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SEC News Digest
Issue 2012-1
January 3, 2012
Commission announcements
SEC Names Pamela A. Gibbs as Director of the Office of Minority and Women Inclusion
The Securities and Exchange Commission today announced that Pamela A. Gibbs has been named as the inaugural Director of the Office of Minority and Women Inclusion, which oversees diversity in the agency’s employment, management, and business activities.
The Dodd-Frank Wall Street Reform and Consumer Protection Act mandated that federal financial regulators each establish an office devoted to workforce diversity, the use of minority and women-owned service providers, and the assessment of the diversity policies and practices of the businesses each regulates. In July, after receiving congressional approval to fund the office, the SEC appointed Alta G. Rodriguez, Director of the SEC’s Office of Equal Employment Opportunity, as interim director.
“I am pleased to announce that Pamela Gibbs will be the first director of our Office of Minority and Women Inclusion,” said SEC Chairman Mary Schapiro. “I’m confident that given Pamela’s extensive experience, her leadership will ensure this office’s success.”
Ms. Gibbs comes to the SEC from the Commodity Futures Trading Commission, where she has served since October 2009 as the Director of its Office of Diversity and Inclusion. In that role, Ms. Gibbs was the principal advisor to the CFTC Chairman on equal employment and diversity matters, and oversaw outreach and recruitment of minority and women’s groups. She also worked with the agency’s Office of General Counsel and Office of Human Resources to ensure fairness and consistency in the agency’s personnel policies and practices.
“It’s an honor to be chosen to head the SEC’s Office of Minority and Women Inclusion, and I look forward to working with my new colleagues on the important task Congress has set out for us,” Ms. Gibbs said.
Prior to the CFTC, Ms. Gibbs spent 18 years at the U.S. Department of Labor, where she started in 1991 as a trial attorney in the Civil Rights Division. She later was Acting Deputy Director for Program Operation in the Office of Federal Contract Compliance Programs, and was Director of the Equal Employment Opportunity Unit in the Employment Standards Administration from April 2006 to October 2009.
Ms. Gibbs is a graduate of Georgetown University Law Center. She received her bachelor’s degree from the University of Virginia and holds a master’s degree in public administration from George Mason University. (Press Rel. 2012-1)
Enforcement proceedings
Commission Revokes Registration of Securities of SMC Ventures, Inc. (f/k/a Gensci Regeneration Sciences, Inc.) for Failure to Make Required Periodic Filings
On January 3, 2012, the Commission revoked the registration of each class of registered securities of SMC Ventures, Inc. (f/k/a Gensci Regeneration Sciences, Inc.) (SMC Ventures) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, SMC Ventures consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to SMC Ventures, Inc. (f/k/a Gensci Regeneration Sciences, Inc.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 or 13a-16 thereunder and revoking the registration of each class of SMC Ventures’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against SMC Ventures in In the Matter of Shepaug Corp., et al., Administrative Proceeding File No. 3-14513.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Shepaug Corp., et al., Administrative Proceeding File No. 3-14513, Exchange Act Release No. 65190, August 24, 2011. (Rel. 34-66076; File No. 3-14513)
In the Matter of William Echeverri
On January 3, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against William Echeverri. Echeverri, 40, is a resident of Park Ridge, NJ. The Order finds that Echeverri was a registered representative associated with broker-dealers registered with the Commission, and that on December 27, 2011, a final judgment was entered by consent against Echeverri, enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, in the civil action SEC v. William Echeverri, et al., Civil Action No. 2:11-cv-07314 (D.N.J.). The Commission’s complaint alleged that on June 5, 2008, Echeverri received material, nonpublic information from an executive at Vital Signs, Inc. concerning an offer by GE Healthcare, a wholly owned subsidiary of the General Electric Co. (GE), to acquire the company. The complaint alleged that the day after receiving the tip, Echeverri began buying shares of Vital Signs in an outside account that he concealed from his employer, eventually making over $150,000 in illicit profits when he sold his holdings after the takeover was announced on July 24, 2008. The complaint further alleged that Echeverri also tipped five others about the GE offer, and that his tippees made approximately $190,000 in ill-gotten gains on their trading in Vital Signs.
