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SEC NEWS DIGEST
Issue 2007-192 October 4, 2007
COMMISSION ANNOUNCEMENTS
SEC SUSPENDS TRADING IN THE STOCK OF ALLIANCE TRANSCRIPTION SERVICES,
INC., PRIME PETROLEUM GROUP, INC., AND T.W. CHRISTIAN, INC.
On October 4, as part of its continuing initiative to address spam-
driven stock manipulation, the Securities and Exchange Commission
ordered the temporary suspension of trading in the securities of the
following issuers, commencing at 9:30 a.m. EDT on Oct. 4, 2007, and
terminating at 11:59 p.m. EDT on Oct. 17, 2007:
Alliance Transcription Services, Inc. (ATSS)
Prime Petroleum Group,Inc. (PPGU)
T.W. Christian, Inc. (TWCI)
The Commission ordered these trading suspensions because of questions
that have arisen regarding the adequacy and accuracy of publicly-
disseminated information concerning among other things: (1) the
companies' assets, (2) the companies' business operations and/or
management, (3) the companies' current financial condition, and/or (4)
financing arrangements involving the issuance of the companies'
shares.
The Commission cautions brokers, dealers, shareholders, and
prospective purchasers that they should carefully consider the
foregoing information along with all other currently available
information and any information subsequently issued by the companies.
Further, brokers and dealers should be alert to the fact that,
pursuant to Rule 15c2-11 under the Exchange Act, at the termination of
the trading suspension, no quotation may be entered unless and until
they have strictly complied with all of the provisions of the rule. If
any broker or dealer has any questions as to whether or not it has
complied with the rule, it should not enter any quotation but
immediately contact the staff in the Division of Market Regulation,
Office of Interpretation and Guidance, at (202) 551-5760. If any
broker or dealer is uncertain as to what is required by Rule 15c2-11,
it should refrain from entering quotations relating to the securities
of the companies listed above until such time as it has familiarized
itself with the rule and is certain that all of its provisions have
been met. If any broker or dealer enters any quotation that is in
violation of the rule, the Commission will consider the need for
prompt enforcement action.
The SEC's Office of Investor Education and Assistance has information
for investors and members of the general public on topics directly
related to this action by the SEC. See
http://www.sec.gov/investor/35tradingsuspensions.htm for a compilation
of helpful links.
Any broker, dealer or other person with information relating to this
matter is invited to e-mail the Securities and Exchange Commission at
35suspensions@sec.gov. (Rel. 34-56610; Press Rel. 2007-212)
COMMISSION MEETINGS
CLOSED MEETING - THURSDAY, OCTOBER 11, 2007 - 1:30 P.M.
The subject matter of the closed meeting scheduled for Thursday,
October 11, will be: Formal order of investigation; Institution and
settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; Resolution of
litigation claims; An adjudicatory matter; and Other matters related
to enforcement actions.
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.
ENFORCEMENT PROCEEDINGS
COMMISSION REVOKES REGISTRATION OF SECURITIES OF HARTER FINANCIAL,
INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On October 4, the Commission revoked the registration of each class of
registered securities of Harter Financial, Inc. (Harter) 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, Harter 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 Harter
Financial, 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 thereunder and revoking the registration of each
class of Harter's securities pursuant to Section 12(j) of the Exchange
Act. This order settled the charges brought against Harter in the
Matter of Austrian Trading Services, Inc., et al., Administrative
Proceeding File No. 3-12800.
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 Austrian Trading
Services, Inc., et al., Administrative Proceeding File No. 3-12800,
Exchange Act Release No. 56441 (Sept. 14, 2007). (Rel. 34-56609; File
No. 3-12800)
IN THE MATTER OF CONSULTING SERVICES GROUP, LLC AND JOE D. MEALS
October 4, the Commission issued an Order Instituting Administrative
and Cease-and-Desist Proceedings, Making Findings, and Imposing
Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section
15(b) of the Securities Exchange Act of 1934 and Sections 203(e),
203(f) and 203(k) of the Investment Advisers Act of 1940 (Order)
against Consulting Services Group, LLC and Joe D. Meals.
The Order finds that Consulting Services Group, LLC (CSG), a Memphis,
Tennessee-based registered investment adviser, failed to adopt a
compliant investment adviser code of ethics by Feb. 1, 2005, in
violation of Section 204 of the Investment Advisers Act of 1940
(Advisers Act) and Rule 204A-1. The Order further finds that Joe D.
Meals (Meals), CSG's chief compliance officer, instructed CSG's
supervised persons to backdate the written acknowledgment forms
required under Advisers Act Rule 204A-1 so as to indicate falsely that
CSG had timely complied with the ethics code provisions of Advisers
Act Rule 204A-1. In June of 2005, the Commission staff requested that
CSG provide to the Commission staff the written acknowledgment forms
executed by CSG's supervised persons. In response to the Commission
staff's request, Meals again instructed certain CSG supervised persons
to backdate their written acknowledgment forms, and then produced all
such backdated written acknowledgment forms to the Commission staff.
The Order finds therefore that by failing to adopt timely a code of
ethics compliant with Rule 204A-1 and by failing to maintain accurate
written acknowledgments by all supervised persons of their receipt of
a code of ethics compliant with Rule 204A-1, CSG willfully violated
Advisers Act Section 204 and Rule 204-2 thereunder and Rule 204A-1
(adopted under Advisers Act Sections 204A and 206(4)), and Meals
willfully aided and abetted and caused such violations.
