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ENFORCEMENT PROCEEDINGSIn the Matter of Internet Marketing, Inc., et al.On August 16, 2011, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Internet Marketing, Inc., Admin. Proc. No. 3-14440, as to Internet Marketing, Inc., Intrepid Technology & Resources, Inc., Ion Technology, Inc., Itemus, Inc., and ITIS Holdings, Inc. (collectively Respondents). The Default Order finds that Respondents failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13a-1 and 13a-13 or 13a-16 because each failed to make periodic filings with the Commission for a number of years. Based on these findings, the Default Order, pursuant to Section 12(j) of the Exchange Act, revokes the registration of each class of registered securities of each Respondent. (Rel. 34-65139; File No. 3-14440) SEC v. Michael Strauss, Stephen Hozie and Robert BernsteinOn March 8, 2011 the Court entered an order (Order) sought by the Commission authorizing the establishment of a Fair Fund comprised of approximately $1.6 million dollars in disgorgement, post judgment interest and penalties paid by defendants Michael Strauss and Stephen Hozie. The Order provided that the Fair Fund would be distributed, net of a reserve for taxes, fees and expenses, to a sub-set of a certified class in a settled class action in the United States District Court for the Eastern District of New York, In re American Home Mortgage Securities Litigation, 07-MD-1898 (TCP) (E.D.N.Y.). The sub-set consists of all shareholders who purchased American Home Mortgage Investment Corp. (AHM) common and/or preferred stock on or after April 30, 2007, when AHM announced its earnings for the first quarter of 2007 and who held those shares through June 27, 2007, the day before AHM withdrew its earnings guidance and announced the establishment of additional reserves. The Order provides that the funds shall be distributed to the sub-set in accordance with the class action’s Plan of Allocation approved by the class action court’s January 14, 2010 order. These funds are now being distributed. The Commission has settled with all defendants in this case. In its complaint, the Commission had alleged that Strauss and Hozie fraudulently understated AHM’s first quarter 2007 loan loss reserves by tens of millions of dollars, converting the company’s loss into a fictional profit. The Commission also alleged, among other conduct, that Strauss and Hozie made misleading disclosures concerning the company’s financial condition including misrepresenting the company’s liquidity and failing to adequately disclose the riskiness of the mortgages American Home Mortgage originated and held. [SEC v. Michael Strauss, Stephen Hozie and Robert Bernstein, Civil Action No. 09-cv-4150 (S.D.N.Y.)] (LR-22067; AAE Rel. 3313) Federal Court Grants Summary Judgment and Enters Permanent Injunction Against Larry LangfordThe Securities and Exchange Commission announced that a District Judge has granted summary judgment in favor of the Commission on its claims that the former president of the Jefferson County, Alabama Commission violated the securities laws when he accepted payments from a broker-dealer in connection with the award of County bond and swap business. On August 8, 2011, the Honorable Abdul K. Kallon, United States District Judge for the Northern District of Alabama, granted the Commission’s motion for summary judgment against Larry Langford based on