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SEC News Digest
Issue 2011-250
December 29, 2011
Commission announcements
Commission Meetings
Closed Meeting on Thursday, January 5, 2012 at 2:00 p.m.
The subject matters of the Closed Meeting scheduled for Thursday, January 5, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; and adjudicatory matters.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
Telephone Meeting on Friday, January 6, 2012 at 1:00 p.m.
The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies will hold a public telephone meeting on Friday, January 6, 2012, beginning at 1:00 p.m. Eastern Standard Time. The meeting will be audio webcast on the Commission’s website at www.sec.gov.
The agenda for the meeting includes consideration of a recommendation to the Commission on relaxing current restrictions on general solicitation and advertising in exempt offerings of securities.
For further information, please contact the Office of the Secretary at (202) 551-5400.
Enforcement proceedings
In the Matter of Calhoun Asset Management, LLC and Krista Lynn Ward a/k/a Krista Lynn Karnezis
On December 29, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (Order) against Calhoun Asset Management, LLC (Calhoun) and Krista Lynn Ward a/k/a Krista Lynn Karnezis (Ward).
The Order alleges that Respondent Ward raised the assets managed by Respondent Calhoun, the investment adviser to two funds of funds, by grossly exaggerating Calhoun’s assets under management. The Order also alleges that Ward made misleading statements about Calhoun’s due diligence process and filed numerous false Forms ADV with the Commission. In addition to making false and misleading statements, Ward failed to maintain records to support the performance that Calhoun claimed in its marketing materials.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Respondents an opportunity to respond to the allegations, and to determine what remedial sanctions, if any, are appropriate and in the public interest. The Order requires the administrative law judge to issue an initial decision no later than 300 days from the date of service of the Order. (Rel. 33-9290; File No. 3-14680)
In the Matter of Daniel Joseph Sebastian
On December 29, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Daniel Joseph Sebastian based upon the entry of a permanent injunction entered against him in the United States District Court for the Middle District of Florida, in the civil action entitled Securities and Exchange Commission v. Daniel Joseph Sebastian and James Davis Risher, Case Number 6:11-cv-1440-Orl-18GJK.
In the Order, the Division of Enforcement alleges that on December 6, 2011, a judgment was entered by consent against Sebastian permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5, Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Advisers Act Rule 206(4)-8. The Commission’s complaint alleged, among other things, that from no later than January 2007 through July 2010, Sebastian operated a Ponzi scheme, which raised approximately $22 million for the Fund from more than 100 investors nationwide and in Canada. The complaint also alleged: (1) he knew or was extremely reckless in not knowing that the Fund’s investment strategies were fictitious; (2) the returns in the account statements he provided to investors were false; (3) contrary to what Sebastian represented to investors, the Fund did not have audited financial statements; and (4) he misrepresented to investors that all money deposited into the Fund would be guaranteed against loss.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. IA-3346; File No. 3-14681)
Following Contested Evidentiary Hearing, SEC Obtains Preliminary and Permanent Injunctions and Related Relief Against New York Businessman and Two Houston-area Firms Who Conducted a Fraudulent $10 Million Note Offering
On August 10, 2011, the Securities and Exchange Commission filed suit in the United States District Court for the Southern District of Texas against Damian Omar Valdez of New York and two Houston-area firms he controlled, Evolution Capital Advisors (“Evolution Capital”) and Evolution Investment Group I (“EIGI”). Evolution Capital was an investment adviser registered with the Commission until June 2010. The firms and Valdez raised at least $10 million from more than 80 investors through two fraudulent note offerings.
After a contested evidentiary hearing on October 19 and 20, 2011, the Court found that: (1) Valdez, Evolution Capital, and EIGI misled investors to believe that the notes were safe and secured by assets guaranteed by the United States government; (2) the defendants falsely promised to use leverage to purchase the assets securing the notes; (3) the assets securing the notes were subject to significant undisclosed default and prepayment risk; (4) the defendants paid themselves more than $2.4 million in fees and expenses and used approximately $2.7 million from the second note offering to make Ponzi payments to investors in the first note offering; (5) because of defaults and prepayments on the underlying assets, failure to obtain leverage, and excessive Ponzi payments and fees, the defendants lacked sufficient assets to repay investors in accordance with the notes; and (6) the defendants would have continued taking all monies from the account each month as “profit” had the Commission not brought its enforcement action. The Court specifically found that Defendant Valdez acted with fraudulent intent.
