BANCSHARES INC /TN/      TN       2.02,9.01            04/13/11

FIRST COMMUNITY FINANCIAL CORP          PA       5.07                 04/12/11

FIRST DATA CORP                         DE       1.01,2.03,9.01       04/13/11

FIRST M&F CORP/MS                       MS       7.01,9.01            04/13/11

FIRST OTTAWA BANCSHARES INC             DE       7.01,9.01            04/13/11

FIRST SOLAR, INC.                       DE       5.02                 04/13/11

FLM Minerals Inc.                       NV       4.01,9.01            04/13/11

FOREST LABORATORIES INC                 DE       2.01,9.01            04/11/11

GenOn Energy, Inc.                      DE       7.01,9.01            04/13/11

GEOSPATIAL HOLDINGS, INC.               NV       1.01,3.02,5.02,7.01, 04/11/11
Global Pharm Holdings Group, Inc.       DE       1.01,2.01,3.02,4.01, 08/12/10    AMEND

GLOBECOMM SYSTEMS INC                            1.01,2.01,2.03,9.01  04/07/11

GMX RESOURCES INC                       OK       5.02,7.01,9.01       04/07/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 04/13/11

Golub Capital BDC, Inc.                 DE       2.02,9.01            04/13/11

Graham Packaging Co Inc.                DE       8.01,9.01            04/13/11

Grand Canyon Education, Inc.            DE       1.01,2.03,8.01       04/12/11

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01                 04/13/11

Graystone Co                            DE       5.07                 04/09/11

Graystone Co                            DE       9.01                 04/13/11

Great Lakes Dredge & Dock CORP          DE       8.01,9.01            04/13/11

GREENBRIER COMPANIES INC                DE       8.01,9.01            04/13/11

Hartman Short Term Income Properties    MD       4.02                 04/13/11

HCP, INC.                               MD       1.01,2.01,7.01,9.01  04/07/11

HEALTH DISCOVERY CORP                   2Q       5.02,8.01            04/07/11

HEIDRICK & STRUGGLES INTERNATIONAL IN   DE       5.02,9.01            12/14/10    AMEND

Home Federal Bancorp, Inc. of Louisia   LA       7.01,9.01            04/13/11

Homeowners Choice, Inc.                 FL       5.02                 04/09/11

HOOKER FURNITURE CORP                   VA       2.02,9.01            04/12/11

HQ SUSTAINABLE MARITIME INDUSTRIES, I   DE       3.01,8.01,9.01       04/11/11

IASIS Healthcare LLC                    DE       8.01                 04/13/11

INFOSPACE INC                           DE       1.01,5.02,9.01       04/11/11

INHIBITEX, INC.                         DE       5.02,9.01            04/12/11

Inland Diversified Real Estate Trust,   MD       9.01                 04/13/11    AMEND

INTEGRA BANK CORP                       IN       7.01,9.01            04/11/11

INTEL CORP                              DE       7.01,9.01            04/13/11

INTERPLAY ENTERTAINMENT CORP            DE       4.01,9.01            04/12/11

IPAYMENT INC                            DE       8.01,9.01            04/12/11

IRELAND INC.                            NV       8.01,9.01            04/08/11

J P MORGAN CHASE & CO                   DE       2.02,9.01            04/13/11

J P MORGAN CHASE & CO                   DE       7.01,9.01            04/13/11

JEFFERIES GROUP INC /DE/                DE       1.01,9.01            04/08/11

JEFFERIES GROUP INC /DE/                DE       1.01,9.01            04/08/11

Kallo Inc.                              NV       5.06,9.01            04/12/11

Kennedy-Wilson Holdings, Inc.           DE       1.01,2.03,9.01       04/12/11

LAKELAND FINANCIAL CORP                 IN       5.02,5.07            04/12/11

LAKELAND FINANCIAL CORP                 IN       7.01                 04/12/11

LEFT BEHIND GAMES INC.                  WA       7.01,9.01            04/13/11

LEGEND INTERNATIONAL HOLDINGS INC       DE       7.01                 04/08/11

Lender Processing Services, Inc.        DE       8.01                 04/12/11

Lender Processing Services, Inc.        DE       1.01,9.01            04/12/11

Liberator, Inc.                         FL       9.01                 01/27/11    AMEND