Langford’s criminal conviction for the same conduct. The Eleventh Circuit Court of Appeals on August 5, 2011, affirmed Langford’s conviction and 15-year prison sentence. The Court permanently enjoined Langford, the former County Commission president and former mayor of Birmingham, Alabama, from further violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5. The Court found that Langford had engaged in a scheme to enrich himself by accepting payments from Montgomery-based broker William Blount in exchange for awarding Blount’s firm, business on numerous county bond and swap transactions. The Court gave the Commission until September 29, 2011, to file a motion regarding any disgorgement and civil penalties it intends to seek. The Court found Langford’s conduct egregious and if he was given the opportunity would likely repeat the wrongs. The Court concluded Langford’s conduct revealed a recurrent pattern of wrongful behavior that has affected Jefferson County citizens and its bond investors continue to suffer. [SEC v. Larry Langford, et al., Civil Action No. 2:08-CV-00761-AKK (N.D. AL) (LR-22068) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by BATS Exchange to offer a bulk-quoting interface (SR-BATS-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 August 15. (Rel. 34-65133) Proposed Rule ChangeNASDAQ OMX PHLX filed a proposed rule change under Rule 19b-4 (SR-PHLX-2011-111) requesting permanent approval of pilot program to permit NASDAQ OMX PHLX to receive inbound routes by Nasdaq Options Services. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65135) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-NYSEArca-2011-23) submitted by NYSE Arca pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading shares of ProShares Short VIX Short-Term Futures ETF, ProShares Short VIX Mid-Term Futures ETF, ProShares Ultra VIX Short-Term Futures ETF, ProShares Ultra VIX Mid-Term Futures ETF, ProShares UltraShort VIX Short-Term Futures ETF, and ProShares UltraShort VIX Mid-Term Futures ETF under NYSE Arca Equities Rule 8.200, Commentary .02. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65134) The Commission approved a proposed rule change submitted by NYSE Arca (SR-NYSEArca-2011-24), pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to list and trade shares of the following under NYSE Arca Equities Rule 8.200: ProShares Short DJ-UBS Natural Gas, ProShares Ultra DJ-UBS Natural Gas and ProShares UltraShort DJ-UBS Natural Gas. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65136) Accelerated Approval of Proposed Rule ChangeA proposed rule change filed by the Financial Industry Regulatory Authority (SR-FINRA-2011-040) clarifying the application of the Operations Professional requirements to certain employees of foreign broker-dealers has been approved on an accelerated basis. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65137) 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-3 CurrencyShares Russian Ruble Trust, C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($1.00) Other, (File 333-176300 - Aug. 15) (BR. 08B) S-3 CurrencyShares South African Rand Trust, C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($1.00) Other, (File 333-176301 - Aug. 15) (BR. 08B) S-3 CurrencyShares Singapore Dollar Trust, C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($1.00) Other, (File 333-176302 - Aug. 15) (BR. 08B) S-1 CANYON COPPER CORP., 1199 WEST PENDER