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SEC NEWS DIGEST
Issue 2007-169 August 31, 2007
COMMISSION ANNOUNCEMENTS
COMMISSION MEETINGS
CLOSED MEETING - MONDAY, SEPTEMBER 10, 2007 - 2:00 P.M.
The subject matter of the closed meeting scheduled for Monday,
September 10, will be: Formal orders of investigations; Institution
and settlement of injunctive actions; Institution and settlement of
administrative proceedings of an enforcement nature; and Resolution of
litigation claims.
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
IN THE MATTER OF DAVID A. MILLER, CPA
On August 30, the Commission issued an Order Instituting Cease-and-
Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist
Order Pursuant to Section 21C of the Securities Exchange Act of 1934
(Order) against David A. Miller of Houston, Texas.
The Order finds that during 2003 and 2004, Miller, the former Chief
Accounting Officer of Integrated Electrical Services, Inc. (IES),
failed to ensure IES's proper disclosure of two material loss
contingencies that existed on two electrical construction contracts at
Pan American Electric, Inc, an IES subsidiary. In addition, the Order
finds that during 2003 and 2004, Miller failed to ensure IES's proper
disclosure of the changes IES made to its allowance for doubtful
accounts. As a result, the Order finds that Miller caused violations
of Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act)
and Rules 13a-1, 13a-13, and 12b-20 thereunder.
Based on the above, the Order directs Miller to cease and desist from
causing any violations and any future violations of Section 13(a) of
the Exchange Act and Rules 13a-1, 13a-13, and 12b-20 thereunder.
Miller consented to the issuance of the Order without admitting or
denying the findings therein. (Rel. 34-56341; AAE Rel. 2672; File No.
3-12741)
IN THE MATTER OF THE CATTLESALE CO., ET AL.
An Administrative Law Judge has issued an Order Making Findings and
Revoking Registrations by Default as to The CattleSale Co., GSL
Holdings, Inc., and Industrial Rubber Innovations, Inc. (Default
Order) in the matter of The CattleSale Co. The Order Instituting
Proceedings alleged that Respondents The CattleSale Co., GSL Holdings,
Inc., and Industrial Rubber Innovations, Inc., failed repeatedly to
file required annual and quarterly reports while their securities were
registered with the Securities and Exchange Commission. The Default
Order finds these allegations to be true and revokes the registration
of each class of registered securities of The CattleSale Co., GSL
Holdings, Inc., and Industrial Rubber Innovations, Inc., have with the
Commission, pursuant to Section 12(j) of the Securities Exchange Act
of 1934. (Rel. 34-56342; File No. 3-12706)
COMMISSION DENIES MOTION FOR RECONSIDERATION IN ROCKIES FUND, INC.
The Commission has denied a motion for reconsideration of its opinion
in the matter of The Rockies Fund, Inc., issued Dec. 7, 2006. The
matter was on remand to the Commission from the U.S. Court of Appeals
for the D.C. Circuit.
The Court of Appeals had affirmed the Commission's findings that The
Rockies Fund, Inc., a closed-end investment company, and its directors
Stephen Calandrella, Charles Powell, and Clifford Thygesen
(collectively, Respondents) violated antifraud provisions of the
Securities Exchange Act of 1934 by filing certain quarterly and annual
reports containing material misrepresentations. The Court of Appeals
remanded, however, for reconsideration of the sanctions imposed. On
remand, the Commission found that it was in the public interest to
impose cease-and-desist orders on all Respondents, to prohibit
Calandrella, Powell, and Thygesen from associating with or acting as
an affiliated person of an investment company, with a right to reapply
(after five years in the case of Calandrella and after three years in
the case of Powell and Thygesen), and to order Calandrella to pay a
civil money penalty of $50,000 and Powell and Thygesen to pay a civil
money penalty of $20,000 each.
In its order denying the motion for reconsideration, the Commission
stated that reconsideration is an extraordinary remedy, intended to
correct manifest errors of law or fact or to permit the presentation
of new or newly discovered evidence. The Commission determined that
Respondents' motion, which was based on a reworking of arguments and
facts previously considered and rejected by the Commission and the
Court of Appeals, did not meet that standard, but was instead an
inappropriate attempt to avoid the finality of the Commission's
administrative process that afforded no basis for reconsideration.
(Rels. 34-56344; IC-27961; File No. 3-9615)
SEC v. INTEGRATED ELECTRICAL SERVICES, INC., HERBERT R. ALLEN, RICHARD
L. CHINA, THOMAS E. STALVEY, ERNEST P. BREAUX, JAMES M. CALCOTE, AND
J. CARL CANNON
On August 29, the Commission filed a Complaint against electrical
contracting company Integrated Electrical Services, Inc. (IES), and
its former Chief Executive Officer, Herbert R. Allen, former Chief
Operating Officer, Richard L. China, former Regional Operating
Officers, Ernest P. Breaux and Thomas E. Stalvey, former Regional
Controller, James M. Calcote, and former subsidiary president, J. Carl
Cannon, alleging that they engaged in numerous disclosure and
accounting violations in 2003 and 2004.