Based on the above, the Order bars Echeverri from association with any broker, dealer, investment adviser, municipal securities dealer or transfer agent, and from participating in any offering of a penny stock. Echeverri consented to the issuance of the Order without admitting or denying any of the Commission’s findings, except the court’s December 27, 2011 entry of the final judgment, which Echeverri admitted.
On December 27, 2011, Judge William H. Walls of the United States District Court for the District of New Jersey also entered final judgments by consent against six of Echeverri’s seven codefendants: John R. Easom, Robert Miketich, Victor H. Echeverri, Joseph F. Mancuso, Paul S. Qassis and Gary S. Saggu. The court’s December 27, 2011 final judgments enjoined each of these defendants from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and imposed the following relief:
- Barred Easom from serving as an officer or director of a publicly traded company for five years, and ordered him to pay disgorgement of $327, prejudgment interest of $50.75, and a civil penalty of $10,000. The terms of Easom’s settlement reflected credit given to him by the Commission for his substantial assistance in its investigation and anticipated cooperation in its pending enforcement action. The Commission also considered his sworn statements concerning his financial condition.
- Ordered Echeverri to pay disgorgement of $150,121.19, prejudgment interest of $22,450.59, and a civil penalty of $227,428.22.
- Ordered Victor Echeverri to pay disgorgement of $12,477.19 and prejudgment interest of $1,829.52, but waived payment and did not impose a civil penalty based on his inability to pay.
- Ordered Miketich to pay disgorgement of $31,455, prejudgment interest of $4,252.20, and a civil penalty of $41,455.
- Ordered Mancuso to pay disgorgement of $61,367.01, prejudgment interest of $8,998.13, and a civil penalty of $61,367.01.
- Ordered Qassis to pay disgorgement of $22,167.64, prejudgment interest of $3,082.17, and a civil penalty of $80,000.
- Ordered Saggu to pay disgorgement of $111,494.29, prejudgment interest of $15,073.97, and a civil penalty of $55,747.14.
The Commission’s action remains pending against the final defendant, Rory E. Tringali.
See SEC v. John R. Easom, William Echeverri, et al., Civil Action Number 2:11-cv-07314 (D.N.J.)] (LR-22205). (Rel. 34-66088; File No. 3-14682)
SEC Charges Charles A. Aiken and Aiken Continental, L.L.C. With Fraud in the Offer and Sale of Municipal Bonds
On January 3, 2012, the Securities and Exchange Commission announced that it filed a civil injunctive action alleging fraud in the offer and sale of municipal bonds by Charles A. Aiken and his entity, Aiken Continental, L.L.C.
Filed December 29, 2011 in the U.S. District Court for the Southern District of West Virginia, the SEC’s complaint alleges that Aiken and Aiken Continental made material misrepresentations and omissions in connection with the 2006 offer and sale of $2.96 million of industrial development revenue bonds. Raleigh County, West Virginia issued the bonds in October 2006 to facilitate Aiken Continental’s acquisition of Continental Casket, Inc., a casket manufacturing facility located within its jurisdiction. Aiken formed Aiken Continental in August 2006 for the sole purpose of acquiring Continental Casket’s assets, and served as its sole principal.
According to the SEC’s complaint, Aiken concealed from key participants to the transaction, including the issuer, bond counsel, the underwriter, and the bondholders’ trustee, that he had been indicted for felony financial fraud in late 2005. Aiken also concealed the fact that he was in the process of negotiating a plea agreement just before the bonds were issued in October 2006, which included a term of imprisonment. In addition, Aiken failed to disclose material information about a $200,000 loan to Aiken and Aiken Continental from an entity partially owned by their attorney, in order to facilitate the closing of the transaction. This loan required a $100,000 interest payment, and gave the lender a twenty percent equity interest in Aiken Continental if the loan plus interest was not fully repaid within six months. Aiken’s failure to disclose details about his criminal proceeding and the loan rendered certain statements in the bonds’ Official Statement materially misleading. For example, one section of the Official Statement contained information about Aiken’s background, but failed to mention his felony indictment for financial fraud. Another section of the Official Statement contained projected financial statements for Aiken Continental, but failed to take into account the repayment of the $200,000 loan plus $100,000 interest. Aiken Continental supplied and authorized the use of information in the Official Statement. Aiken signed the Official Statement on behalf of Aiken Continental, and authorized it to be distributed to investors.