The Order further finds that CSG failed to adopt and implement written
policies and procedures reasonably designed to prevent violations of
the Advisers Act and the Rules thereunder by its supervised persons,
in violation of Advisers Act Section 206(4) and Rule 206(4)-7
thereunder. In adopting Advisers Act Rule 206(4)-7, the Commission
described a flexible approach that could be taken by investment
advisers, stressing that there was no single set of universally
applicable required elements for an investment adviser's policies and
procedures, and that instead each adviser should adopt policies and
procedures that take into consideration the nature of that firm's
operations. The Commission further stated that firms should first
identify conflicts and other compliance factors creating risk exposure
for the firm and its clients in light of the firm's particular
operations, and then design policies and procedures that address those
risks. Compliance Programs of Investment Companies and Investment
Advisers, Advisers Act Release No. 2204, 68 F.R. 74714, 74715 (Dec.
24, 2003).
The Order further finds that in September 2003, in an effort to comply
with Advisers Act Rule 206(4)-7, Meals purchased for CSG an Investment
Advisers Policies and Procedures Manual template from a compliance
outsourcing firm. Meals combined the 2003 policies and procedures
template with a similar set of pre-packaged policies and procedures
from 1990 to serve as CSG's written policies and procedures. The pre-
packaged policies and procedures manual and template that Meals
purchased for CSG in 1990 and 2003 were, however, designed for use by
investment advisers offering discretionary money management services
to clients - and were not designed for use by institutional or pension
consultants. The pre-packaged policies and procedures manual and
template failed to address adequately the conflicts of interest unique
to CSG's operations as a pension consultant, and many of the sections
within these generic forms were completely inapplicable and irrelevant
to CSG's provision of advisory services to clients. The Order finds
therefore that by failing to adopt and implement written policies and
procedures reasonably designed to prevent violation of the Advisers
Act and the rules thereunder by its supervised persons, CSG willfully
violated Advisers Act Section 206(4) and Rule 206(4)-7 thereunder and
Meals willfully aided and abetted and caused such violations.
Based on the above, the Order censures CSG and Meals, orders that CSG
and Meals cease and desist from committing or causing any violations
and any future violations of Sections 204 and 206(4) of the Advisers
Act and Rule 204-2(a)(12), 204A-1(a)(5) and 206(4)-7 thereunder,
orders CSG to pay a $20,000 civil monetary penalty, orders Meals to
pay a $10,000 civil monetary penalty, and bars Meals from association
in a compliance capacity with any broker, dealer or investment
adviser. CSG and Meals consented to the issuance of the Order without
admitting or denying any of the findings in the Order. (Rel. 34-56612;
AAE Rel. 2669; File No. 3-12863)
COMMISSION SUSTAINS FINDINGS AND MODIFIES SANCTIONS IMPOSED ON
PERPETUAL SECURITIES, INC., YOUWEI P. XU, AND CATHY Y. HUANG FOR
VIOLATIONS OF NASD RULES 2110 AND 8210
The Commission has sustained NASD's findings that Perpetual
Securities, Inc. violated NASD Rule 2110 by operating a securities
business while its NASD membership was suspended, that Youwei P. Xu
and Cathy Y. Huang violated NASD Rule 2110 by allowing Perpetual to
operate and that Huang violated NASD Rule 8210 by responding to NASD
information requests incompletely and untimely. Although NASD had
suspended Perpetual's membership for failing to pay an arbitration
award entered against the Firm, Xu and Huang allowed Perpetual to
continue to operate for one and one-half months between December 1,
2002 and Jan. 14, 2003. For those violations NASD expelled Perpetual
and barred Xu and Huang. The Commission found that expelling Perpetual
and barring Xu and Huang was not an excessive or oppressive sanction.
In the course of NASD's investigation of the Firm's operation while
its membership was suspended, NASD requested information and documents
from Huang in 2004. Huang's responses to the information requests were
incomplete and untimely: one set of responses was not filed until NASD
had filed its complaint against respondents. NASD found that Huang
violated Rule 8210 and barred her. Because the record did not support
a finding that Huang had failed to respond in any manner, the
Commission found that a bar was an excessive sanction. Consequently,
the Commission suspended Huang for two years in all capacities for the
untimely and incomplete responses in violation of Rule 8210. (Rel. 34-
56613; File No. 3-12416)
SEC CHARGES STOCK BROKER WITH DEFRAUDING WIDOW OF SEPTEMBER 11 VICTIM
OUT OF COMPENSATION FUNDS
On October 4, the Commission filed a civil injunctive action in the
U.S. District Court for the Eastern District of New York charging a
broker with fraudulently misappropriating nearly $250,000 from the
widow of a Port Authority police officer who died at the World Trade
Center on Sept. 11, 2001 (Customer). The stolen funds were part of the
compensation the Customer received in 2004 from the September 11th
Victim Compensation Fund of 2001 (Fund). The broker named in the
complaint, Kevin James Dunn, Jr. (Dunn), was employed by MetLife
Securities, Inc. (MetLife) at the time of the fraud.
