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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-182
September 20, 2011

Commission Announcements

Statement from Chairman Schapiro on IG Investigation into Former General Counsel’s Participation in Madoff-Related Matters

The following is a statement from SEC Chairman Mary L. Schapiro on the SEC’s Inspector General’s investigation of the former General Counsel’s participation in Madoff-related matters:

“Last March, after learning about the Trustee’s suit against the Becker estate, I asked for the Inspector General to look into the matter. 

I take his report, which was published today, very seriously.

It would be inappropriate for me to comment on the Inspector General’s referral to the Department of Justice.

I do want to state that I’ve known David for many years to be a talented, highly skilled lawyer and a dedicated civil servant who served under three Chairmen.

As the Inspector General recommends, we will seek another vote of the Commission on the question of the SEC’s position on the valuation of Madoff victim accounts.

I believe that the decision the Commission made on that issue was appropriate under the law and in the best interest of investors.  

Moving forward, we plan to implement the other recommendations contained in the report as well.”

Link to IG report: http://www.sec.gov/foia/docs/oig-560.pdf

(Press Rel. 2011-187)

Enforcement Proceedings

In the Matter of Jason Mutascio

On September 19, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions as to Respondent Jason Mutascio (Mutascio). Respondent Mutascio consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to his guilty plea and Judgment against him.

The Order finds that Mutascio, a registered representative residing in Aventura, Florida, pled guilty to one count of wire fraud before the United States District Court for the Southern District of Florida in U.S. v. Mutascio, Case No. 10-60025-CR-COHN. In his guilty plea, Mutascio admitted that in March 2009, he devised a scheme to defraud one of his clients and to obtain money and property by means of false and fraudulent pretenses, representations, and promises and that, without the permission of his client, he caused the wire transfer of funds in the amount of $44,000 from his client’s brokerage account to bank accounts under his control.

The Order bars Mutascio from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock.. (Rel. 34-65351; File No. 3-14437)

In the Matter of Delta Global Advisors Inc. and Charles P. Hanlon

On Sept. 20, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 as to Delta Global Advisors, Inc. and an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Charles P. Hanlon (collectively, the Orders). The Orders find that Delta misrepresented its assets under management and eligibility for registration through various means. In addition, the Orders find that Delta did not disclose its precarious financial condition to clients, a court judgment in a breach of fiduciary duty lawsuit filed by one of Delta’s clients, or the fact that FINRA had suspended Hanlon from acting in any registered capacity.

Based on the above, Delta and Hanlon were ordered to cease and desist from committing or causing any violations and any future violations of Sections 203A, 206(1), 206(2), 206(4), and 207 of the Investment Advisers Act of 1940 and Rule 206(4)-1(a)(5) promulgated thereunder; Delta’s registration as an investment adviser was revoked; Hanlon was barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter, and barred from participating in any offering of a penny stock, with the right to reapply after five years; and, Hanlon was ordered to pay a $50,000 penalty. Delta and Hanlon consented to the issuance of their respective Order without admitting or denying any of the findings, except as to the Commission’s jurisdiction and the subject matter of the proceedings, which were admitted. (Rel. 34-65356; IA-3282; IC-29795; Rel. IA-3283; IC-29796; File No. 3-14329)

In the Matter of Justin William Rifkin

On September 20, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing (Order) against Justin William Rifkin of Corpus Christi, Texas, who previously resided in Colorado Springs, Colorado.

The proceedings are based on an August 31, 2011, final judgment that enjoined Rifkin from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in a civil action entitled Securities and Exchange Commission v. Wellco Energy LLC, et al., Civil Action Number 1:09-CV-1114 (D. Colo.). In the Order, the Division of Enforcement alleges that in connection with sales of fractional undivided interests in four oil and gas projects, Rifkin misrepresented that Wellco Energy LLC was the operator of the four oil and gas projects. The Order alleges that Wellco did not operate the projects and instead purchased fractional undivided interests from another company, which interests it further divided and resold to investors.  The Order also alleges Rifkin misrepresented that he had extensive experience operating oil and gas prospects. When in fact, Rifkin’s experience was limited to raising money through sales of other oil and gas projects. He had no experience operating oil and gas wells.  The Order further alleges that he also misrepresented the use of investors’ funds and did not disclose he used approximately 42% of investors’ funds to acquire the working interests in the oil and gas wells, but spent the rest on sales commissions and business expenses or for his personal expenses. The Order also alleges that Rifkin sold securities when no registration statement was filed or in effect with the Commission. The Order further alleges Rifkin was not registered or associated with a broker or dealer during the time when he offered and sold the securities at issue in the case.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondent with an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order requires that the administrative law judge issue an initial decision no later than 210 days from the date of service of the Order. (Rel. 34-65357; File No. 3-14554)

Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies for Failure to Make Required Periodic Filings

Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:

  • SGI International (SGII)
  • Shared Imaging Partners, LP
  • Sheiga Resources Corp.
  • Sibun River Group, Inc.
  • Simon Transportation Services, Inc.
  • Sirius Software, Inc.
  • SLM Entertainment, Ltd.
  • Snake River Properties, Inc.