STREET, SUITE 408, VANCOUVER, A1, V6E 2R1, 604-331-9326 - 9,897,554 ($2,375,412.96) Equity, (File 333-176303 - Aug. 15) (BR. 04B) S-8 Graystone Co, 2620 REGATTA DRIVE, STE 102, LAS VEGAS, NV, 89128, (917) 310-0077 - 15,000,000 ($750,000.00) Equity, (File 333-176304 - Aug. 15) (BR. 03B) S-8 GALECTIN THERAPEUTICS INC, 7 WELLS AVENUE, STE 34, NEWTON, MA, 02459, 617-559-0033 - 9,100,000 ($10,366,000.00) Equity, (File 333-176305 - Aug. 15) (BR. 01B) S-8 GALECTIN THERAPEUTICS INC, 7 WELLS AVENUE, STE 34, NEWTON, MA, 02459, 617-559-0033 - 0 ($8,800,000.00) Equity, (File 333-176306 - Aug. 15) (BR. 01B) S-3ASR DENTSPLY INTERNATIONAL INC /DE/, SUSQUEHANNA COMMERCE CENTER, 221 W. PHILADELPHIA STREET, YORK, PA, 17405, 7178457511 - 0 ($0.00) Debt, (File 333-176307 - Aug. 15) (BR. 10A) S-3ASR OCCIDENTAL PETROLEUM CORP /DE/, 10889 WILSHIRE BLVD, LOS ANGELES, CA, 90024, 3102088800 - 0 ($0.00) Debt, (File 333-176308 - Aug. 15) (BR. 04A) S-8 HOOPER HOLMES INC, 170 MT AIRY ROAD, BASKING RIDGE, NJ, 07920, 9087665000 - 1,500,000 ($1,245,000.00) Other, (File 333-176309 - Aug. 15) (BR. 09B) S-3ASR FLIR SYSTEMS INC, 27700 SW PARKWAY AVENUE, WILSONVILLE, OR, 97070, 5034983547 - 0 ($0.00) Non-Convertible Debt, (File 333-176311 - Aug. 15) (BR. 05B) S-1 Panama Dreaming Inc., EDIFICIO TORRE EL CANGREJO SEGUNDO, PISO OF NO. 2, PANAMA CITY, R1, 0823-03260, 507-392-7086 - 5,000,000 ($50,000.00) Equity, (File 333-176312 - Aug. 15) (BR. ) S-8 PEP BOYS MANNY MOE & JACK, 3111 W ALLEGHENY AVE, PHILADELPHIA, PA, 19132, 2152299000 - 0 ($17,510,000.00) Equity, (File 333-176313 - Aug. 15) (BR. 02C) S-8 ORASURE TECHNOLOGIES INC, 150 WEBSTER ST, BETHLEHEM, PA, 18015, 5036416115 - 0 ($19,796,000.00) Equity, (File 333-176315 - Aug. 15) (BR. 10B) N-2 ARC Real Estate Income Fund, 450 WIRELESS BOULEVARD, HAUPPAUGE, NY, 11788, 631-470-2600 - 300,000,000 ($300,000,000.00) Equity, (File 333-176316 - Aug. 15) (BR. 18) S-8 KEMET CORP, 2835 KEMET WAY, 2835 KEMET WAY, SIMPSONVILLE, SC, 29681, 8039636300 - 0 ($38,680,000.00) Equity, (File 333-176317 - Aug. 15) (BR. 10B) S-8 GLU MOBILE INC, 2207 BRIDGEPOINTE PARKWAY, SUITE 250, SAN MATEO, CA, 94404, 650-532-2400 - 1,050,000 ($3,396,750.00) Equity, (File 333-176318 - Aug. 15) (BR. 03A) S-4 INERGY L P, TWO BRUSH CREEK, SUITE 200, KANSAS CITY, MO, 64112, 8168428181 - 0 ($750,000,000.00) Non-Convertible Debt, (File 333-176319 - Aug. 15) (BR. 02C) S-3 LECROY CORP, 700 CHESTNUT RIDGE RD, CHESTNUT RIDGE, NY, 10977, 845-425-2000 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-176320 - Aug. 15) (BR. 10B) S-1 BRS Group Inc, 87 DENNIS STREET, GARDEN CITY PARK, NY, 11040, 2122400707 - 6,920,115 ($77,159,282.25) Equity, (File 333-176323 - Aug. 15) (BR. ) S-8 RadNet, Inc., 1516 COTNER AVE, LOS ANGELES, CA, 90025, 3104787808 - 4,500,000 ($13,027,500.00) Equity, (File 333-176324 - Aug. 15) (BR. 09B) S-3 GLU MOBILE INC, 2207 BRIDGEPOINTE PARKWAY, SUITE 250, SAN MATEO, CA, 94404, 650-532-2400 - 11,407,934 ($36,904,666.49) Equity, (File 333-176325 - Aug. 15) (BR. 03A) S-8 IRONCLAD PERFORMANCE WEAR CORP, 2201 PARK PLACE, SUITE 101, EL SEGUNDO, CA, 90245-4909, 310-643-7800 - 8,750,000 ($700,000.00) Equity, (File 333-176326 - Aug. 15) (BR. 02A) S-3 GLU MOBILE INC, 2207 BRIDGEPOINTE PARKWAY, SUITE 250, SAN MATEO, CA, 94404, 650-532-2400 - 1,000,000 ($3,235,000.00) Equity, (File 333-176327 - Aug. 15) (BR. 03A) 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
AASTROM BIOSCIENCES INC MI 2.02,9.01 08/15/11