According to the SEC’s complaint, Aiken served 90 days in federal prison and 90 days of home detention in Georgia following the close of the transaction. Aiken’s six-month absence negatively affected the operations of the casket company and the Raleigh County bonds are now in default, with the entire principal amount and accrued interest due.
Based on this conduct, the SEC’s complaint alleges that Aiken and Aiken Continental violated Section 17(a)(2) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(b) thereunder. The SEC’s complaint seeks permanent injunctions, disgorgement, prejudgment interest, and civil money penalties. [SEC v. Charles A. Aiken, et al., Civil Action No. CA 5:11-1018, United States District Court, Southern District of West Virginia] (LR-22214)
SEC Charges Atlanta-Based Attorney With Fraud in the Offer and Sale of Municipal Bonds
On January 3, 2012, the Securities and Exchange Commission announced that it filed a civil injunctive action alleging fraud in the offer and sale of municipal bonds by Chalmer E. Detling, II, an attorney based in Atlanta.
Filed December 29, 2011 in the U.S. District Court for the Northern District of Georgia, the SEC’s complaint alleges that Detling made material misrepresentations and omissions in connection with the 2006 offer and sale of $2.96 million of industrial development revenue bonds. Raleigh County, West Virginia issued the bonds in October 2006 to facilitate Aiken Continental, L.L.C.’s acquisition of Continental Casket, Inc., a casket manufacturing facility located within its jurisdiction. In 2006, Detling served as counsel to Aiken Continental and its sole principal, Charles A. Aiken, for purposes of the acquisition, and simultaneously represented Aiken in an unrelated federal criminal proceeding.
According to the SEC’s complaint, Detling failed to disclose to key participants to the transaction, including the issuer, bond counsel, the underwriter, and the bondholders’ trustee, that Aiken had been indicted for financial fraud in late 2005. Detling also failed to disclose that he was in the process of negotiating a plea agreement for Aiken just before the bonds were issued in October 2006. In addition, Detling failed to disclose material information about a $200,000 loan to Aiken and Aiken Continental from a company that was partially owned by Detling, in order to facilitate the closing of the transaction. This loan required a $100,000 interest payment, and gave the lender a twenty percent equity interest in Aiken Continental if the loan plus interest was not fully repaid within six months. Detling’s failure to disclose details about Aiken’s criminal proceeding and the loan rendered certain statements in the bonds’ Official Statement materially misleading. By reviewing the Official Statement, which was distributed to investors in connection with the transaction, and failing to correct the misstatements and omissions therein, the SEC’s complaint alleges that Detling aided and abetted the violations of Aiken and Aiken Continental.
In addition, the SEC’s complaint alleges that Detling signed an opinion letter as counsel to Aiken Continental in which he made false and misleading representations. Specifically, Detling represented that no proceeding at law was pending which would adversely affect Aiken Continental, and that the Official Statement did not contain any untrue statement of material fact or omit any material facts. The SEC’s complaint alleges that these representations were materially false and misleading due to Detling’s failures to disclose material information about Aiken’s criminal proceeding and the loan.
According to the SEC’s complaint, Aiken served 90 days in federal prison and 90 days of home detention in Georgia following the close of the transaction. Aiken’s six-month absence negatively affected the operations of the casket company and the Raleigh County bonds are now in default, with the entire principal amount and accrued interest due.
Without admitting or denying the allegations in the complaint, Detling agreed to settle the SEC’s charges by consenting to the entry of a final judgment, which will permanently enjoin him from violating the antifraud provisions of 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 from aiding and abetting violations of Exchange Act Section 10(b) and Rule 10b-5. As part of the settlement, Detling also agreed to pay $10,000 in disgorgement, $3,052 in prejudgment interest, and a $25,000 civil penalty, all of which will be distributed on a pro rata basis to Raleigh County bondholders. The SEC’s settlement with Detling is subject to court approval. In addition, pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice, Detling consented to the entry of an administrative order suspending him from appearing or practicing before the Commission as an attorney, with the right to reapply after five years. [SEC v. Chalmer E. Detling, II, Esq., Civil Action No. 1:11 cv 4565, United States District Court, Northern District of Georgia, Atlanta Division] (LR-22215)
Summary Judgment Entered Against Convicted Ponzi Scheme Operator Jeffrey L. Mowen
The Securities and Exchange Commission announced today that on December 29, 2011, the United States District Court for the District of Utah granted its motion for summary judgment against Jeffrey L. Mowen. On May 4, 2011, Mowen pled guilty to committing wire fraud in a related criminal action, United States of America v. Mowen, Case No. 2:09-cr-00098-DB (D. Utah). In pleading guilty, Mowen acknowledged operating a Ponzi scheme from around October 2006 to around October 2008, wherein he received over $18 million from investors for use in a purported foreign currency trading program. The SEC Complaint alleges that the investor funds provided to Mowen were raised by Thomas Fry and the other defendants, Fry’s promoters, from the unregistered offer and sale of high-yield promissory notes to over 150 investors in several states. Mowen acknowledged in his guilty plea that, rather than using investor funds for their intended purpose, he used the money for his personal benefit, misappropriating over $8 million.