The Commission's complaint specifically alleges as follows: Dunn was
friends with the Customer and convinced her to invest her entire
recovery from the Fund with MetLife and allow him to manage the
investment. Dunn then proceeded to betray the Customer's trust by
engaging in a series of material misrepresentations about the purchase
and sale of securities in her account and other fraudulent acts aimed
at swindling her out of a substantial portion of the compensation she
received from the Fund. From September 2005 through April 2007, Dunn
misappropriated a total of $248,000 from the Customer by fraudulently
creating a joint account in both of their names, forging her signature
on wire transfers from the joint account, and telling her outrageous
lies about the status of her securities investments to deceive her
into providing him with blank checks that he deposited into his own
bank account. Although MetLife terminated Dunn in February 2007, he
continued to defraud the Customer for another two months by acting as
if he was still employed as a broker at MetLife and deceiving her into
giving him additional blank checks.
Dunn is charged with violating Section 17(a) of the Securities Act of
1933 and Section 10(b) of the Securities and Exchange Act of 1934 and
Rule 10b-5 thereunder. In the complaint, the Commission seeks
permanent injunctive relief, disgorgement, and civil penalties.
In a parallel proceeding, the U.S. Attorney's Office for the Eastern
District of New York today filed criminal charges against Dunn for the
same conduct.
The Commission's investigation is ongoing. The Commission acknowledges
the assistance and cooperation of the U.S. Attorney's Office for the
Eastern District of New York and the U.S. Postal Inspection Service in
this matter. [SEC v. Kevin James Dunn, Jr., Civil Action No. 07- 4144
(E.D.N.Y.) (ILG)] (LR-20323)
SEC FILES SETTLED INSIDER TRADING CHARGES RELATING TO THE ACQUISITION
OF COMMERCIAL FEDERAL CORPORATION
The Commission today filed a civil action in the U.S. District Court
for the District of Columbia alleging that Powell Calder violated the
antifraud provisions of the federal securities laws by illegally
buying Commercial Federal Corporation common stock ahead of the public
announcement that Commercial Federal was about to be acquired and by
tipping a friend about the possible acquisition.
The Commission's complaint alleges that on April 19, 2005, defendant
Powell Calder's sister-in-law, the executive assistant to the Chairman
and Chief Executive Officer of Commercial Federal Corporation
(Commercial Federal), learned that Commercial Federal might be
acquired by BancWest Corporation. Sometime between that date and May
31, 2005, Calder's sister-in-law told her husband, Calder's brother,
in confidence, about the possible acquisition. During this same time
period, Calder's brother passed the information to Calder, expecting
it to be kept confidential. Calder misappropriated the information
from his brother by using it to purchase common stock of Commercial
Federal prior to the public announcement of the proposed acquisition
and by recommending the purchase of Commercial Federal to a friend.
The friend purchased Commercial Federal common stock on the basis of
Calder's recommendation.
Without admitting or denying the allegations in the Commission's
complaint, the defendant has consented to entry of a proposed final
judgment permanently enjoining him from further violations of the
federal securities laws. Additionally, the proposed final judgment
orders Calder to disgorge his trading profits and those of his friend
in the total amount of $39,124, together with prejudgment interest
thereon of $6,039.84, and to pay a civil penalty of $31,150. [SEC v.
