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SEC NEWS DIGEST
Issue 2008-17 January 25, 2008
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF JONATHAN CARMAN
An Administrative Law Judge has issued an Initial Decision in the
matter of Jonathan Carman. The Initial Decision finds that the U.S.
District Court for the Central District of California permanently
enjoined Respondent Carman from future violations of Sections 5(a),
5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and
15(a) of the Securities Exchange Act of 1934 (Exchange Act), and
Exchange Act Rule 10b-5. In addition, the district court barred
Respondent Carman from acting as an officer or director of a public
company, and from participating in any offering of penny stock.
Lastly, the district court ordered Respondent Carman to disgorge
$2,191,188.15 in ill-gotten gains, and to pay a third-tier civil
penalty of $100,000. The Initial Decision concludes that, pursuant to
Section 15(b)(6) of the Exchange Act, it is in the public interest to
bar Respondent Carman from association with any broker or dealer.
(Initial Decision 343; File No. 3-12736)
IN THE MATTER OF MARK MICHEL
An Administrative Law Judge has issued an Order Making Findings and
Imposing Remedial Sanction by Default (Default Order) in the matter of
Mark Michel. The Order Instituting Proceedings alleged that, on Nov.
26, 2007, the U.S. District Court for the Northern District of
Illinois permanently enjoined Michel from future violations of Section
10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule
10b-5, and ordered him to disgorge $277,881 in ill-gotten gains and
pay prejudgment interest of $68,307.
The Default Order concludes that, pursuant to Section 15(b)(6) of the
Exchange Act, it is in the public interest to bar Michel from
associating with any broker or dealer. (Rel. 34-57200; File No. 3-
12900)
IN THE MATTER OF CHRONOS ASSET MANAGEMENT, INC. AND MITCHELL L. DONG
On January 25, 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 8A of the Securities Act of 1933, Section 21C of the
Securities Exchange Act of 1934, Sections 203(e) and 203(f) of the
Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the
Investment Company Act of 1940 (Order) against Chronos Asset
Management, Inc. (Chronos) and Mitchell L. Dong (Dong). The Order
finds that Chronos and Dong engaged in a fraudulent market timing and
late trading scheme. From January 2001 to September 2003, Chronos and
Dong used deceptive means to continue market timing in mutual funds
that had previously attempted to detect and restrict, or that
otherwise would not have permitted, Chronos's trading. In addition,
from May 2003 to September 2003, Chronos traded mutual fund shares
after 4:00 p.m. eastern time while receiving the same day's price. By
virtue of their conduct, Chronos and Dong willfully violated, and
aided and abetted and caused violations 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 willfully aided and abetted and
caused violations of Rule 22c-1(a) of the Investment Company Act.
Based on the above, the Order censures Chronos; suspends Dong from
associating with an investment adviser or investment company for 12
months; orders Chronos and Dong to pay, on a joint and several basis,
disgorgement in the amount of $303,000 plus prejudgment interest in
the amount of $73,915.80, and a civil money penalty in the amount of
$1,800,000; and orders that Chronos and Dong cease and desist from
committing or causing future violations 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 Rule 22c-1 of the Investment
Company Act. Chronos and Dong consented to the issuance of the Order
without admitting or denying any of the findings. (Rels. 33-8883; 34-
57202; IA-2696; IC-28135; File No. 3-12934)
DEFENDANTS CONVICTED OF 522 FELONIES AFTER COMMISSION ACTION AGAINST
SECURITIES FRAUD SCHEME TARGETING SENIOR CITIZENS AND ELDERLY VICTIMS
IN SOUTHERN CALIFORNIA
The Commission announced today that on January 10 and 11, 2008 a jury
in Riverside County, California, convicted three men on felony charges
involving a fraudulent scheme that was the subject of a prior
enforcement action brought by the Commission, which raised more than
$187 million from over 1,800 victims, mostly senior citizens and the
elderly.
Convicted for their role in the scheme were Daniel William Heath, 51,
formerly of Chino Hills, California, Denis Timothy O'Brien, 53,
formerly of Yorba Linda, California, and Heath's father, John William
Heath, 81, formerly of Covina, California. Daniel Heath was found
guilty on 400 felony counts, O'Brien on 70 felony counts, and John
Heath on 52 felony counts. In 2004, the Riverside County District
Attorney's Office arrested and charged them with committing securities
fraud, elder abuse, grand theft, money laundering, tax fraud, and
conspiracy, all under California law. Larre Jaye Schlarmann, 52,
formerly of Carlsbad, California was also arrested and pleaded guilty
to securities fraud, elder abuse, money laundering, and tax fraud and
was sentenced to serve 15 years in state prison.
Daniel Heath faces a maximum of 117 years in state prison, O'Brien 37
years, and John Heath 28 years. Sentencing hearings are scheduled for
John Heath on February 22, O'Brien on February 27, and Daniel Heath on
March 21, 2008.
In April 2004, the Commission filed a complaint against Daniel Heath
and his entities, and O'Brien, alleging they fraudulently induced
elderly investors through "free lunch" seminars to invest in "secured"
notes that paid a "guaranteed" return. The court appointed a permanent
receiver over the Heath entities. Final judgments of permanent
injunction and other relief were entered against Heath and O'Brien
enjoining them from violating the antifraud, securities registration,
and broker-dealer registrations provisions of the federal securities
laws for their role in the scheme. The judgments ordered Heath and
O'Brien to disgorge to the receiver their ill-gotten gains plus
prejudgment interest. The Commission then instituted administrative
proceedings against Heath and O'Brien barring them from association
with a broker or dealer. Heath and O'Brien consented to the entry of
the final judgments and administrative orders without admitting or
denying the Commission's allegations and findings. In September 2007,
the Commission instituted administrative proceedings against Martin S.
Duffield, 52, of West Covina, California, and Raul A. Jordan, 52, of
Pasadena, California, for violating the antifraud, securities
registration, and broker-dealer registrations provisions for their
role in the scheme. Duffield was barred association with any broker or
dealer and Jordan was barred from association with any broker or
dealer, with the right to reapply for association after five (5) years
to the appropriate self-regulatory organization, or if there is none,
to the Commission. Duffield and Jordan were ordered to disgorge ill-
gotten gains to the receiver plus prejudgment interest. Duffield and
Jordan consented to the entry of the orders without admitting or
denying the Commission's findings.
Administration of the court-order receivership over the Heath entities
will continue.
The Commission wishes to acknowledge and thank the Riverside County
District Attorney's Office for their assistance in this matter.
