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SEC NEWS DIGEST
Issue 2007-197 October 12, 2007
ENFORCEMENT PROCEEDINGS
DELINQUENT FILERS STOCK REGISTRATION REVOKED
The registrations of the stock of Aurora Acquisitions, Inc., HDF,
Inc., Inmold, Inc., and Piccard Medical Corp. have been revoked. None
had filed any annual or quarterly reports with the Securities and
Exchange Commission for seven or more years. Thus, each violated a
crucial provision of the federal securities laws that requires public
corporations to publicly disclose current, accurate financial
information so that investors may make informed decisions. The
revocations were ordered in an administrative proceeding before an
administrative law judge. (Rel. 34-56648; File No. 3-12754)
COMMISSION SANCTIONS JAMES E. FRANKLIN
The Commission has sanctioned James E. Franklin, a penny stock
promoter. Franklin was enjoined from violations of the antifraud
provisions of the federal securities laws by the U.S. District Court
for the Southern District of California. The district court entered
the injunction on the basis of a jury's verdict that Franklin
knowingly violated the antifraud provisions of the federal securities
laws in connection with the offer, purchase, or sale of seven stocks,
one of which was a penny stock. On the basis of this injunction, the
Commission barred Franklin from participating in any offering of penny
stock. The Commission found that Franklin's conduct was egregious and
occurred over many months. The Commission concluded that barring
Franklin from participating in any offering of penny stock was
necessary to protect the interests of the investing public and as a
deterrent to Franklin and others engaged in the offering of penny
stock from violating the federal securities laws. (Rel. 34-56649; File
No. 3-12228)
SEC OBTAINS $10.5 MILLION JUDGMENT AGAINST HSBC BANK IN SETTLED CIVIL
ACTION
The Commission announced today that on Sept. 25, 2007, the District
Court for the Southern District of Florida entered a Final Judgment in
its settled civil action against HSBC Bank USA, N.A. (HSBC), imposing
a $10 million penalty and ordering HSBC to pay disgorgement in the
amount of $463,893, with prejudgment interest of $36,667, for allowing
its name and logo to be used in connection with a Florida-based
offering fraud by Pension Fund of America, L.C. (Pension Fund). The
Commission's civil action was filed on Sept. 19, 2007, to coincide
with the Commission's institution of a settled cease-and-desist
proceeding with HSBC.
The Commission's complaint alleges that from August 2003 to March
2005, HSBC served as trustee for the investment component of Pension
Fund and its affiliated entities' trust plans. Since at least 1999,
Pension Fund sold retirement and college "trust plans" that
purportedly provided term life insurance and the opportunity to invest
in one or more pre-selected mutual funds. However, Pension Fund failed
to disclose, among other things, that it was taking up to 95 percent
of the investors' funds to pay commissions and fees. Pension Fund
raised at least $127 million from more than 3,400 investors, primarily
from Central and South America. On March 28, 2005, the SEC filed an
emergency action in the U.S. District Court for the Southern District
of Florida against Pension Fund and its principals to halt the
offering fraud. The Court appointed a receiver over Pension Fund, who
shut down its operations, marshaled its assets, and developed a claims
process to distribute recovered funds to its investor victims.
According to the Commission's complaint, HSBC allowed the use of its
name and logo in Pension Fund's offering materials. HSBC also allowed
Pension Fund to use marketing materials that falsely suggested that
the trust plans were co-developed by HSBC and Pension Fund, and that
investors' funds would be "totally safe" because the money would be
deposited in a trust account at HSBC. In reality, Pension Fund
deposited investors' funds in an ordinary checking account in its name
at HSBC, and used up to 95 percent of such funds to pay its own
undisclosed sales commissions, expenses and fees. Pension Funds'
marketing brochures provided a list of mutual funds offered as part of
the trust plans, but did not disclose any information about the sales
commissions, administrative expenses, or the front-load mutual fund
fees charged to investors. HSBC failed to follow its own internal
procedures in reviewing and approving certain Pension Fund offering
materials.
Additionally, HSBC actively participated in the selection of offshore,
high front-load mutual funds to be offered to prospective investors
under a negotiated fee arrangement between HSBC and Pension Fund.
However, neither the amount of the funds' sales loads, nor HSBC's role
in the funds' selection, were disclosed to investors. In October 2003,
shortly after HSBC became trustee for Pension Fund's plans, HSBC
drafted a letter on its own letterhead announcing the new relationship
and inviting certain of Pension Fund's existing investors to transfer
their funds to HSBC. Pension Fund sent the letter to approximately
half of its existing investors, and enclosed a form bearing HSBC's
logo that listed new mutual fund selections available upon transfer to
HSBC. Neither the letter nor the enclosure disclosed that investors
would incur new front-load fees in connection with such transfers, or
the amounts of those prospective costs. As a result, the complaint
alleges that HSBC violated Sections 17(a)(2) and 17(a)(3) of the
Securities Act of 1933.