The SEC moved for summary judgment against Mowen based upon the facts he acknowledged in his guilty plea. The Court granted the SEC’s motion, which sought a finding that Mowen violated Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933, an injunction against future violations of those provisions, and disgorgement of $8,041,779 in ill-gotten gains, plus prejudgment interest of $1,964,203. [SEC v. Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett, Defendants, and Erin O’Malley, f/k/a Erin O. Mowen, Relief Defendant, Case No. 2:09-cv-00786-DB/PMW (D. Utah)] (LR-22216)
Former Registered Representative Sentenced to 20 Years in Prison in Connection With Misappropriation Scheme
The U.S. Securities and Exchange Commission announced today that on December 13, 2011, the Honorable William Stiehl, United States District Court judge, sentenced Edward Lynn Moskop, 64, of Belleville, Illinois, to the maximum statutory penalties of 240 months’ imprisonment on Mail Fraud and 120 months on Money Laundering, to be served concurrently. Judge Stiehl also ordered Moskop to pay more than $1.49 million in restitution to his victims. The sentencing followed Moskop’s August 3, 2011 plea of guilty to the two count indictment.
Moskop's 20-year prison sentence was the culmination of his long-time investment fraud and misappropriation scheme. In the criminal case, the United States Attorney’s office for the Southern District of Illinois alleged that Moskop, operating as Financial Services Moskop and Associates, Inc., acted as a securities broker for several customers by making investments on their behalf. According to the U.S. Attorney’s office, from 1991 to 2010, Moskop persuaded customers to provide him with funds for investment. But, according to the U.S. Attorney’s office, instead of making the investment, Moskop kept the funds for his own use. The U.S. Attorney’s office alleged that Moskop also provided his customers with fraudulent periodic investment statements showing false interest and gains in the investments. According to the U.S. Attorney’s office, Moskop obtained by fraud approximately $2,400,000 from 25 victims. The U.S. Attorney’s office alleged that Moskop’s victims included his relatives, individuals referred by trusted friends and attorneys, a local Veterans of Foreign War Post, and long-time customers of his insurance business.
The criminal charges against Moskop are related to the conduct underlying the SEC’s civil action against Moskop and his company, Financial Services Moskop & Associates. On November 19, 2010, the SEC filed an emergency civil action in the United States District Court for the Northern District of Illinois to halt an ongoing fraud on investors conducted by Moskop and his company. In its complaint, the SEC alleged that from 1989 until the filing of the SEC’s action against Moskop and his company, Moskop misappropriated most of the life savings of at least two elderly investors. On the same day the SEC filed its case, the Honorable Rebecca R. Pallmeyer, United States District Court Judge, granted