For further information, see Litigation Release Nos. 18689 (May 3,
2004), 18703 (May 11, 2004), 18724 (May 24, 2004), 18777 (July 9,
2004), and 19287 (June 28, 2005), and Administrative Proceeding
Release Nos. 34-51473 (April 4, 2005), 34-51922 (June 24, 2005), and
33-8838 (Sept. 5, 2007). [PEOPLE OF THE STATE OF CALIFORNIA v. DANIEL
WILLIAM HEATH, DENIS TIMOTHY O'BRIEN, JOHN WILLIAM HEATH, and LARRE
JAYE SCHLARMANN, Superior Court of California, County of Riverside,
Case No. RIF117775] (LR-20438)
FINAL JUDGMENT ENTERED AGAINST CORPORATE DEFENDANTS, DISMISSING
DISGORGEMENT, PREJUDGMENT INTEREST AND CIVIL PENALTIES AND DISMISSING
DISGORGEMENT AND PREJUDGMENT INTEREST AGAINST ALL RELIEF DEFENDANTS
The Commission announced that on January 17 the U.S. District Court
for the Middle District of Florida entered a Final Judgment of
Permanent Injunction against Defendants Tropical Village, Inc.,
Clarity Development Corporation and Senior Adult Living Corporation.
Through its Court-appointed Receiver, Tropical, Clarity and Senior
Adult consented to the entry of an injunction against future
violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of
1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule
10b-5 thereunder. The Final Judgment also provides for the dismissal
of disgorgement, prejudgment interest and civil penalties against
Defendants Tropical, Clarity and Senior Adult and dismissal of
disgorgement and prejudgment interest against Relief Defendants Sunset
Bay Club, Inc., Summerhill Ventures, Inc., Pelican Bay Club, Inc. and
Isleworth Adult Community, Inc. All of the corporate Defendants and
Relief Defendants are in receivership. [SEC v. Patrick Kirkland, et
al., Civil Action No. 06-CV-183-ORL-28 KRS Antoon (M.D. Fla.)] (LR-
20439)
INVESTMENT COMPANY ACT RELEASES
ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT Orders have
been issued under Section 8(f) of the Investment Company Act declaring
that each of the following has ceased to be an investment company:
Franklin Federal Money Fund [File No. 811-3052]
[Rel. No. Order: Rel No. IC-28126]
Columbus Funds, Inc. [File No. 811-21463]
[Rel. No. Order: Rel No. IC-28127]
Granum Series Trust [File No. 811-8029]
[Rel. No. Order: Rel No. IC-28128]
CAMCO Investors Fund [File No. 811-8465]
[Rel. No. Order: Rel No. IC-28129]
FTI Funds [File No. 811-7369]
[Rel. No. Order: Rel No. IC-28130]
Prairie Fund [File No. 811-9931]
[Rel. No. Order: Rel No. IC-28131]
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-ISE-2007-109), as
modified by Amendment No. 1 thereto, submitted by the International
Securities Exchange relating to Rule 2213, Market Maker Trading
Licenses. Publication in the Federal Register is expected during the
week of January 28. (Rel. 34-57182)
ACCELERATED APPROVAL TO PROPOSED RULE CHANGES
The Commission granted accelerated approval to a proposed rule change
(SR-NYSE-2008-02) submitted by the New York Stock Exchange relating to
NYSE Rule 103A (Specialist Stock Reallocation and Member Education and
Performance) and NYSE Rule 103B (Specialist Stock Allocation).
Publication in the Federal Register is expected during the week of
January 28. (Rel. 34-57184)
The Commission granted accelerated approval to a proposed rule change
(SR-NASDAQ-2007-079) submitted by The NASDAQ Stock Market to trade
units of the United States Heating Oil Fund, LP and the United States
Gasoline Fund, LP pursuant to unlisted trading privileges. Publication
in the Federal Register is expected during the week of January 28.
(Rel. 34-57189)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-ISE-2008-07) filed by the International
Securities Exchange relating to fee changes has become effective under
Section 19(b)(3)(A) of the Securities Exchange Act of 1934.
Publication in the Federal Register is expected during the week of
January 28. (Rel. 34-57185)
A proposed rule change (SR-CBOE-2007-150), as modified by Amendment
No. 1 thereto, filed by the Chicago Board Options Exchange relating to
Exchange fees for fiscal year 2008 has become effective under Section
19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the
Federal Register is expected during the week of January 28. (Rel. 34-
57191)
The National Securities Clearing Corporation filed a proposed rule
change (SR-NSCC-2007-16) under Section 19(b)(1) of the Exchange Act,
which became effective upon filing, to: (1) clarify the appropriate
use of NSCC's Correspondent Clearing Service and (2) make technical
corrections, clarification, and organizational changes relative to its