The Final Judgment was entered in the civil case with HSBC's consent,
without admitting or denying the allegations of the Commission's
complaint. The Final Judgment orders HSBC to pay a total of
approximately $10.5 million, which will be paid into a Fair Fund for
the benefit of investors injured in the Pension Fund offering fraud.
[SEC v. HSBC Bank USA, N.A., Civil Action No. 07-22469-CIV-
SEITZ/MCALILEY (S.D. Fla.)] (LR-20328)
FORMER STOCK OPTIONS ADMINISTRATOR SENTENCED TO FORTY-SIX MONTHS IN
PRISON FOR WIRE FRAUD AND TAX EVASION IN CONNECTION WITH THEFT OF
STOCK OPTIONS
Vencent A. Donlan, former stock options administrator at Wireless
Facilities, Inc. (WFI) (now Kratos Defense & Security Solutions,
Inc.), has been sentenced to forty-six months in prison for federal
wire fraud and tax evasion violations relating to his fraudulently
obtaining stock and stock options from WFI. Donlan pled guilty to the
violations on July 3, 2007, under a plea agreement with the U.S.
Attorney's Office for the Southern District of California. The
Commission previously sued Donlan for perpetrating the fraudulent
stock options scheme.
In his plea, Donlan admitted that between November 2002 and November
2003, he used his position as WFI's stock option administrator to
issue without authorization 728,229 shares of WFI stock to a brokerage
account that he controlled and sold the stock for a net gain of
$6,252,794. Donlan also admitted that he evaded paying $2,202,917 in
federal income taxes in 2002 and 2003 by not declaring the income from
his WFI stock sales. The Honorable John A. Houston, U.S. District
Court Judge for the Southern District of California, accepted Donlan's
final plea and sentenced him on Oct. 9, 2007 (U.S. v. Vencent A.
Donlan, Criminal Action No. 07 CR 1725 JAH (LSP) S.D. Cal.).
On May 2, 2007, based on allegations similar to those admitted by
Donlan in his plea, the Commission obtained an order temporarily
restraining Donlan from violating the antifraud provisions of the
securities laws and freezing his assets. On June 5, 2007, the
Commission obtained an order permanently enjoining Donlan from
violating the registration and antifraud provisions of the securities
laws and requiring him to disgorge all ill-gotten gains from the
fraud, with prejudgment interest thereon, and pay civil monetary
penalties in amounts to be determined.
For additional information, see Litigation Release No. 20101 (May 3,
2007) and Litigation Release No. 20218 (July 31, 2007). [SEC v.
Vencent A. Donlan, Defendant, and Robin D. Colls Donlan, Relief
Defendant, Civil Action No. 07 CV 793 JAH (LSP) (S.D. Cal.).] (LR-
20329)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-
2007-60) relating to Structured Equity Products. Publication is
expected in the Federal Register during the week of October 15. (Rel.
34-56626)
The Chicago Board Options Exchange filed a proposed rule change (SR-
CBOE-2007-82), as modified by Amendment No. 1 thereto, to allow the
Exchange to list up to seven expiration months for broad-based
security index options upon which the Exchange calculates a constant
three-month volatility index. Publication is expected in the Federal
Register during the week of October 15. (Rel. 34-56632)
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-56) to amend Amex Rule 724 to require all members to designate an
off-floor contact for resolving uncompared transactions. Publication
is expected in the Federal Register during the week of October 15.
(Rel. 34-56635)
A proposed rule change (SR-Amex-2007-108), to increase the annual
listing fees for certain stock issues of listed companies has been
filed by the American Stock Exchange. Publication is expected in the
Federal Register during the week of October 15. (Rel. 34-56636)
The National Association of Securities Dealers (n/k/a Financial
Industry Regulatory Authority, Inc.) filed a proposed rule change (SR-
NASD-2007-035) that will mandate the use of the automated corporate
action liability notification system of a registered clearing agency
when issuing liability notices, provided both parties to the contract
are participants in a registered clearing agency that has such an
automated system. Publication is expected in the Federal Register
during the week of October 15. (Rel. 34-56639)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission granted accelerated approval to a proposed rule change
(SR-Amex-2007-87), as modified by Amendment No. 1, filed by the
American Stock Exchange to amend Section 107 of the Amex Company Guide
to provide an exception to the initial minimum public distribution
listing requirement. Publication is expected in the Federal Register
during the week of October 15. (Rel. 34-56629)
The Commission granted accelerated approval to a proposed rule change
(SR-ISE-2007-60), as modified by Amendment No. 4 thereto, filed by the
International Securities Exchange, adopting generic listing standards
for exchange-traded funds based on international or global indexes or
indexes described in exchange rules previously approved by the
Commission as underlying benchmarks for derivative securities.
