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Commission announcementsSEC Enforcement Staff Recognized For Tarp-Fraud InvestigationThe Securities and Exchange Commission announced that eight members of its staff were part of a team that today received the 2011 Award for Excellence in Investigations by the Council of the Inspectors General on Integrity and Efficiency (CIGIE). The award was presented for outstanding cooperation in uncovering and jointly investigating the $2.9 billion fraud scheme that contributed to the collapse in 2009 of Colonial BancGroup Inc. and Taylor, Bean &Whitaker Mortgage Corp. The SEC charged five individuals, including former Taylor, Bean & Whitaker chairman Lee B. Farkas, alleging he arranged to sell more than $1 billion of sham or worthless mortgage loans to Colonial Bank, and attempted to scam the U.S. Treasury Department’s Troubled Asset Relief Program (TARP). Farkas was found guilty of related criminal fraud charges and was sentenced in June to 30 years in prison. This year, the SEC also charged Taylor, Bean & Whitaker’s former chief executive officer and former treasurer, and a former executive and former supervisor at Alabama-based Colonial Bank. “We are extremely proud of our staff’s work on this important case, and delighted to see their efforts honored today,” said Robert Khuzami, Director of the SEC’s Enforcement Division. “This award highlights the enormous individual and team effort to expose frauds stemming from the financial crisis and bring wrongdoers to justice.” SEC employees receiving the award are:
Other federal entities whose staff were honored with the award are the Department of Housing and Urban Development’s Office of Inspector General, the Federal Bureau of Investigation, the Federal Deposit Insurance Corp.’s Office of Inspector General, the Federal Housing Finance Agency’s Office of Inspector General, the Justice Department, the Office of the Special Inspector General for the Troubled Asset Relief Program (SIGTARP), and the U.S. District Court for the Eastern District of Virginia. Information about SEC enforcement actions to address misconduct that led to or arose from the financial crisis is available here: http://www.sec.gov/spotlight/enf-actions-fc.shtml. (Press Rel. 2011-211) SEC Charges Former CEO in Tulsa With Misleading Investors About Liquidity RisksThe Securities and Exchange Commission today charged the co-founder of a Tulsa-based energy company with misleading investors in one of its subsidiaries about liquidity risks they faced from his energy trading. According to the SEC’s complaint filed in federal court in Tulsa, Thomas L. Kivisto was CEO and president of SemGroup L.P., which bought, transported and sold petroleum products and traded crude oil and related commodities and derivatives. Kivisto managed these trading activities. Meanwhile, Kivisto also was a director of SemGroup’s subsidiary, SemGroup Energy Partners L.P. (SGLP), which owns midstream oil and gas assets such as pipelines and storage facilities. SGLP issues publicly-traded limited partnership units, and Kivisto signed certain corporate filings that SGLP made with the SEC, including registration statements and its annual report. The SEC alleges that SGLP’s filings assured investors that its revenue stream from SemGroup, which was its largest customer, was “stable and predictable” and protected from volatility in oil prices. However, unbeknownst to investors, Kivisto’s energy trading was increasingly draining SemGroup’s credit facilities and other liquidity sources and jeopardizing the company’s ability to fulfill its commitments to SGLP. Investors were never warned of these risks, which came to a head in July 2008 when SemGroup’s lenders cancelled the credit facility and the company filed for bankruptcy. The price of SGLP’s limited partnership units subsequently declined more than 60 percent. “Investors have a right to know the risks that could imperil their investment,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “Kivisto should have known that the SGLP filings he signed did not warn investors about the risks created by his energy trading, and investors were blindsided when those risks came to fruition.” The SEC alleges that Kivisto should have known that certain SGLP public filings that he signed were misleading investors about the reliability of SGLP’s revenue stream and the risks