In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 or 13a-16 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-65359; File No. 3-14555)

Court Freezes Assets Linked to Suspicious Securities Purchases Ahead of Global Industries, Ltd., Acquisition Announcement

On September 16, 2011, the U.S. District Court for the Southern District of New York entered a Temporary Restraining Order freezing assets and trading proceeds of certain unknown purchasers of the securities of Global Industries, Ltd. (the “Unknown Purchasers”).  The Commission filed a complaint alleging that the Unknown Purchasers engaged in illegal insider trading in the two trading days immediately preceding the September 12, 2011 public announcement that Technip S.A. (“Technip”), a French company, and Global Industries, Ltd. (“Global”), a company based in Carlyss, Louisiana, had entered into an agreement pursuant to which Technip would offer to acquire all of the outstanding common stock of Global at a price of $8.00 per share, a 55% premium over the closing price of the stock on the trading day preceding the announcement.  The Commission’s complaint alleges that the Unknown Purchasers engaged in insider trading, thereby violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.  The complaint seeks permanent injunctive relief, the disgorgement of all illegal profits, and the imposition of civil money penalties.

The Commission’s complaint alleges that on September 8 and 9, 2011, the Unknown Purchasers bought 685,840 shares of Global common stock in an omnibus account in the name of Raiffeisen Bank International AG Vienna, Austria, at Brown Brothers Harriman & Co., at share prices ranging from $5.14 to $5.39.  These purchases accounted for 8.6% and 11.9%, respectively, of the total volume of Global trading on each of the trading days. The closing price for Global common stock on September 9 was $5.15 per share. On the next trading day, September 12, before the U.S. markets opened, the buy-out of Global by Technip was publicly announced. Following the public announcement, Global shares opened at $7.77. The Unknown Purchasers sold all 685,840 shares of Global stock on September 12 at prices ranging from $7.77 to $7.80 per share, realizing a profit of approximately $1,726,809.

The U.S. District Court for the Southern District of New York issued a Temporary Restraining Order freezing the assets relating to the trading; requiring the Unknown Purchasers to identify themselves, imposing an expedited discovery schedule, and prohibiting the defendants from destroying documents. [SEC v. One or More Unknown Purchasers of Securities of Global Industries, Ltd., 11 Civ. 6500 (S.D.N.Y)] (LR-22099)

Investment Company Act Releases

Legg Mason Partners Equity Trust, et al..

A notice has been issued giving interested persons until October 11, 2011, to request a hearing on an application filed by Legg Mason Partners Equity Trust, et al., for an order under Section 6(c) of the Investment Company Act for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29789 - September 15)

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.

        5,175,020 ($2,587,510.00) Equity, (File 333-176894 - Sep. 19) (BR. 06B)

S-8     8X8 INC /DE/, 810 WEST MAUDE AVENUE, SUNNYVALE, CA, 94085, 4087271885 - 
        171,974 ($343,948.00) Equity, (File 333-176895 - Sep. 19) (BR. 11A)

S-4     SAIC, Inc., 1710 SAIC DRIVE, MCLEAN, VA, 22102, 703-676-4300 - 
        0 ($750,000,000.00) Non-Convertible Debt, (File 333-176896 - Sep. 19) 
        (BR. 03C)

S-1     FX Alliance Inc., 909 THIRD AVENUE, 10TH FLOOR, NEW YORK, NY, 10022, 
        (646) 268-9900 - 0 ($100,000,000.00) Equity, (File 333-176901 - 
        Sep. 19) (BR. 08)

        (540) 665-9100 - 100,000 ($1,272,000.00) Equity, (File 333-176902 - 
        Sep. 19) (BR. 06A)

S-1     ATVROCKN, 1813 WINNERS CUP DRIVE, LAS VEGAS, NV, 89117, 702-334-4008 - 
        126,750,000 ($1,267,500.00) Equity, (File 333-176909 - Sep. 19) (BR. )