the SEC’s motion for emergency relief, entering a temporary restraining order against Moskop and his company and an order freezing their assets. On November 27, 2010, the court entered a preliminary injunction against Moskop and his company, and on July 21, 2011, the court entered a permanent injunction against Moskop and his company and continued the order freezing their assets. The SEC's action, which is ongoing, seeks disgorgement of the ill-gotten gains received by Moskop and his company, as well as civil penalties. [United States v. Edward L. Moskop, Case No. 11 CR 30077 in the United States District Court for the Southern District of Illinois; U.S. Securities & Exchange Commission v. Edward L. Moskop and Financial Services Moskop & Associates, Inc., Civil Action No. 10 C 7462 in the United States District Court for the Northern District of Illinois.] (LR-22217)
Investment company act releases
Cantilever Capital, LLC and Cantilever Group, LLC
A notice has been issued giving interested persons until January 23, 2012, to request a hearing on an application filed by Cantilever Capital, LLC (Cantilever) and Cantilever Group, LLC for an order under Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Section 12(d)(3) of the Act. The order would permit Cantilever to invest in the securities of investment managers that each derives more than 15% of its gross revenues from securities related activities as defined in Rule 12d3-1(d)(1), in excess of the limitations in Rule 12d3-1(b). (Rel. IC-29896 – December 29)
EquiTrust Variable Insurance Series Fund
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that EquiTrust Variable Insurance Series Fund has ceased to be an investment company. (Rel. IC-29897- December 30)
Self-Regulatory Organizations
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NASDAQ OMX BX, Inc. to waive BX port pair fees for certain newly-added routable port pairs (SR-BX-2011-088) 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 January 2. (Rel. 34-66074)
Approval of Proposed Rule Change
The Commission approved a proposed rule change (SR-NSCC-2011-10) filed by National Securities Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934. The approved rule change will amend NSCC’s rules to establish an optional service, “Trade Risk Pro,” that will enable NSCC members to monitor intraday trading activity through review of post-trade data. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66068)
Accelerated Approval of Proposed Rule Change
The Commission granted accelerated approval to proposed rule changes (SR-CBOE-2011-107 and SR-NSX-2011-14) submitted by the Chicago Board Options Exchange, Incorporated and National Stock Exchange, Inc. in connection with the proposed acquisition of the National Stock Exchange, Inc. by CBOE Stock Exchange, LLC. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66071)
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-1 MICRO IMAGING TECHNOLOGY, INC., 23456 S POINTE DR, LAGUNA HILLS, CA,
92653-1512, 9497709347 - 740,000,000 ($518,000.00) Equity,