LITTELFUSE INC /DE                      DE       2.02,9.01            04/13/11

MAGNUM HUNTER RESOURCES CORP            DE       8.01,9.01            04/13/11

MAINLAND RESOURCES INC.                          7.01,9.01            04/13/11

MARTIN MIDSTREAM PARTNERS LP            DE       9.01                 04/13/11

McCormick & Schmicks Seafood Restaura            8.01,9.01            04/13/11

MedQuist Holdings Inc.                  DE       2.02,7.01,9.01       04/13/11

Mellanox Technologies, Ltd.             L3       5.02                 04/13/11

MERRILL LYNCH MUNICIPAL ABS INC         NY       9.01                 04/01/11

Merriman Holdings, Inc                  DE       2.03,3.02,9.01       04/07/11

MGM Resorts International               DE       3.02,8.01,9.01       04/13/11

MICHAEL BAKER CORP                      PA       5.02                 04/08/11

Midway Gold Corp                        A1       7.01,9.01            04/08/11

MOHEGAN TRIBAL GAMING AUTHORITY                  2.02,9.01            04/13/11

MOSAIC CO                               DE       8.01,9.01            04/08/11

Motorola Solutions, Inc.                DE       1.01                 04/12/11

Motors Liquidation Co                   DE       7.01,9.01            04/07/11

MPG Office Trust, Inc.                  MD       8.01,9.01            04/12/11

NATIONAL PENN BANCSHARES INC            PA       1.01,7.01            04/13/11

NATIONAL TECHNICAL SYSTEMS INC /CA/     CA       5.02,9.01            04/07/11

Neuralstem, Inc.                        DE       7.01,9.01            04/12/11

Noble Corp / Switzerland                V8       7.01,9.01            04/13/11

NORTEL NETWORKS CORP                             8.01                 04/13/11

NORTH BAY RESOURCES INC                 DE       1.01,2.01,9.01       04/07/11

NORTHERN TECHNOLOGIES INTERNATIONAL C   DE       2.02,9.01            04/13/11

NORTHWEST BIOTHERAPEUTICS INC           DE       1.01                 04/13/11

NORTHWESTERN CORP                       DE       8.01,9.01            04/13/11

OCZ TECHNOLOGY GROUP INC                DE       1.01,9.01            04/07/11

Orbitz Worldwide, Inc.                  DE       5.02,9.01            04/07/11    AMEND

ORIENT EXPRESS HOTELS LTD               D0       2.02,9.01            04/13/11

PARK OHIO HOLDINGS CORP                 OH       1.01,2.03,5.02,9.01  04/07/11

PARKWAY PROPERTIES INC                  MD       1.01,3.02,5.02,8.01, 04/10/11
PEOPLES LIBERATION INC                  DE       1.01                 04/07/11