Trade Recording and Special Representative Services. Publication in
the Federal Register is expected during the week of January 28. (Rel.
34-57194)
A proposed rule change (SR-BSE-2008-04) filed by the Boston Stock
Exchange to extend the effective date of a previous rule change
relating to information contained in a directed order on the Boston
Options Exchange has become effective under Section 19(b)(3)(A) under
the Securities Exchange Act of 1934. Publication in the Federal
Register is expected during the week of January 28. (Rel. 34-57195)
A proposed rule change (SR-ISE-2008-08) filed by the International
Securities Exchange relating to the extension of a pilot program for
directed orders has become effective under Section 19(b)(3)(A) under
the Securities Exchange Act of 1934. Publication in the Federal
Register is expected during the week of January 28. (Rel. 34-57196)
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 Belvedere SoCal, 1 MARITIME PLAZA, SUITE 825, SAN FRANCISCO, CA, 94546,
415-434-1236 - 1,500,000 ($32,220,000.00) Equity, (File 333-148828 -
Jan. 24) (BR. 07)
S-8 Kreido Biofuels, Inc., 1140 AVENIDA ACASO, CAMARILLO, CA, 93012,
805-389-3499 - 5,475,423 ($2,025,906.51) Equity, (File 333-148829 -
Jan. 24) (BR. 06B)
S-3 PARAMOUNT GOLD & SILVER CORP., 346 WAVERLY STREET, OTTAWA, A6, K2P 0W5,
(613) 226-9881 - 2,000,000 ($5,100,000.00) Equity, (File 333-148831 -
Jan. 24) (BR. 04C)
S-3 Brooke Credit CORP, 33 BLOOMFIELD HILLS PARKWAY, SUITE 240,
BLOOMFIELD HILLS, MI, 48304, 248-220-2001 - 0 ($4,566,029.00) Equity,
(File 333-148832 - Jan. 24) (BR. 07A)
SB-2 TECTON CORP, NEUHOFSTRASSE 8, DUBENDORF, V8, CH - 8600,
011 41 43 355 02 28 - 30,730,000 ($3,943,900.00) Equity,
(File 333-148833 - Jan. 24) (BR. 04B)
SB-2 WhistlePig Enterprises Inc, 1777 Whistlepig Ln, Broomfield, CO, 80020,
303-793-0304 - 1,596,000 ($399,000.00) Equity, (File 333-148834 -
Jan. 24) (BR. 08)
SB-2 Beijing Beverage, 2235 E. FLAMINGO RD., SUITE 114, LAS VEGAS, NV,
89119, 480-984-8446 - 10,200,000 ($204,000.00) Equity,
(File 333-148835 - Jan. 24) (BR. 09)
SB-2 Adrenalina, 20855 NE 16 AVE, SUITE C-16, MIAMI, FL, 33179,
305-770-4488 - 8,353,000 ($8,770,650.00) Equity, (File 333-148836 -
Jan. 24) (BR. 05B)
S-3 BLG Securities Company, LLC, 4425 PONCE DE LEON BOULEVARD, 5TH FLOOR,
CORAL GABLES, FL, 33146, 305.341.5632 -
1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-148837 -
Jan. 24) (BR. 05D)
S-3ASR RIGEL PHARMACEUTICALS INC, 1180 VETERANS BOULEVARD,
SOUTH SAN FRANCISCO, CA, 94080, 0 ($0.00) Equity, (File 333-148838 -
Jan. 24) (BR. 01B)
S-3 Double-Take Software, Inc., 257 TURNPIKE ROAD, SUITE 210, SOUTHBOROUGH,
MA, 01772, 508-229-8810 - 0 ($47,735,940.00) Equity, (File 333-148840 -
Jan. 24) (BR. 03A)
S-8 QUALCOMM INC/DE, 5775 MOREHOUSE DR, SAN DIEGO, CA, 92121, 8585871121 -
0 ($3,606,227.00) Equity, (File 333-148841 - Jan. 24) (BR. 11B)
SB-2 United Liberty Business Services, 6126 FALKIRK COURT, LEAGUE CITY, TX,
77573, 281-554-9560 - 3,500,000 ($70,000.00) Equity, (File 333-148842 -
Jan. 24) (BR. 06)
S-8 GEOVIC MINING CORP., 743 HORIZON COURT, SUITE 300A, GRAND JUNCTION, CO,
81506, (970) 256-9681 - 18,700,000 ($29,733,000.00) Equity,
(File 333-148843 - Jan. 24) (BR. 04C)
S-8 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 -
0 ($1,962,800,000.00) Equity, (File 333-148844 - Jan. 24) (BR. 07A)
S-1 uVuMobile, Inc, 3505 KOGER BOULEVARD, SUITE 400, DELUTH, GA, 30093,
770-279-3100 - 0 ($5,302,298.00) Equity, (File 333-148845 - Jan. 24)
(BR. 03B)
S-8 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 -
0 ($2,500,000.00) Equity, (File 333-148846 - Jan. 24) (BR. 07A)
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 Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain 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
5.06 Change in Shell Company Status
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
-------------------------------------------------------------------------------------------------------
1 800 FLOWERS COM INC DE 2.02,9.01 01/24/08
1ST SOURCE CORP IN 2.02,9.01 12/31/07
3D SYSTEMS CORP DE 5.02,9.01 01/24/08
ABIOMED INC DE 8.01,9.01 01/17/08
ACCESS WORLDWIDE COMMUNICATIONS INC DE 3.02,8.01,9.01 01/17/08
ACME UNITED CORP CT 8.01,9.01 01/23/08
ACTION PRODUCTS INTERNATIONAL INC FL 7.01 01/23/08
ADOLOR CORP 8.01,9.01 01/23/08
AEROSONIC CORP /DE/ DE 1.01,5.02,9.01 01/21/08
AFFILIATED MANAGERS GROUP INC DE 3.02 01/17/08
Affinity Media International Corp., DE 9.01 01/23/08 AMEND