The Commission's complaint, filed in the Southern District of Texas,
alleges that over the course of four consecutive quarters during 2003
and 2004, IES failed to disclose in its Commission filings that the
collectibility of approximately $3 million in unsigned change orders
from two construction contracts was in dispute at one of its
subsidiaries, and that IES failed to appropriately reserve for these
material loss contingencies in its financial statements. The complaint
alleges that Cannon, the subsidiary president, represented to IES's
external auditors that the change orders were fully collectible at a
time when he knew they were in dispute. The impact of the disputed
change orders was material to IES's pre-tax income during the relevant
periods, and ultimately IES wrote off approximately 70% of the income
previously recorded from the change orders. In addition, the complaint
alleges that during three of those quarters, IES lowered its allowance
for doubtful accounts by approximately $1.8 million without proper
disclosure to investors. The complaint alleges that the individual
defendants - members of IES's senior, regional, and subsidiary
management - each knew that the collectibility of the unsigned change
orders was in dispute, and based on their respective conduct, aided
and abetted IES's disclosure and accounting violations.
The Commission's complaint alleges that IES violated Sections 13(a),
13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934
(Exchange Act) and Rules 12b-20, 13a-1, and 13a-13 thereunder. The
complaint further alleges that Allen, China, Breaux, Stalvey, Calcote,
and Cannon aided and abetted IES's violations of Sections 13(a) and
13(b)(2)(A) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13
thereunder. In addition, the complaint alleges that Allen violated
Exchange Act Rule 13a-14, Cannon violated Exchange Act Rule 13b2-2,
and China aided and abetted IES's violations of Section 13(b)(2)(B) of
the Exchange Act. The Defendants, without admitting or denying the
allegations set forth in the complaint, agreed to settle the
Commission's action by consenting to permanent injunctions against
their respective violations. [SEC v. Integrated Electrical Services,
Inc., Herbert R. Allen, Richard L. China, Thomas E. Stalvey, Ernest P.
Breaux, James M. Calcote, and J. Carl Cannon, Case No. 4:07-CV-2779
(MH) (S.D.Tex., Houston Division)] (LR-20261; AAE Rel. 2673)
SEC ANNOUNCES $3 MILLION FAIR FUND DISTRIBUTION TO PURCHASERS OF
BIOGEN IDEC COMMON STOCK
The Commission announces the distribution of approximately $3 million
to investors in connection with a settled insider trading action
previously brought against Thomas J. Bucknum, former general counsel
of Biogen Idec Inc.
On July 19, 2007, the U.S. District Court for the District of
Massachusetts approved the Commission's proposed distribution plan.
Pursuant to the distribution plan, persons or entities that purchased
shares of Biogen common stock on Feb.18, 2005, and held such shares
through to and until at least Feb. 28, 2005, are eligible to receive
monies from the distribution fund.
The Commission's complaint in this matter, filed in January 2006,
alleged that, on Feb. 18, 2005, Bucknum sold 89,700 shares of Biogen
stock after learning negative information about one of Biogen's major
drugs. The Commission's complaint further alleged that when Biogen
announced the information publicly on Feb. 28, 2005, the price of
Biogen's stock declined as a result.
In February 2006, the Court entered a final judgment by consent,
ordering Bucknum, among other things, to pay a total of $3,009,702 in
disgorgement of the ill-gotten gains from his trading, pre-judgment
interest and civil penalties. In September 2006, the Court appointed
Richard J. Yurko as the distribution agent to oversee the distribution
of these monies via a Fair Fund. [SEC v. Thomas J. Bucknum, Civil
Action No. 06-10065-PBS, USDC, D. Mass.] (LR-20262)
SEC v. LEONARD L. ZANELLO, SR., ET AL.
The Commission announced that on August 30the Honorable Willis B.
Hunt, Jr., United States District Court for the Northern District of
Georgia, entered a Final Judgment establishing disgorgement amounts
and civil penalties for Leonard L. Zanello, Sr. (Zanello), Ihor
A."Gary" Humesky (Humesky), Steven B. Rodd (Rodd), and Robert F.
Broege, Jr. (Broege). The Court ordered Zanello to pay $80,971 in
disgorgement and prejudgment interest, and ordered Humesky, Rodd and
Broege to pay disgorgement in the amounts of $156,366, $156,366, and
$73,000, respectively. The disgorgement amounts represent the
defendants' ill-gotten gains (sales commissions) from their
participation in a fraudulent investment scheme. The Court further
ordered each defendant to pay a civil penalty of $50,000. In early
2003, the Court entered orders against Zanello, Humesky, Rodd and
Broege, enjoining them from future violations of Sections 5(a), 5(c),
and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a)
of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The
defendants consented to the orders without without admitting or
denying the allegations of the Commission's complaint, which it filed
on Dec. 10, 2002. In consenting to the judgments, the defendants
agreed to defer the Court's determination of disgorgement and penalty
amounts to a later date.