Publication is expected in the Federal Register during the week of
October 15. (Rel. 34-56633)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-FINRA-2007-016) filed by the Financial
Industry Regulatory Authority, that reflects the closing of the
NASD/BSE Trade Reporting Facility 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 October 15. (Rel.
34-56644)
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.
SB-2 AURIGA LABORATORIES, INC., 2029 CENTURY PARK EAST, SUITE 1130,
LOS ANGELES, CA, 90067, 6782821600 -
20,827,244 ($12,097,377.00) Equity, (File 333-146619 - Oct. 11)
(BR. 01A)
S-1 Sapphire Industrials Corp., C/O LAZARD GROUP LLC,
30 ROCKEFELLER PLAZA, 62ND FLOOR, NEW YORK, NY, 10020, 212-632-6000 -
0 ($575,000,000.00) Equity, (File 333-146620 - Oct. 11) (BR. 09)
S-8 Virgin Mobile USA, Inc., 10 INDEPENDENCE BOULEVARD, WARREN, NJ, 07059,
9086074000 - 0 ($131,348,528.00) Equity, (File 333-146621 - Oct. 11)
(BR. 11A)
SB-2 INVENDA CORP, 6901 ROCKLEDGE DRIVE, 6TH FLOOR, BETHESDA, MD, 20817,
2403336100 - 0 ($9,093,000.00) Equity, (File 333-146623 - Oct. 11)
(BR. 08A)
S-8 CELL THERAPEUTICS INC, 501 ELLIOTT AVE W, STE 400, SEATTLE, WA, 98119,
2062707100 - 0 ($19,530,000.00) Equity, (File 333-146624 - Oct. 11)
(BR. 01A)
S-8 CHRISTOPHER & BANKS CORP, 2400 XENIUM LANE NORTH, PLYMOUTH, MN,
55441-3626, 6125515000 - 0 ($13,655,000.00) Equity, (File 333-146625 -
Oct. 11) (BR. 02B)
S-3 Resource Capital Corp., 712 FIFTH AVENUE, 10TH FLOOR, NEW YORK, NY,
10019, 212-974-1708 -
0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-146626 -
Oct. 11) (BR. 08C)
SB-2 Nevwest Explorations Corp., 600 W. CHARLESTON, SUITE #140A5, LAS VEGAS,
NV, 89146, 702-993-7424 - 3,000,000 ($60,000.00) Equity,
(File 333-146627 - Oct. 11) (BR. 04)
S-8 AMERICAN DG ENERGY INC, 45 FIRST AVENUE, WALTHAM, MA, 02451,
781-622-1120 - 0 ($2,800,000.00) Equity, (File 333-146628 - Oct. 11)
(BR. 02A)
S-1 International Fight League, Inc., 424 WEST 33RD STREET, SUITE 650,
NEW YORK, NY, 10001, 212- 356-4000 - 0 ($20,046,152.00) Equity,
(File 333-146629 - Oct. 11) (BR. 05B)
S-8 HEWLETT PACKARD CO, 3000 HANOVER ST, MS 1050, PALO ALTO, CA, 94304,
6508571501 - 2,684,000 ($69,212,524.00) Equity, (File 333-146630 -
Oct. 11) (BR. 03C)
S-3 INX Inc, 6401 SOUTHWEST FREEWAY, HOUSTON, TX, 77074, 7137952000 -
0 ($7,843,500.00) Equity, (File 333-146632 - Oct. 11) (BR. 03C)
S-3ASR INX Inc, 6401 SOUTHWEST FREEWAY, HOUSTON, TX, 77074, 7137952000 -
0 ($100,000,000.00) Equity, (File 333-146633 - Oct. 11) (BR. 03C)
N-2 GABELLI EQUITY TRUST INC, ONE CORP CENTER, RYE, NY, 10580, 9149215070 -
0 ($500,000,000.00) Equity, (File 333-146634 - Oct. 11) (BR. 22)
S-3 VirtualScopics, Inc., 350 LINDEN OAKS, ROCHESTER, NY, 14625,
585-249-6231 - 7,973,909 ($9,169,995.35) Equity, (File 333-146635 -
Oct. 11) (BR. 10C)
S-8 MEDICALCV INC, 9725 SOUTH ROBERT TRAIL, INVER GROVE HEIGHTS, MN, 55077,
6514523000 - 0 ($2,604,600.00) Equity, (File 333-146636 - Oct. 11)