AFFIRMATIVE INSURANCE HOLDINGS INC DE 8.01,9.01 01/24/08
AGCO CORP /DE DE 5.02,9.01 01/24/08
ALABAMA NATIONAL BANCORPORATION DE 8.01,9.01 01/24/08
ALASKA AIR GROUP INC DE 2.02,9.01 01/24/08
ALICO INC FL 5.02,8.01,9.01 01/18/08
ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 01/23/08
ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 01/23/08
Allis Chalmers Energy Inc. DE 1.01,8.01,9.01 01/23/08
Alternative Loan Trust Resecuritizati DE 8.01,9.01 01/18/08
AMERICAN BILTRITE INC DE 8.01,9.01 01/17/08
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 5.02,9.01 01/18/08
AMERICAN REALTY INVESTORS INC NV 8.01 01/07/08
AMERICAN SAFETY INSURANCE HOLDINGS LT 5.02 01/19/08
AMERIPRISE FINANCIAL INC DE 2.02,9.01 01/24/08
AMERISOURCEBERGEN CORP DE 2.02,8.01,9.01 01/24/08
AMETEK INC/ DE 2.02,9.01 01/23/08
AMGEN INC DE 2.02,9.01 01/24/08
AMS HEALTH SCIENCES INC OK 9.01 01/23/08
ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 01/23/08
ANNALY CAPITAL MANAGEMENT INC MD 1.01,9.01 01/23/08
Answers CORP 1.01,9.01 01/23/08
ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 01/23/08
AON CORP DE 5.02 01/17/08
AON CORP DE 5.02 09/21/07 AMEND
AP PHARMA INC /DE/ DE 5.02 01/18/08
APOLLO GROUP INC AZ 7.01,9.01 01/24/08
APPLERA CORP DE 2.02,9.01 01/24/08
APPLIED DNA SCIENCES INC NV 1.01,2.03,3.02,9.01 01/17/08
ARIBA INC DE 1.01,2.02,9.01 01/19/08
ASHFORD HOSPITALITY TRUST INC MD 1.01,7.01,9.01 01/22/08
ASSURED GUARANTY LTD 2.02,9.01 01/24/08
ASTA FUNDING INC DE 5.02 01/17/08
ASTORIA FINANCIAL CORP DE 2.02,8.01,9.01 01/23/08
AT&T INC. DE 2.02,9.01 01/24/08
Atlas Energy Resources, LLC DE 1.01,2.03,9.01 01/23/08
AURIGA LABORATORIES, INC. DE 1.02,4.01,5.02,9.01 01/24/08
AVENUE GROUP INC DE 8.01,9.01 01/16/08
AVIS BUDGET GROUP, INC. DE 2.02,9.01 01/23/08
AVNET INC NY 2.02,9.01 01/24/08
AVOCENT CORP DE 2.02,5.02,9.01 01/23/08
AVX CORP DE 2.02,9.01 12/31/07
BALL CORP IN 2.02,3.03,5.02,5.03,9.01 01/23/08
BANCORP RHODE ISLAND INC 2.02,9.01 01/24/08
BANCORPSOUTH INC MS 2.02,9.01 01/23/08
BANK OF FLORIDA CORP FL 2.02,9.01 01/24/08
Bank of New York Mellon CORP 2.02,9.01 01/17/08
BANKUNITED FINANCIAL CORP FL 2.02,9.01 01/24/08
Basin Water, Inc. DE 5.02 01/17/08
BAXTER INTERNATIONAL INC DE 2.02,9.01 01/24/08
BB&T CORP NC 5.02,9.01 01/22/08
BB&T CORP NC 5.02 12/11/07 AMEND
BECTON DICKINSON & CO NJ 2.02,9.01 01/24/08
BETTER BIODIESEL, INC 1.01,3.02,5.02,9.01 01/18/08
BigString CORP DE 8.01,9.01 01/17/08
BNC CORP Mortgage Loan Trust 2007-BNC 8.01,9.01 01/08/08 AMEND
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,5.02,7.01,9.01 01/23/08
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 01/24/08
BOWNE & CO INC DE 2.01,9.01 11/07/07 AMEND
BREEZE-EASTERN CORP DE 2.02,9.01 01/24/08
BRINKER INTERNATIONAL INC DE 2.02,9.01 01/23/08
BROADCOM CORP CA 2.02,9.01 01/24/08
Bronco Drilling Company, Inc. DE 1.01,7.01,9.01 01/23/08
BULLION MONARCH MINING, INC. 7.01,9.01 01/24/08
CabelTel International Corp NV 2.01 01/21/08
CabelTel International Corp NV 1.01 01/15/08 AMEND
CABOT CORP DE 2.02,9.01 01/23/08
CABOT MICROELECTRONICS CORP DE 2.02,9.01 01/24/08
CADENCE FINANCIAL CORP MS 2.02,9.01 01/24/08
CALIFORNIA WATER SERVICE GROUP DE 8.01,9.01 01/23/08
CALLWAVE INC 2.05,5.02,9.01 01/23/08
CARDICA INC DE 2.02,9.01 01/24/08
CAREER EDUCATION CORP DE 8.01 01/17/08
CARMAX AUTO FUNDING LLC DE 8.01,9.01 01/22/08
CASCADE BANCORP OR 2.02,9.01 01/23/08
CATERPILLAR INC DE 7.01 01/24/08
CATHAY GENERAL BANCORP DE 2.02,9.01 01/24/08
CAVCO INDUSTRIES INC DE 2.02,9.01 01/24/08
CEDAR FAIR L P DE 5.02 01/18/08
CELADON GROUP INC DE 1.01,2.02,9.01 01/22/08
CELGENE CORP /DE/ DE 8.01,9.01 01/24/08
CENVEO, INC CO 7.01,9.01 01/23/08
Cereplast Inc 5.02 01/22/08
CH ENERGY GROUP INC NY 1.01,2.03,9.01 01/18/08
Chemtura CORP DE 5.02,9.01 01/21/08
CHESAPEAKE ENERGY CORP OK 8.01,9.01 01/22/08
CHESAPEAKE UTILITIES CORP DE 5.02 01/24/08
CHILDRENS PLACE RETAIL STORES INC 5.02,9.01 01/18/08
CHIMERA INVESTMENT CORP DE 1.01,9.01 01/18/08
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 01/18/08
CHOICE HOTELS INTERNATIONAL INC /DE DE 1.01 01/23/08
CHOICEPOINT INC GA 2.02,8.01,9.01 01/24/08
CIENA CORP DE 1.01,3.02,9.01 01/22/08
CITIZENS FINANCIAL CORP/DE/ DE 2.02,9.01 01/24/08
CITIZENS FINANCIAL SERVICES INC PA 2.02,9.01 01/24/08
CITIZENS REPUBLIC BANCORP, INC. MI 5.02 01/17/08
CITY HOLDING CO WV 2.02,9.01 01/23/08
CITY NATIONAL CORP DE 2.02 01/24/08
CKX, Inc. DE 1.01,9.01 01/23/08
CKX, Inc. DE 8.01,9.01 01/24/08
CKX, Inc. DE 8.01,9.01 01/24/08
CLARCOR INC DE 5.02,9.01 01/23/08
CLEARONE COMMUNICATIONS INC UT 8.01 01/24/08