Based on these findings, the Court granted the Commission’s motion for preliminary and permanent injunction, asset freeze, and appointment of a receiver. The Court also permanently froze the defendants’ assets. In addition, the Court specifically enjoined the defendants against further violations of the antifraud provisions of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s requests for disgorgement of ill-gotten gains plus prejudgment interest, as well as civil penalties, remain pending. [SEC v. Evolution Capital Advisors, et al., Civ. Action No. 4:11-cv-02945 (United States District Court for the Southern District of Texas, Houston Division) (Miller, J.)] (LR-22211)
Judgment Entered Against Shawn R. Merriman Pursuant to Settlement
The Securities and Exchange Commission announced today that on December 23, 2011, the United States District Court for the District of Colorado in Denver entered judgment against Shawn R. Merriman. According to the Commission’s complaint, from 1994 to 2009, Merriman conducted a Ponzi scheme through entities under his control raising approximately $20 million. The complaint alleged that Merriman fraudulently represented to investors that he would invest their funds in stocks and options generating annual returns of 7 to 20%, when in fact he used investor funds to pay investor returns and to support his lavish lifestyle.
To resolve the Commission’s charges, without admitting or denying the allegations of the complaint, Merriman consented to the entry of a judgment enjoining him from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), (2) and (4) of the Advisers Act of 1940 and Rule 206(4)-8 thereunder. The judgment further ordered Merriman liable for disgorgement of $20,124,183.13 which was deemed satisfied by the order of restitution entered on September 14, 2010 against Merriman in the related criminal case, U.S. v. Merriman, Case No. 09-cr-00369-MSK-01 (D. Colo.). The judgment did not impose a civil penalty in light of the criminal sanctions ordered against Merriman in the criminal case. Merriman is currently serving a sentence of imprisonment of 151 months after pleading guilty to one count of mail fraud in violation of 18 U.S.C. § 1341.
Upon motion by the Commission, the District Court in Denver dismissed the pending claims against Merriman’s entities Market Street Advisors, LLC-1, LLC-2, Marque LLC-3, LLC-4 and Relief Defendant Impressions Everlasting. These entities are defunct and their assets, if any, were seized in connection with the criminal case against Merriman. [SEC v. Shawn R. Merriman et al., Civil Action No. 09-cv-00786-PAB (D. Colo.)] (LR-22212)
SEC Charges Magyar Telekom and Former Executives With Bribing Officials in Macedonia and Montenegro
Firm and Its Parent Agree to Pay $95 Million to Settle Civil and Criminal Charges
The Securities and Exchange Commission today charged the largest telecommunications provider in Hungary and three of its former top executives with bribing government and political party officials in Macedonia and Montenegro to win business and shut out competition in the telecommunications industry.
The SEC alleges that three senior executives at Magyar Telekom Plc. orchestrated, approved, and executed a plan to bribe Macedonian officials in 2005 and 2006 to prevent the introduction of a new competitor and gain other regulatory benefits. Magyar Telekom’s subsidiaries in Macedonia made illegal payments of approximately $6 million under the guise of bogus consulting and marketing contracts. The same executives orchestrated a second scheme in 2005 in Montenegro related to Magyar Telekom’s acquisition of the state-owned telecommunications company there. Magyar Telekom paid approximately $9 million through four sham contracts to funnel money to government officials in Montenegro.
Magyar Telekom’s parent company Deutsche Telekom AG also is charged with books and records and internal controls violations of the Foreign Corrupt Practices Act (FCPA).