The litigation relates to the investments that the defendants sold on
behalf of LinkTel Communications, Inc. (LinkTel), an Atlanta, Georgia
company that sold and operated pay telephones. Many of the investments
were marketed and sold to senior citizens as a means of generating
income to pay for the seniors' long-term care health insurance
policies. The complaint alleged that the defendants made material
misrepresentations and omissions in connection with the sale of the
investments. For example, the defendants falsely represented to
potential investors that they had investigated LinkTel and that it was
a profitable company. In addition, they told the investors that
LinkTel was a safe investment and that the investment was fully
insured. In fact, LinkTel was a fraudulent Ponzi scheme. The complaint
alleged that the defendants made the material misrepresentations about
the investments without conducting a reasonable investigation of
LinkTel's financial status. The defendants also significantly
understated their commissions in sales materials that they distributed
in connection with their sales of the LinkTel investments. [SEC v.
Leonard L. Zanello, Sr., Ihor A."Gary" Humesky, Steven B. Rodd, and
Robert F. Broege, Jr., Civil Action Number 1:02-CV-3308 (N.D. Ga.)]
(LR-20263)
SEC FILES EMERGENCY ACTION TO HALT PONZI SCHEME
On August 31, the Commission filed an emergency action against James
Blackman Roberts (Roberts), FOMAC International, Inc. (FOMAC), and
Consultores Las Tres Americas S.A. (Consultores LTA) to halt an
ongoing Ponzi scheme and freeze assets for the benefit of defrauded
investors. The complaint filed by the SEC alleges that, since 2002,
the defendants have raised at least $50 million in principal from
approximately 450 investors located primarily in the U.S. and Costa
Rica. The complaint further alleges that as early as 2005, the
defendants experienced significant losses while trading investor funds
in the Forex markets, misappropriated at least $3 million, and then
used new investor money to pay returns and principal to existing
investors. As a result, the complaint alleges, the defendants
misrepresented to investors that these Ponzi payments were actually
returns from their Forex trading.
The complaint charges Roberts, FOMAC, and Consultores LTA with
violating 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 complaint seeks preliminary and permanent
injunctions, asset freezes, the appointment of a receiver,
disgorgement of ill-gotten gains, and civil penalties against Roberts,
FOMAC, and Consultores LTA. The defendants, without admitting or
denying the allegations in the Commission's complaint, have agreed to
the entry of a preliminary injunction, and asset freeze, and the
appointment of a receiver to preserve, marshal, and recover funds and
assets for the benefit of defrauded investors, which was entered on
August 31 by the Honorable Leon Holmes, U.S District Judge for the
Eastern District of Arkansas. [SEC v. James B. Roberts, FOMAC
International, Inc., and Consultores Las Tres Americas S.A., Civil
Action No. 07-CV-786 (E.D. Ark.)] (LR-20264)
INVESTMENT COMPANY ACT RELEASES
MINNESOTA LIFE INSURANCE COMPANY, ET AL.
A notice has been issued giving interested persons until Sept. 24,
2007, to request a hearing on an application filed by Minnesota Life
Insurance Company (Minnesota Life), Variable Annuity Account, and
Securian Financial Services, Inc. (collectively, Applicants).
Applicants seek an order pursuant to Section 6(c) of the Investment
Company Act exempting them from the provisions of Sections 2(a)(32)
and 27(i)(2)(A) of the 1940 Act and Rule 22c-1 thereunder to the
extent necessary to permit recapture of certain credit enhancements
(Credit Enhancements) applied to purchase payments made in
consideration of certain deferred variable annuity contracts,
including data pages, riders and endorsements, described herein that
Minnesota Life intends to issue (the Current Contracts). Applicants
also request that the exemptive relief extend to: (1) any deferred
variable annuity contracts, including data pages, riders and
endorsements, substantially similar to the Current Contracts that
Minnesota Life may issue in the future (the Future Contracts) (Current
Contracts and Future Contracts referred to collectively as the
Contracts); (2) any other separate accounts of Minnesota Life and
their successors in interest that support the Contracts; and (3) any
National Association of Securities Dealers, Inc. member broker-dealers
controlling, controlled by, or under common control with any
Applicant, whether existing or created in the future, that in the
future, may act as principal underwriter for the Contracts. (Rel. IC-
27960 - August 30)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2007-76) relating to requirements for listing of Commodity-Linked
Securities and Currency-Linked Securities. Publication is expected in
the Federal Register during the week of September 3. (Rel. 34-56332)
A proposed rule change (SR-Amex-2007-35), as modified by Amendment No.
1 thereto, relating to the criteria for securities that underlie
options traded on the exchange has been filed by the American Stock
Exchange under Section 19(b)(2) of the Securities Exchange Act of
1934. Publication is expected in the Federal Register during the week
of September 3. (Rel. 34-56336)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the New York Stock Exchange to
institute a revised system of payments to specialist firms (SR NYSE-
2007 78) has become immediately effective under Section 19(b)(3)(A) of
the Securities Exchange Act of 1934 and Rule 19b-4(f)(2) thereunder.