(BR. 10B)
N-2 Kayne Anderson Energy Total Return Fund, Inc.,
1800 AVENUE OF THE STARS, SECOND FLOOR, LOS ANGELES, CA, 90067,
877-657-3863 - 0 ($500,000,000.00) Other, (File 333-146637 - Oct. 11)
(BR. 17)
S-3 Allis Chalmers Energy Inc., 5075 WESTHEIMER, SUITE 890, HOUSTON, TX,
77056, 713-369-0550 - 0 ($57,984,000.00) Equity, (File 333-146638 -
Oct. 11) (BR. 04A)
SB-2 Interfac Mining Inc., 3780 WEST BROADWAY, VANCOUVER, A1, V6R 2C1,
778-999-6100 - 2,250,000 ($112,500.00) Equity, (File 333-146639 -
Oct. 11) (BR. )
F-6 PT Multimedia - Servicos de Telecomunicacoes e Multimedia, SGPS, S.A.,
AV. 5 DE OUTUBRO, 208, LISBON, S1, 1069-203, 351-21-782-4700 -
50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-146640 - Oct. 11) (BR. )
SB-2 Southridge Technology Group, Inc., 90 GROVE STREET, RIDGEFIELD, CT,
06877, 203-431-8324 - 53,747,555 ($57,509,883.00) Equity,
(File 333-146641 - Oct. 11) (BR. 03C)
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
--------------------------------------------------------------------------------------------------------
3COM CORP DE 8.01,9.01 10/11/07
3D SYSTEMS CORP DE 5.02 10/09/07
3DICON CORP 5.02 10/04/07
99 CENTS ONLY STORES CA 2.02,9.01 10/09/07
ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 10/11/07
ABIOMED INC DE 8.01,9.01 10/11/07
ABSOLUTE POTENTIAL, INC. FL 4.01,9.01 10/03/07 AMEND
ACCELLENT INC 5.02 09/04/07
ACCO BRANDS CORP DE 2.02,9.01 10/11/07
ACROSS AMERICA REAL ESTATE CORP CO 5.02,8.01 10/11/07
ACXIOM CORP DE 1.02 10/10/07
ADMIRALTY HOLDING CO CO 9.01 08/30/07 AMEND
Advanced BioEnergy, LLC DE 1.01,2.03,9.01 10/05/07
ADVANCED CELL TECHNOLOGY, INC. DE 1.01,5.02,8.01 10/05/07
AEROPOSTALE INC 7.01,9.01 10/11/07
Aircastle LTD D0 8.01,9.01 10/10/07
ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 10/11/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/11/07
Alliance Distributors Holding Inc. DE 8.01,9.01 10/10/07
Alternative Loan Trust 2007-OA10 DE 8.01,9.01 07/30/07 AMEND
AMBAC FINANCIAL GROUP INC DE 7.01,9.01 10/10/07
AMERICAN CLAIMS EVALUATION INC NY 8.01,9.01 10/09/07
AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 10/10/07
American Wenshen Steel Group, Inc. DE 1.01 10/10/07
AMERICANWEST BANCORPORATION WA 5.02,9.01 10/05/07
AMERIRESOURCE TECHNOLOGIES INC DE 3.02,9.01 10/11/07
AMN HEALTHCARE SERVICES INC DE 5.03,9.01 10/10/07
AMTECH SYSTEMS INC AZ 1.01,2.01,9.01 10/08/07
ANNTAYLOR STORES CORP DE 7.01,9.01 10/11/07
APPLIED DNA SCIENCES INC NV 1.01,2.03,3.02,9.01 10/04/07
ARCHSTONE SMITH OPERATING TRUST 5.02 10/05/07
Assured Pharmacy, Inc. NV 7.01,9.01 10/10/07
AXIOM III, Inc. NV 1.01,5.02 10/09/07
BA Master Credit Card Trust II 8.01,9.01 10/11/07
BANK HOLDINGS NV 1.01 10/10/07
BANK JOS A CLOTHIERS INC /DE/ DE 7.01,9.01 10/11/07
BARNES GROUP INC DE 2.02,5.02,7.01,9.01 10/05/07
BEAZER HOMES USA INC DE 1.01,2.02,4.02,8.01,9.01 10/05/07
bebe stores, inc. CA 2.02,9.01 10/11/07