Magyar Telekom agreed to settle the SEC’s charges by paying more than $31.2 million in disgorgement and pre-judgment interest. Magyar Telekom also agreed to pay a $59.6 million criminal penalty as part of a deferred prosecution agreement announced today by the U.S. Department of Justice. Deutsche Telekom settled the SEC’s charges, and as part of a non-prosecution agreement with the Department of Justice agreed to pay a penalty of $4.36 million.
The three former top executives at Magyar Telekom charged by the SEC for orchestrating the bribery schemes are:
- Elek Straub, former Chairman and CEO
- Andras Balogh, former Director of Central Strategic Organization
- Tamas Morvai, former Director of Business Development and Acquisitions
The SEC’s complaint against Straub, Balogh, and Morvai alleges that they violated Sections 30A and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13b2-1 and 13b2-2, and that they aided and abetted violations of Sections 30A, 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act. The SEC seeks disgorgement and penalties and the imposition of permanent injunctions. The SEC’s complaint against Magyar Telekom and Deutsche Telekom alleges that Magyar Telekom violated Section 30A of the Exchange Act and that Magyar Telekom and Deutsche Telekom violated Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act. Magyar Telekom and Deutsche Telekom consented to the entry of final judgments without admitting or denying the SEC’s allegations. The settlements are subject to court approval. [SEC v. Magyar Telekom Plc. and Deutsche Telekom AG, Case No. 11 civ 9646 (S.D.N.Y.); SEC v. Straub, et al., Case No. 11 civ 9645 (S.D.N.Y.)] (LR-22213)
Self-Regulatory Organizations
Proposed Rule Changes
Chicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2011-123) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 related to FLEX Options. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66052)
The Chicago Stock Exchange, Inc. has filed a proposed rule change (SR-CHX-2011-34) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 regarding suspension of a Participant’s trading privileges on the Exchange. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66061)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-98) deleting NYSE Arca Equities Rule 7.31(w)(1) to remove the PNP Plus Order type has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66062)
The Depository Trust Company (DTC) filed a proposed rule change (SR-DTC-2011-13) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective immediately upon filing, to revise fees for equity and debt derivatives. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66063)
Securities Act Registrations
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 Dehaier Medical Systems Ltd, SUITE 501, JIUZHOU PLAZA, 83 FUXING ROAD,,
HAIDIAN DISTRICT, BEIJING, F4, 100856, (8610) 5166-0080 -