Publication is expected in the Federal Register during the week of
September 3. (Rel. 34-56337)
A proposed rule change filed by the Chicago Board Options Exchange
(SR-CBOE-2007-94) relating to the Order Routing System order
cancellation fee 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 September 3. (Rel. 34-56338)
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-1 Convio, Inc., 11400 BURNET ROAD, BUILDING 5, SUITE 200, AUSTIN, TX,
78758, 512-652-2600 - 0 ($86,250,000.00) Equity, (File 333-145787 -
Aug. 30) (BR. 03)
SB-2 PACER HEALTH CORP, 7759 NW 146 STREET, -, MIAMI LAKES, FL, 33016,
3058287660 - 46,593,323 ($465,933.23) Equity, (File 333-145789 -
Aug. 30) (BR. 01B)
S-8 CENTRUE FINANCIAL CORP, 122 W MADISON STREET, --, OTTAWA, IL, 61350,
815-431-2815 - 0 ($7,253,850.00) Equity, (File 333-145790 - Aug. 30)
(BR. 07A)
S-8 CONCHO RESOURCES INC, 550 WEST TEXAS AVENUE, SUITE 1300, MIDLAND, TX,
79701, 432-683-7443 - 5,617,784 ($60,931,037.00) Equity,
(File 333-145791 - Aug. 30) (BR. 04C)
S-8 AMERICAN SOFTWARE INC, 470 E PACES FERRY RD NE, ATLANTA, GA, 30305,
4042614381 - 3,358,232 ($20,505,092.00) Equity, (File 333-145793 -
Aug. 30) (BR. 03A)
SB-2 Fairytale Ventures Inc, 5155 West Tropicana, 1094, Las Vegas, NV,
89103, 702-885-3072 - 1,590,000 ($11,925.00) Equity, (File 333-145794 -
Aug. 30) (BR. 05B)
S-8 WIRELESS RONIN TECHNOLOGIES INC, BAKER TECHNOLOGY PLAZA,
5929 BAKER ROAD, SUITE 475, MINNETONKA, MN, 55345, 952-564-3500 -
0 ($10,590,843.00) Equity, (File 333-145795 - Aug. 30) (BR. 03C)
SB-2 REFLECTIONS OF THE HEART, INC., 919 WILLOW SPRINGS LANE, GLENDORA, CA,
91741, 626-737-2644 - 1,055,000 ($105,500.00) Equity,
(File 333-145796 - Aug. 30) (BR. 02)
S-8 LOGILITY INC, 470 EAST PACES FERRY ROAD NE, ATLANTA, GA, 30305,
4042619777 - 1,191,060 ($8,840,699.00) Equity, (File 333-145797 -
Aug. 30) (BR. 03A)
SB-2 Everest Resources Corp., 9567 NAIRN PLACE, SURREY, A1, V3V 6Y4,
604-805-3438 - 1,600,000 ($80,000.00) Equity, (File 333-145798 -
Aug. 30) (BR. 04)
S-8 AMERICAN ENTERPRISE DEVELOPMENT CORP, 2544 TARPELY RD, SUITE 104,
CARROLLTON, TX, 77055, 972-418-0225 - 6,000,000 ($660,000.00) Equity,
(File 333-145799 - Aug. 30) (BR. 02C)
S-1 POSITRON CORP, 1304 LANGHAM CREEK DRIVE, SUITE 310, HOUSTON, TX, 77048,
2814927100 - 1,336,250 ($13,362,500.00) Equity, (File 333-145801 -
Aug. 30) (BR. 10C)
SB-2 INTERNATIONAL INDUSTRIAL ENTERPRISES, INC., 4116 ANTIQUE STERLING CT.,
LAS VEGAS, NV, 89129, 702-255-4170 - 2,500,000 ($500,000.00) Equity,
(File 333-145802 - Aug. 30) (BR. 05)
S-4 STERLING CHEMICALS INC, 333 CLAY STREET, SUITE 3600, HOUSTON, TX,
77002-4109, 7136503700 - 0 ($150,000,000.00) Non-Convertible Debt,
(File 333-145803 - Aug. 30) (BR. 06A)
N-2 APOLLO INVESTMENT CORP, 0 ($1,125,000,000.00) Other, (File 333-145804 -
Aug. 30) (BR. 18)
S-8 APPLIED MATERIALS INC /DE, 3050 BOWERS AVE, SANTA CLARA, CA,
95054-3299, 4087275555 - 0 ($10,000,000.00) Other, (File 333-145805 -
Aug. 30) (BR. 10A)
S-3ASR NII HOLDINGS INC, 10700 PARKRIDGE BLVD, SUITE 600, RESTON, VA, 20191,