Beneficial Mutual Bancorp Inc X1 8.01,9.01 10/05/07
BEVERLY NATIONAL CORP MA 8.01,9.01 10/09/07
BIOENVISION INC DE 8.01,9.01 10/10/07
BofI Holding, Inc. DE 7.01,9.01 10/11/07
BRITTON & KOONTZ CAPITAL CORP MS 2.02,9.01 10/11/07
Builders FirstSource, Inc. DE 2.06 10/11/07
BUTLER NATIONAL CORP DE 8.01,9.01 10/10/07
CalAmp Corp. DE 2.02 10/11/07
CALLISTO PHARMACEUTICALS INC DE 7.01,9.01 10/11/07
Capital One Auto Finance Trust 2007-C DE 8.01,9.01 10/11/07
CAPSTONE TURBINE CORP DE 5.02 10/11/07
CARDIMA INC DE 5.02,9.01 10/05/07
Caribou Coffee Company, Inc. MN 2.02,9.01 10/11/07
CARPENTER TECHNOLOGY CORP DE 8.01,9.01 10/11/07
Cellu Tissue Holdings, Inc. DE 2.02,9.01 10/11/07
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 1.01 10/05/07
Chartwell International, Inc. NV 1.01,9.01 10/10/07
CHEVIOT FINANCIAL CORP 5.03,9.01 10/09/07
CHINA SXAN BIOTECH, INC. NV 1.01 07/10/07
CINCINNATI BELL INC OH 5.02 10/09/07
CINTEL CORP NV 4.01,9.01 10/05/07
CITIZENS FINANCIAL CORP /KY/ KY 3.01,9.01 10/09/07
CITIZENS FINANCIAL CORP/DE/ DE 2.02,9.01 10/11/07
CKRUSH, INC. DE 3.03,5.03,9.01 10/10/07
COLDWATER CREEK INC DE 7.01,9.01 10/11/07
COMBINATORX, INC DE 8.01,9.01 10/10/07
COMMONCACHE INC FL 2.01,9.01 09/28/07 AMEND
COMPUTER SOFTWARE INNOVATIONS INC 3.02 10/09/07
CONSECO INC DE 7.01,9.01 10/11/07
COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 10/11/07
CURAGEN CORP DE 8.01 10/11/07
DATAJUNGLE SOFTWARE INC NV 3.02,5.02 10/04/07
DELTA AIR LINES INC /DE/ DE 1.01,8.01,9.01 10/04/07
DEPOMED INC CA 1.01,5.02,9.01 10/10/07
Devine Entertainment CORP A6 8.01,9.01 10/11/07
DIGITAL IMAGING RESOURCES INC. DE 7.01,9.01 10/10/07
Digital Realty Trust, Inc. MD 8.01 10/11/07
Dolan Media CO DE 8.01,9.01 10/11/07
DORCHESTER MINERALS LP DE 2.02,7.01,9.01 10/11/07
DURECT CORP DE 8.01 10/10/07
EAGLE ROCK ENERGY PARTNERS L P DE 2.01,9.01 10/11/07 AMEND
ELECTRO RENT CORP CA 2.02,9.01 10/10/07
ELECTRONIC ARTS INC. DE 1.01,7.01,9.01 10/11/07
EMCORE CORP NJ 2.02,7.01,9.01 10/10/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 10/11/07
Energy Future Holdings Corp /TX/ TX 1.01,1.02,2.03,3.01,5.01,5.02, 10/05/07
5.03,8.01,9.01
ENTERTAINMENT PROPERTIES TRUST MD 1.01,9.01 10/09/07
EP GLOBAL COMMUNICATIONS INC 1.01,3.02,9.01 10/11/07
EPICEPT CORP 1.01,8.01,9.01 10/10/07
EQUITY RESIDENTIAL MD 1.01,2.03,9.01 10/05/07
ESTERLINE TECHNOLOGIES CORP DE 8.01,9.01 10/09/07
ETHAN ALLEN INTERIORS INC DE 5.02 10/08/07
ev3 Inc. DE 7.01 10/10/07
Exobox Technologies Corp. NV 8.01 10/10/07
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 7.01 10/10/07
Explortex Energy Inc. NV 1.01,2.03,9.01 10/05/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 10/11/07
FASTENAL CO MN 2.02,9.01 10/11/07
Federal Home Loan Bank of Atlanta X1 2.03 10/09/07
Federal Home Loan Bank of Boston X1 2.03 10/05/07
Federal Home Loan Bank of Chicago X1 2.03 10/05/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/09/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/09/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/05/07