POPE RESOURCES LTD PARTNERSHIP          DE       8.01,9.01            04/13/11

PPL Corp                                         1.01,9.01            04/11/11

Pzena Investment Management, Inc.       DE       8.01,9.01            03/31/11

RADIANT SYSTEMS INC                     GA       5.02                 03/25/11    AMEND

RADIANT SYSTEMS INC                     GA       5.02                 02/25/11    AMEND

Raptor Pharmaceutical Corp              DE       5.02,8.01,9.01       04/11/11

RICKS CABARET INTERNATIONAL INC         TX       8.01,9.01            04/10/11

Riverbed Technology, Inc.               DE       2.02,9.01            04/12/11

SENSUS (BERMUDA 2) LTD                  D0       8.01,9.01            04/12/11

SILGAN HOLDINGS INC                     DE       8.01,9.01            04/13/11

SL GREEN REALTY CORP                    MD       1.01,9.01            04/13/11

SLM Student Loan Trust 2003-14          DE       8.01,9.01            04/12/11

SLM Student Loan Trust 2004-1           DE       8.01,9.01            04/12/11

SLM Student Loan Trust 2004-5           DE       8.01,9.01            04/12/11

SOLAR ACQUISITION CORP.                 FL       1.01,2.01,3.02,5.01, 04/06/11
SOLAR ACQUISITION CORP.                 FL       5.02                 04/06/11

Solar Energy Initiatives, Inc.          DE       5.02                 04/12/11

SONIC FOUNDRY INC                       MD       3.01,9.01            04/07/11

SOUTHCOAST FINANCIAL CORP               SC       4.01,9.01            04/05/11    AMEND

SPARTON CORP                            OH       5.02                 04/10/11

SPECIALTY CONTRACTORS, INC.             NV       8.01,9.01            04/13/11

Spirit AeroSystems Holdings, Inc.       DE       1.01,8.01,9.01       04/07/11

STATE BANK FINANCIAL CORP               GA       8.01,9.01            04/13/11

STELLAR PHARMACEUTICALS INC                      7.01,9.01            04/12/11

StellarOne CORP                         VA       8.01,9.01            04/13/11

Strategic Storage Trust, Inc.           MD       7.01,9.01            04/13/11

STUDIO ONE MEDIA, INC.                  DE       8.01,9.01            04/07/11

SUNLINK HEALTH SYSTEMS INC              OH       7.01,9.01            04/08/11

SupportSave Solutions Inc                        3.02                 04/11/11

TAKEDOWN ENTERTAINMENT INC.             NV       7.01                 03/18/11

TEL INSTRUMENT ELECTRONICS CORP         NJ       8.01                 04/13/11

TELKONET INC                            UT       1.01,3.02,5.03,9.01  03/30/11

TESSERA TECHNOLOGIES INC                DE       5.03,9.01            04/13/11

TIDEWATER INC                           DE       8.01,9.01            04/11/10

TIER TECHNOLOGIES INC                   DE       5.07                 04/12/11

UNIGENE LABORATORIES INC                DE       1.01,9.01            04/07/11

United eSystems, Inc.                   NV       1.01,3.02,9.01       04/08/11

UNIVERSAL FOREST PRODUCTS INC           MI       2.02,9.01            04/13/11

Unum Group                              DE       8.01,9.01            04/12/11

USA REAL ESTATE INVESTMENT TRUST /CA    CA       1.01                 04/07/11

Vanity Events Holding, Inc.             DE       1.01,2.03,3.02,5.02, 04/06/11
Verisk Analytics, Inc.                  DE       8.01                 04/12/11

VirnetX Holding Corp                    DE       5.02                 04/07/11

VSE CORP                                DE       8.01                 04/08/11

W R GRACE & CO                          DE       5.02,9.01            04/08/11

WAUSAU PAPER CORP.                      WI       8.01,9.01            04/13/11

WEIKANG BIO-TECHNOLOGY GROUP CO., INC   NV       5.02                 04/07/11

Western Refining, Inc.                  DE       7.01,9.01            04/12/11

WESTWOOD ONE INC /DE/                   DE       2.02,9.01            04/13/11

WINMARK CORP                            MN       2.02,7.01,9.01       04/13/11

WMS INDUSTRIES INC /DE/                 DE       2.02,9.01            04/11/11

WYNN RESORTS LTD                                 7.01,9.01            04/12/11

XCEL ENERGY INC                         MN       8.01                 04/11/11

XFONE INC.                              NV       8.01,9.01            04/12/11

Xsovt Brands, Inc.                      NV       9.01                 01/26/11    AMEND

ZBB ENERGY CORP                         WI       1.01                 04/08/11



Modified: 04/14/2011