450,000 ($733,500.00) Equity, (File 333-178771 - Dec. 28) (BR. 10A)
S-3ASR VIRGINIA ELECTRIC & POWER CO, 120 TREDEGAR ST, RICHMOND, VA, 23219,
8048192000 - 0 ($0.00) Other, (File 333-178772 - Dec. 28) (BR. 02A)
S-8 AGL RESOURCES INC, TEN PEACHTREE PLACE, ATLANTA, GA, 30309,
4045844000 - 1,697,363 ($70,881,879.00) Equity, (File 333-178775 -
Dec. 28) (BR. 02A)
S-8 CARLISLE COMPANIES INC, 13925 BALLANTYNE CORPORATE PLACE, SUITE 400,
CHARLOTTE, NC, 28277, 704-501-1100 - 0 ($119,253,750.00) Equity,
(File 333-178776 - Dec. 28) (BR. 06C)
S-8 WABASH NATIONAL CORP /DE, 1000 SAGAMORE PARKWAY SOUTH, LAFAYETTE, IN,
47905, 7657715310 - 4,650,000 ($31,317,750.00) Equity,
(File 333-178778 - Dec. 28) (BR. 05C)
S-1 Statewide Life & Health, Inc., 1489 W. PALMETTO PARK ROAD, SUITE 475,
BOCA RATON, FL, 33486, 561 756-8680 - 8,800,000 ($1,200,000.00) Equity,
(File 333-178779 - Dec. 28) (BR. )
F-1 BGS Acquisition Corp., 152 WEST 57TH STREET, 34TH FLOOR, NEW YORK, NY,
10019, 212-823-0281 - 11,250,000 ($123,187,500.00) Equity,
(File 333-178780 - Dec. 28) (BR. 06C)
S-1 Macho Uno Racing Corp, 901 S. FEDERAL HIGHWAY, HALLANDALE BEACH, FL,
33009, 905-726-7076 - 0 ($4,050,000.00) Equity, (File 333-178781 -
Dec. 28) (BR. )
S-1 Ginger Punch Racing Corp, 901 S. FEDERAL HIGHWAY, HALLANDALE BEACH, FL,
33009, 905-726-7076 - 0 ($4,050,000.00) Equity, (File 333-178782 -
Dec. 28) (BR. )
S-1 Perfect Sting Racing Corp, 901 S. FEDERAL HIGHWAY, HALLANDALE BEACH,
FL, 33009, 905-726-7076 - 0 ($4,050,000.00) Equity, (File 333-178783 -
Dec. 28) (BR. )
S-1 Awesome Again Racing Corp, 901 S. FEDERAL HIGHWAY, HALLANDALE BEACH,
FL, 33009, 905-726-7076 - 0 ($4,050,000.00) Equity, (File 333-178784 -
Dec. 28) (BR. )
S-1 Ghostzapper Racing Corp, 901 S. FEDERAL HIGHWAY, HALLANDALE BEACH, FL,
33009, 905-726-7076 - 0 ($4,050,000.00) Equity, (File 333-178785 -
Dec. 28) (BR. )
S-1 Greenbacker Renewable Energy Corp,
C/O GREENBACKER CAPITAL MANAGEMENT LLC,
570 LEXINGTON AVENUE, 48TH FLOOR, NEW YORK, NY, 10022, 6466511623 -
0 ($500,000,000.00) Equity, (File 333-178786 - Dec. 28) (BR. )
S-11 AG Mortgage Investment Trust, Inc., 245 PARK AVENUE, 26TH FLOOR,
NEW YORK, NY, 10167, 212-692-2000 - 0 ($100,000,000.00) Equity,
(File 333-178787 - Dec. 28) (BR. 08B)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
|
3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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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
AARON'S INC GA 5.02,9.01 12/21/11
ACACIA RESEARCH CORP DE 8.01 12/22/11
ACCELERATED ACQUISITION XIII DE 1.01,5.01,5.02,9.01 12/28/11
Advanced BioEnergy, LLC DE 2.02,9.01 12/21/11
ADVOCAT INC DE 8.01,9.01 12/28/11
AFFYMETRIX INC DE 8.01 12/28/11
ALLSTATE CORP DE 5.02,9.01 12/22/11
AMBIENT CORP /NY DE 5.02 12/20/11
AMERCO /NV/ NV 5.07 08/25/11 AMEND
AMERICAN SCIENTIFIC RESOURCES INC NV 5.02 12/27/11
AMYRIS, INC. DE 1.01,2.03 12/22/11