CMARK INTERNATIONAL INC 4.01,9.01 12/26/07
CNA FINANCIAL CORP DE 2.02,9.01 01/24/08
CNB FINANCIAL CORP/PA PA 2.06 01/24/08
COACH INC MD 2.02,9.01 01/23/08
COHERENT INC DE 5.03,8.01 01/18/08
COLUMBUS MCKINNON CORP NY 2.02,9.01 01/24/08
COMBINATORX, INC DE 8.01,9.01 01/24/08
COMMUNICATE COM INC NV 2.02,9.01 01/23/08
Community Bancorp NV 5.02,9.01 01/24/08
COMPUTER PROGRAMS & SYSTEMS INC DE 5.02 01/23/08
COMSYS IT PARTNERS INC DE 2.02,9.01 01/24/08
CONEXANT SYSTEMS INC DE 2.02,9.01 01/24/08
CONSOLIDATED EDISON INC NY 2.02,5.02,5.03,9.01 01/17/08
CONSTITUTION MINING CORP NV 1.01,2.01,5.06,8.01,9.01 01/18/08
CONTANGO OIL & GAS CO DE 1.01,9.01 01/17/08
Converted Organics Inc. DE 8.01 01/24/08
COOPER INDUSTRIES LTD 2.02,9.01 01/24/08
COVANCE INC DE 5.02 01/21/08
CRIMSON EXPLORATION INC. 3.02 01/18/08
CROSSTEX ENERGY INC DE 7.01,9.01 01/24/08
CROSSTEX ENERGY LP DE 7.01,9.01 01/24/08
CSS INDUSTRIES INC DE 2.02,9.01 01/24/08
CUISINE SOLUTIONS INC DE 2.02,9.01 01/23/08
CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 01/24/08
CYTRX CORP DE 5.03,9.01 01/17/08
DANAHER CORP /DE/ DE 2.02,9.01 01/23/08
DATAMEG CORP DE 2.01,9.01 12/07/07 AMEND
DAYTON SUPERIOR CORP DE 8.01,9.01 01/23/08
DEAN FOODS CO DE 8.01,9.01 01/23/08
DELUXE CORP MN 2.02,9.01 01/24/08
DERMA SCIENCES, INC. PA 2.01,9.01 11/09/07 AMEND
DEVRY INC DE 2.02,9.01 01/24/08
DIMECO INC PA 2.02,9.01 01/23/08
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 2.02,7.01,9.01 01/24/08
DOVER MOTORSPORTS INC DE 2.02,7.01,9.01 01/24/08
DTS, INC. DE 5.02,9.01 01/22/08
DUCKWALL ALCO STORES INC KS 1.01,2.03,7.01,9.01 01/18/08
Dynamic Natural Resources Inc. NV 5.02,9.01 01/23/08
E TRADE FINANCIAL CORP DE 2.02,9.01 01/24/08
EAGLE BANCORP INC MD 2.02,7.01,9.01 01/23/08
EASTERN VIRGINIA BANKSHARES INC VA 2.02,9.01 01/18/08
EASTMAN CHEMICAL CO DE 2.02 01/24/08
Echo Therapeutics, Inc. MN 5.02 01/18/08
Education Management LLC DE 8.01 01/18/08
EL PASO CORP/DE DE 2.02,7.01,9.01 01/24/08
ELDORADO ARTESIAN SPRINGS INC CO 8.01,9.01 01/24/08
ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,5.02,8.01,9.01 01/22/08
EMERGING MEDIA HOLDINGS INC NV 7.01,9.01 01/24/08
EMULEX CORP /DE/ DE 2.02,9.01 01/24/08
Endeavor Explorations Inc. NV 1.01,7.01,9.01 01/23/08
Energy Services Acquisition Corp. 1.01,9.01 01/18/08
ENERNOC INC 5.02,9.01 01/07/08 AMEND
ESSA Bancorp, Inc. PA 2.02,9.01 01/24/08
ETHANEX ENERGY, INC. NV 3.03,8.01 01/24/08
Ethos Environmental, Inc. NV 8.01,9.01 01/24/08
Ethos Environmental, Inc. NV 9.01 01/18/08
Ethos Environmental, Inc. NV 4.01,9.01 11/30/07 AMEND
EVERGREENBANCORP INC WA 8.01,9.01 01/24/08
EXELIXIS INC DE 8.01 01/18/08
EZCORP INC DE 2.02,9.01 01/24/08
F5 NETWORKS INC WA 5.02 01/18/08
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 01/24/08
FAIRPOINT COMMUNICATIONS INC DE 1.01,8.01,9.01 01/23/08
Federal Home Loan Bank of Atlanta X1 2.03 01/18/08
Federal Home Loan Bank of Boston X1 2.03 01/18/08
Federal Home Loan Bank of Chicago X1 2.03 01/22/08
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/22/08
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/22/08
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/18/08
Federal Home Loan Bank of New York X1 2.03,9.01 01/18/08
Federal Home Loan Bank of New York X1 5.02 01/17/08
Federal Home Loan Bank of New York X1 5.02 11/06/07 AMEND
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/18/08
Federal Home Loan Bank of San Francis X1 2.03 01/18/08
Federal Home Loan Bank of San Francis X1 5.02,9.01 01/22/08 AMEND
Federal Home Loan Bank of Seattle 2.03 01/24/08
Federal Home Loan Bank of Topeka 2.03 01/22/08
FIRST MERCHANTS CORP IN 5.02,9.01 01/24/08
FIRST SECURITY GROUP INC/TN TN 2.02 01/24/08
Flagship Global Health, Inc. DE 5.03,9.01 01/21/08
FLOTEK INDUSTRIES INC/CN/ DE 7.01,9.01 01/23/08
FNB CORP \VA\ VA 2.02,9.01 01/23/08
FORD MOTOR CO DE 2.02,8.01,9.01 01/23/08
FORD MOTOR CREDIT CO LLC DE 2.02,9.01 01/24/08
FRANKLIN RESOURCES INC DE 2.02,8.01,9.01 01/24/08
FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 01/23/08
FUSHI INTERNATIONAL INC NV 5.02 01/21/08
GABRIEL TECHNOLOGIES CORP DE 7.01 01/15/08
GATEWAY FINANCIAL HOLDINGS INC NC 8.01,9.01 01/24/08
GATX CORP NY 2.02,7.01,9.01 01/24/08
GENCORP INC OH 2.02,7.01,9.01 01/24/08
GENVEC INC DE 1.01,9.01 01/18/08
GeoPharma, Inc. FL 5.02 01/18/08
GLOBAL PARTNERS LP 7.01,9.01 01/24/08
GOLD CREST MINES INC 5.02 01/24/08
GOLDEN CLAW VENTURES INC. 4.01,9.01 01/02/08 AMEND
GRAN TIERRA ENERGY, INC. NV 7.01,9.01 01/24/08
Grande Communications Holdings, Inc. DE 5.02 01/21/08