7034334000 - 0 ($1,200,000,000.00) Debt, (File 333-145807 - Aug. 30)
(BR. 11A)
SB-2 VOICESERVE INC, CAVENDISH HOUSE, 369 BURNT OAK BROADWAY,
EDGWARE, MIDDLESEX, X0, HA8 5AW, 44 208 136 6000 -
2,335,550 ($817,442.50) Equity, (File 333-145808 - Aug. 30) (BR. 11B)
S-4 ON2 TECHNOLOGIES, INC., 21 CORPORATE DRIVE SUITE 103, CLIFTON PARK, NY,
12065, 5183480099 - 0 ($53,010,000.00) Equity, (File 333-145809 -
Aug. 30) (BR. 03B)
S-1 Oculus Innovative Sciences, Inc., 1129 N. MCDOWELL BLVD., PETALUMA, CA,
94954, 707-782-0792 - 3,249,860 ($23,463,989.20) Equity,
(File 333-145810 - Aug. 30) (BR. 10C)
S-8 TUESDAY MORNING CORP/DE, 6250 LBJ FREEWAY, DALLAS, TX, 75240,
2143873562 - 0 ($19,515,693.12) Equity, (File 333-145811 - Aug. 30)
(BR. 02C)
S-3ASR Security Capital Assurance Ltd, ONE BERMUDIANA ROAD, HAMILTON, D0,
HM 11, 441-292-8515 - 0 ($0.00) Equity, (File 333-145812 - Aug. 30)
(BR. 01B)
S-1 ARYx Therapeutics, Inc., 6300 DUMBARTON CIRCLE, FREMONT, CA, 94555,
(510) 585-2200 - 0 ($86,250,000.00) Equity, (File 333-145813 - Aug. 30)
(BR. )
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
180 Connect Inc. DE 1.01,2.01,2.04,3.03,4.01,5.02, 08/24/07
5.03,5.06,9.01
180 Connect Inc. DE 3.02,5.01 08/24/07
ABIOMED INC DE 8.01,9.01 08/27/07
ABOVENET INC DE 5.02 08/24/07
ACCELRYS, INC. DE 5.02,5.03 08/25/07
ACTIONVIEW INTERNATIONAL INC NV 5.03 08/20/07
Adams Respiratory Therapeutics, Inc. DE 5.02,9.01 08/24/07
ADVANCED ENERGY INDUSTRIES INC DE 7.01,9.01 08/30/07
ALLIANCE ONE INTERNATIONAL, INC. VA 7.01,9.01 08/30/07
Alternative Loan Trust 2007-23CB DE 8.01,9.01 08/24/07
AMERICAN BANCORP OF NEW JERSEY INC NJ 8.01,9.01 08/29/07
AMERICAN ELECTRIC POWER CO INC NY 7.01 08/30/07
AMERICAN STATES WATER CO CA 8.01 08/29/07
AMERISERV FINANCIAL INC /PA/ PA 8.01,9.01 08/30/07
ANALOGIC CORP MA 5.02 08/24/07
ANGIODYNAMICS INC DE 8.01,9.01 08/28/07
ANNTAYLOR STORES CORP DE 5.04,9.01 08/30/07
APOGEE ROBOTICS INC CO 4.01,9.01 08/29/07 AMEND
APPLIED DIGITAL SOLUTIONS INC MO 1.01,8.01,9.01 08/24/07
ARCHON CORP NV 8.01 08/27/07
ARGAN INC DE 3.01,9.01 08/29/07
ARUBA NETWORKS, INC. DE 2.02,9.01 08/28/07
ASCENDANT SOLUTIONS INC DE 1.01,2.03 08/29/07
Aspreva Pharmaceuticals CORP A1 1.01 08/28/07
AURIGA LABORATORIES, INC. DE 8.01,9.01 08/30/07
AVANT IMMUNOTHERAPEUTICS INC DE 3.01,9.01 08/29/07
Banc of America Funding 2007-7 Trust DE 9.01 08/30/07
BANC OF AMERICA FUNDING CORP DE 9.01 08/30/07
Banc of America Mortgage 2007-3 Trust DE 9.01 08/30/07
Bank of Commerce Holdings CA 5.02 08/28/07
BBM HOLDINGS, INC. UT 4.01 03/30/07 AMEND
Bear Stearns Asset Backed Securities DE 9.01 08/30/07
BENIHANA INC DE 2.02,9.01 08/30/07
BioMETRX DE 1.01,3.02,9.01 08/27/07
BLUE DOLPHIN ENERGY CO DE 8.01,9.01 08/30/07
BOEING CO DE 5.02,5.03,9.01 08/28/07
BORDERS GROUP INC MI 1.01,9.01 08/28/07
BRAINSTORM CELL THERAPEUTICS INC 5.02,9.01 08/27/07
BROWN FORMAN CORP DE 2.02,9.01 08/30/07
Burlington Coat Factory Investments H 7.01,9.01 08/30/07
CABELAS INC DE 5.03,9.01 08/28/07
CALLISTO PHARMACEUTICALS INC DE 8.01,9.01 08/29/07
CALPINE CORP DE 7.01,9.01 08/29/07