Federal Home Loan Bank of New York X1 2.03,9.01 10/05/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/05/07
Federal Home Loan Bank of Topeka 2.03 10/09/07
Feldman Mall Properties, Inc. MD 2.02,9.01 10/11/07
FIRST ALBANY COMPANIES INC NY 5.03,9.01 10/05/07
FIRST FINANCIAL BANCORP /OH/ OH 2.01,7.01,9.01 10/04/07
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 8.01,9.01 10/11/07
FLOWERS FOODS INC GA 1.01,2.03,9.01 10/05/07
Fluid Media Networks, Inc. 2.02,9.01 10/05/07
FMC TECHNOLOGIES INC DE 1.01,5.02,9.01 10/04/07
FNB CORP \VA\ VA 2.02,9.01 10/10/07
FORWARD AIR CORP TN 1.01,2.02,2.03,9.01 10/10/07
GAP INC DE 7.01 10/11/07
GENCOR INDUSTRIES INC DE 8.01 10/09/07
GENWORTH LIFE & ANNUITY INSURANCE CO VA 9.01 10/11/07
GEORGIA POWER CO GA 5.03,8.01,9.01 10/03/07
GERON CORP DE 5.02 10/08/07
GOAMERICA INC DE 2.02,8.01,9.01 10/11/07
GOURMET HERB GROWERS INC 3.02,5.01,5.02 10/11/07
GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 10/11/07
GSC INVESTMENT CORP. MD 2.02,9.01 10/11/07
HAPC, Inc. DE 7.01,8.01,9.01 10/10/07
HAWTHORN BANCSHARES, INC. MO 8.01,9.01 10/09/07
HD Partners Acquisition CORP CA 8.01,9.01 10/11/07
HEARTLAND OIL & GAS CORP NV 3.02 09/30/07
HEMIS CORP NV 1.01 10/08/07
HEMISPHERX BIOPHARMA INC DE 8.01 10/11/07
Highlands Acquisition Corp DE 9.01 10/09/07
HINES HORTICULTURE INC DE 3.01 10/10/07
HINES HORTICULTURE INC DE 8.01 10/10/07
HOLOGIC INC DE 8.01,9.01 10/11/07
HOME FEDERAL BANCORP, INC. OF LOUISIA 7.01,9.01 10/10/07
HSBC CREDIT CARD MASTER NOTE TRUST (U DE 8.01,9.01 10/11/07
IDM PHARMA, INC. DE 7.01,9.01 10/11/07
IDT CORP DE 2.02,9.01 10/11/07
IMERGENT INC DE 8.01,9.01 10/10/07
INDEPENDENT BANK CORP MA 2.02,7.01,9.01 10/11/07
ING USA Global Funding Trust 1 IA 8.01,9.01 10/01/07
INLAND REAL ESTATE CORP MD 7.01,9.01 10/11/07
INSPIRE PHARMACEUTICALS INC DE 8.01,9.01 10/11/07
INTEGRITY BANCSHARES INC GA 5.02 10/01/07
ION MEDIA NETWORKS INC. DE 8.01 10/11/07
IPARTY CORP DE 2.02,7.01,9.01 10/11/07
itLinkz Group, Inc. FL 1.01 10/11/07
ITRONICS INC TX 4.01 10/05/07
J P MORGAN CHASE & CO DE 9.01 10/09/07
JEFFERIES GROUP INC /DE/ DE 5.02,9.01 10/08/07
JK Acquisition Corp. 8.01,9.01 10/05/07
KANSAS CITY SOUTHERN DE 8.01,9.01 10/09/07
KB HOME DE 5.02,9.01 10/11/07
KENDLE INTERNATIONAL INC OH 5.02 10/05/07
KNOT INC DE 5.02,9.01 10/08/07
KOHLS CORPORATION WI 7.01,9.01 10/11/07
KRONOS WORLDWIDE INC 7.01,9.01 10/10/07
LANCASTER COLONY CORP OH 1.01,9.01 10/09/07
LANCASTER COLONY CORP OH 1.01,1.02,2.03,9.01 10/05/07
LANDAMERICA FINANCIAL GROUP INC VA 2.03,8.01 10/10/07
LCC INTERNATIONAL INC DE 5.02 10/05/07
LIBERTY PROPERTY TRUST MD 1.01,2.01,2.06,9.01 10/04/07
LIGHTING SCIENCE GROUP CORP DE 1.01,1.02,2.01,3.02,3.03,5.01, 10/04/07
5.02,5.03,9.01
Limelight Networks, Inc. DE 2.02,4.02,9.01 10/09/07
LINDSAY CORP DE 2.02,9.01 10/10/07