that SGLP faced from Kivisto’s energy trading. SemGroup provided up to 89 percent of SGLP’s revenues and thus was critical to SGLP’s profitability. SGLP is now known as Blueknight Energy Partners L.P. Kivisto agreed to settle the SEC’s charges without admitting or denying the allegations by paying a $225,000 penalty and forfeiting his rights to SGLP limited partnership units currently worth more than $1.1 million that were awarded to him under SGLP’s long-term incentive plan. He also consented to entry of a final judgment permanently enjoining him from violating the antifraud provisions of the Securities Act of 1933. The SEC’s investigation was conducted by David Peavler, Robert Hannan, Keith Hunter, and David King in the SEC’s Fort Worth Regional Office. The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Northern District of Oklahoma and the U.S. Commodity Futures Trading Commission (CFTC). For more information about this enforcement action, contact: David Woodcock, Regional Director or David Peavler, Assistant Director, SEC’s Fort Worth Regional Office, at (817) 978-3821. (Press Rel. 2011-212) ENFORCEMENT PROCEEDINGSIn the Matter of Lisa C. BerryOn October 18, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Lisa C. Berry. The Order finds that Berry served as Vice President and General Counsel of KLA-Tencor Corporation (KLA) from September 1996 to June 1999, and that she served as General Counsel of Juniper Networks, Inc. (Juniper) from June 1999 to January 2004. The Order further finds that the Commission filed a civil injunctive action against Berry, captioned SEC v. Berry, Case No. C-07-4431-RMW (N.D. Cal.), on August 28, 2007. The Commission alleged, among other things, that from 1997 through 2003 Berry caused KLA and Juniper to report false financial information to the investing public through her preparation of corporate records that concealed the pricing of employee stock option grants with the benefit of hindsight at both companies. The Order further finds that, on October 7, 2011, the District Court entered an order permanently enjoining Berry, by consent, from future violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, Section 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 13b2-1 under the Exchange Act, as well as aiding and abetting violations of Sections 13(a), 13(b)(2)(A), 13(b)(2)(B), and 14(a) of the Exchange Act, and Rules 12b-20, 13a-1, 13a-11, 13a-13 and 14a-9 thereunder. Berry also consented to pay disgorgement with interest totaling $77,120, and to pay a $350,000 civil money penalty. Based on the above, the Order suspends Berry from appearing or practicing before the Commission as an attorney with the right to apply for reinstatement after five years. Berry consented to the issuance of the Order without admitting or denying the findings in the Order, except that she admitted the entry of the injunction. (Rel. 34-65582; File No. 3-14589) In the Matter of John ClementOn October 18, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against John Clement. The Order finds that on September 16, 2011, Clement, of Encinitas, California, the CEO and co-owner of Edgefund Capital, LLC, was permanently enjoined from violating the antifraud provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940 in SEC v. John Clement and Edgefund Capital, LLC, 11 CV1034 LAB WVG (S.D. Cal.). The Order further finds that the Commission’s Complaint alleged that, beginning in August 2008, Clement raised at least $2,161,000 from at least 22 investors to invest in purported hedge funds, falsely representing that the monthly rate of return from his day trading of the funds would be one to two percent, and that losses were capped at 5% of their investments, when in fact, Clement did not profit for investors from his day trading, used new investor monies to distribute purported “returns” in Ponzi-like fashion to investors, and misappropriated investor monies to his personal use. Based on the above, the Order barred Clement from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. John Clement consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the injunction. (Rel. IA-3300; File No. 3-14590) In the Matter of Donald W. KleinOn October 18, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Donald W. Klein based upon the entry of a permanent injunction entered against him in the United States District Court