ANWORTH MORTGAGE ASSET CORP MD 3.03,8.01,9.01 12/28/11
ARCTIC CAT INC MN 1.01,5.02,9.01 12/22/11
AspenBio Pharma, Inc. CO 1.01,9.01 12/23/11
BALDWIN TECHNOLOGY CO INC DE 1.01,2.03,8.01,9.01 12/22/11
Behringer Harvard Opportunity REIT I, MD 2.02,7.01 12/20/11
BEHRINGER HARVARD REIT I INC MD 2.02,8.01 12/28/11
BG Medicine, Inc. DE 8.01,9.01 12/28/11
BillMyParents, Inc. CO 5.03,5.07,9.01 12/23/11
BNC BANCORP NC 1.01,9.01 12/21/11
Bristow Group Inc DE 1.01,9.01 12/22/11
BROADCOM CORP CA 5.02,9.01 12/22/11
Brooklyn Federal Bancorp, Inc. X1 5.07 12/22/11
BRYN MAWR BANK CORP PA 8.01,9.01 12/28/11
CAL MAINE FOODS INC DE 2.02,9.01 12/27/11
CAL MAINE FOODS INC DE 5.07 12/22/11 AMEND
CALLAWAY GOLF CO DE 1.01,2.03,9.01 12/22/11
Camelot Entertainment Group, Inc. DE 3.02 12/28/11
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 12/28/11
CHESAPEAKE MIDSTREAM PARTNERS LP DE 7.01,9.01 12/28/11
China Direct Industries, Inc. FL 7.01,9.01 12/28/11
China Intelligent Lighting & Electron DE 5.02 12/21/11
CHINA SKY ONE MEDICAL, INC. NV 5.02,9.01 12/22/11
CHINDEX INTERNATIONAL INC DE 5.02,9.01 12/28/11
CITIGROUP COMMERCIAL MORTGAGE SECURIT DE 9.01 12/28/11
CORCEPT THERAPEUTICS INC DE 8.01 12/22/11
Cornerstone Financial Corp NJ 3.02,9.01 11/14/11
DELTA MUTUAL INC DE 3.02,9.01 12/15/11
Diamond Energy Partners, L.P. 4.01,9.01 12/27/11 AMEND
DIGAGOGO VENTURES CORP DE 1.01,9.01 11/10/11
Dot VN, Inc. DE 8.01,9.01 12/28/11
DREAMS INC UT 1.01,9.01 12/23/11
DRI CORP NC 7.01,9.01 12/28/11
DYNAMIC MATERIALS CORP DE 1.01 12/21/11
EAGLE MATERIALS INC DE 2.03 12/21/11
EGAIN COMMUNICATIONS CORP DE 1.01,9.01 12/28/11
EMCORE CORP NJ 1.01 12/21/11
Emergent BioSolutions Inc. DE 1.02 12/21/11
EnteroMedics Inc 8.01,9.01 12/28/11
EXAR CORP DE 7.01,9.01 12/28/11
Federal Home Loan Bank of Boston X1 2.03 12/21/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/22/11
Federal Home Loan Bank of Dallas 2.03,9.01 12/21/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/23/11
FIRST MARINER BANCORP MD 5.02,9.01 12/21/11
First Trinity Financial CORP 2.01,9.01 12/28/11
FLOTEK INDUSTRIES INC/CN/ DE 1.01,7.01,9.01 12/27/11
FNB CORP/FL/ FL 5.02 12/21/11
Forbes Energy Services Ltd. D0 1.01,9.01 12/23/11
GENESIS GROUP HOLDINGS INC 5.02 12/27/11
Genpact LTD D0 1.01 12/21/11
GOOD TIMES RESTAURANTS INC NV 1.01,2.04,9.01 12/27/11
GRANITE CITY FOOD & BREWERY LTD MN 1.01,2.01,2.03,9.01 12/21/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 12/23/11
GULF RESOURCES, INC. DE 8.01,9.01 12/28/11
HAUPPAUGE DIGITAL INC DE 2.02,9.01 12/28/11
HCA Holdings, Inc. 5.02,9.01 12/22/11
HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 12/28/11
HYPERDYNAMICS CORP DE 5.03,9.01 12/21/11
ICON ECI FUND FIFTEEN, L.P. DE 7.01,9.01 12/28/11
ICON Equipment & Corporate Infrastruc DE 7.01,9.01 12/28/11
ICON INCOME FUND NINE LLC 7.01,9.01 12/28/11
ICON INCOME FUND TEN LLC DE 7.01,9.01 12/28/11