CARRIAGE SERVICES INC DE 5.02,9.01 08/24/07
CATALYST SEMICONDUCTOR INC DE 2.02,9.01 08/30/07
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 1.01,3.02,5.02 08/24/07
CENTRAL GARDEN & PET CO DE 1.01,9.01 08/27/07
CENVEO, INC CO 5.03,9.01 02/22/07
CERAGENIX PHARMACEUTICALS, INC. DE 7.01,9.01 08/29/07
CERNER CORP /MO/ DE 5.04,9.01 08/24/07
CHAMPION PARTS INC IL 5.02 08/27/07
CHANCELLOR GROUP INC/ NV 1.01,5.02,9.01 07/27/07
CHICAGO BRIDGE & IRON CO N V 1.01,8.01,9.01 08/24/07
China VoIP & Digital Telecom Inc. NV 8.01 08/30/07
CIENA CORP DE 2.02,9.01 08/30/07
CKX, Inc. DE 8.01,9.01 08/24/07
CME GROUP INC. DE 8.01,9.01 08/30/07
CNB Financial Corp. MA 8.01,9.01 08/30/07
COBIZ FINANCIAL INC CO 8.01 08/29/07
COLOR KINETICS INC DE 8.01,9.01 08/24/07
COLORADO GOLDFIELDS INC. NV 8.01,9.01 08/24/07
CONCHO RESOURCES INC DE 2.02,9.01 08/29/07
CONNS INC DE 2.02,9.01 08/30/07
CONSOLIDATED OIL & GAS, INC. NV 1.01,2.03,9.01 08/24/07
CORE MOLDING TECHNOLOGIES INC DE 5.02,8.01,9.01 08/28/07
CORTLAND BANCORP INC OH 2.02 08/30/07
COST PLUS INC/CA/ CA 2.02,5.02,9.01 08/24/07
COUSINS PROPERTIES INC GA 1.01,2.03,9.01 08/29/07
CREDENCE SYSTEMS CORP DE 2.02,9.01 08/30/07
Customer Acquisition Network Holdings DE 5.03,9.01 08/27/07
CWABS Asset-Backed Certificates Trust DE 8.01,9.01 08/13/07 AMEND
CWABS Asset-Backed Certificates Trust DE 9.01 06/29/07
CWALT INC DE 9.01 08/30/07
CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 08/15/07
CWMBS INC DE 9.01 08/30/07
CWMBS INC DE 9.01 08/30/07
DAKTRONICS INC /SD/ SD 8.01 08/29/07
Data Domain, Inc. DE 1.01,2.03,9.01 08/27/07
DEL MONTE FOODS CO DE 2.02,7.01,9.01 08/30/07
DELCATH SYSTEMS INC DE 1.01,8.01,9.01 08/24/07
dELiAs, Inc. DE 2.02,9.01 08/30/07
DELL INC DE 2.02,8.01,9.01 08/30/07
DGT Corp. NV 1.01,5.01,5.02,9.01 08/09/07 AMEND
DIGITAL ANGEL CORP DE 1.01,8.01,9.01 08/24/07
DigitalFX International Inc FL 5.02,9.01 08/24/07
DURA AUTOMOTIVE SYSTEMS INC DE 2.01,9.01 08/27/07
DYCOM INDUSTRIES INC FL 2.02,8.01,9.01 08/28/07
Ecology Coatings, Inc. NV 4.01,5.02,9.01 08/28/07
EDO CORP NY 5.02 08/30/07
EMC INSURANCE GROUP INC IA 5.02,7.01 08/29/07
ENBRIDGE ENERGY PARTNERS LP DE 8.01,9.01 08/29/07
Enterprise GP Holdings L.P. DE 1.01,2.03,9.01 08/24/07
EQUINIX INC DE 2.03 08/28/07
ESPEED INC DE 8.01 08/27/07
ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 08/30/07
Ethos Environmental, Inc. NV 4.01,9.01 08/23/07
EUGENE SCIENCE DE 1.01,2.03,9.01 08/24/07
EXAR CORP DE 5.02,7.01,9.01 08/24/07
EXCO RESOURCES INC TX 7.01,9.01 08/30/07
EXCO RESOURCES INC TX 7.01,9.01 08/30/07 AMEND
EXTERRAN ENERGY SOLUTIONS, L.P. DE 1.01,9.01 08/24/07
EXTERRAN HOLDINGS INC. DE 1.01,9.01 08/24/07
FAMILYMEDS GROUP, INC. NV 2.01,8.01 08/27/07
Federal Home Loan Bank of Atlanta X1 2.03 08/27/07
Federal Home Loan Bank of Boston X1 2.03 08/27/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/28/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/28/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/28/07
Federal Home Loan Bank of New York X1 2.03,9.01 08/27/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/27/07