GREAT SOUTHERN BANCORP INC MD 2.02,9.01 01/17/08
GROUP 1 AUTOMOTIVE INC DE 1.01 01/16/08
GSE SYSTEMS INC DE 5.02 01/24/08
GSI COMMERCE INC DE 2.02,9.01 01/24/08
GTSI CORP DE 2.02,7.01,9.01 01/22/08
H&R BLOCK INC MO 1.01 01/22/08
HAMPTON ROADS BANKSHARES INC VA 8.01 01/23/08
HANCOCK HOLDING CO MS 8.01,9.01 01/22/08
HARLEYSVILLE NATIONAL CORP PA 2.02,9.01 01/24/08
HARLEYSVILLE NATIONAL CORP PA 5.02,9.01 01/17/08
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 01/24/08
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 01/24/08
HENNESSY ADVISORS INC 2.02,9.01 01/24/08
HERITAGE OAKS BANCORP CA 2.02,9.01 01/23/08
HERITAGE OAKS BANCORP CA 8.01,9.01 01/23/08
HERSHEY CO DE 2.02,9.01 12/31/07
HEWLETT PACKARD CO DE 5.02,9.01 01/17/08
Hi-Tech Wealth Inc. NV 2.03,9.01 01/11/08
HIBBETT SPORTS INC 1.01,9.01 01/18/08
Horne International, Inc. DE 1.01,7.01,9.01 01/17/08
HUBBELL INC CT 2.02 01/24/08
HUSKER AG LLC NE 7.01,8.01,9.01 01/24/08
I2 TECHNOLOGIES INC DE 2.02,7.01,9.01 01/24/08
IA GLOBAL INC DE 1.01 01/07/08
IBERIABANK CORP LA 5.03,9.01 01/21/08
IDACORP INC ID 8.01,9.01 01/24/08
IHOP CORP DE 5.03,9.01 01/18/08
IKON OFFICE SOLUTIONS INC OH 2.02,2.05 01/22/08
IMPART MEDIA GROUP INC NV 3.01,8.01,9.01 01/18/08
INDEVUS PHARMACEUTICALS INC DE 8.01,9.01 01/22/08
Index Oil & Gas Inc. NV 7.01,9.01 01/22/08 AMEND
IndyMac IMJA Mortgage Loan Trust 2007 8.01,9.01 12/28/07
INLAND REAL ESTATE CORP MD 2.02 01/24/08
INNOVATIVE SOLUTIONS & SUPPORT INC PA 5.02 01/21/08
Inova Technology Inc. NV 1.01 01/22/08
INSPIRE PHARMACEUTICALS INC DE 8.01,9.01 01/23/08
INSPIRE PHARMACEUTICALS INC DE 7.01,9.01 01/24/08 AMEND
INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,5.02,7.01,9.01 01/23/08
INTELLON CORP DE 1.02,9.01 01/22/08
Interactive Brokers Group, Inc. DE 2.02,9.01 01/24/08
INTERNATIONAL SPEEDWAY CORP FL 2.02,7.01,8.01,9.01 01/24/08
INTERPHARM HOLDINGS INC DE 2.04 01/23/08
INTERSECTIONS INC DE 5.02 01/17/08
IONA TECHNOLOGIES PLC 2.02,7.01,9.01 01/24/08
ITERIS, INC. DE 2.02,9.01 01/24/08
ITT EDUCATIONAL SERVICES INC DE 2.02 01/24/08
J P MORGAN CHASE & CO DE 9.01 01/22/08
JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 01/22/08 AMEND
JANUS CAPITAL GROUP INC DE 2.02,9.01 01/24/08
JMG Exploration, Inc. NV 9.01 01/24/08
JUNIPER GROUP INC NY 1.01,2.03,3.02,9.01 01/24/08
JUNIPER NETWORKS INC DE 2.02,9.01 01/24/08
KEITHLEY INSTRUMENTS INC OH 2.02,9.01 01/24/08
KELLY SERVICES INC DE 2.02,9.01 01/24/08
KIMBERLY CLARK CORP DE 9.01 12/31/07
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 01/24/08
KINDER MORGAN MANAGEMENT LLC DE 7.01 01/24/08
KLA TENCOR CORP DE 2.02,8.01,9.01 01/24/08
KNIGHT TRANSPORTATION INC AZ 2.02,9.01 01/23/08
KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 01/24/08
LABORATORY CORP OF AMERICA HOLDINGS DE 1.01 01/24/08
LAM RESEARCH CORP DE 2.02,9.01 01/24/08
LANTRONIX INC DE 2.02,9.01 01/24/08
LAS VEGAS GAMING INC NV 1.01,9.01 12/21/07
LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 01/24/08
LBI MEDIA HOLDINGS INC 2.03 01/24/08
LEUCADIA NATIONAL CORP NY 5.02,9.01 01/17/08
LIBERTY STAR URANIUM & METALS CORP. NV 7.01,9.01 01/23/08
Live Nation, Inc. DE 1.01,2.01,9.01 01/23/08
LOCKHEED MARTIN CORP MD 2.02,9.01 01/24/08
LOEWS CORP DE 7.01 01/24/08
LOGICA HOLDINGS INC 9.01 07/13/07 AMEND
LSI INDUSTRIES INC OH 2.02,9.01 01/24/08
MAC-GRAY CORP DE 5.02,9.01 01/17/08
Magyar Bancorp, Inc. DE 2.02,9.01 01/23/08
MARKEL CORP VA 2.02,9.01 01/24/08
MARSHALL & ILSLEY CORP WI 9.01 01/23/08
MASSBANK CORP DE 2.02,9.01 01/22/08
MATTHEWS INTERNATIONAL CORP PA 2.02,9.01 01/24/08
MAX CAPITAL GROUP LTD. 2.02,8.01,9.01 01/24/08
MAXIM INTEGRATED PRODUCTS INC DE 4.02,8.01,9.01 01/17/08
MBIA INC CT 7.01,8.01,9.01 01/22/08
MBT FINANCIAL CORP MI 2.02,7.01,9.01 01/22/08
MCGRAW-HILL COMPANIES INC NY 2.02,7.01,9.01 01/24/08
MEDAREX INC NJ 5.02,9.01 01/17/08
Medefile International, Inc. NV 1.01,2.03,3.02,8.01,9.01 11/15/07
MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 01/24/08
Mercantile Bancorp, Inc. DE 2.02,9.01 01/24/08
MERCHANTS BANCSHARES INC DE 2.02,9.01 01/17/08
MERCURY COMPUTER SYSTEMS INC MA 5.03,9.01 01/21/08
MERIDIAN INTERSTATE BANCORP INC MA 3.02 01/22/08
MERRILL LYNCH & CO INC DE 7.01 01/23/08
Metavante Technologies, Inc. 2.02,2.06,9.01 01/22/08
MGP INGREDIENTS INC KS 7.01,9.01 01/24/08
MICROCHIP TECHNOLOGY INC DE 2.02,9.01 12/31/07
MICROPAC INDUSTRIES INC DE 5.02 01/24/08
MICROSEMI CORP DE 2.02 01/24/08
MICROSOFT CORP WA 2.02,9.01 01/24/08
MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 01/24/08