(File 333-178822 - Dec. 30) (BR. 03A)
S-3 United States Gasoline Fund, LP, 1320 HARBOR BAY PARKWAY, SUITE 145,
ALAMEDA, CA, 94502, (510) 522-9600 - 0 ($1.00) Other,
(File 333-178823 - Dec. 30) (BR. 08C)
S-1 Medifirst Solutions, Inc., 4400 NORTH FEDERAL HWY, SUITE 54,,
BOCA RATON, FL, 33431, 561-558-6872 - 8,446,750 ($675,740.00) Equity,
(File 333-178825 - Dec. 30) (BR. 05C)
S-8 Laredo Petroleum Holdings, Inc., 15 W. SIXTH STREET, SUITE 1800, TULSA,
OK, 74119, 918-513-4570 - 0 ($196,700,000.00) Equity,
(File 333-178828 - Dec. 30) (BR. 04A)
S-8 TEAMSTAFF INC, 300 ATRIUM DRIVE, SOUTH PLAINFIELD, NJ, 08873,
7327481700 - 0 ($2,970,000.00) Equity, (File 333-178830 - Dec. 30)
(BR. 11C)
S-1 RADIENT PHARMACEUTICALS Corp, 2492 WALNUT AVENUE, STE 100, TUSTIN, CA,
92780, 7145054460 - 16,000,000 ($893,200.00) Equity, (File 333-178831 -
Dec. 30) (BR. 01B)
S-3 APRICUS BIOSCIENCES, INC., 6330 NANCY RIDGE DRIVE,, SUITE 103,
SAN DIEGO,, CA, 92121, (858) 222-8041 - 0 ($100,000,000.00) Equity,
(File 333-178832 - Dec. 30) (BR. 01B)
S-3 VISION SCIENCES INC /DE/, 40 RAMLAND ROAD SOUTH, ORANGEBURG, NY, 10962,
845-365-0600 - 0 ($25,000,000.00) Equity, (File 333-178834 - Dec. 30)
(BR. 10C)
S-4 TRONOX INC, 3301 NW 150TH STREET, OKLAHOMA CITY, OK, 73134,
405-775-5000 - 16,484,843 ($1,957,575,106.25) Equity,
(File 333-178835 - Dec. 30) (BR. 06C)
S-1 CANCER GENETICS, INC, 201 ROUTE 17 NORTH, 2ND FLOOR, RUTHERFORD, NJ,
07070, 201.528.9200 - 0 ($50,000,000.00) Equity, (File 333-178836 -
Dec. 30) (BR. )
S-1 LIQTECH INTERNATIONAL INC, INDUSTRIPARKEN 22C, BALLERUP, G7, DK-2750,
01145 2390 4545 - 0 ($25,000,000.00) Equity, (File 333-178837 -
Dec. 30) (BR. 06B)
N-2 Avenue Income Credit Strategies Fund, 399 PARK AVENUE, 6TH FLOOR,
NEW YORK, NY, 10022, (212) 878-3500 - 0 ($999,988.00) Other,
(File 333-178838 - Dec. 30) (BR. 16)
S-1 VALLEY FORGE COMPOSITE TECHNOLOGIES, INC., RIVER CENTER I,
50 E RIVER CENTER BLVD, SUITE 820, COVINGTON, KY, 41011, 859-581-5111 -
6,514,154 ($5,374,177.00) Equity, (File 333-178839 - Dec. 30) (BR. 05C)
S-8 LGL GROUP INC, 2525 SHADER ROAD, ORLANDO, FL, 32804, (407) 298-2000 -
0 ($3,695,000.00) Equity, (File 333-178840 - Dec. 30) (BR. 10B)
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
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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
22nd Century Group, Inc. NV 8.01,9.01 12/26/11
ACCESS NATIONAL CORP VA 5.02 12/30/11
ACCURAY INC DE 1.02,8.01 12/23/11
AFFYMETRIX INC DE 8.01 12/29/11
AKORN INC LA 1.01,2.01,9.01 12/22/11
AKORN INC LA 5.07 12/29/11 AMEND
AMBASSADORS INTERNATIONAL INC DE 7.01,9.01 12/29/11
AMEDISYS INC DE 5.02,9.01 12/29/11
AMERICAN ORIENTAL BIOENGINEERING INC CO 5.07 12/28/11
APRICUS BIOSCIENCES, INC. NV 1.01,9.01 12/30/11
APRICUS BIOSCIENCES, INC. NV 1.01 12/30/11
ARCA biopharma, Inc. DE 8.01,9.01 12/30/11
ARROWHEAD RESEARCH CORP DE 9.01 10/21/11 AMEND
Bank of Commerce Holdings CA 5.02 12/30/11
BEHRINGER HARVARD MULTIFAMILY REIT I 8.01 12/23/11
BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.02,7.01,9.01 12/29/11
BIGGEST LITTLE INVESTMENTS LP DE 8.01 12/30/11