ABRAXAS PETROLEUM CORP NV 7.01,9.01 08/15/11
ACCELERATED ACQUISITION XII DE 1.01,5.06,9.01 08/15/11
ACE Ltd V8 5.03,9.01 08/11/11
ACE Ltd V8 5.07 08/11/11 AMEND
ACI WORLDWIDE, INC. DE 8.01,9.01 08/15/11
ADEONA PHARMACEUTICALS, INC. DE 2.02,9.01 08/15/11
AEOLUS PHARMACEUTICALS, INC. DE 2.02,9.01 08/15/11
AeroGrow International, Inc. NV 2.02,7.01,9.01 08/15/11
AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02,9.01 08/10/11
AGILENT TECHNOLOGIES INC DE 2.02,9.01 08/15/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/15/11
ALLIANCE ONE INTERNATIONAL, INC. VA 5.07 08/15/11
Allied World Assurance Co Holdings, A 8.01,9.01 08/15/11
Alta Mesa Holdings, LP TX 2.02,5.02,9.01 08/11/11
American Electric Technologies Inc FL 2.02,9.01 08/11/11
AMERICAN EXPRESS CO NY 7.01 08/15/11
American Retail Group, Inc. NV 4.01,9.01 08/11/11
AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 08/15/11
AMERIGAS PARTNERS LP DE 1.01,3.03,9.01 08/10/11
AMERON INTERNATIONAL CORP DE 5.02,9.01 08/11/11
AMES NATIONAL CORP IA 8.01 08/10/11
Antero Resources Finance Corp DE 2.02,9.01 08/15/11
Aquilex Holdings LLC DE 5.02 08/11/11
AROTECH CORP DE 2.02,9.01 08/15/11
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 08/12/11
Ascent Solar Technologies, Inc. DE 1.01,3.02,8.01,9.01 08/12/11
ASPEN INSURANCE HOLDINGS LTD D0 1.01,1.02,2.03,9.01 08/12/11
AVIV REIT, INC. MD 2.02,9.01 08/15/11
AvStar Aviation Group, Inc. CO 1.02,2.03,3.02 05/02/11
AXION INTERNATIONAL HOLDINGS, INC. CO 2.02,9.01 08/15/11
Azteca Acquisition Corp D8 8.01,9.01 08/15/11
B2B INTERNET HOLDRSSM TRUST NY 3.03,8.01,9.01 08/12/11
BAKER HUGHES INC DE 1.01,2.03,9.01 08/10/11
BALLY TECHNOLOGIES, INC. NV 2.02,9.01 08/11/11
Banks.com, Inc. FL 2.02,9.01 08/15/11
BAZI INTERNATIONAL, INC. NV 5.02 08/10/11
BCM Energy Partners Inc. DE 4.01,9.01 08/12/11
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 08/15/11
BENIHANA INC DE 5.02,9.01 08/15/11
BERKSHIRE HATHAWAY INC DE 8.01,9.01 08/15/11
Bidz.com, Inc. CA 2.02,3.01,9.01 08/15/11
BIMINI CAPITAL MANAGEMENT, INC. MD 2.02,5.07,9.01 08/15/11
BIO KEY INTERNATIONAL INC DE 2.02,9.01 08/15/11
BIO-PATH HOLDINGS INC UT 2.02,8.01,9.01 08/11/11
BIOTECH HOLDRS TRUST 3.03,8.01,9.01 08/11/11
BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 08/15/11
Bitstream Inc. DE 2.02,9.01 08/15/11
Blugrass Energy, Inc. NV 2.06 06/30/11
Bonds.com Group, Inc. DE 1.01,3.02,8.01,9.01 08/11/11
Bridgeline Digital, Inc. DE 2.02,9.01 08/15/11
BRISTOL MYERS SQUIBB DEBENTURE BACKED DE 8.01,9.01 08/01/11
BROADBAND HOLDRS TRUST 3.03,8.01,9.01 08/11/11
BROADWAY FINANCIAL CORP \DE\ DE 2.02,9.01 08/15/11
CABELAS INC DE 7.01,9.01 08/15/11
CALAIS RESOURCES INC 8.01 08/12/11
CAMBRIDGE HEART INC DE 2.02,9.01 08/15/11
CAPITAL BANK CORP NC 2.02,9.01 08/15/11
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 08/12/11
CARDTRONICS INC DE 1.01,8.01,9.01 08/15/11
Caribou Coffee Company, Inc. MN 8.01,9.01 08/15/11
CASEYS GENERAL STORES INC IA 7.01 08/15/11
Castle Brands Inc FL 2.02,9.01 08/15/11
CENTERLINE HOLDING CO DE 2.02,9.01 06/30/11
CENTURY PROPERTIES FUND XVI CA 1.01,2.03 08/10/11
Cereplast Inc NV 2.02,9.01 08/15/11
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 08/15/11
China Complant Group Inc NV 8.01 06/30/11
China Direct Industries, Inc. FL 2.02,7.01,9.01 08/15/11
CHINA GENGSHENG MINERALS, INC. NV 2.02,8.01,9.01 08/15/11
CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 08/15/11
China Nutrifruit Group LTD NV 2.02,7.01,9.01 08/15/11