for the Southern District of Florida, in the civil action entitled Securities and Exchange Commission v. Donald W. Klein, et al., Case Number 11-cv-61457. The Order finds that on September 6, 2011, a judgment was entered by consent against Klein, permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. Based on the above, the Order bars Klein from association from any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Klein consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted entry of the injunction. (Rel. IA-3301; File No. 3-14591) In the Matter of Sergey RumyantsevOn October 18, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Sergey Rumyantsev. The Order finds that on August 1, 2011, Rumyantsev, of Las Vegas, Nevada, who was from at least January 1, 2002, until April 13, 2006, the CEO and head trader at NevWest Securities Corporation, then a broker-dealer registered with the Commission, was permanently enjoined from violating the securities registration provisions of the Securities Act of 1933, and additionally permanently barred from participating in an offer of penny stock. The Order further finds that, in granting the Commission summary judgment in the injunctive action, the District Court for the District of Nevada concluded that it was undisputed that Rumyantsev allowed NevWest to acquire and distribute newly issued unregistered stock certificates representing billions of shares of CMKM Diamonds, Inc. stock from which the restrictive legends had been improperly removed by CMKM’s transfer agent, and allowed a CMKM associate to open more than thirty different brokerage accounts in more than thirty different names for the sole purpose of trading the unrestricted CMKM shares, which were sold in several unregistered distributions between December 2002 and September 2004. Based on the above, the Order barred Rumyantsev from association with any broker or dealer. Rumyantsev consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-65584; File No. 3-14592) In the Matter of Jeffrey GreeneyOn October 18, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Jeffrey Greeney (Greeney). The Order finds that Greeney, age 40 and a resident of Laguna Niguel, California, was the CFO and 20% owner of Westcap Securities, Inc. (Westcap) from February 2001 to December 2008. The Order further finds that on October 3, 2011, a judgment was entered by consent against Greeney, permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933 (Securities Act), in the civil action entitled Securities and Exchange Commission v. Jeffrey Greeney, et al., Civil Action Number 11-cv-01467, in the United States District Court for the Central District of California. Based on the above, the Order bars Greeney from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with the right to apply for reentry after (3) years to the appropriate self-regulatory organization, or if there is none, the Commission. Greeney consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the entry of the injunction. (Rel. 34-65589; File No. 3-14593) SEC Obtains Judgment against Texas Stock Promoter Jason WynnThe Securities and Exchange Commission announced today that on Oct. 14, 2011, the U.S. District Court for the Northern District of Texas entered a judgment against Jason Wynn, of Plano, Texas, and two companies under his control – Wynn Holdings LLC and Wynn Industries LLC. The Commission’s amended complaint alleged that Wynn and his companies violated the antifraud and registration provisions of the federal securities laws through a scheme to pump and dump the stock of four issuers: Beverage Creations, Inc., My Vintage Baby, Inc., ConnectAJet.com, Inc. and Alchemy Creative, Inc. The Commission alleged that Jason Wynn and his companies (1) purchased tens of millions of shares directly from the issuers for pennies per share, (2) touted the stock to investors through a nationwide marketing campaign, and (3) immediately dumped their shares into the public market at grossly inflated prices when no registration statement was filed or in effect. Wynn created artificial demand for the stocks through various ad campaigns, emails and misleading promotional mailers. While the promotional mailers disclosed that the Wynn companies received the stock being touted, they did not disclose that Wynn and his companies intended to sell that stock into the artificially inflated market