ICON LEASING FUND ELEVEN, LLC DE 7.01,9.01 12/28/11
ICON LEASING FUND TWELVE, LLC DE 7.01,9.01 12/28/11
IDACORP INC ID 8.01 12/27/11
IDENTIVE GROUP, INC. DE 5.02,8.01,9.01 12/21/11
IEC ELECTRONICS CORP DE 1.01,1.02,5.02,7.01, 12/27/11
9.01
IMMUNOMEDICS INC DE 1.01,8.01,9.01 12/27/11
INFRASTRUCTURE DEVELOPMENTS CORP. 3.02,5.01,9.01 11/21/11
INSIGNIA SYSTEMS INC/MN MN 8.01 12/14/11
INTERACTIVE SYSTEMS WORLDWIDE INC /DE DE 5.02,8.01 06/30/11
Internet Patents Corp 1.01,2.01,5.03,5.07, 12/21/11
9.01
KFORCE INC FL 8.01 12/23/11
LACROSSE FOOTWEAR INC WI 1.01,2.03 12/23/11
LEGGETT & PLATT INC MO 2.05,2.06,7.01,9.01 12/28/11
LKQ CORP DE 5.02 12/22/11
Memorial Production Partners LP DE 7.01,9.01 12/27/11
MERISEL INC /DE/ DE 8.01,9.01 12/27/11
MGP INGREDIENTS INC KS 2.01,2.03,7.01,9.01 12/27/11
MICROSEMI CORP DE 9.01 10/25/11 AMEND
MILLER INDUSTRIES INC /TN/ TN 1.01,2.03 12/21/11
Mistras Group, Inc. DE 1.01 12/21/11
MOVE INC DE 5.02,9.01 12/21/11
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2002-11 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2003-15 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2003-6 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2003-7 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2004-2 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2005-1 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2005-2 DE 8.01,9.01 12/20/11
MS STRUCTURED SATURNS SERIES 2005-3 DE 8.01,9.01 12/20/11
MS Structured SATURNS Series 2006-2 DE 8.01,9.01 12/20/11
MS Structured SATURNS Series 2007-1 DE 8.01,9.01 12/20/11
MS Structured SATURNS Series 2007-1 DE 8.01,9.01 12/20/11
MS STRUCTURED TILES SERIES 2005-1 DE 8.01,9.01 12/20/11
MS STRUCTURED TILES SERIES 2006-1 DE 8.01,9.01 12/20/11
MSC INDUSTRIAL DIRECT CO INC NY 5.02,9.01 12/22/11
Natural Resources USA Corp 5.01,8.01,9.01 12/28/11
NB&T FINANCIAL GROUP INC OH 7.01 12/28/11
NEW JERSEY RESOURCES CORP NJ 5.02,9.01 12/27/11
NEWPORT CORP NV 7.01,9.01 12/28/11
NEWS CORP 8.01,9.01 12/28/11
NEXT GENERATION ENERGY CORP. NV 1.02 02/22/11
NORTH SPRINGS RESOURCES CORP. NV 1.01,2.03,9.01 12/21/11
NORTH VALLEY BANCORP CA 5.02 12/28/11
NOVAGEN SOLAR INC. NV 5.01 12/20/11
NPC INTERNATIONAL INC KS 7.01,9.01 12/28/11
Oculus Innovative Sciences, Inc. CA 7.01 12/22/11
OIL DRI CORP OF AMERICA DE 8.01,9.01 12/21/11
Oncologix Tech Inc. NV 3.02 12/26/11
OPNEXT INC 7.01,9.01 12/28/11
Oritani Financial Corp DE 5.07 11/22/11 AMEND
OVERSTOCK.COM, INC DE 1.01,1.02,9.01 12/27/11
PEOPLES FINANCIAL CORP /MS/ MS 8.01,9.01 12/28/11
PHOTOTRON HOLDINGS, INC. DE 1.01,1.02,2.03 12/22/11
PINNACLE FINANCIAL PARTNERS INC TN 8.01,9.01 12/28/11
PORTFOLIO RECOVERY ASSOCIATES INC DE 1.01,5.02,9.01 12/21/11
POWERSECURE INTERNATIONAL, INC. DE 1.01,2.03,9.01 12/21/11
PRIVATEBANCORP, INC DE 7.01,9.01 12/28/11
Probe Manufacturing Inc NV 5.07 12/28/11
Proper Power & Energy, Inc. DE 5.02 12/28/11