CHINA SECURITY & SURVEILLANCE TECHNOL DE 8.01 08/15/11
China Shengda Packaging Group Inc. NV 2.02,7.01,9.01 08/15/11
China XD Plastics Co Ltd NV 2.02,9.01 08/15/11
China XD Plastics Co Ltd NV 1.01,3.02,5.02,5.03, 08/15/11
7.01,9.01
China XD Plastics Co Ltd NV 4.01,9.01 08/15/11
CIFC Corp. DE 2.02,9.01 08/15/11
CINCINNATI FINANCIAL CORP OH 7.01,9.01 08/12/11
CIT GROUP INC DE 8.01,9.01 08/15/11
CITADEL BROADCASTING CORP DE 2.02,9.01 08/15/11
CITIBANK OMNI-S MASTER TRUST 8.01 08/15/11
CLAIBORNE LIZ INC DE 8.01,9.01 08/11/11
CLEVELAND BIOLABS INC DE 8.01 08/15/11
CLIFFS NATURAL RESOURCES INC. OH 8.01 08/15/11
COLONIAL COMMERCIAL CORP NY 2.02,9.01 08/15/11
Colonial Financial Services, Inc. MD 8.01,9.01 08/12/11
COMMERCETEL CORP NV 2.01,3.02,9.01 08/06/11
COMMERCIAL BARGE LINE CO DE 2.02,9.01 08/15/11
COMMONWEALTH BANKSHARES INC VA 2.02,9.01 08/15/11
COMPOSITE TECHNOLOGY CORP NV 1.01,1.03,2.01,5.02, 08/09/11
9.01
Computer Software Innovations, Inc. DE 2.02,9.01 08/15/11
Conmed Healthcare Management, Inc. DE 8.01 08/12/11
CoreSite Realty Corp MD 5.07 05/19/11 AMEND
CORPORATE PROPERTY ASSOCIATES 15 INC MD 7.01,9.01 08/15/11
Corporate Property Associates 17 - Gl MD 8.01,9.01 08/15/11
Covidien plc 1.01,2.03,9.01 08/09/11
CPI CORP DE 5.07 08/15/11
CPI International Holding Corp. 2.02,9.01 08/15/11
CVD EQUIPMENT CORP NY 2.02,9.01 08/10/11
DAYSTAR TECHNOLOGIES INC DE 2.02,9.01 08/15/11
DECKERS OUTDOOR CORP DE 1.01,9.01 08/10/11
Delta Tucker Holdings, Inc. DE 2.02,9.01 08/15/11
DENTSPLY INTERNATIONAL INC /DE/ DE 8.01,9.01 08/15/11
DEWMAR INTERNATIONAL BMC, INC. NV 4.01,9.01 08/12/11
diaDexus, Inc. DE 2.02,9.01 08/15/11
DineEquity, Inc DE 8.01,9.01 08/15/11
DOLPHIN DIGITAL MEDIA INC NV 4.02 08/10/11
DOMINION RESOURCES INC /VA/ VA 8.01,9.01 08/10/11
Domtar CORP DE 1.01,9.01 08/12/11
Douglas Lake Minerals Inc. NV 7.01,9.01 08/15/11
DREAMS INC UT 2.02,9.01 08/15/11
Duff & Phelps Corp DE 1.01,9.01 08/15/11
ECHELON CORP DE 5.02 08/10/11
EINSTEIN NOAH RESTAURANT GROUP INC DE 7.01 08/15/11
ELANDIA INTERNATIONAL INC. DE 2.01,9.01 05/31/11 AMEND
ELLIE MAE INC DE 1.01,2.01,5.02,7.01, 08/15/11
9.01
EMAGIN CORP DE 2.02,9.01 08/11/11
EMERSON RADIO CORP DE 2.02,9.01 08/15/11
Emrise CORP DE 2.02,7.01,9.01 08/15/11
Energy Services of America CORP DE 2.02,9.01 08/12/11
ENTREMED INC DE 2.02,9.01 08/15/11
EPICEPT CORP 2.02,9.01 08/15/11
EQUUS TOTAL RETURN, INC. DE 8.01,9.01 08/15/11
ESCALADE INC IN 8.01,9.01 08/15/11
ESTEE LAUDER COMPANIES INC DE 2.02,9.01 08/15/11
EUROPE 2001 HOLDRS TRUST NY 3.03,8.01,9.01 08/11/11
EV Energy Partners, LP DE 7.01,9.01 08/09/11
EVERGREEN SOLAR INC DE 7.01,9.01 08/15/11
EVERGREEN SOLAR INC DE 1.01,1.03,2.04,7.01, 08/15/11
9.01
EXPRESS-1 EXPEDITED SOLUTIONS INC DE 8.01,9.01 08/15/11
EXPRESS-1 EXPEDITED SOLUTIONS INC DE 2.02,9.01 08/15/11
F5 NETWORKS INC WA 5.02,8.01,9.01 08/12/11
Fabrinet E9 2.02,9.01 08/15/11
FARMER BROTHERS CO CA 5.02 08/09/11
Federal Home Loan Bank of Indianapoli X1 7.01,9.01 08/15/11
First Advantage Bancorp 2.02,9.01 08/15/11
FIRST FINANCIAL SERVICE CORP KY 2.02,9.01 08/15/11
FIRST HORIZON NATIONAL CORP TN 8.01 08/11/11
FLEETCOR TECHNOLOGIES INC DE 5.02 08/12/11
FLORIDA POWER CORP FL 8.01,9.01 08/15/11
FNBH BANCORP INC MI 8.01,9.01 08/15/11
FORWARD INDUSTRIES INC NY 2.02,5.02,9.01 08/09/11
FriendFinder Networks Inc. NV 2.02,9.01 08/15/11
FS Investment CORP MD 2.02,9.01 08/15/11
Gaming Partners International CORP NV 2.02,9.01 08/15/11
GENUINE PARTS CO GA 8.01,9.01 08/15/11