created by the promotions. The judgment permanently enjoins Wynn, Wynn Holdings, LLC and Wynn Industries, LLC from violating Section 5 of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The judgment also bars Wynn and his companies from participating in any penny stock offerings and provides that they will be ordered to pay disgorgement and civil penalties determined by the district court at a later date. Wynn and his companies consented to the entry of the judgment without admitting or denying the allegations in the Commission’s amended complaint. Previously, on January 3, 2011, the district court entered a judgment against stock promoter Carlton Fleming and certain entities under his control – Regus Investment Group LLC and Thomas Wade Investments, LLC. The Commission’s case against the remaining defendants – Ryan Reynolds and companies under his control – is pending. The Commission acknowledges the assistance of the Financial Industry Regulatory Authority (FINRA) in this matter. [SEC v. Ryan M. Reynolds, et al., Case No. 3-08 CV-438-B (N.D. Tex.)] (LR-22128) SEC Halts Scheme Involving Investments to Purportedly Help Homeowners Restructure MortgagesThe Securities and Exchange Commission announced today that it has obtained an emergency court order to freeze the assets of a Texas resident and his company charged with falsely telling investors he was using their money to buy and restructure pools of non-performing home mortgages in the wake of the housing market’s decline. In its complaint, filed on October 14, 2011 and unsealed today by the court, the SEC alleges that James G. “Jay” Temme and Stewardship Fund LP raised at least $35 million since 2008 from various investor groups. To lure those investors, Temme developed relationships with people and entities who “vouched” for Temme, including an investment adviser representative with a major investment bank’s private wealth management group and a Texas-based public company that provides mortgage restructuring services. Investors and their advisers, including the bank representative, were told by Temme that he was using the investors’ money to purchase “tapes” of non-performing mortgages from mortgage lenders at a discount and then paying returns based on principal and interest payments he collected from the homeowners, or based on the resale of the mortgages or underlying properties. In several instances, however, Temme was claiming to own mortgages he had never acquired or purporting to transfer the same pool of mortgages to multiple sets of investors. To carry out his scheme, Temme created false documents, made unauthorized financial transactions, and used new investor funds to pay off earlier investors. According to the SEC’s complaint, Temme has been the subject of at least one state court asset freeze and various private lawsuits by different investor groups. However, rather than stopping his scheme, Temme ignored the asset freezes, opened new bank accounts, and raised money from new investors to settle suits filed by earlier investors. The SEC’s complaint charges that the defendants violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition to emergency and interim relief that has been obtained, the SEC seeks a preliminary injunction and a final judgment permanently enjoining the defendants from future violations of the relevant provisions of the federal securities laws and ordering them to pay financial penalties and disgorgement of ill-gotten gains with prejudgment interest. The case is assigned to U.S. District Judge Michael H. Schneider. The court has scheduled a hearing on the Commission’s motions to appoint a receiver and for a preliminary injunction for Thursday, Oct. 27, 2011, at 2 p.m. CT before U.S. Magistrate Judge Amos L. Mazzant at the U.S. Courthouse in Sherman, Texas. Jonathan Scott, Michael Jackman and Ty Martinez of the Fort Worth Regional Office are conducting the SEC’s investigation, and trial attorney David Reece will lead the litigation. The SEC’s investigation is continuing. [SEC v. James G. Temme and Stewardship Fund LP, Civil Action No. 4:11-cv-00655-MHS (E.D. Tx.)] (LR-22130) SEC Charges David B. Welliver and Dblaine Capital, LLC With Fraud and Other ViolationsThe Securities and Exchange Commission today announced that it filed a civil injunctive action against David B. Welliver, a resident of Buffalo, Minnesota, and his investment advisory