Protea Biosciences Group, Inc. DE 2.03,9.01 12/20/11
PROTEONOMIX, INC. DE 8.01 12/28/11
ProUroCare Medical Inc. NV 1.01,2.03,9.01 12/22/11
RAM ENERGY RESOURCES INC DE 8.01,9.01 12/22/11
RED HAT INC DE 1.01 12/27/11
RED MOUNTAIN RESOURCES, INC. FL 3.02,9.01 11/04/11 AMEND
Regeneca, Inc. NV 9.01 08/09/11 AMEND
RESPONSE GENETICS INC 5.02 12/21/11
ROYAL GOLD INC DE 1.01,8.01,9.01 12/22/11
SALAMON GROUP INC 5.02 12/28/11
SeaBright Holdings, Inc. DE 1.01,5.02,9.01 12/23/11
SEACOR HOLDINGS INC /NEW/ DE 1.01,2.03 12/22/11
SecureAlert, Inc. UT 5.02,5.07,9.01 12/16/11
Soton Holdings Group, Inc. NV 4.01 12/21/11
SOUTHERN MICHIGAN BANCORP INC MI 5.02,9.01 12/27/11
Southern Trust Securities Holding Cor FL 4.01,9.01 12/19/11 AMEND
SPORT CHALET INC DE 5.02 12/27/11
STAR SCIENTIFIC INC DE 1.01,3.02,9.01 12/22/11
StellarOne CORP VA 8.01,9.01 12/28/11
STONE ENERGY CORP DE 2.01,7.01,9.01 12/28/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 12/15/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 12/15/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 12/15/11
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 12/15/11
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 12/15/11
Targeted Medical Pharma, Inc. 5.02,9.01 12/21/11
Targeted Medical Pharma, Inc. 9.01 12/28/11 AMEND
TAUBMAN CENTERS INC MI 2.01,2.03,9.01 12/21/11
TELEPHONE & DATA SYSTEMS INC /DE/ DE 8.01,9.01 12/27/11
TELVUE CORP DE 1.01,2.03,9.01 12/22/11
THERMO FISHER SCIENTIFIC INC. DE 5.02 12/21/11
TIDEWATER INC DE 8.01 12/27/11
TNP Strategic Retail Trust, Inc. MD 1.01,2.01,2.03,7.01, 12/21/11
9.01
TODA INTERNATIONAL HOLDINGS INC. E9 4.02 12/16/11 AMEND
TODA INTERNATIONAL HOLDINGS INC. E9 1.01,2.01,3.02,4.01, 03/15/11 AMEND
5.01,5.02,5.06,9.01
Two Harbors Investment Corp. 1.01,9.01 12/28/11
United States 12 Month Natural Gas Fu 7.01,9.01 12/28/11
United States 12 Month Oil Fund, LP 7.01,9.01 12/28/11
United States Brent Oil Fund, LP DE 7.01,9.01 12/28/11
United States Commodity Index Funds T DE 7.01,9.01 12/28/11
United States Gasoline Fund, LP DE 7.01,9.01 12/28/11
United States Heating Oil Fund, LP DE 7.01,9.01 12/28/11
United States Natural Gas Fund, LP 7.01,9.01 12/28/11
United States Oil Fund, LP DE 7.01,9.01 12/28/11
United States Short Oil Fund, LP DE 7.01,9.01 12/28/11
UWHARRIE CAPITAL CORP NC 2.02,9.01 12/15/11
VICTORIA INTERNET SERVICES INC NV 8.01,9.01 11/14/11
VICTORY ENERGY CORP NV 5.02,9.01 12/28/11
WAUSAU PAPER CORP. WI 8.01,9.01 12/23/11
WELLS CORE OFFICE INCOME REIT INC 2.01,9.01 12/28/11
Willow Creek Enterprises Inc. 1.01,2.03,9.01 12/27/11
Winthrop Realty Trust OH 1.01 12/23/11
WNC CALIFORNIA HOUSING TAX CREDITS II CA 5.07 12/27/11
WWA GROUP INC NV 2.01,9.01 11/21/11
XCEL ENERGY INC MN 8.01 12/23/11
ZOOM TECHNOLOGIES INC DE 2.01,2.03,3.02,8.01, 10/12/11 AMEND
9.01
http://www.sec.gov/news/digest/2011/dig122911.htm
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