GENUINE PARTS CO GA 5.07 08/15/11 AMEND
GeoVax Labs, Inc. DE 2.02,9.01 08/12/11
GLOBAL POWER EQUIPMENT GROUP INC. DE 2.02,9.01 08/15/11
GLOBAL POWER EQUIPMENT GROUP INC. DE 5.02,9.01 08/09/11
GLU MOBILE INC DE 1.01,9.01 08/15/11
GOLDMAN SACHS GROUP INC DE 9.01 08/15/11
Google Inc. DE 8.01,9.01 08/15/11
GRAPHON CORP/DE DE 5.02,8.01 08/09/11
Green Plains Renewable Energy, Inc. 5.07 05/04/11 AMEND
GREENLIGHT CAPITAL RE, LTD. 5.02 08/15/11
GRYPHON GOLD CORP NV 7.01,9.01 08/15/11
GTSI CORP DE 2.02,9.01 08/15/11
GUIDED THERAPEUTICS INC DE 5.07 08/12/11
GXS Worldwide, Inc. DE 2.02,9.01 08/15/11
Harley-Davidson Motorcycle Trust 2011 NV 8.01,9.01 08/12/11
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 08/15/11
Hartman Short Term Income Properties MD 2.01 08/12/11
HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 08/15/11
HASTINGS ENTERTAINMENT INC TX 2.02,9.01 08/15/11
HAUPPAUGE DIGITAL INC DE 5.07 08/11/11
HAWTHORN BANCSHARES, INC. MO 2.02,9.01 08/15/11
HAWTHORN BANCSHARES, INC. MO 8.01 08/11/11
HDS INTERNATIONAL CORP. NV 1.01,2.03,9.01 08/12/11
HEALTH DISCOVERY CORP 2Q 1.01 08/10/11
HEARTLAND FINANCIAL USA INC DE 7.01,9.01 08/10/11
HERTZ CORP DE 5.02 08/11/11
HERTZ GLOBAL HOLDINGS INC 5.02 08/11/11
High Plains Gas, Inc. NV 3.02,9.01 08/15/11
HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 08/15/11
HOLLYWOOD MEDIA CORP FL 2.02,9.01 08/15/11
HOOPER HOLMES INC NY 9.01 08/12/11
Horizon Lines, Inc. 1.01,9.01 08/12/11
III TO I MARITIME PARTNERS CAYMAN I L 5.02 08/09/11
IMMUCELL CORP /DE/ DE 2.02,9.01 08/15/11
Independence Bancshares, Inc. SC 5.02,5.03,9.01 08/09/11
INDEPENDENCE HOLDING CO DE 8.01,9.01 08/15/11
INFORMATION ANALYSIS INC VA 2.02,9.01 08/11/11
Infusion Brands International, Inc. NV 2.01,3.02,9.01 05/09/11 AMEND
INNOTRAC CORP GA 5.02,9.01 08/11/11
INSIGNIA SYSTEMS INC/MN MN 8.01 08/10/11
INSITE VISION INC DE 5.02 08/15/11
INSMED INC VA 7.01,9.01 08/15/11
InsPro Technologies Corp DE 8.01,9.01 08/15/11
INTELLIGENT SYSTEMS CORP GA 2.02,9.01 08/15/11
INTERLINE BRANDS, INC./DE DE 8.01,9.01 08/15/11
International Stem Cell CORP 4.02 08/15/11
INTERNET ARCHITECTURE HOLDRSSM TRUST NY 3.03,8.01,9.01 08/11/11
INTERNET HOLDRS TRUST NY 3.03,8.01,9.01 08/11/11
INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 3.03,8.01,9.01 08/11/11
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 08/15/11
INX Inc DE 2.02,7.01,9.01 08/15/11
Iowa Renewable Energy, LLC IA 5.02 08/10/11
IPAYMENT INC DE 5.02,8.01,9.01 08/01/11
JACKSON HEWITT TAX SERVICE INC DE 1.03,9.01 08/09/11
JACOBS ENTERTAINMENT INC DE 2.02,9.01 08/15/11
JDS UNIPHASE CORP /CA/ DE 1.01,5.02,5.03,9.01 08/09/11
John Bean Technologies CORP DE 7.01,9.01 08/12/11
KAR Auction Services, Inc. DE 1.01,7.01,9.01 08/15/11
KATY INDUSTRIES INC DE 2.02,9.01 08/15/11
KINGOLD JEWELRY, INC. DE 7.01,9.01 08/12/11
KINGSTONE COMPANIES, INC. DE 2.02,5.07,9.01 08/11/11
KRONOS WORLDWIDE INC 7.01,9.01 08/12/11
L & L ENERGY, INC. NV 5.02 08/15/11
LEAPFROG ENTERPRISES INC 5.02,8.01,9.01 08/11/11
Legend Oil & Gas, Ltd. CO 8.01,9.01 08/11/11
LEHMAN ABS CORP CORP BACK TR AIG DEBE DE 8.01,9.01 08/01/11
LEXICON PHARMACEUTICALS, INC./DE DE 5.02,8.01,9.01 08/12/11
LianDi Clean Technology Inc. NV 2.02,9.01 08/15/11
LITHIA MOTORS INC OR 7.01,9.01 08/15/11
LOCAL.COM DE 1.01,9.01 08/09/11
Loreto Resources Corp. NV 1.01,7.01 08/08/11
LOWES COMPANIES INC NC 2.02,9.01 08/15/11
LyondellBasell Industries N.V. P7 8.01,9.01 08/12/11 AMEND
MAGNACHIP SEMICONDUCTOR Corp DE 5.02 08/10/11