Powell Calder, Civil Action No.07-01786 (ESH) D.D.C.] (LR-20324)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-NYSEArca-2007-96), as modified by Amendment No. 1 thereto,
submitted by NYSE Arca., through its wholly-owned subsidiary, NYSE
Arca Equities, Inc., to amend the initial listing standards for Index-
Linked Securities. Publication is expected in the Federal Register
during the week of October 8. (Rel. 34-56593)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
The Commission issued notice of immediate effectiveness of a proposed
rule change (SR-NYSEArca-2007-93), as modified by Amendment No. 2
thereto, filed by NYSE Arca relating to exchange fees and charges.
Publication is expected in the Federal Register during the week of
October 8. (Rel. 34-56595)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-Amex-2007-48)
submitted by the American Stock Exchange to modify the options listing
criteria for underlying securities. Publication is expected in the
Federal Register during the week of October 8. (Rel. 34-56598)
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 obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
S-8 NT MEDIA CORP OF CALIFORNIA INC, 7800 OCEANUS DRIVE, LOS ANGELES, CA,
9003690046, 323-445-4833 - 400,000 ($44,000.00) Equity,
(File 333-146470 - Oct. 3) (BR. 05B)
S-3ASR CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 -
0 ($523,293,576.00) Equity, (File 333-146471 - Oct. 3) (BR. 07A)
S-3ASR CLOROX CO /DE/, THE CLOROX COMPANY, 1221 BROADWAY, OAKLAND, CA,
94612-1888, 5102717000 - 0 ($0.00) Debt, (File 333-146472 - Oct. 3)
(BR. 06C)
S-8 Uni-Pixel, 11940 JOLLYVILLE RD., SUITE 200N, AUSTIN, TX, 77004,
512 370-2839 - 0 ($9,447,750.00) Equity, (File 333-146473 - Oct. 3)
(BR. 10C)
S-8 TERADATA CORP /DE/, 1700 SOUTH PATTERSON BOULEVARD, DAYTON, OH, 45479,
937-445-5000 - 6,000,000 ($155,100,000.00) Equity, (File 333-146475 -
Oct. 3) (BR. 03B)
SB-2 DIGITAL YEARBOOK, INC., 2300 W. SAHARA AVE., SUITE 800, LAS VEGAS, NV,
89102, (888) 485-8882 - 801,000 ($40,050.00) Equity, (File 333-146476 -
Oct. 3) (BR. 03)
S-8 LASALLE BRANDS CORP, 7702 E DOUBLETREE RANCH, SUITE 300, SCOTTSDALE,
AZ, 85258, 480-905-5550 - 3,000,000 ($5,100,000.00) Equity,
(File 333-146477 - Oct. 3) (BR. 06B)
SB-2 INTERNATIONAL VINEYARD INC, 27122 A PASEO ESPADA, SUITE 924, SAN JUAN,
CA, 92675, 949-276-4726 - 1,524,375 ($152,438.00) Equity,
(File 333-146478 - Oct. 3) (BR. 02)
S-8 IDEXX LABORATORIES INC /DE, ONE IDEXX DRIVE, WESTBROOK, ME, 04092-2041,
2075560300 - 1,300,000 ($145,047,500.00) Equity, (File 333-146479 -
Oct. 3) (BR. 01A)
S-4 SCBT FINANCIAL CORP, 520 GERVAIS STREET, COLUMBIA, SC, 29201,
803-231-3581 - 0 ($36,971,963.00) Equity, (File 333-146481 - Oct. 3)
(BR. 07B)
S-3ASR Duke Energy CORP, 526 SOUTH CHURCH STREET, EC03T, CHARLOTTE, NC, 28202,
704-594-6200 - 0 ($0.00) Other, (File 333-146483 - Oct. 3) (BR. 02)
SB-2 CORGENIX MEDICAL CORP/CO, 12061 TEJON STREET, 303-751-4831,
WESTMINSTER, CO, 80234, 3034574345 - 0 ($1,510,943.93) Equity,
(File 333-146484 - Oct. 3) (BR. 01A)
S-8 Index Oil & Gas Inc., 10000 MEMORIAL DRIVE, SUITE 440, HOUSTON, TX,
77024, (713) 683-0800 - 5,225,000 ($4,284,500.00) Equity,
(File 333-146485 - Oct. 3) (BR. 04A)
S-8 QUEPASA CORP, 7550 E REDFIELD ROAD, SUITE A, SCOTTSDALE, AZ, 85260,
408-348-2665 - 5,422,075 ($21,362,975.50) Equity, (File 333-146486 -
Oct. 3) (BR. 11B)
S-8 INDEVUS PHARMACEUTICALS INC, 33 HAYDEN AVENUE, LEXINGTON, MA, 02421,
6178618444 - 250,000 ($1,685,000.00) Equity, (File 333-146487 - Oct. 3)
(BR. 01A)
S-8 OMNI ENERGY SERVICES CORP, 4500 NE INTERSTATE 49, CARENCRO, LA, 70520,
3188966664 - 0 ($11,895,000.00) Equity, (File 333-146489 - Oct. 3)
(BR. 04A)
SB-2 AMERICAN METAL & TECHNOLOGY, INC., PO BOX 224, LANDING, NJ, 07850,
213-538-1204 - 426,104,020 ($15,659,323.00) Other, (File 333-146490 -
Oct. 3) (BR. 11A)
S-3 SyntheMed, Inc., 200 MIDDLESEX ESSEX TURNPIKE, SUITE 210, ISELIN, NJ,