LUMINENT MORTGAGE CAPITAL INC 4.01,9.01 10/04/07
M I HOMES INC OH 7.01,9.01 10/11/07
M&T BANK CORP NY 2.02,9.01 10/11/07
MANNATECH INC TX 1.01,5.02,9.01 10/05/07
MARATHON OIL CORP DE 5.02 10/07/07
MASTR Alternative Loan Trust 2007-HF1 DE 9.01 10/11/07
MATRIX SERVICE CO DE 8.01,9.01 10/11/07
MAYS J W INC NY 2.02 10/10/07
MEADE INSTRUMENTS CORP DE 2.02,9.01 10/11/07
MEDICALCV INC MN 5.02,8.01,9.01 10/11/07
Milk Bottle Cards Inc. NV 5.02 10/06/07
MODINE MANUFACTURING CO WI 5.02,9.01 10/05/07
MOLINA HEALTHCARE INC DE 1.01,7.01,9.01 10/11/07
MONARCH COMMUNITY BANCORP INC MD 3.01,8.01,9.01 09/28/07 AMEND
MORGAN STANLEY DE 5.02 10/11/07
Morgans Hotel Group Co. DE 8.01,9.01 10/10/07
NAUTILUS, INC. WA 1.01,9.01 10/05/07
Neiman Marcus, Inc. DE 2.02,7.01 10/11/07
NEKTAR THERAPEUTICS DE 5.02 10/05/07
NeoStem, Inc. DE 8.01 08/15/07
New England Bancshares, Inc. 5.03,8.01,9.01 10/09/07
Nissan Auto Receivables 2007-B Owner DE 1.01,9.01 10/09/07
NORDSTROM INC WA 7.01 10/11/07
NPS PHARMACEUTICALS INC DE 5.02,8.01,9.01 10/08/07
NYFIX INC DE 8.01,9.01 10/04/07
PACIFIC FINANCIAL CORP WA 5.02,7.01 10/04/07
PALL CORP NY 1.01,8.01,9.01 10/09/07
Paramount Acquisition Corp DE 1.01,8.01,9.01 10/10/07
PARK ELECTROCHEMICAL CORP NY 9.01 10/05/07
PAY88 NV 3.02 10/03/07
PEABODYS COFFEE INC/NV NV 1.01 09/17/07
PEPSICO INC NC 2.02,9.01 10/11/07
PEPSICO INC NC 8.01,9.01 10/11/07
PERCEPTRON INC/MI MI 5.02,9.01 10/09/07
PERRIGO CO MI 5.02,9.01 10/11/07
Pharmasset Inc 1.01,2.03,9.01 10/05/07
PHOENIX TECHNOLOGIES LTD DE 5.02 10/05/07
PHOTON DYNAMICS INC CA 5.02 10/11/07
PIERRE FOODS INC NC 1.01,9.01 10/10/07
PINNACLE BANKSHARES CORP VA 8.01,9.01 10/10/07
PNM RESOURCES INC NM 2.06 10/11/07
PREMIER WEALTH MANAGEMENT, INC. DE 8.01,9.01 10/10/07
Prestige Brands Holdings, Inc. 7.01,9.01 10/11/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 10/05/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 10/05/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 10/05/07
QLT INC/BC A1 1.01,9.01 10/08/07
RAYONIER INC NC 8.01 10/11/07
Real Mex Restaurants, Inc. DE 5.02 10/08/07
Renaissance Home Equity Loan Trust 20 8.01,9.01 08/27/07 AMEND
RIDGEWOOD ELECTRIC POWER TRUST III DE 4.02 10/08/07
ROCK OF AGES CORP DE 1.02,5.02,9.01 10/10/07
Rockwood Holdings, Inc. DE 1.01,9.01 10/07/07
ROGERS CORP MA 7.01,9.01 10/11/07
RUBBER RESEARCH ELASTOMERICS INC MN 8.01,9.01 10/10/07
Ruths Chris Steak House, Inc. DE 2.02,9.01 10/10/07
SAFEWAY INC DE 2.02,9.01 10/11/07
SAKS INC TN 8.01,9.01 10/11/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 10/11/07
SARATOGA RESOURCES INC /TX TX 1.01,3.02,5.02,8.01,9.01 10/08/07
SCOLR Pharma, Inc. DE 5.02,9.01 10/05/07
SEALIFE CORP 8.01,9.01 10/11/07
SECURITY BANK CORP GA 8.01,9.01 10/11/07
SELECTICA INC DE 5.02,9.01 10/09/07
Seligman LaSalle International Real E MD 8.01 10/11/07
SEVERN BANCORP INC MD 2.02,9.01 10/11/07
Sinoenergy CORP NV 1.01,5.03,9.01 09/01/07 AMEND
SKYFLYER INC. NV 1.01,9.01 10/03/07