Millennium India Acquisition CO Inc. DE 2.01,5.06,8.01,9.01 01/21/08
MINRAD INTERNATIONAL, INC. 5.02,8.01 01/14/08 AMEND
MOSAIC CO 1.01 01/23/08
MOVIE GALLERY INC DE 8.01,9.01 01/22/08
MS STRUCTURED SATURNS SERIES 2003-12 DE 8.01,9.01 01/18/08
N-VIRO INTERNATIONAL CORP DE 5.02,8.01,9.01 01/21/08
NANOSENSORS INC 1.01,2.01,3.02,5.01,5.02,5.06, 01/17/08
9.01
NATIONAL FUEL GAS CO NJ 1.01,5.02,9.01 01/24/08
nCoat, Inc. DE 1.01,7.01,8.01,9.01 06/19/07 AMEND
Neenah Paper Inc DE 8.01,9.01 01/24/08
NELNET INC NE 2.02,2.05,2.06,9.01 01/23/08
NEUROLOGIX INC/DE DE 8.01 01/23/08
NEVADA GOLD & CASINOS INC NV 1.01,8.01,9.01 01/22/08
NEW JERSEY RESOURCES CORP NJ 5.02,7.01,9.01 01/23/08
NEW PARADIGM PRODUCTIONS INC NV 5.03,5.05,8.01,9.01 12/21/07
NEWBRIDGE BANCORP NC 2.02,9.01 01/22/08
NEXITY FINANCIAL CORP DE 8.01,9.01 01/24/08
NEXT INC/TN DE 5.02 01/18/08
NOBLE CORP 2.02,9.01 01/23/08
NORTH POINTE HOLDINGS CORP 7.01,9.01 01/23/08
NORTHROP GRUMMAN CORP /DE/ DE 2.02,9.01 01/24/08
NORTHWEST BANCORP INC PA 2.02,9.01 01/23/08
NOVADEL PHARMA INC DE 8.01 01/24/08
NSTAR/MA MA 2.02,9.01 12/31/07
NTELOS HOLDINGS CORP 2.02,9.01 01/24/08
NUCOR CORP DE 2.02,9.01 01/24/08
OPENWAVE SYSTEMS INC DE 2.02,9.01 01/24/08
ORAGENICS INC FL 5.02,9.01 01/21/08
Orexigen Therapeutics, Inc. DE 8.01,9.01 01/23/08
OSAGE BANCSHARES, INC. MD 2.02,8.01,9.01 01/24/08
OSAGE BANCSHARES, INC. MD 8.01,9.01 01/24/08
OVERLAND STORAGE INC CA 2.02,9.01 01/24/08
OXFORD INDUSTRIES INC GA 5.02 01/18/08
PAREXEL INTERNATIONAL CORP MA 2.02,9.01 01/23/08
PARTNERRE LTD 7.01,9.01 01/24/08
PATRIOT NATIONAL BANCORP INC CT 1.01,9.01 01/23/08
PCMT CORP DE 5.02 01/23/08
People's United Financial, Inc. DE 2.02,9.01 01/17/08
PEOPLES BANCORP INC OH 2.02 01/24/08
PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 01/22/08
PEREGRINE PHARMACEUTICALS INC DE 3.01,9.01 01/23/08
PERKINELMER INC MA 2.02,9.01 01/24/08
PETMED EXPRESS INC FL 8.01,9.01 01/14/08
PETMED EXPRESS INC FL 8.01,9.01 01/22/08
PETROHAWK ENERGY CORP DE 9.01 11/30/07 AMEND
PHARMACYCLICS INC DE 2.02,9.01 01/24/08
PHARMION CORP 8.01 01/24/08
PHARSIGHT CORP CA 2.02,9.01 01/24/08
PLATINA ENERGY GROUP INC. DE 1.01,9.01 01/24/08
PLATO LEARNING INC DE 5.02,9.01 01/22/08
PMC SIERRA INC DE 2.02,9.01 01/24/08
Polaris Acquisition Corp. DE 8.01,9.01 01/17/08
POPULAR INC 1.01,2.02,2.05,2.06,9.01 01/17/08
POST PROPERTIES INC GA 8.01,9.01 01/23/08
POTASH CORP OF SASKATCHEWAN INC 2.02,9.01 01/24/08
POWER EFFICIENCY CORP DE 1.01,3.02,9.01 01/21/08
PRESSTEK INC /DE/ DE 2.02,9.01 01/24/08
PRICESMART INC DE 2.02,9.01 01/24/08
Propex Inc. DE 1.01,1.03,9.01 01/18/08
PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,9.01 01/24/08
PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 01/24/08
PRUDENTIAL FINANCIAL INC NJ 2.03 01/24/08
PSI CORP NV 4.01,9.01 01/22/08 AMEND
PVF CAPITAL CORP OH 2.02,9.01 01/23/08
QNB CORP PA 2.02,8.01,9.01 01/24/08
Quantum Ventures Inc. NV 8.01,9.01 01/24/08
Quantum Ventures Inc. NV 8.01,9.01 01/24/08 AMEND
Quest Energy Partners, L.P. DE 7.01,9.01 01/23/08
RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 01/23/08
RAYONIER INC NC 2.02,9.01 01/24/08
REGIONS FINANCIAL CORP DE 5.02 01/17/08
RESPIRONICS INC DE 2.02 01/24/08
RESTORATION HARDWARE INC CA 1.01,2.03,7.01,9.01 01/24/08
Revett Minerals Inc. A6 8.01,9.01 01/24/08
Revolutions Medical CORP NV 4.02,9.01 12/07/07 AMEND
RIDGEWOOD ELECTRIC POWER TRUST IV DE 8.01,9.01 01/23/08
RIDGEWOOD ELECTRIC POWER TRUST V DE 8.01,9.01 01/23/08
RIDGEWOOD POWER GROWTH FUND /NJ DE 8.01,9.01 01/23/08
RIGEL PHARMACEUTICALS INC DE 2.02 01/24/08
RIVERVIEW BANCORP INC WA 2.02,9.01 01/11/08
RLI CORP IL 7.01,9.01 01/23/08
Rock-Tenn CO GA 2.02,9.01 01/23/08
ROCKWELL COLLINS INC DE 2.02,7.01,9.01 01/24/08
ROME BANCORP INC DE 2.02,9.01 01/23/08
ROOMLINX INC NV 7.01,9.01 01/22/08
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02,9.01 01/18/08
Royal Blue Exploration, Inc. NV 5.02 01/23/08
RUBICON FINANCIAL INC DE 1.01,9.01 01/23/08
RURBAN FINANCIAL CORP OH 2.02,7.01,9.01 01/23/08
RxElite, Inc. 1.01,9.01 01/21/08
SALIX PHARMACEUTICALS LTD 8.01,9.01 01/24/08
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 01/24/08
SANDY SPRING BANCORP INC MD 2.02,9.01 01/24/08
SBA COMMUNICATIONS CORP FL 1.01,2.03,7.01,9.01 01/18/08
SCANSOURCE INC SC 2.02,9.01 01/24/08
SCANSOURCE INC SC 8.01,9.01 01/24/08
SCHLUMBERGER LTD /NV/ P8 5.02 01/17/08
SCM MICROSYSTEMS INC DE 5.02,9.01 01/21/08
SEAMLESS WI-FI, INC. 4.01 11/19/07
Security Capital Assurance Ltd D0 7.01,8.01,9.01 01/23/08
Security Capital Assurance Ltd D0 8.01 01/23/08