08830, 7324041117 - 3,210,000 ($2,343,300.00) Equity,
(File 333-146493 - Oct. 3) (BR. 10C)
S-8 Franchise Capital CORP, 29970 TECHNOLOGY DRIVE, SUITE 203, MURRIETA,
CA, 92563, 951-677-6735 - 31,660,000 ($316,600.00) Equity,
(File 333-146494 - Oct. 3) (BR. 05)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following
events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-------------------------------------------------------------------------------------------------------
3D SYSTEMS CORP DE 1.02,9.01 10/01/07
ACCENTURE SCA 3.02 09/28/07
ACCESS PHARMACEUTICALS INC DE 1.01 10/02/07
ACE MARKETING & PROMOTIONS INC NY 7.01,8.01,9.01 10/03/07
ACI WORLDWIDE, INC. DE 7.01 10/03/07
ACTAVISION VENTURES, INC. DE 5.01,5.02,9.01 09/30/07
ACTAVISION VENTURES, INC. DE 5.01,5.02,9.01 09/30/07 AMEND
ACTIVISION INC /NY DE 5.02,5.03,9.01 09/27/07
ADAGIO ACQUISITION I, INC 4.01,8.01,9.01 02/23/07
Adjustable Rate Mortgage Loan Trust 2 DE 8.01 10/01/07
Adjustable Rate Mortgage Trust 2007-1 DE 8.01 10/01/07
ALANCO TECHNOLOGIES INC AZ 2.02,9.01 06/30/07
Aleris International, Inc. DE 7.01,9.01 10/03/07
ALLIANCE HEALTHCARD INC 4.01,9.01 10/01/07
ALLIANCE HEALTHCARD INC 5.02 10/02/07
ALLIANCE ONE INTERNATIONAL, INC. VA 7.01,9.01 10/03/07
Allied Nevada Gold Corp DE 7.01,9.01 10/01/07
ALLIN CORP DE 1.01,2.03,9.01 09/28/07
Alternative Loan Trust 2007-25 DE 9.01 09/28/07
ALTRIA GROUP, INC. VA 8.01,9.01 10/03/07
American Home Food Products, Inc. NY 8.01,9.01 10/03/07
AMERICAN LEISURE HOLDINGS, INC. NV 5.02 09/28/07
AMERIGAS PARTNERS LP DE 2.02,9.01 10/03/07
AMERIGROUP CORP 1.01,1.02,5.02,9.01 09/30/07
AMGEN INC DE 5.02,9.01 10/02/07
AMSURG CORP TN 7.01,9.01 10/02/07
AON CORP DE 5.02,9.01 10/03/07
APPLEBEES INTERNATIONAL INC DE 7.01,9.01 10/03/07
APPLIED DNA SCIENCES INC NV 2.03,3.02,9.01 07/30/07
ARTES MEDICAL INC 5.02,9.01 09/28/07
ASIA8, INC. NV 2.01,5.06,9.01 05/31/07
ASIANADA, INC. NV 1.01,3.03,5.02,9.01 09/27/07
AXCESS INTERNATIONAL INC/TX DE 3.02 09/28/07
Axion Power International, Inc. DE 5.02 09/27/07
Bancroft Uranium, Inc. WA 1.01,2.01,5.01,5.02,5.06,9.01 10/03/07
BANKUNITED FINANCIAL CORP FL 2.02,9.01 10/03/07
BARNWELL INDUSTRIES INC DE 5.02 09/26/07
Beacon Federal Bancorp, Inc. MD 8.01,9.01 09/27/07
BEAR STEARNS COMPANIES INC DE 8.01,9.01 10/02/07
BECTON DICKINSON & CO NJ 8.01 10/03/07
BEHRINGER HARVARD REIT I INC MD 7.01,8.01,9.01 09/27/07
Beneficial Mutual Bancorp Inc X1 8.01,9.01 10/02/07
BERLINER COMMUNICATIONS INC DE 1.01,5.02 09/27/07
BIO RAD LABORATORIES INC DE 1.01,2.01,2.03,7.01,9.01 09/27/07
BioMETRX DE 8.01 10/03/07
BJs RESTAURANTS INC CA 5.02 10/03/07
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 7.01,9.01 10/01/07
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 7.01,9.01 10/01/07
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 7.01,9.01 10/01/07
BOSTON FINANCIAL TAX CREDIT FUND VII MA 7.01,9.01 10/01/07
BRODER BROS CO MI 5.02,9.01 10/02/07
Brooke Credit CORP DE 4.01,7.01,9.01 09/28/07
BROOKSIDE TECHNOLOGY HOLDINGS, CORP. TX 1.01 09/26/07
C-BASS 2007-CB5 Trust DE 8.01 10/01/07
C-BASS Mortgage Loan Trust 2007-CB2 8.01 10/01/07
CAMDEN NATIONAL CORP ME 5.02 10/03/07
CAMERON INTERNATIONAL CORP DE 1.01,3.03,7.01,9.01 10/01/07
CAPITAL GROWTH SYSTEMS INC /FL/ FL 1.01,8.01,9.01 10/02/07
CAREER EDUCATION CORP DE 8.01 10/01/07
CARLISLE COMPANIES INC DE 5.02 09/28/07
CASCADE MICROTECH INC 2.02,9.01 10/03/07
CASTLE A M & CO MD 7.01,9.01 10/02/07
Cavit Sciences, Inc. 5.02 10/02/07
CBRL GROUP INC TN 7.01,9.01 10/02/07
CENTENNIAL COMMUNICATIONS CORP /DE DE 5.02,5.03,9.01 09/27/07
CENTERLINE HOLDING CO DE 5.02,9.01 10/01/07
CHARTER COMMUNICATIONS INC /MO/ DE 8.01,9.01 10/02/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/02/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/03/07