        1-888-889-0888 - 20,000,000 ($600,000.00) Equity, (File 333-176910 - 
        Sep. 19) (BR. 04B)

S-8     HELMERICH & PAYNE INC, UTICA AT 21ST ST, TULSA, OK, 74114, 9187425531 - 
        0 ($327,120,000.00) Equity, (File 333-176911 - Sep. 19) (BR. 04B)

S-3ASR  Mellanox Technologies, Ltd., 350 OAKMEAD PARKWAY, SUITE 100, SUNNYVALE, 
        CA, 94085, 408-970-3400 - 0 ($0.00) Other, (File 333-176913 - Sep. 19) 
        (BR. 10B)

        2129021000 - 0 ($1.00) Unallocated (Universal) Shelf, 
        (File 333-176914 - Sep. 19) (BR. 12A)

S-8     Golden Minerals Co, 350 INDIANA STREET, SUITE 800, GOLDEN, CO, 80401, 
        3038395060 - 0 ($21,765,316.38) Equity, (File 333-176915 - Sep. 19) 
        (BR. 04C)

        80112, 3034830044 - 0 ($5,344,620.75) Equity, (File 333-176916 - 
        Sep. 19) (BR. 04B)

S-1     East Shore Distributors, Inc., 1020 FOURTH AVENUE, WALL TOWNSHIP, NJ, 
        07719, 732-414-7302 - 3,755,000 ($375,000.00) Equity, 
        (File 333-176918 - Sep. 19) (BR. )

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

ACCURAY INC                             DE       2.02,9.01            09/19/11

Allied Nevada Gold Corp.                DE       7.01,9.01            09/16/11

American Realty Capital Daily Net Ass   MD       8.01                 09/15/11

American Water Works Company, Inc.      DE       7.01,9.01            09/19/11

AMERICANWEST BANCORPORATION             WA       7.01,9.01            09/15/11

AMERITRANS CAPITAL CORP                 DE       8.01                 09/14/11

AMREP CORP.                             OK       5.02,5.07            09/14/11

Andatee China Marine Fuel Services Co   DE       4.01,7.01,9.01       09/19/11

Anoteros, Inc.                          NV       1.01,9.01            09/14/11

APPIPHANY TECHNOLOGIES HOLDINGS CORP    NV       4.01,9.01            09/19/11

ARCADIA RESOURCES, INC                  NV       2.04                 09/13/11

AROTECH CORP                            DE       7.01,9.01            09/19/11

ASSURANT INC                                     5.02,9.01            09/16/11

ASSURED GUARANTY LTD                    D0       7.01                 09/17/11

AVALONBAY COMMUNITIES INC               MD       5.02                 09/15/11

BAKERS FOOTWEAR GROUP INC               MO       2.02,7.01,9.01       09/13/11

BAZI INTERNATIONAL, INC.                NV       3.02                 09/15/11

BEHRINGER HARVARD MULTIFAMILY REIT I             7.01,9.01            09/19/11

Beneficial Mutual Bancorp Inc           X1       8.01,9.01            09/19/11

BILL BARRETT CORP                                5.07                 05/12/11    AMEND

BIONOVO INC                             DE       3.01,9.01            09/14/11

BioScrip, Inc.                          DE       5.02,8.01            09/16/11

BIOVEST INTERNATIONAL INC               DE       7.01,9.01            09/19/11

BOND LABORATORIES, INC.                 NV       8.01                 09/14/11

BOSTON SCIENTIFIC CORP                  DE       5.02,5.03,8.01,9.01  09/13/11

BRAZIL GOLD CORP.                       NV       4.01,9.01            09/13/11

BRT REALTY TRUST                        MA       8.01,9.01            09/19/11

Carey Watermark Investors Inc                    9.01                 05/05/11    AMEND