SLM CORP DE 2.02 10/11/07
SLM CORP DE 7.01 10/11/07
SONIC INNOVATIONS INC DE 1.01,2.01,9.01 10/05/07
Soundview Home Loan Trust 2007-OPT4 DE 9.01 09/18/07
Soundview Home Loan Trust 2007-OPT4 DE 7.01 09/18/07
SOUTHWEST WATER CO DE 4.01,9.01 10/04/07
SOYO GROUP INC NV 8.01 10/10/07
Spectra Energy Partners, LP DE 1.01,9.01 10/05/07
Sputnik, Inc. NV 4.01,9.01 10/11/07
Standard Drilling, Inc. 1.01,5.02,9.01 09/24/07
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 10/09/07
SURETY CAPITAL CORP /DE/ DE 5.02 10/11/07
Susser Holdings CORP DE 5.02,7.01,9.01 10/05/07
SWMX, INC. DE 1.01,3.02,9.01 10/03/07
Symmetry Medical Inc. DE 1.01,9.01 10/10/07
Synova Healthcare Group Inc 5.02 08/07/07 AMEND
SYNTHETIC BLOOD INTERNATIONAL INC NJ 5.02 10/08/07
T Bancshares, Inc. 1.01,3.03,9.01 10/10/07
TARGET CORP MN 8.01,9.01 10/11/07
TATONKA OIL & GAS, INC. CO 1.01,9.01 10/05/07
TEKELEC CA 5.02,5.03,9.01 10/09/07
TEREX CORP DE 8.01,9.01 10/10/07
TESCO CORP 7.01 10/10/07
TheRetirementSolution.com, Inc. UT 5.02 10/05/07
TIVO INC DE 5.02,9.01 10/09/07
TOLLGRADE COMMUNICATIONS INC \PA\ PA 2.01,9.01 08/01/07 AMEND
TomoTherapy Inc 8.01,9.01 10/11/07
TOWER BANCORP INC PA 8.01,9.01 10/11/07
TRANSCENDENT INC NV 3.02 10/11/07
TRANSNATIONAL FINANCIAL NETWORK INC CA 1.01,2.01,3.02,5.01,5.02,5.03, 10/01/07
8.01
Travelstar, Inc. CA 4.02 10/05/07
TRIMERIS INC DE 1.01,9.01 10/08/07
TSB Financial CORP NC 8.01,9.01 10/11/07
TSR INC DE 9.01 09/19/07 AMEND
TUESDAY MORNING CORP/DE DE 2.02,9.01 10/11/07
UCBH HOLDINGS INC DE 1.01,3.02,9.01 10/07/07
UNITED FUEL & ENERGY CORP NV 1.01,2.01,2.03,3.02,5.01,5.02, 10/05/07
7.01,9.01
UNITED NATURAL FOODS INC DE 1.01,7.01,9.01 10/05/07
UNITED RESTAURANT MANAGEMENT, INC. DE 1.01,5.01,5.03,9.01 09/24/07
UNITED WISCONSIN GRAIN PRODUCERS LLC WI 2.02,7.01,9.01 10/11/07
UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 10/05/07
UNIVERSAL PROPERTY DEVELOPMENT & ACQU NV 8.01 09/30/07
USA SUPERIOR ENERGY HOLDINGS, INC. NV 5.02 10/10/07
UTi WORLDWIDE INC 8.01 10/10/07
Vincera, Inc. DE 5.02 10/08/07
VITAL SIGNS INC NJ 5.02,9.01 10/05/07
VIVUS INC CA 8.01 10/10/07
VOUGHT AIRCRAFT INDUSTRIES INC DE 7.01 10/11/07
VSB BANCORP INC NY 2.02,9.01 10/10/07
VSE CORP DE 5.03,9.01 10/04/07
W-H ENERGY SERVICES INC TX 2.02,7.01,9.01 10/11/07
Wave Uranium Holding 8.01,9.01 10/09/07
WEST MARINE INC DE 2.02,9.01 10/11/07
WINNEBAGO INDUSTRIES INC IA 2.02,9.01 10/11/07
WINNER MEDICAL GROUP INC NV 5.02,9.01 10/07/07
WNC Housing Tax Credit Fund VI, L.P., CA 8.01,9.01 08/30/07
WNC Housing Tax Credit Fund VI, L.P., CA 8.01 08/30/07 AMEND
World Energy Solutions, Inc. DE 5.02,9.01 10/09/07
XATA CORP /MN/ MN 5.02 10/11/07
XENOMICS INC FL 5.02 10/08/07
XPENTION GENETICS INC 5.02 09/20/07
ZIONS BANCORPORATION /UT/ UT 2.02 10/11/07
Zupintra Corporation, Inc. FL 1.02,9.01 10/10/07
http://www.sec.gov/news/digest/2007/dig101207.htm
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