CHEESECAKE FACTORY INC DE 8.01,9.01 09/27/07
China Fruits Corportion DE 4.01 09/21/07 AMEND
CHL Mortgage Pass-Through Trust 2007- DE 9.01 09/28/07
CHL Mortgage Pass-Through Trust 2007- DE 9.01 09/28/07
CIRRUS LOGIC INC DE 5.02,9.01 09/27/07
CIRRUS LOGIC INC DE 2.01,9.01 07/24/07 AMEND
CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 10/01/07
CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 10/01/07
Citigroup Mortgage Loan Trust 2007-8 8.01,9.01 07/27/07
COMMONWEALTH BIOTECHNOLOGIES INC VA 9.01 09/27/07
COMMUNICATE COM INC NV 1.01,5.02,9.01 10/03/07
COMPUTER SOFTWARE INNOVATIONS INC 3.02 08/15/07
CONEXANT SYSTEMS INC DE 5.02 10/02/07
CONOCOPHILLIPS DE 2.02,9.01 10/03/07
Cord Blood America, Inc. FL 1.01,9.01 10/01/07
COVANCE INC DE 5.02,9.01 09/27/07
Cryoport, Inc. 1.01,2.03,3.01 10/03/07
Crystal River Capital, Inc. MD 8.01 10/03/07
CURAGEN CORP DE 5.02 10/01/07
Data Call Technologies 1.01,9.01 09/25/07
DCP Midstream Partners, LP DE 9.01 07/01/07 AMEND
DESERT MINING INC NV 4.02 10/03/07 AMEND
DIAMONDHEAD CASINO CORP DE 5.02 10/01/07
DIASYS CORP DE 5.02 10/03/07
DILLARDS INC DE 7.01,9.01 10/03/07
Discover Card Execution Note Trust DE 1.01,9.01 09/28/07
Discover Card Execution Note Trust DE 8.01,9.01 10/03/07
DOT HILL SYSTEMS CORP NY 1.01 10/01/07
DOT HILL SYSTEMS CORP NY 2.02,9.01 10/03/07
DUSA PHARMACEUTICALS INC NJ 8.01,9.01 10/03/07
DUSKA THERAPEUTICS, INC. NV 5.02,9.01 09/26/07
EAGLE MATERIALS INC DE 1.01,2.03,9.01 10/02/07
EAU TECHNOLOGIES, INC. DE 1.01,9.01 09/27/07
ECOSPHERE TECHNOLOGIES INC FL 1.01 09/28/07
ENERNOC INC 1.01,9.01 09/27/07
EPOCH HOLDING CORP DE 8.01,9.01 10/03/07
EQUITY RESIDENTIAL MD 5.02,7.01,9.01 10/02/07
EVANS BOB FARMS INC DE 1.01,2.03,9.01 10/02/07
EVCI Career Colleges Holding Corp DE 8.01,9.01 10/01/07
Extra Space Storage Inc. MD 1.01,5.03,9.01 09/28/07
EZCORP INC DE 1.01 09/27/07
Federal Home Loan Bank of San Francis X1 5.02 09/28/07
First Franklin Mortgage Loan Trust, S 8.01 10/01/07
FLEXTRONICS INTERNATIONAL LTD. U0 5.02,9.01 09/27/07
FLEXTRONICS INTERNATIONAL LTD. U0 8.01,9.01 10/02/07
FOREST CITY ENTERPRISES INC OH 5.02,9.01 10/03/07
FPL GROUP INC FL 8.01 09/28/07
Fuel Systems Solutions, Inc. DE 1.01,4.02,9.01 09/29/07
FULLER H B CO MN 7.01,9.01 10/03/07
GATEWAY ENERGY CORP/NE DE 7.01,9.01 10/03/07
GENIUS PRODUCTS INC DE 1.01,9.01 09/27/07
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 09/25/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 09/12/07 AMEND
GEODYNE ENERGY INCOME LTD PARTNERSHIP OK 2.01,9.01 09/12/07 AMEND
GEODYNE INSTITUTIONAL PENSION ENERGY OK 2.01,9.01 09/25/07 AMEND
GeoEye, Inc. DE 8.01 10/02/07
GIBRALTAR INDUSTRIES, INC. DE 2.05,7.01,9.01 09/27/07
GLOBAL CASINOS INC UT 7.01 10/03/07
Grande Communications Holdings, Inc. DE 7.01,9.01 10/03/07
Greenwich Capital Commercial Funding 8.01 10/01/07
GREER BANCSHARES INC SC 8.01 09/27/07
GSR Mortgage Loan Trust 2007-OA1 DE 6.02 10/03/07
GSR Trust 2007-HEL1 DE 6.02 10/03/07
H&R BLOCK INC MO 1.01,1.02,2.03 09/27/07
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 5.02,9.01 09/20/07
HELICOS BIOSCIENCES CORP 5.02 10/03/07
Helios & Matheson North America Inc. NY 5.02 09/28/07
HENRY JACK & ASSOCIATES INC DE 8.01,9.01 10/02/07
HUDSON HOLDING CORP DE 5.02,9.01 10/02/07
IBASIS INC DE 5.02,9.01 09/27/07
ICO INC TX 8.01,9.01 10/03/07
IDENIX PHARMACEUTICALS INC 1.01,1.02,2.05,9.01 09/28/07
IMMUCOR INC GA 2.02,9.01 10/03/07
IMPLANT SCIENCES CORP MA 5.02,9.01 10/03/07
INTERSTATE BAKERIES CORP/DE/ DE 1.01,9.01 10/01/07
INTEST CORP DE 1.01,9.01 10/02/07
ISCO INTERNATIONAL INC DE 5.02 08/24/07 AMEND
Isilon Systems, Inc. DE 2.02,9.01 10/03/07
J.P. Morgan Chase Commercial Mortgage DE 8.01 10/01/07
J.P. Morgan Chase Commercial Mortgage DE 8.01 10/01/07
J.P. Morgan Chase Commercial Mortgage DE 8.01 10/01/07
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 07/05/07 AMEND