CASEYS GENERAL STORES INC               IA       5.07,7.01,9.01       09/16/11

CASINO PLAYERS, INC.                    NV       1.01                 09/16/11

CENTRAL VERMONT PUBLIC SERVICE CORP     VT       8.01,9.01            09/19/11

CHARTER FINANCIAL CORP/GA                        7.01,9.01            09/19/11

Chartwell International, Inc.           NV       8.01                 09/08/11

Cheniere Energy Partners, L.P.          DE       1.01,7.01,8.01,9.01  09/19/11

China Direct Industries, Inc.           FL       2.01,7.01,9.01       09/19/11

China Housing & Land Development, Inc   NV       8.01,9.01            09/15/11

China Youth Media, Inc.                 DE       3.02,9.01            09/13/11

CIFC Corp.                              DE       5.02,5.07,9.01       09/15/11

Cinedigm Digital Cinema Corp.           DE       5.07                 09/15/11

CIRCLE STAR ENERGY CORP.                NV       2.03,3.02,9.01       09/14/11

Citadel EFT, Inc.                       NV       5.03                 09/19/11

Citadel EFT, Inc.                       NV       5.03                 09/19/11

Citadel EFT, Inc.                       NV       5.03                 09/19/11

CITIZENS SOUTH BANKING CORP             DE       7.01,9.01            09/19/11

CLIFFS NATURAL RESOURCES INC.           OH       8.01,9.01            09/13/11

CNH CAPITAL RECEIVABLES LLC             DE       8.01,9.01            09/14/11

CNH CAPITAL RECEIVABLES LLC             DE       8.01,9.01            09/19/11

COEUR D ALENE MINES CORP                ID       5.02,7.01,9.01       09/12/11

COLOMBIA CLEAN POWER & FUELS, INC       NV       5.02,8.01            09/19/11

COMMUNITY BANCORP /VT                   VT       8.01,9.01            09/13/11

COMVERSE TECHNOLOGY INC/NY/             NY       8.01                 09/16/11

Coronus Solar Inc.                      A1       1.01,7.01,9.01       09/19/11

COUSINS PROPERTIES INC                  GA       5.07                 05/03/11    AMEND

DARA BioSciences, Inc.                  DE       5.07                 09/15/11

DDR CORP                                OH       5.02                 09/13/11

DECKERS OUTDOOR CORP                    DE       9.01                 07/01/11    AMEND

Deer Consumer Products, Inc.            NV       8.01,9.01            09/16/11

Dinello Restaurant Ventures, Inc.       FL       5.02                 09/15/11

Discover Card Execution Note Trust      DE       1.01,8.01,9.01       09/19/11

DOLLAR TREE INC                         VA       7.01,9.01            09/16/11

E-Debit Global Corp.                    CO       9.01                 09/16/11

EAGLE BANCORP INC                       MD       8.01,9.01            09/19/11

ECB BANCORP INC                         NC       5.02                 09/19/11

El Paso Pipeline Partners, L.P.         DE       8.01,9.01            09/15/11

EXELON CORP                             PA       7.01,9.01            09/19/11

ExlService Holdings, Inc.               DE       1.01,8.01,9.01       09/13/11

FIRST CHINA PHARMACEUTICAL GROUP, INC   NV       2.01,3.02,5.02,5.06, 09/15/10    AMEND
FIRST NIAGARA FINANCIAL GROUP INC       DE       8.01                 09/19/11

FIRST SECURITY GROUP INC/TN             TN       5.07,9.01            09/13/11

FNB BANCORP/CA/                                  1.01,3.02,3.03,5.03, 09/15/11
Fresh Harvest Products, Inc.            NJ       3.03                 09/16/11

GATX CORP                               NY       1.01,2.03,9.01       09/15/11

General Moly, Inc                       DE       5.07                 06/16/11    AMEND

GenOn Energy, Inc.                      DE       7.01,9.01            09/19/11

GENTEX CORP                             MI       5.02                 09/13/11

GEOPETRO RESOURCES CO                   CA       2.01                 09/19/11

Gevo, Inc.                              DE       1.01,5.02,9.01       09/15/11

Global Entertainment Holdings, Inc.     NV       4.02                 09/19/11

Gold Holding Corp.                               3.02                 09/15/11

Government Properties Income Trust      MD       9.01                 09/19/11

Grand Canyon Education, Inc.            DE       8.01                 09/19/11

GREAT SOUTHERN BANCORP INC              MD       8.01,9.01            06/30/11

GT Advanced Technologies Inc.           DE       7.01,8.01,9.01       09/19/11

HANOVER INSURANCE GROUP, INC.           DE       9.01                 07/08/11    AMEND

HAUPPAUGE DIGITAL INC                   DE       3.01                 09/16/11

HCW PENSION REAL ESTATE FUND LTD PART   MA       1.01,9.01            09/13/11

HEWLETT PACKARD CO                      DE       8.01,9.01            09/13/11

HEWLETT PACKARD CO                      DE       8.01,9.01            09/13/11    AMEND

HIGHWOODS PROPERTIES INC                MD       8.01                 09/16/11

Hines Global REIT, Inc.                 MD       7.01,9.01            09/09/11

HOME PROPERTIES INC                     MD       8.01                 08/23/11

HOME PROPERTIES INC                     MD       8.01,9.01            09/19/11

IMAGENETIX INC /NV/                     NV       8.01,9.01            09/19/11

IMAGINE MEDIA LTD                       DE       2.01,3.02,5.01,5.02, 09/19/11
IMAX CORP                               A6       5.02                 09/15/11