MANNATECH INC TX 3.01,9.01 08/11/11
MARKET 2000 PLUS HOLDRS SM TRUST NY 3.03,8.01,9.01 08/11/11
MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 08/12/11
MEDL Mobile Holdings, Inc. NV 2.02,9.01 08/15/11
MedQuist Holdings Inc. DE 8.01,9.01 08/15/11
Merriman Holdings, Inc DE 2.02,9.01 08/15/11
METLIFE INC DE 1.01,8.01,9.01 08/12/11
METROPOLITAN HEALTH NETWORKS INC FL 8.01 08/12/11
MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 08/15/11
Millennium India Acquisition CO Inc. DE 2.02,8.01,9.01 07/05/11
MMAX MEDIA, INC. NV 5.02,9.01 08/15/11
MMRGlobal, Inc. DE 2.02,9.01 08/15/11
Mobile Data Corp. NV 1.01,7.01,8.01,9.01 08/10/11
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 08/15/11
Morgans Hotel Group Co. DE 1.01,1.02,2.03 08/12/11
Motorola Mobility Holdings, Inc 8.01,9.01 08/15/11
NATIONAL MENTOR HOLDINGS, INC. DE 2.02,9.01 08/15/11
NATIONAL SECURITY GROUP INC DE 7.01,9.01 08/15/11
NATIONAL WESTERN LIFE INSURANCE CO CO 8.01 08/11/11
Nationstar Mortgage LLC DE 8.01,9.01 08/15/11
NCO Group, Inc. DE 2.02,7.01,9.01 08/12/11
NETLIST INC DE 2.02,9.01 08/15/11
New Mountain Finance Corp DE 5.02 08/10/11
NewPage Holding CORP DE 2.02,9.01 08/15/11
NORTH SPRINGS RESOURCES CORP. NV 5.03,8.01,9.01 08/12/11
NORTH SPRINGS RESOURCES CORP. NV 1.01,2.03,9.01 08/12/11
NOVASTAR FINANCIAL INC MD 8.01,9.01 08/09/11
NPS PHARMACEUTICALS INC DE 1.01,8.01,9.01 08/10/11
NUPATHE INC. DE 2.02,9.01 08/15/11
NUVASIVE INC DE 8.01 08/09/11
OIL SERVICE HOLDRS TRUST NY 3.03,8.01,9.01 08/11/11
OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 08/15/11
OMEGA PROTEIN CORP NV 7.01,9.01 08/15/11
Onstream Media CORP FL 08/15/11
OVERLAND STORAGE INC CA 1.01 08/09/11
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 2.02,9.01 08/12/11
PANERA BREAD CO DE 5.02 08/10/11
PARK CITY GROUP INC 7.01,8.01,9.01 08/15/11
PAWS Pet Company, Inc. IL 2.02,9.01 08/15/11
Peninsula Gaming, LLC DE 2.02,9.01 08/15/11
PENN MILLERS HOLDING CORP 8.01,9.01 08/15/11
PEOPLES EDUCATIONAL HOLDINGS MN 2.02,9.01 08/15/11
PFSWEB INC DE 8.01 08/11/11
PHARMACEUTICAL HOLDRS TRUST 3.03,8.01,9.01 08/11/11
PHARMATHENE, INC DE 2.02,9.01 08/10/11
PREFERRED APARTMENT COMMUNITIES INC MD 2.02,9.01 08/15/11
PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 08/15/11
PROCTER & GAMBLE CO OH 8.01,9.01 08/15/11
PROGRESS ENERGY INC NC 7.01,9.01 06/30/11
ProUroCare Medical Inc. NV 1.01,2.03,5.07,9.01 08/09/10
ProUroCare Medical Inc. NV 5.02 06/27/11 AMEND
PROVIDENT FINANCIAL SERVICES INC DE 8.01,9.01 08/11/11
QR Energy, LP DE 2.02,9.01 08/15/11
QUALITY SYSTEMS, INC CA 1.01,5.07,9.01 08/11/11
Radiation Therapy Services Holdings, DE 2.02,9.01 08/15/11
RADIENT PHARMACEUTICALS Corp DE 2.02,7.01,9.01 08/15/11
RADIOSHACK CORP DE 5.02,9.01 08/15/11
Rand Logistics, Inc. DE 8.01,9.01 08/15/11
Rand Logistics, Inc. DE 7.01,9.01 08/15/11
RBC LIFE SCIENCES, INC. DE 2.02 08/11/11
RDA Holding Co. 2.02,9.01 08/15/11
Real Mex Restaurants, Inc. DE 2.02,9.01 08/15/11
REGIONAL BANK HOLDERS SM TRUST NY 3.03,8.01,9.01 08/11/11
RELIANCE STEEL & ALUMINUM CO CA 5.07,9.01 05/18/11 AMEND
REPUBLIC SERVICES, INC. DE 8.01,9.01 08/15/11
RETAIL HOLDRS TRUST NY 3.03,8.01,9.01 08/11/11
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 08/15/11
REX ENERGY CORP DE 1.01 08/09/11
RF MONOLITHICS INC /DE/ DE 5.02 08/09/11
Rodobo International Inc NV 2.02,9.01 08/15/11
Ruby Creek Resources, Inc. NV 1.01,9.01 08/11/11
S1 CORP /DE/ DE 7.01,9.01 08/15/11
S1 CORP /DE/ DE 8.01,9.01 08/15/11