J.P. Morgan Chase Commercial Mortgage DE 8.01 10/01/07
KAIRE HOLDINGS INC DE 9.01 10/03/07 AMEND
KANSAS CITY SOUTHERN DE 1.01,2.03 09/27/07
Key Hospitality Acquisition CORP DE 1.01,1.02,9.01 10/02/07
KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 8.01,9.01 10/03/07
KNIGHT CAPITAL GROUP, INC. DE 7.01,9.01 09/28/07
KODIAK ENERGY, INC. DE 1.01,3.02,8.01,9.01 09/28/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/03/07
LEAR CORP DE 5.02,9.01 10/01/07
LENOX GROUP INC DE 5.02,9.01 09/28/07
Lincolnway Energy, LLC IA 1.01 10/01/07
MAGUIRE PROPERTIES INC MD 5.02,7.01,9.01 10/02/07
Manhattan Bancorp CA 8.01,9.01 10/01/07
MANHATTAN PHARMACEUTICALS INC DE 8.01,9.01 10/03/07
MANNKIND CORP 2.03,8.01,9.01 10/02/07
MARKWEST ENERGY PARTNERS L P 8.01,9.01 10/03/07
MARKWEST ENERGY PARTNERS L P 8.01,9.01 09/27/07
MARKWEST HYDROCARBON INC DE 8.01,9.01 10/03/07
MATERIAL TECHNOLOGIES INC /CA/ DE 4.01,9.01 09/19/07 AMEND
MAXIM INTEGRATED PRODUCTS INC DE 3.01,9.01 09/28/07
MEDIA SCIENCES INTERNATIONAL INC 1.01,9.01 09/28/07
MEDIRECT LATINO INC FL 1.01,5.02,9.01 09/27/07
MEDIWARE INFORMATION SYSTEMS INC NY 3.01,9.01 09/27/07
MEMORY PHARMACEUTICALS CORP 2.03 10/03/07
MENTOR CORP /MN/ MN 5.03,9.01 10/03/07
MESA OFFSHORE TRUST TX 1.01,2.03,9.01 09/28/07
METROCORP BANCSHARES INC 5.02 10/03/07
MICROSEMI CORP DE 5.02,9.01 09/27/07
MILLENNIUM BANKSHARES CORP VA 5.03,9.01 09/27/07
MOLINA HEALTHCARE INC DE 7.01,9.01 10/03/07
MOTOROLA INC DE 2.05 09/27/07
MOVENTIS CAPITAL, INC. DE 7.01,9.01 10/02/07
MULTI COLOR CORP OH 1.01 10/02/07
MxEnergy Holdings Inc 2.02,9.01 09/27/07
NANO PROPRIETARY INC TX 5.02 09/28/07
NANO PROPRIETARY INC TX 8.01,9.01 10/01/07
NASDAQ STOCK MARKET INC DE 8.01,9.01 10/02/07
NeoStem, Inc. DE 5.02,8.01,9.01 09/27/07
NEOWARE INC DE 3.01,5.01,5.02,5.03,9.01 09/30/07
NEPHROS INC DE 3.01,8.01,9.01 09/27/07
NEW CENTURY BANCORP INC NC 5.02 09/28/07
NEW MEDIUM ENTERPRISES INC NV 1.01 09/27/07
NEXIA HOLDINGS INC NV 1.01,3.02 09/28/07
NNN Healthcare/Office REIT, Inc. MD 1.01,2.03,9.01 09/27/07
NovaStar Mortgage Funding Trust, Seri DE 1.01,9.01 10/01/07
NPS PHARMACEUTICALS INC DE 8.01,9.01 10/03/07
NU HORIZONS ELECTRONICS CORP DE 4.02,8.01 10/02/07
OGLETHORPE POWER CORP GA 2.03 10/03/07
OHIO VALLEY BANC CORP OH 5.02,9.01 10/03/07
ONEOK INC /NEW/ OK 7.01,9.01 10/03/07
ONEOK Partners LP DE 7.01,9.01 10/03/07
Onstream Media CORP FL 5.02 09/27/07
Opexa Therapeutics, Inc. TX 2.02,9.01 08/14/07
OPTICAL COMMUNICATION PRODUCTS INC DE 1.01 10/02/07
OPTIMAL GROUP INC 7.01 10/03/07
ORLEANS HOMEBUILDERS INC DE 5.02,9.01 09/27/07
PACIFICORP /OR/ OR 8.01,9.01 10/03/07
Palace Entertainment Holdings, Inc. DE 1.01,2.04,5.01,5.02,9.01 10/03/07
PANERA BREAD CO DE 2.02,9.01 10/03/07
Paramount Acquisition Corp DE 8.01,9.01 10/03/07
PAVILION BANCORP INC 8.01,9.01 10/02/07
PAVILION BANCORP INC 8.01,9.01 10/03/07
PDL BIOPHARMA, INC. DE 5.02,8.01,9.01 09/28/07
PEOPLES FINANCIAL SERVICES CORP/ PA 9.01 10/03/07
PetroSouth Energy Corp. 1.01,2.01,3.02,5.06,9.01 10/03/07
Pharmasset Inc 8.01,9.01 10/03/07
PIPEX PHARMACEUTICALS, INC. DE 1.01,9.01 09/27/07
Polonia Bancorp 8.01,9.01 10/02/07
POZEN INC /NC 5.02 09/28/07
PRE PAID LEGAL SERVICES INC OK 1.01,9.01 10/02/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 09/28/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 09/28/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 09/28/07
PRINTRONIX INC DE 8.01,9.01 10/02/07
PROCYON CORP CO 2.02,9.01 10/01/07
PROLIANCE INTERNATIONAL, INC. DE 2.05,9.01 09/28/07
PURE CYCLE CORP DE 3.02,9.01 10/01/07
RADYNE CORP DE 1.01,5.02,9.01 09/27/07
RALI Series 2007-QH8 Trust DE 8.01,9.01 10/03/07 AMEND
RASER TECHNOLOGIES INC UT 1.01 10/03/07
Redpoint Bio CORP 5.02,9.01 10/01/07
Regency Energy Partners LP DE 1.01,2.03,9.01 09/28/07
REGIONS FINANCIAL CORP DE 1.01,9.01 10/01/07