SELECTIVE INSURANCE GROUP INC NJ 2.02,9.01 01/23/08
SHUFFLE MASTER INC MN 5.02 01/22/08
Silver Pearl Enterprises, Inc. TX 2.01,8.01 01/24/08
SIMTROL INC DE 3.02 01/22/08
SKY PETROLEUM, INC. NV 5.02 01/24/08
SM&A DE 5.02,9.01 01/17/08
SMARTIRE SYSTEMS INC 1.01,2.03,3.02,9.01 01/22/08
SOMBRIO CAPITAL CORP NV 4.01,9.01 10/06/07
SONIC FOUNDRY INC MD 2.02,9.01 01/24/08
SOUTH FINANCIAL GROUP INC SC 2.02,9.01 01/24/08
SOUTH TEXAS OIL CO NV 3.03,5.02,5.03,9.01 01/23/08
SOUTHCOAST FINANCIAL CORP SC 2.02,7.01,9.01 01/17/08
SOUTHERN COMMUNITY FINANCIAL CORP 8.01,9.01 01/24/08
SOVEREIGN BANCORP INC PA 2.02,9.01 01/23/08
SPHERION CORP DE 7.01,9.01 01/22/08
Sports Properties Acquisition Corp. DE 1.01,5.03,8.01,9.01 01/17/08
SPRINT NEXTEL CORP KS 5.02,8.01,9.01 01/23/08
ST JOE CO FL 1.01,2.03,9.01 01/23/08
Star Resorts Development Inc. NV 1.01,9.01 01/21/08
STEAK & SHAKE CO IN 2.02,9.01 01/24/08
STEELCLOUD INC VA 4.02 01/21/08
Stewart & Stevenson LLC DE 7.01,9.01 01/24/08
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 01/24/08
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 01/24/08
SUN BANCORP INC /NJ/ NJ 5.02 12/24/07
SUN MICROSYSTEMS, INC. DE 2.02,9.01 01/24/08
SUNAIR SERVICES CORP FL 5.02,8.01,9.01 01/18/08
SUNLINK HEALTH SYSTEMS INC OH 8.01,9.01 01/16/08
SUNOCO LOGISTICS PARTNERS LP DE 2.02,5.02,5.03,7.01,9.01 01/24/08
SunOpta Inc. 2.02,4.02,8.01,9.01 01/24/08
SUNPOWER CORP CA 1.01 01/18/08
SUNPOWER CORP CA 2.02,9.01 01/24/08
SVB FINANCIAL GROUP 2.02,9.01 01/24/08
SYNAPTICS INC CA 2.02,9.01 01/24/08
SYNOVUS FINANCIAL CORP GA 2.02,5.02,7.01,9.01 01/24/08
SYNPLICITY INC CA 5.02,8.01,9.01 01/18/08
TECHE HOLDING CO LA 2.02,9.01 01/24/08
TECHNITROL INC PA 2.02,9.01 01/24/08
TELEDYNE TECHNOLOGIES INC DE 2.02,5.02,9.01 01/22/08
Teleplus World, Corp. 8.01,9.01 01/15/08
TELOMOLECULAR CORP DE 4.02,9.01 01/23/08 AMEND
TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 01/24/08
TENNECO INC DE 2.02,8.01,9.01 01/24/08
TEPPCO PARTNERS LP DE 1.01,2.03,9.01 01/17/08
TERADYNE, INC MA 2.02,5.02,8.01,9.01 01/21/08
TEXTRON INC DE 2.02,9.01 01/24/08
THERMAGE INC DE 5.02,8.01,9.01 01/24/08
TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 01/24/08
TOTAL SYSTEM SERVICES INC GA 2.02,7.01,9.01 01/23/08
TOWN SPORTS INTERNATIONAL INC NY 5.02,9.01 01/22/08
TRACKPOWER INC WY 8.01 01/17/08
TRANQUILITY INC 4.01 12/24/07
TRANSWITCH CORP /DE DE 2.02,9.01 01/24/08
Tremisis Energy Acquisition CORP II DE 8.01,9.01 01/24/08
TRIMBLE NAVIGATION LTD /CA/ CA 2.02,8.01,9.01 01/23/08
TRINITY CAPITAL CORP NM 2.02,9.01 12/31/07
TUTOGEN MEDICAL INC FL 5.02,8.01 01/22/08
TUTOGEN MEDICAL INC FL 5.02,8.01 01/22/08
TXCO Resources Inc DE 8.01 01/23/08
U S ENERGY SYSTEMS INC DE 8.01,9.01 01/24/08
UMPQUA HOLDINGS CORP OR 2.02,9.01 01/24/08
UNION PACIFIC CORP UT 2.02,9.01 01/24/08
UNITED BANKSHARES INC/WV WV 2.02,9.01 01/24/08
UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 01/23/08
UNITED SECURITY BANCSHARES CA 2.02,9.01 01/16/08
UNIVEST CORP OF PENNSYLVANIA PA 2.02,5.02,9.01 01/23/08
US AIRWAYS GROUP INC DE 2.02,9.01 01/24/08
US AIRWAYS GROUP INC DE 7.01,9.01 01/24/08
USA TRUCK INC DE 2.02,9.01 12/31/07
UST INC DE 2.02,9.01 01/24/08
VAALCO ENERGY INC /DE/ DE 8.01,9.01 01/22/08
VALLEY NATIONAL BANCORP NJ 2.02,9.01 01/24/08
VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 2.02,9.01 01/24/08
ViewPoint Financial Group X1 8.01,9.01 01/23/08
VIGNETTE CORP DE 2.02,9.01 01/10/08
VIGNETTE CORP DE 5.02 01/24/08
VISION SCIENCES INC /DE/ DE 1.01,2.03,9.01 01/24/08
VISTA GOLD CORP 7.01,9.01 01/17/08
VISTAPRINT LTD D0 2.02,9.01 01/24/08
VIVUS INC CA 8.01,9.01 01/24/08
VMWARE, INC. DE 5.02 01/17/08
VOIP INC 1.01,2.03,3.02,8.01,9.01 01/18/08
WEBSTER FINANCIAL CORP DE 2.02,9.01 01/24/08
WEGENER CORP DE 8.01 01/22/08
WELLS FARGO & CO/MN DE 9.01 01/24/08
WERNER ENTERPRISES INC NE 2.02,9.01 01/23/08
WESBANCO INC WV 8.01,9.01 01/24/08
WESTAMERICA BANCORPORATION CA 8.01 01/24/08
WESTFIELD FINANCIAL INC MA 2.02,9.01 01/23/08
WILLIAMS PIPELINE PARTNERS L.P. DE 1.01,7.01,9.01 01/17/08
WINSONIC DIGITAL MEDIA GROUP LTD NV 1.01,3.02,9.01 12/28/07
WINTRUST FINANCIAL CORP IL 2.02,9.01 01/23/08
WORLD ACCEPTANCE CORP SC 2.02,7.01,9.01 01/24/08
XEROX CORP NY 2.02,9.01 01/24/08
XL CAPITAL LTD 2.02,9.01 01/23/08
ZILOG INC CA 8.01,9.01 01/23/08
ZION OIL & GAS INC DE 1.01,9.01 12/04/07
ZIONS BANCORPORATION /UT/ UT 2.02,9.01 01/24/08
ZIPREALTY INC 5.02 01/17/08
ZOLL MEDICAL CORP MA 2.02,9.01 01/24/08
http://www.sec.gov/news/digest/2008/dig012508.htm
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