BIOANALYTICAL SYSTEMS INC IN 5.02,9.01 12/28/11
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 12/29/11
BNC BANCORP NC 2.01,9.01 10/14/11 AMEND
BROADCAST INTERNATIONAL INC UT 1.01,2.03,3.02,9.01 12/28/11
CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,9.01 12/30/11
CHARTER COMMUNICATIONS, INC. /MO/ DE 1.01,8.01,9.01 12/23/11
CHINA PHARMA HOLDINGS, INC. DE 5.07 12/22/11
Clean Energy Fuels Corp. DE 7.01 11/23/11
Cleantech Solutions International, In DE 3.01,7.01,9.01 12/21/11
CNO Financial Group, Inc. DE 7.01,9.01 12/30/11
Command Center, Inc. WA 5.02 12/30/11
COMMUNITY BANK SYSTEM INC DE 5.02,8.01,9.01 12/30/11
COMPUSONICS VIDEO CORP CO 8.01 12/30/11
Consolidation Services, Inc. DE 1.02 12/27/11
Crescent Financial Bancshares, Inc. 3.01,9.01 12/28/11
DecisionPoint Systems, Inc. DE 1.01,2.01,3.02,4.01, 06/15/11 AMEND
5.01,5.02,5.06,9.01
DFC GLOBAL CORP. DE 1.01,2.03,9.01 12/23/11
DM Products, Inc. NV 8.01 12/30/11
DRIVETIME AUTOMOTIVE GROUP INC DE 1.01,1.02,9.01 12/23/11
EASTMAN KODAK CO NJ 5.02 12/29/11
ELECTRONICS FOR IMAGING INC DE 5.02 12/29/11
ENDEAVOUR INTERNATIONAL CORP NV 1.01,9.01 12/23/11
ENDO PHARMACEUTICALS HOLDINGS INC DE 1.01 12/27/11
ENER1 INC FL 1.01,9.01 12/23/11
ENERGY FOCUS, INC/DE DE 1.01,2.03,9.01 12/22/11
ENGLOBAL CORP NV 1.01,9.01 07/22/11 AMEND
Federal Home Loan Bank of Chicago X1 3.03,9.01 12/30/11
FiberTower CORP DE 7.01,9.01 12/30/11
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 12/29/11
Forex International Trading Corp. NV 4.01,9.01 12/28/11
Francesca's Holdings CORP 1.01,9.01 12/27/11
FS Energy & Power Fund DE 8.01,9.01 12/30/11
GAIAM, INC CO 2.01,9.01 12/30/11
Gaming Partners International CORP NV 8.01 12/30/11
General Moly, Inc DE 3.03,5.02 12/30/11
GENESIS GROUP HOLDINGS INC 5.02 12/30/11
GENESIS GROUP HOLDINGS INC 1.02,2.01,2.03,3.02, 12/30/11 AMEND
9.01
GENTA INC DE/ DE 8.01 12/30/11
Giggles N' Hugs, Inc. NV 2.01,9.01 12/30/11
Giggles N' Hugs, Inc. NV 3.02,5.03 12/30/11
GLADSTONE CAPITAL CORP MD 5.02 12/29/11
GLADSTONE COMMERCIAL CORP MD 5.02 12/29/11
GLADSTONE INVESTMENT CORPORATION\DE DE 5.02 12/29/11
GLOBAL GOLD CORP DE 3.02,8.01 12/27/11
GLOBAL NUTECH, INC. NV 1.01,2.01,2.03,3.02, 12/30/11
5.01,5.02,9.01
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 12/30/11
HEALTHCARE REALTY TRUST INC MD 8.01 12/30/11
IEC ELECTRONICS CORP DE 7.01,9.01 12/30/11
IMPERIAL SUGAR CO /NEW/ TX 8.01,9.01 12/29/11
India Globalization Capital, Inc. MD 5.07,9.01 12/30/11
INX Inc DE 2.01,3.01,3.03,5.01, 12/30/11
5.02,5.03,9.01
KBS Real Estate Investment Trust, Inc MD 1.01,2.01,9.01 12/28/11
Kennedy-Wilson Holdings, Inc. DE 1.01,8.01,9.01 12/28/11
KEYNOTE SYSTEMS INC DE 2.01,9.01 10/21/11 AMEND
KINGOLD JEWELRY, INC. DE 1.01,3.02,9.01 12/29/11
LENCO MOBILE INC. DE 1.01,2.01,2.03,3.02, 12/23/11
3.03,5.02,5.03,8.01,
9.01
LEUCADIA NATIONAL CORP NY 1.01,2.01,9.01 12/26/11
LEXICON PHARMACEUTICALS, INC./DE DE 5.01,8.01 12/27/11
LIME ENERGY CO. DE 5.02,9.01 12/29/11
Main Street Capital CORP MD 1.01,2.03,8.01,9.01 12/30/11
Manitex International, Inc. MI 1.01,2.03,9.01 12/23/11