firm, Dblaine Capital, LLC, for fraud and numerous other violations of the federal securities laws in connection with their management of a mutual fund, the Dblaine Fund. The SEC’s complaint alleges that Welliver and Dblaine Capital obtained $4 million in loans pursuant to an improper, undisclosed quid pro quo agreement entered into in breach of their fiduciary duties to the Dblaine Fund. Specifically, in exchange for the loans, Welliver and Dblaine Capital committed to invest the fund’s assets in certain “alternative investment” securities recommended by the lender. Welliver and Dblaine Capital then caused the fund to violate various investment restrictions and policies by investing the fund’s assets in a private placement offering that was affiliated with the lender. The complaint also alleges that Welliver and Dblaine further defrauded the Fund by providing an inaccurate valuation for the private placement holding. As a result, Welliver and Dblaine Capital caused the fund to offer, sell, and redeem shares at an inflated net asset value. When Welliver and Dblaine Capital ultimately discovered that the private placement was worthless, they continued their fraud by failing to disclose this to the Fund’s shareholders. The complaint also alleges that, in connection with the fraudulent conduct described above, Welliver and Dblaine Capital made false and misleading statements in various reports and filings with the Commission; engaged in certain prohibited affiliated transactions; and aided and abetted the fund’s violations of various provisions of the Investment Company Act of 1940. The complaint alleges that, as a result of their misconduct, Welliver and Dblaine Capital violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, Section 206 of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, Sections 17(a)(2), 17(e)(1), 22(e), and 34(b) of the Investment Company Act of 1940, and Rules 22c-1 and 38a-1 thereunder. The Commission is seeking permanent injunctions, disgorgement of ill-gotten gains, including prejudgment interest, and civil penalties. The staff’s investigation is continuing. [SEC v. David B. Welliver and Dblaine Capital, LLC, Civil Action No. 0:11cv3076 (RHK/SER) in the United States District Court for the District of Minnesota] (LR-22131) INVESTMENT COMPANY ACT RELEASESInvestment Managers Series Trust and Palmer Square Capital Management LLCAn order has been issued on an application filed by Investment Managers Series Trust and Palmer Square Capital Management LLC exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-29833 - October 12) Curian Series Trust and Curian Capital, LLCAn order has been issued on an application filed by Curian Series Trust and Curian Capital, LLC for an exemption from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order permits applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-29836 – October 17) ASGI Agility Income Fund, et al.An order has been issued on an application filed by ASGI Agility Income Fund, et al. under Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Sections 18(c) and 18(i) of the Act, and pursuant to Section 17(d) of the Act and Rule 17d-1 under the Act. The order permits certain registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based distribution and service fees and contingent deferred sales loads. (Rel. IC-29837 – October 17) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesPursuant to Rule 19b-4 under the Securities Exchange Act of 1934, New York Stock Exchange, LLC has filed a proposed rule change (SR-NYSE-2011-51) relating to a corporate transaction in which its indirect parent, NYSE Euronext, will become a wholly owned subsidiary of Alpha Beta Netherlands Holding N.V. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65562) Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, the NYSE Amex LLC filed a proposed rule change (SR-NYSEAmex-2011-78) relating to a corporate transaction in which its indirect parent, NYSE Euronext, will become a wholly owned subsidiary of Alpha Beta Netherlands Holding N.V. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65563) Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, EDGA Exchange, Inc filed a proposed rule change (SR-EDGA-2011-34) relating to a corporate transaction in which its indirect parent, Deutsche Börse AG, will become a wholly owned subsidiary of Alpha Beta Netherlands Holding N.V. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65564) Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, EDGX Exchange, Inc filed a proposed rule change (SR-EDGX-2011-33) relating to a corporate transaction in which its indirect parent, Deutsche Börse AG, will become a wholly owned subsidiary of Alpha Beta Netherlands Holding N.V. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65565) The Commission issued notice of filing of proposed rule change filed by International Securities Exchange, LLC (SR-ISE-2011-69) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to a corporate transaction in which its indirect parent, Deutsche Börse AG, will become a wholly owned subsidiary of Alpha Beta Netherlands Holding N.V. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65566) The Commission issued notice of filing of proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-72) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to a corporate transaction in which its indirect parent, NYSE Euronext, will become a wholly owned subsidiary of Alpha Beta Netherlands Holding N.V. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65567) Financial Industry Regulatory Authority, Inc. filed a proposed rule change under Rule 19b-4 (SR-FINRA-2011-052) to adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material (“IM”) 2320 as FINRA Rule 5310 in the Consolidated Rulebook. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65579) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-134) relating the Permit Fee and the Inactive Nominee Fee 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 October 17. (Rel. 34-65574) A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-133) relating to the RSQT Fees 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 October 17. (Rel. 34-65576) Accelerated Approval of Proposed Rule ChangesA proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) to amend its rules relating to interest rate swaps clearing (SR-CME-2011-05) has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65577) The Commission has approved on an accelerated basis a proposed rule change filed by the Financial Industry Regulatory Authority (SR-FINRA-2011-060) amending FINRA Rule 1230(b)(6) (Operations Professional) and providing persons who are required to register as an Operations Professional from October 18, 2011 through December 16, 2011 with additional time to pass a qualifying examination. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65580) 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-1 WisdomTree Investments, Inc., 380 MADISON AVENUE, 21ST FLOOR, NEW YORK, NY, 10017, 212-801-2080 - 0 ($100,000,000.00) Equity, (File 333-177346 - Oct. 17) (BR. 08B) S-1 Nova Lifestyle, Inc., 6541 E. WASHINGTON BLVD., COMMERCE, CA, 90040, (323) 888-9999 - 3,993,407 ($17,171,650.10) Equity, (File 333-177353 - Oct. 17) (BR. 06A) S-3 UBS Commercial Mortgage Securitization Corp., 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, 212-713-2000 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-177354 - Oct. 17) (BR. ) S-4 PROSPERITY BANCSHARES INC, 4295 SAN FELIPE, N/A, HOUSTON, TX, 77027, 7136939300 - 0 ($8,226,001.00) Equity, (File 333-177355 - Oct. 17) (BR. 07B) S-1 VDO-PH INTERNATIONAL, P.O. BOX 778267, HENDERSON, NV, 89120, 702-570-7700 - 1,886,500 ($1,131,900.00) Equity, (File 333-177356 - Oct. 17) (BR. 11C) S-4 FIRST DATA CORP, 5565 GLENRIDGE CONNECTOR, N.E., SUITE 2000, ATLANTA, GA, 30342, 402-951-7007 - 0 ($3,000,000,000.00) Non-Convertible Debt, (File 333-177357 - Oct. 17) (BR. 03B) 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 A123 SYSTEMS, INC. DE 5.07 05/25/11 AMEND AB&T Financial CORP NC 5.03,9.01 10/11/11 ACCURIDE CORP DE 5.02 10/17/11 ACORN ENERGY, INC. DE 7.01,9.01 10/17/11 ACTIVECARE, INC. DE 5.02,9.01 10/17/11 ACURA PHARMACEUTICALS, INC NY 8.01,9.01 10/17/11 AGENUS INC DE 3.01,9.01 10/17/11 AIR METHODS CORP DE 9.01 08/01/11 AMEND ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02,9.01 10/10/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/17/11 ALR TECHNOLOGIES INC 5.03,8.01,9.01 10/14/11 ALR TECHNOLOGIES INC 7.01,9.01 10/17/11 Amarantus BioSciences, Inc. DE 1.01,3.02,9.01 10/07/11 AMERICAN EXPRESS CO NY 7.01 10/17/11 American Realty Capital Trust III, In MD 2.01,9.01 10/05/11 AMERIGAS PARTNERS LP DE 1.01,8.01,9.01 10/15/11 AMETEK INC/ DE 8.01 10/17/11 AMTECH SYSTEMS