REX ENERGY CORP DE 1.01,1.02,8.01,9.01 09/28/07
RITE AID CORP DE 1.01,2.03 10/02/07
ROCKY MOUNTAIN MINERALS INC WY 8.01 10/03/07
ROYAL GOLD INC DE 8.01 09/27/07
RPM INTERNATIONAL INC/DE/ DE 2.02,9.01 10/03/07
RTI INTERNATIONAL METALS INC OH 1.01,3.03,9.01 09/27/07
SALOMON SMITH BARNEY ORION FUTURES FU 3.02 10/01/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 10/03/07
Sanford Exploration, Inc. 5.01,5.02,9.01 09/10/07
SCO GROUP INC DE 5.02,9.01 09/27/07
SELECT COMFORT CORP 5.02 10/03/07
SELECT COMFORT CORP 7.01,9.01 10/03/07
SELECT MEDICAL CORP DE 1.01,7.01,9.01 10/01/07
SemGroup Energy Partners, L.P. DE 5.02,9.01 10/03/07
SERACARE LIFE SCIENCES INC 1.01,9.01 09/30/07
Silicon Mountain Holdings, Inc. CO 3.02,4.01,5.02,5.03,5.05,9.01 09/27/07
SIMPSON MANUFACTURING CO INC /CA/ DE 7.01 10/03/07
SMART Modular Technologies (WWH), Inc 2.02,9.01 10/03/07
SMART ONLINE INC 8.01,9.01 09/28/07
SMITH BARNEY BRISTOL ENERGY FUND LP 3.02 10/01/07
SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 10/01/07
SMITH BARNEY TIDEWATER FUTURES FUND L 3.02 10/01/07
SMITH BARNEY WARRINGTON FUND L P 3.02 10/01/07
SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 10/01/07
SONTRA MEDICAL CORP MN 5.03,9.01 09/28/07
SORL Auto Parts Inc DE 2.01,7.01,9.01 09/28/07
SOUTHERN COPPER CORP/ DE 8.01 10/02/07
Southern Star Energy Inc. NV 5.02 10/01/07
SPANISH BROADCASTING SYSTEM INC DE 3.01,5.02,9.01 09/28/07
ST JOE CO FL 5.02,9.01 10/03/07
STEEL DYNAMICS INC IN 1.01,8.01,9.01 10/01/07
Stewart & Stevenson LLC DE 1.01,3.02 09/27/07
SUNOCO LOGISTICS PARTNERS LP DE 5.02,9.01 10/03/07
SUNRISE TELECOM INC 7.01,9.01 09/27/07
SUPERCLICK INC WA 5.02,9.01 10/03/07
Surge Global Energy, Inc. 9.01 09/19/07 AMEND
SYSVIEW TECHNOLOGY, INC. 1.01,2.03,9.01 09/27/07
Tactical Solution Partners, Inc. DE 5.02 09/27/07
TELEFLEX INC DE 8.01,9.01 10/03/07
TELETECH HOLDINGS INC DE 1.01,2.05,8.01,9.01 09/27/07
TERADATA CORP /DE/ 1.01,2.01,2.03,5.05,9.01 09/30/07
TERRESTAR CORP DE 7.01,9.01 10/03/07
THUNDER MOUNTAIN GOLD INC WA 1.01,2.01,2.03 06/06/07
TIMBERLAND BANCORP INC WA 5.02 09/26/07
Tix CORP DE 5.02 09/27/07
TORBAY HOLDINGS INC DE 1.01,3.03,9.01 09/26/07
TORTOISE CAPITAL RESOURCES CORP 1.01,2.03,9.01 10/03/07
TOYOTA MOTOR CREDIT CORP CA 1.01,2.03,9.01 09/28/07
TOYOTA MOTOR CREDIT CORP CA 1.01,2.03,9.01 09/28/07 AMEND
TOYS R US INC DE 7.01,9.01 10/03/07
TRAFFIX INC DE 8.01 09/27/07
TRANSATLANTIC HOLDINGS INC DE 5.03,9.01 09/27/07
TRANSMERIDIAN EXPLORATION INC DE 8.01,9.01 10/01/07
Tube Media Corp. CO 8.01 10/01/07
UGI CORP /PA/ PA 2.02,9.01 10/03/07
Uni-Pixel DE 1.01,3.02,5.03,8.01,9.01 09/28/07
UNION BANKSHARES CO/ME ME 5.02 09/28/07
United Community Bancorp X1 8.01,9.01 10/03/07
US BioEnergy CORP 1.01,1.02,5.02,9.01 09/28/07
US BioEnergy CORP 1.01,1.02,5.02,9.01 09/28/07 AMEND
UTEK CORP 8.01,9.01 09/28/07
VELCERA, INC. DE 8.01 09/28/07
Vella Productions Inc. NV 1.01,2.01,3.02,5.01,5.06,9.01 10/01/07
VOUGHT AIRCRAFT INDUSTRIES INC DE 7.01 10/02/07
W HOLDING CO INC PR 5.03,8.01,9.01 09/21/07
WaMu Asset Acceptance Corp. DE 7.01 09/25/07
WASTE CONNECTIONS INC/DE DE 1.01,2.03,9.01 09/26/07
WEBSITE PROS INC DE 1.01,2.01,5.02,8.01,9.01 09/30/07
Western Iowa Energy, L.L.C. IA 5.02,7.01,9.01 09/27/07
Western Union CO DE 1.01,9.01 09/28/07
Whitestone REIT TX 1.01,1.02 09/28/07
WILLAMETTE VALLEY VINEYARDS INC OR 5.02 10/01/07
WIRELESS RONIN TECHNOLOGIES INC MN 2.02,8.01,9.01 10/03/07
WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 10/03/07
Wonder Auto Technology, Inc NV 1.01 09/27/07
WORLDWATER & SOLAR TECHNOLOGIES CORP. DE 1.01,3.02,9.01 09/28/07
WYNN RESORTS LTD 1.01,9.01 09/28/07 AMEND
XEDAR CORP CO 2.03,9.01 09/27/07
ZILA INC DE 5.02,9.01 09/27/07
ZIX CORP TX 7.01,9.01 10/03/07
http://www.sec.gov/news/digest/2007/dig100407.htm
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