Federal Home Loan Bank of Seattle 2.03 08/29/07
FIRST ALBANY COMPANIES INC NY 8.01,9.01 08/30/07
FIRSTENERGY CORP OH 8.01 08/29/07
Fittipaldi Logistics, Inc. NV 7.01,9.01 08/24/07
FIVE STAR PRODUCTS INC DE 5.02 08/08/07
FONIX CORP DE 1.01,3.02,5.03,8.01,9.01 08/24/07
FOREST OIL CORP NY 1.02,2.01,7.01,9.01 08/27/07
Fortress International Group, Inc. DE 1.01,9.01 08/29/07
FRIENDLY ICE CREAM CORP MA 3.01,3.03,5.01,5.02,9.01 08/29/07
FRONTIER OIL CORP /NEW/ WY 8.01,9.01 08/29/07
FUELCELL ENERGY INC DE 2.02,9.01 08/29/07
GATEWAY INC DE 5.02 08/27/07
GENERAL STEEL HOLDINGS INC NV 5.02,9.01 08/30/07
GENESCO INC TN 2.02,9.01 08/30/07
GENTEK INC DE 2.02,7.01 08/29/07
GENTEK INC DE 2.02,7.01,9.01 08/29/07 AMEND
GEORGIA POWER CO GA 8.01,9.01 08/24/07
GLOBAL CROSSING LTD 8.01 08/27/07
GLOBAL ENTERTAINMENT CORP NV 2.02,9.01 08/29/07
Global Wataire, Inc. NV 1.01,3.02,9.01 08/29/07
GOLF TRUST OF AMERICA INC MD 5.02 08/24/07
GOTTSCHALKS INC DE 8.01,9.01 08/30/07
GOTTSCHALKS INC DE 2.02,9.01 06/06/07
GSAMP 2007-HSBC1 8.01,9.01 08/29/07
GSAMP 2007-HSBC1 8.01,9.01 08/30/07
H&R BLOCK INC MO 2.02,9.01 08/30/07
HANDLEMAN CO /MI/ MI 2.02,9.01 08/29/07
HARRIS CORP /DE/ DE 5.02,9.01 08/24/07
HARRIS INTERACTIVE INC DE 2.02,9.01 08/24/07
HARTE HANKS INC DE 5.02,9.01 08/29/07
HERSHEY CO DE 1.01,2.03,9.01 08/24/07
HKN, Inc. DE 7.01,9.01 08/29/07
HOLLYWOOD MEDIA CORP FL 1.01,1.02,2.01,5.02,8.01,9.01 08/24/07
HUDSON TECHNOLOGIES INC /NY NY 5.02 08/24/07
HYBRID DYNAMICS CORP NV 1.01,2.01,3.02,5.03,8.01,9.01 08/23/07
IA GLOBAL INC DE 1.01,9.01 08/08/07 AMEND
IDLEAIRE TECHNOLOGIES CORP DE 8.01,9.01 08/23/07
IMERGENT INC DE 5.02,8.01 08/27/07
IndyMac IMJA Mortgage Loan Trust 2007 9.01 08/30/07
IndyMac IMSC Mortgage Loan Trust 2007 9.01 08/30/07
INFERX CORP DE 4.02 08/13/07 AMEND
INFOCROSSING INC DE 8.01,9.01 08/30/07
INFOSONICS CORP 1.01,1.02,7.01,9.01 08/27/07
INGLES MARKETS INC NC 5.03,9.01 08/29/07
INGRAM MICRO INC DE 5.02,9.01 08/30/07
INTEL CORP DE 7.01 08/29/07
INTERCONTINENTALEXCHANGE INC 2.03,9.01 08/24/07
INTERNATIONAL BANCSHARES CORP TX 4.01,9.01 08/24/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,7.01,9.01 08/28/07
ION NETWORKS INC DE 1.01,2.03 08/28/07
ISCO INTERNATIONAL INC DE 5.02,9.01 08/24/07
IXI Mobile, Inc. DE 7.01,9.01 08/30/07
J P MORGAN CHASE & CO DE 9.01 08/28/07
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 08/30/07
JAMBA, INC. DE 2.02,9.01 08/30/07
JER Investors Trust Inc 2.03 08/24/07
JK Acquisition Corp. 1.01,3.02,9.01 08/27/07
JO-ANN STORES INC OH 2.02,9.01 08/29/07
JOY GLOBAL INC DE 2.02 08/30/07
LANDRYS RESTAURANTS INC 1.01,8.01 08/29/07
LANTRONIX INC DE 5.02,9.01 08/24/07
Lehman Mortgage Trust 2007-8 DE 8.01,9.01 08/30/07
Liberty Global, Inc. 7.01 08/29/07
LITHIUM TECHNOLOGY CORP DE 3.02,9.01 08/28/07
LONGS DRUG STORES CORP MD 7.01,9.01 08/30/07
LSB INDUSTRIES INC DE 2.02,9.01 08/08/07
LTX CORP MA 2.02,9.01 08/30/07
Macy's, Inc. DE 8.01,9.01 08/28/07
Macy's, Inc. DE 1.01,2.03,9.01 08/30/07
MAF BANCORP INC DE 8.01 08/29/07