MARKWEST ENERGY PARTNERS L P 1.01,2.01,2.03,3.02, 12/29/11
5.03,7.01,9.01
MAYDAO Corp UT 8.01 12/30/11
MERCURY COMPUTER SYSTEMS INC MA 2.01,7.01,9.01 12/30/11
Merriman Holdings, Inc DE 8.01 12/30/11
MINES MANAGEMENT INC ID 1.01,5.02,9.01 12/28/11
MMRGlobal, Inc. DE 3.02 12/27/11
MTR GAMING GROUP INC DE 5.02,9.01 12/27/11
NANOSPHERE INC DE 5.02,9.01 12/28/11
NATURAL ALTERNATIVES INTERNATIONAL IN DE 1.01,2.03,9.01 12/27/11
NBC ACQUISITION CORP DE 1.01,7.01,9.01 12/28/11
NEOPROBE CORP DE 8.01,9.01 12/30/11
NETREIT, INC. MD 1.01,2.01,2.03,9.01 12/28/11
NEW ULM TELECOM INC MN 1.01 12/27/11
NEW YORK MORTGAGE TRUST INC MD 1.01,1.02,7.01,9.01 12/30/11
NEWELL RUBBERMAID INC DE 5.02,9.01 12/29/11
NEWS CORP 8.01,9.01 12/30/11
NORTH SPRINGS RESOURCES CORP. NV 1.01,2.03,9.01 12/29/11
Northfield Bancorp, Inc. X1 2.01,9.01 10/14/11 AMEND
NORTHWEST NATURAL GAS CO OR 7.01,9.01 12/30/11
NV ENERGY, INC. NV 7.01,9.01 12/23/11
Oldwebsites.com, Inc. UT 8.01 12/30/11
Orbitz Worldwide, Inc. DE 1.01 12/27/11
OSI RESTAURANT PARTNERS, LLC DE 5.02 12/09/11
Otter Tail Corp MN 8.01,9.01 12/29/11
Pacific Bepure Industry Inc DE 5.02 12/30/11
PARLUX FRAGRANCES INC DE 8.01 12/21/11
PATTERSON UTI ENERGY INC DE 8.01,9.01 12/28/11
PDI INC 2.01,2.05,5.02,9.01 12/28/11
POWER EFFICIENCY CORP DE 5.02 12/22/11
Primoris Services Corp DE 1.01,9.01 12/21/11
PRIVATEBANCORP, INC DE 5.02 12/29/11
Radius Health, Inc. DE 1.01,9.01 12/23/11
Rouse Properties, Inc. DE 8.01,9.01 12/30/11
RSC Holdings Inc. DE 5.02,8.01,9.01 12/27/11
Sanomedics International Holdings, In DE 4.01 12/30/11
Santa Fe Gold CORP DE 1.01,3.02,9.01 12/23/11
SCRIPPS E W CO /DE OH 2.01,9.01 12/30/11
SGB International Holdings Inc. A1 2.01,3.02,5.01,5.02, 05/11/11 AMEND
5.03,5.06,9.01
Shire plc 8.01,9.01 12/30/11
SkyPeople Fruit Juice, Inc FL 4.01,8.01,9.01 12/23/11
Solar Power, Inc. CA 1.01,2.03,9.01 12/26/11
Spansion Inc. DE 1.01 12/23/11
STATE BANCORP INC NY 3.01,9.01 12/30/11
STEEL DYNAMICS INC IN 8.01 12/30/11
SYNCHRONOSS TECHNOLOGIES INC 5.02 12/28/11
SYNERGY RESOURCES CORP CO 8.01,9.01 12/30/11
SYNERGY RESOURCES CORP CO 3.02 12/30/11
SYNTHESIS ENERGY SYSTEMS INC DE 1.01,8.01,9.01 12/30/11
Talon Therapeutics, Inc. 5.02,9.01 12/26/11
TANGER FACTORY OUTLET CENTERS INC NC 8.01 12/22/11
TEGAL CORP /DE/ DE 2.01,9.01 12/23/11
TELESTONE TECHNOLOGIES CORP CO 5.02,5.07,7.01,8.01, 12/20/11 AMEND
9.01
THERMOGENESIS CORP DE 3.01 12/28/11
Tianli Agritech, Inc. D8 4.01,7.01,9.01 12/27/11
U. S. Premium Beef, LLC 1.01,2.01,5.07,8.01, 12/30/11
9.01
Universal Solar Technology, Inc. NV 5.02,9.01 12/29/11
US DATAWORKS INC NV 5.02,9.01 12/28/11
Vanda Pharmaceuticals Inc. DE 1.02 12/27/11
WHIRLPOOL CORP /DE/ DE 8.01,9.01 12/30/11
WINLAND ELECTRONICS INC MN 1.01,9.01 12/27/11
WINN DIXIE STORES INC FL 8.01,9.01 12/30/11
XCEL ENERGY INC MN 8.01 12/28/11
XFONE INC. NV 1.01 12/29/11
Yanglin Soybean, Inc. NV 5.02 12/26/11
ZIONS BANCORPORATION /UT/ UT 9.01 12/30/11
Zurvita Holdings, Inc. DE 1.01,3.02,5.03,9.01 12/27/11
http://www.sec.gov/news/digest/2012/dig010312.htm
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