INC AZ 1.01 10/11/11 ANADARKO PETROLEUM CORP DE 1.01,2.03,9.01 10/16/11 ANWORTH MORTGAGE ASSET CORP MD 3.03,8.01,9.01 10/17/11 APAC CUSTOMER SERVICES, INC IL 3.01,3.03,5.01,5.02, 10/14/11 5.03,8.01,9.01 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 5.02,9.01 10/14/11 Arista Power, Inc. NY 8.01 10/13/11 ARROW ELECTRONICS INC NY 8.01,9.01 10/17/11 ARUBA NETWORKS, INC. DE 5.02,9.01 10/12/11 ASHFORD HOSPITALITY TRUST INC MD 1.01,5.03,8.01,9.01 10/12/11 Atlas Energy, L.P. DE 8.01,9.01 10/17/11 ATWOOD OCEANICS INC TX 7.01,9.01 10/13/11 Augme Technologies, Inc. DE 1.01 10/15/11 Bacterin International Holdings, Inc. DE 7.01,9.01 10/17/11 BADGER METER INC WI 2.02,9.01 10/17/11 BCB BANCORP INC 5.02,8.01,9.01 10/17/11 BENIHANA INC DE 1.04,8.01,9.01 10/17/11 BLUEGREEN CORP MA 7.01,9.01 10/17/11 BLUEGREEN CORP MA 1.01 10/12/11 Boardwalk Pipeline Partners, LP DE 7.01,9.01 10/17/11 BofI Holding, Inc. DE 7.01,9.01 10/14/11 BRITTON & KOONTZ CAPITAL CORP MS 2.02,7.01 10/16/11 CABELAS INC DE 7.01,9.01 10/17/11 CANTEL MEDICAL CORP DE 9.01 08/01/11 AMEND CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 10/17/11 CCA INDUSTRIES INC DE 8.01,9.01 10/14/11 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 10/17/11 Chesapeake Lodging Trust MD 1.01,2.03,9.01 10/14/11 CHESAPEAKE MIDSTREAM PARTNERS LP DE 7.01,8.01,9.01 10/11/11 China Green Agriculture, Inc. NV 5.03,9.01 10/13/11 CITIBANK OMNI-S MASTER TRUST 8.01 10/17/11 CITIGROUP INC DE 2.02,9.01 10/17/11 CNS RESPONSE, INC. DE 1.01,2.03,3.02 10/11/11 CODORUS VALLEY BANCORP INC PA 2.02,9.01 10/17/11 COLONY RESORTS LVH ACQUISITIONS LLC NV 5.02 10/17/11 CRC Health CORP DE 2.02,9.01 10/17/11 Crocs, Inc. 2.02,9.01 10/17/11 CROSS BORDER RESOURCES, INC. NV 5.02 10/14/11 Crown Oil & Gas Inc. NV 5.02 10/12/11 CTM MEDIA HOLDINGS, INC. DE 8.01 10/17/11 CVD EQUIPMENT CORP NY 1.01,9.01 10/17/11 CYTOMEDIX INC DE 7.01,8.01,9.01 10/14/11 DEL TORO SILVER CORP. NV 7.01,9.01 10/17/11 DENBURY RESOURCES INC DE 5.07 05/18/11 AMEND DEPOMED INC CA 5.07 05/26/11 AMEND DREW INDUSTRIES INC DE 8.01,9.01 10/17/11 DRINKS AMERICAS HOLDINGS, LTD DE 5.02 10/13/11 Duff & Phelps Corp DE 1.01,2.03,9.01 10/13/11 Elevate, Inc. NV 5.03,5.07,9.01 10/06/11 ENZON PHARMACEUTICALS INC DE 5.02,8.01,9.01 10/13/11 EVEREST RE GROUP LTD D0 5.07 10/17/11 AMEND Expedia, Inc. 5.02 10/11/11 EXPRESS, INC. 5.02 10/11/11 Federal Home Loan Bank of Chicago X1 7.01,9.01 10/17/11 FERRO CORP OH 5.03,7.01,9.01 10/17/11 FERRO CORP OH 7.01,9.01 10/17/11 FIRST HORIZON NATIONAL CORP TN 7.01,9.01 10/17/11 FIRST HORIZON NATIONAL CORP TN 2.02,9.01 10/17/11 FIRST MARBLEHEAD CORP 7.01,9.01 10/17/11 FIRST SOUTH BANCORP INC /VA/ VA 5.07 05/26/11 AMEND FIRSTFED FINANCIAL CORP DE 8.01,9.01 10/13/11 Forbes Energy Services Ltd. D0 8.01,9.01 10/11/11 FORMCAP CORP. NV 8.01 10/17/11 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 10/14/11 FRONTIER COMMUNICATIONS CORP DE 1.01,2.03,8.01,9.01 10/17/11 FS Energy & Power Fund DE 8.01,9.01 10/17/11 FS Investment CORP MD 2.02,9.01 10/14/11 FX ENERGY INC NV 5.07 10/12/11 FXCM Inc. 8.01,9.01 10/17/11 GANNETT CO INC /DE/ DE 2.02,9.01 10/17/11 GENELINK INC PA 1.01,9.01 10/13/11 GENELINK INC PA 1.01,9.01 10/13/11 GLIMCHER REALTY TRUST MD 1.01,2.03,9.01 10/17/11 Global Biotech Corp. 5.02 10/14/11 GLOBAL GOLD CORP DE 8.01,9.01 10/17/11 GOLDMAN SACHS GROUP INC DE 9.01 10/17/11 GREAT LAKES AVIATION LTD IA 1.01,9.01 10/14/11 GRYPHON GOLD CORP NV 7.01,9.01 10/17/11 Harbin Electric, Inc 8.01,9.01 10/17/11 HASBRO INC RI 2.02,9.01 10/17/11 HELEN OF TROY LTD 5.02,5.07 10/11/11 HEMISPHERX BIOPHARMA INC DE 5.07,9.01 10/13/11 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 5.07 06/01/11 AMEND HIBBETT SPORTS INC 5.07 05/26/11 AMEND Honda Auto Receivables 2011-3 Owner T DE 1.01,9.01 10/13/11 Howard Hughes Corp DE 5.02,9.01 10/12/11 HSBC Finance Corp 8.01,9.01 10/17/11 ICU MEDICAL INC/DE DE 2.02,9.01 10/17/11 INFORMATION ARCHITECTS CORP NC 4.01,9.01 10/17/11 INFORMATION ARCHITECTS CORP NC 4.01 10/17/11 INGRAM MICRO INC DE 2.02,9.01 10/17/11 INLAND REAL ESTATE CORP MD 8.01,9.01 10/17/11 INSIGNIA SYSTEMS INC/MN MN 8.01 10/11/11 Intellect Neurosciences, Inc. DE 5.02 10/17/11 INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 10/17/11 INTERNET MEDIA SERVICES, INC. DE 1.01,2.03,3.02,9.01 10/11/11 INTERVEST BANCSHARES CORP DE 2.02,9.01 10/17/11 INUVO, INC. NV 1.01,3.03,8.01,9.01 10/16/11 INVESTMENT TECHNOLOGY GROUP INC DE 