ING USA ANNUITY & LIFE INSURANCE CO     IA       1.02                 09/14/11

INLAND REAL ESTATE CORP                 MD       8.01,9.01            09/19/11

INTEL CORP                              DE       7.01,8.01,9.01       09/14/11

INTERMUNE INC                           DE       1.01,2.03,8.01,9.01  09/13/11

INTERNAP NETWORK SERVICES CORP          DE       5.02                 09/19/11

IPG PHOTONICS CORP                      DE       5.02,9.01            09/16/11

IRON MOUNTAIN INC                       DE       8.01,9.01            09/19/11

IRON MOUNTAIN INC                       DE       8.01,9.01            09/19/11

J C PENNEY CO INC                       DE       1.01,1.02,3.03,9.01  09/16/11

JAZZ PHARMACEUTICALS INC                DE       1.01,8.01            09/19/11

JETBLUE AIRWAYS CORP                    DE       5.07                 05/26/11    AMEND

KINETIC CONCEPTS INC                    TX       5.07                 05/24/11    AMEND

KONA GRILL INC                          DE       7.01,9.01            09/19/11

LADENBURG THALMANN FINANCIAL SERVICES   FL       5.02                 09/14/11

LENNAR CORP /NEW/                       DE       2.02,9.01            09/19/11

Lightwave Logic, Inc.                   NV       3.02                 09/19/11

LINCARE HOLDINGS INC                    DE       1.01,1.02,2.03,9.01  09/15/11

Lincolnway Energy, LLC                  IA       7.01,9.01            09/19/11

Lone Star Gold, Inc.                    NV       3.02,8.01,9.01       09/14/11

MARINEMAX INC                           DE       1.01,2.03            09/15/11

MATERION Corp                                    5.02,9.01            09/13/11

Mellanox Technologies, Ltd.             L3       8.01,9.01            09/19/11

MESA ROYALTY TRUST/TX                   TX       2.02,9.01            09/19/11

MIDDLEBY CORP                           DE       8.01                 09/16/11

Millstream Ventures, Inc.               NV       5.02,5.03,5.07,9.01  09/13/11

NAVARRE CORP /MN/                       MN       5.02,5.07,9.01       09/15/11

NEOPROBE CORP                           DE       8.01                 09/13/11

NETWORK CN INC                          DE       5.03,9.01            09/19/11

NEWS CORP                                        8.01,9.01            09/19/11

Nissan Auto Lease Trust 2011-B          DE       8.01,9.01            09/16/11

NORFOLK SOUTHERN CORP                   VA       8.01                 09/19/11

NORTHWESTERN CORP                       DE       7.01,9.01            09/19/11

NorWesTech, Inc.                        DE       5.03,8.01,9.01       09/16/11

NTELOS HOLDINGS CORP                             7.01,9.01            09/19/11

O REILLY AUTOMOTIVE INC                          1.01,2.03,8.01,9.01  09/14/11

OMNICARE INC                            DE       1.01,9.01            09/15/11

OSI SYSTEMS INC                         DE       8.01,9.01            09/19/11

PANTRY INC                              DE       5.02,9.01            09/13/11

PAWS Pet Company, Inc.                  IL       2.01,2.03,3.02,4.01, 08/13/10    AMEND
Pegasi Energy Resources Corporation.    NV       1.01,3.02,9.01       09/15/11