SCANA CORP SC 7.01,9.01 08/15/11
Scio Diamond Technology Corp NV 1.01,3.02,5.01,5.02, 08/11/11 AMEND
5.03,8.01,9.01
SemGroup Corp DE 2.02,9.01 08/15/11
SEMICONDUCTOR HOLDRS TRUST NY 3.03,8.01,9.01 08/11/11
SENSIENT TECHNOLOGIES CORP WI 5.02,9.01 08/15/11
SERVICEMASTER CO DE 2.02,7.01,9.01 08/15/11
SHELTON GREATER CHINA FUND MA 5.07 05/27/11
Shiner International, Inc. NV 2.02,9.01 08/15/11 AMEND
SIGNATURE GROUP HOLDINGS INC NV 8.01 08/09/11
SINOHUB, INC. DE 2.02,7.01,9.01 08/15/11
SKY DIGITAL STORES CORP. NV 1.01,2.01,3.02,4.01, 05/05/11 AMEND
5.01,5.02,5.03,5.06,
9.01
SMART Modular Technologies (WWH), Inc E9 5.07,8.01,9.01 08/12/11
SMITH MIDLAND CORP DE 2.02,9.01 08/15/11
SOFTWARE HOLDRS TRUST NY 3.03,8.01,9.01 08/11/11
SOLAR ENERTECH CORP DE 2.02,9.01 08/15/11
Solar Power, Inc. CA 2.02,9.01 08/15/11
SOLERA HOLDINGS, INC DE 8.01,9.01 08/15/11
Sonora Resources Corp. NV 1.01,9.01 08/10/11
SOUTHWEST BANCORP INC OK 7.01,9.01 08/12/11
Spansion Inc. DE 5.02,9.01 08/11/11
SPORT CHALET INC DE 5.07,7.01,9.01 08/11/11
STAG Industrial, Inc. 2.02,9.01 08/15/11
STRATUS PROPERTIES INC DE 2.02,9.01 08/15/11
SUFFOLK BANCORP NY 3.01,9.01 08/11/11
SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 08/15/11
Swisher Hygiene Inc. DE 2.02,9.01 08/15/11
SYMMETRICOM INC DE 5.02,8.01 08/09/11
SYNERGY RESOURCES CORP CO 7.01,9.01 08/15/11
SYSCO CORP DE 2.02,9.01 08/15/11
T3 Motion, Inc. DE 2.02,9.01 08/10/11
TAL International Group, Inc. DE 1.01,2.03 08/12/11
Tanke Biosciences Corp NV 2.02,9.01 02/09/11 AMEND
TELECOM HOLDRS TRUST NY 3.03,8.01,9.01 08/11/11
TENGION INC DE 5.02 08/10/11
TESCO CORP 5.05,9.01 08/09/11
TII NETWORK TECHNOLOGIES, INC. DE 2.02,9.01 08/15/11
TIME WARNER CABLE INC. DE 1.01,7.01,9.01 08/15/11
TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 08/15/11
TOWERSTREAM CORP DE 2.02,9.01 08/15/11
TRAILER BRIDGE INC 2.02,9.01 08/12/11
TRANS1 INC 2.02,9.01 08/09/11
Transocean Ltd. V8 1.01,8.01,9.01 08/15/11
Trunkbow International Holdings Ltd NV 2.02,9.01 08/15/11
UNION BANKSHARES INC VT 2.02,9.01 08/11/11
UNITED INSURANCE HOLDINGS CORP. DE 2.02,5.02,9.01 08/15/11
UNITED SECURITY BANCSHARES INC DE 5.07 08/09/11
UNITRIN INC DE 8.01,9.01 08/15/11
UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 08/15/11
UNIVERSAL POWER GROUP INC. TX 2.02,9.01 08/11/11
URANIUM RESOURCES INC /DE/ DE 8.01,9.01 08/15/11
Urban Barns Foods Inc. NV 1.01,2.01,3.02,9.01 05/02/11
UROLOGIX INC MN 5.02 08/09/11
US DATAWORKS INC NV 2.02,9.01 08/15/11
USEC INC DE 1.01,9.01 08/15/11
UTILITIES HOLDERS SM TRUST NY 3.03,8.01,9.01 08/11/11
VALASSIS COMMUNICATIONS INC DE 7.01,9.01 08/15/11
Valeant Pharmaceuticals International A6 1.01,9.01 08/10/11
VALSPAR CORP DE 2.02,9.01 08/15/11
VIEWCAST COM INC DE 2.02,9.01 08/15/11
VIRGIN MEDIA INC. DE 1.01,9.01 08/12/11
VITESSE SEMICONDUCTOR CORP DE 2.02,9.01 08/09/11
Vringo Inc DE 2.02,9.01 08/15/11
VYCOR MEDICAL INC DE 4.02,8.01 08/15/11
WEB.COM GROUP, INC. 5.02 08/09/11
WELLPOINT, INC IN 2.03,8.01,9.01 08/10/11
WELLS CORE OFFICE INCOME REIT INC 2.02,9.01 08/15/11
WESTERN DIGITAL CORP DE 5.02 08/10/11
WIRELESS HOLDRS TRUST NY 3.03,8.01,9.01 08/11/11
XENONICS HOLDINGS, INC. NV 2.02,9.01 08/15/11
XERIUM TECHNOLOGIES INC DE 7.01,9.01 08/10/11
XO HOLDINGS INC DE 2.02,9.01 08/15/11
Yayi International Inc DE 2.02,9.01 08/15/11
YUHE INTERNATIONAL, INC. NV 3.01,4.01,8.01,9.01 08/09/11
http://www.sec.gov/news/digest/2011/dig081611.htm
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