2.02,8.01,9.01 10/17/11 Jacksonville Bancorp, Inc. MD 2.02,9.01 10/17/11 JANEL WORLD TRADE LTD NV 3.02 10/14/11 JOHN D. OIL & GAS CO 2.04 10/03/11 KINDER MORGAN, INC. DE 8.01 10/17/11 LIHUA INTERNATIONAL INC. DE 5.07 10/12/11 LOJACK CORP MA 5.02 10/13/11 LOWES COMPANIES INC NC 2.05,2.06,8.01,9.01 10/14/11 MAP Pharmaceuticals, Inc. DE 5.02 10/16/11 Marani Brands, Inc. NV 8.01 02/05/10 Marina Biotech, Inc. DE 1.01,3.02,9.01 10/11/11 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 10/17/11 MEDGENICS, INC. DE 5.02,9.01 10/13/11 MEDICINOVA INC DE 1.02 10/13/11 MEDTRONIC INC MN 5.02,9.01 10/14/11 Mesa Energy Holdings, Inc. DE 2.01,9.01 09/09/11 METALICO INC 8.01,9.01 10/17/11 MINDSPEED TECHNOLOGIES, INC DE 5.02 10/11/11 MINE SAFETY APPLIANCES CO PA 8.01,9.01 10/14/11 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/17/11 NAVISTAR INTERNATIONAL CORP DE 5.03,8.01 10/17/11 NeoStem, Inc. DE 2.01,5.02,5.03,5.07, 10/14/11 8.01,9.01 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 10/14/11 New Generation Biofuels Holdings, Inc FL 1.01,8.01 10/11/11 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 10/14/11 New Western Energy Corp NV 7.01,9.01 10/12/11 NEWPARK RESOURCES INC DE 2.02,5.02,9.01 10/11/11 NORMAN CAY DEVELOPMENT, INC. NV 5.06,9.01 10/14/11 NORTHLAND CABLE PROPERTIES SEVEN LIMI WA 1.01 10/11/11 NORTHSIGHT CAPITAL, INC. NV 5.02,9.01 10/11/11 Obscene Jeans Corp. FL 2.01,9.01 06/14/11 AMEND OM GROUP INC DE 9.01 08/02/11 AMEND Oraco Resources, Inc. NV 1.01,2.01,3.02,5.01, 10/14/11 AMEND 5.02,5.06,8.01,9.01 OxySure Systems Inc 3.02 10/17/11 PARK NATIONAL CORP /OH/ OH 8.01,9.01 10/17/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01,2.01,9.01 10/14/11 Phillips Edison - ARC Shopping Center MD 1.01,2.01,2.03,8.01, 10/14/11 9.01 PIRANHA VENTURES INC NV 8.01 09/19/11 PITTSBURGH & WEST VIRGINIA RAILROAD PA 5.03 10/17/11 PROGENICS PHARMACEUTICALS INC DE 5.07 06/08/11 ProUroCare Medical Inc. NV 1.01,2.03,3.02,9.01 10/11/11 Quadra Projects Inc. 5.02 10/07/11 Rainbow Coral Corp. FL 5.02 10/14/11 RESEARCH FRONTIERS INC DE 7.01,9.01 10/14/11 RIMAGE CORP MN 1.01,2.01,3.02,5.02, 10/10/11 8.01,9.01 RURBAN FINANCIAL CORP OH 7.01,9.01 10/17/11 SANTANDER DRIVE AUTO RECEIVABLES LLC DE 1.01,9.01 10/13/11 SavWatt USA, Inc. DE 3.02,5.02,5.03,9.01 07/01/11 SCHWAB CHARLES CORP DE 2.02,9.01 10/17/11 Scio Diamond Technology Corp NV 5.02 10/17/11 SECURITY FEDERAL CORP SC 5.03,8.01,9.01 10/12/11 SEQUENOM INC DE 8.01 10/17/11 ServisFirst Bancshares, Inc. DE 2.02,9.01 10/17/11 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 10/17/11 SHARPROCK RESOURCES INC. NV 8.01 10/14/11 SOLAR ACQUISITION CORP. FL 4.01,9.01 10/13/11 AMEND SOLAR ACQUISITION CORP. FL 1.01,2.01,3.02,5.01, 04/06/11 AMEND 9.01 Solo International, Inc NV 5.01,5.02,8.01 10/14/11 SPECTRUM GROUP INTERNATIONAL, INC. NY 8.01 10/14/11 SSI Investments II Ltd L2 1.01,2.01,2.03,9.01 10/14/11 SuccessFactors, Inc. DE 2.02,9.01 10/17/11 SUNGARD CAPITAL CORP DE 8.01 10/11/11 SWIFT TRANSPORTATION Co 7.01 10/17/11 SYNTEL INC MI 2.02,8.01,9.01 10/17/11 TAKE TWO INTERACTIVE SOFTWARE INC DE 1.01,2.03,9.01 10/17/11 TAMANDARE EXPLORATIONS INC. NV 5.03,9.01 10/11/11 TEAM INC TX 5.02 10/17/11 TESORO CORP /NEW/ DE 1.01,2.03,9.01 10/11/11 THERMOGENESIS CORP DE 5.02 10/13/11 Titan Holding Group, Inc. FL 5.02,8.01 10/17/11 TRANS1 INC 8.01,9.01 10/06/11 TransMontaigne Partners L.P. DE 8.01,9.01 10/17/11 U.S. Auto Parts Network, Inc. DE 1.01,1.02 10/11/11 UGI CORP /PA/ PA 1.01,8.01,9.01 10/14/11 Ulta Salon, Cosmetics & Fragrance, In DE 8.01 10/11/11 UNITED RENTALS INC /DE DE 1.01,2.03,9.01 10/14/11 UNITED THERAPEUTICS Corp DE 1.01,2.03,3.02,9.01 10/11/11 US GEOTHERMAL INC DE 8.01 10/17/11 USA TECHNOLOGIES INC PA 5.02,9.01 10/14/11 Vertro, Inc. DE 1.01,8.01,9.01 10/16/11 VISTEON CORP DE 5.02,8.01,9.01 10/14/11 VIVUS INC CA 7.01,9.01 10/17/11 VMWARE, INC. DE 2.02,9.01 10/17/11 WALGREEN CO IL 5.02,9.01 10/12/11 WD 40 CO DE 2.02,9.01 10/17/11 WELLS FARGO & CO/MN DE 2.02,9.01 10/17/11 WELLS REAL ESTATE FUND XIV LP GA 1.01 10/11/11 WESTERN ALLIANCE BANCORPORATION NV 2.02,9.01 10/17/11 WESTERN DIGITAL CORP DE 7.01,9.01 10/17/11 World Energy Solutions, Inc. DE 1.01,2.01,3.02,9.01 10/13/11 XECHEM INTERNATIONAL INC DE 8.01 10/10/11 XL GROUP PLC L2 3.02,8.01,9.01 10/12/11 ZION OIL & GAS INC DE 1.01,9.01 10/11/11
http://www.sec.gov/news/digest/2011/dig101811.htm
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