PINNACLE WEST CAPITAL CORP              AZ       7.01,9.01            09/19/11

PIZZA INN INC /MO/                      MO       8.01,9.01            09/19/11

PNC FINANCIAL SERVICES GROUP INC        PA       8.01,9.01            09/14/11

POWELL INDUSTRIES INC                   NV       5.02,9.01            09/13/11

PPL Corp                                         8.01,9.01            09/15/11

PREMIER ALLIANCE GROUP, INC.            NV       5.02                 09/15/11

PRESTIGE CAPITAL CORP                   NV       5.02,8.01            09/14/11

PROVECTUS PHARMACEUTICALS INC           NV       8.01,9.01            09/16/11

QLT INC/BC                              A1       5.02,9.01            09/14/11

RADIOSHACK CORP                         DE       5.02,9.01            09/15/11

Raptor Pharmaceutical Corp              DE       8.01,9.01            09/13/11

Redpoint Bio CORP                                1.01,9.01            09/13/11

REPLIGEN CORP                           DE       8.01                 09/19/11

REPUBLIC AIRWAYS HOLDINGS INC           DE       5.07                 06/02/11    AMEND

RYLAND GROUP INC                        MD       7.01,9.01            09/19/11

SEALED AIR CORP/DE                      DE       1.01,8.01,9.01       09/16/11

SIERRA RESOURCE GROUP INC               NV       5.02                 09/12/08

SIMULATIONS PLUS INC                             7.01,9.01            09/19/11

SKY PETROLEUM, INC.                     NV       7.01,9.01            09/19/11

SKYWEST INC                             UT       5.07                 05/03/11    AMEND

SKYWORKS SOLUTIONS, INC.                DE       8.01                 09/16/11

SOUTHERN COPPER CORP/                   DE       5.02                 09/18/11

SPARE BACKUP, INC.                      DE       3.02,5.03,9.01       09/13/11

SPICY PICKLE FRANCHISING INC            CO       5.02                 09/15/11

SPRINGLEAF FINANCE CORP                 IN       5.02,7.01,9.01       09/19/11

SPRINGLEAF FINANCE INC                  IN       5.02,7.01,9.01       09/19/11

STEIN MART INC                          FL       5.02,9.01            09/13/11

STERICYCLE INC                          DE       5.07                 05/24/11    AMEND

STILLWATER MINING CO /DE/               DE       7.01,8.01,9.01       09/19/11

Stream Global Services, Inc.            DE       8.01                 09/15/11

SUPERCLICK INC                          WA       2.02,9.01            09/15/11

Targa Resources Corp.                   DE       5.07                 06/30/11    AMEND

TAYLOR CALVIN B BANKSHARES INC          MD       8.01                 09/14/11

TELOS CORP                              MD       2.01,2.03,9.01       07/01/11    AMEND

Theron Resource Group                   WY       5.02                 09/12/11

Titan Holding Group, Inc.               FL       3.02                 09/19/11

TNP Strategic Retail Trust, Inc.        MD       1.01,9.01            09/14/11

TRACTOR SUPPLY CO /DE/                  DE       5.07                 09/19/11    AMEND

TRANSATLANTIC HOLDINGS INC              DE       8.01,9.01            09/19/11

Transcept Pharmaceuticals Inc           DE       7.01,9.01            09/19/11

Travelport LTD                          D0       7.01,9.01            09/19/11

TTM TECHNOLOGIES INC                    WA       5.02,9.01            09/13/11

TYCO INTERNATIONAL LTD                  V8       5.02,8.01,9.01       09/19/11

UNIGENE LABORATORIES INC                DE       8.01,9.01            09/19/11

UNIVERSAL BIOSENSORS INC                DE       5.07                 09/16/11    AMEND

Upstream Worldwide, Inc.                DE       5.02                 09/13/11

URSTADT BIDDLE PROPERTIES INC           MD       5.02,9.01            09/15/11

UTAH MEDICAL PRODUCTS INC               UT       9.01                 03/17/11    AMEND

VIAD CORP                               DE       8.01,9.01            09/19/11

VIRTUAL PIGGY, INC.                     DE       8.01,9.01            09/15/11

VWR Funding, Inc.                       DE       5.02                 09/16/11

WATSON PHARMACEUTICALS INC              NV       1.01,1.02,2.03,9.01  09/16/11

WELLS FARGO & CO/MN                     DE       9.01                 09/19/11

WEST PHARMACEUTICAL SERVICES INC        PA       7.01,9.01            09/19/11

WESTERN DIGITAL CORP                    DE       5.02                 09/14/11

WESTERN MASSACHUSETTS ELECTRIC CO       MA       2.03,9.01            09/16/11

WESTLAKE CHEMICAL CORP                           1.01,2.03,9.01       09/16/11

WILLIAMS COMPANIES INC                  DE       7.01,9.01            09/19/11

Williams Partners L.P.                           7.01,9.01            09/19/11

WILSHIRE BANCORP INC                             5.02,9.01            09/14/11

XCEL ENERGY INC                         MN       7.01                 09/19/11

ZIONS BANCORPORATION /UT/               UT       9.01                 09/19/11

ZIX CORP                                TX       1.01,9.01            09/14/11

ZIX CORP                                TX       3.03,5.03,9.01       09/13/11



Modified: 09/20/2011