MAINE & MARITIMES CORP ME 5.02,9.01 08/30/07
MANNATECH INC TX 1.01,9.01 08/29/07
MARVELL TECHNOLOGY GROUP LTD D0 5.02 08/27/07
MASTR Asset Backed Securities Trust 2 DE 9.01 08/23/07
MATERIAL TECHNOLOGIES INC /CA/ DE 5.02,9.01 08/30/07
MATRITECH INC/DE/ DE 1.01,9.01 08/27/07
MDU RESOURCES GROUP INC DE 8.01 08/30/07
MED X SYSTEMS INC TX 1.01,2.01,2.02,3.02,5.01,5.02, 08/29/07
5.06,9.01
MEDICAL SOLUTIONS MANAGEMENT INC. NV 2.03,9.01 08/27/07
MEMORY PHARMACEUTICALS CORP 8.01,9.01 08/29/07
MGI PHARMA INC MN 1.01,9.01 08/28/07
MGP INGREDIENTS INC KS 5.02,7.01,9.01 08/30/07
MOHEGAN TRIBAL GAMING AUTHORITY 5.02 08/26/07
MOLDFLOW CORP 5.02,9.01 08/27/07
MOLSON COORS BREWING CO CO 2.05 08/24/07 AMEND
Morgan Stanley Capital I Trust 2007-I DE 8.01,9.01 08/23/07
MortgageIT Securities Corp. Mortgage DE 9.01 08/30/07
MOTIVE INC DE 8.01,9.01 08/29/07
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 08/27/07
National CineMedia, Inc. DE 5.02,9.01 08/24/07
NATIONAL CITY CORP DE 8.01,9.01 08/29/07
NATIONAL CITY CORP DE 8.01,9.01 08/30/07
NATIONAL HOME HEALTH CARE CORP DE 1.01,9.01 08/30/07
NATURAL HEALTH TRENDS CORP DE 8.01 08/30/07
NATURES SUNSHINE PRODUCTS INC UT 2.02,9.01 08/24/07
NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 08/24/07
NET 1 UEPS TECHNOLOGIES INC 5.03,9.01 08/28/07
NETGEAR, INC DE 1.01,8.01,9.01 08/29/07
NEW MEDIUM ENTERPRISES INC NV 1.01 08/28/07
NEWMARKET CORP VA 2.02,9.01 08/30/07
NEWS CORP 8.01,9.01 08/29/07
NISOURCE INC/DE DE 1.01,2.03,5.02,9.01 08/28/07
NOVACEA INC DE 5.02,9.01 08/30/07
NU-MEX URANIUM CORP. NV 5.02 08/24/07
Nuance Communications, Inc. DE 1.01,2.01,2.03,9.01 08/24/07
Oasys Mobile, Inc. DE 8.01,9.01 08/24/07
OCTILLION CORP 7.01,9.01 08/24/07
OMNIVISION TECHNOLOGIES INC DE 2.02,9.01 08/30/07
OPEN TEXT CORP A6 2.02,9.01 08/30/07
OPENWAVE SYSTEMS INC DE 5.02,5.03,8.01,9.01 08/27/07
OVERHILL FARMS INC NV 5.02,9.01 08/24/07
PACIFICORP /OR/ OR 5.02 08/30/07
PALATIN TECHNOLOGIES INC DE 8.01,9.01 08/30/07
PEERLESS SYSTEMS CORP DE 2.02,9.01 08/30/07
PeopleSupport, Inc. DE 1.01,9.01 08/27/07
PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 08/30/07
PharMerica CORP DE 8.01,9.01 08/24/07
Power of The Dream Ventures Inc DE 8.01,9.01 04/10/07 AMEND
PPL CORP PA 8.01,9.01 08/30/07
PRIVATEBANCORP, INC DE 7.01 08/30/07
PROFILE TECHNOLOGIES INC DE 1.01,3.02,9.01 08/24/07
Quintana Maritime LTD 1T 1.01,5.02,9.01 08/29/07
QUIXOTE CORP DE 5.02 08/24/07
RALI Series 2007-QO5 Trust DE 8.01,9.01 08/30/07
RBC Bearings INC 5.02,9.01 08/30/07
Red Mile Entertainment Inc 1.01,9.01 08/24/07
RED REEF LABORATORIES INTERNATIONAL I 4.02 08/21/07
REDDY ICE HOLDINGS INC DE 1.01,9.01 08/30/07
RESTORATION HARDWARE INC CA 2.02,9.01 08/30/07
REX STORES CORP DE 8.01,9.01 08/29/07
RFMSI Series 2007-SA4 Trust DE 8.01,9.01 08/30/07
RICA FOODS INC NV 8.01 08/30/07
RIVER HAWK AVIATION INC DE 1.01,2.01,8.01,9.01 08/29/07
ROYAL INVEST INTERNATIONAL CORP. DE 8.01 08/30/07
SAFLINK CORP DE 5.02,8.01 08/24/07
SANDERSON FARMS INC MS 2.02,9.01 08/28/07
SANMINA-SCI CORP DE 1.01 08/30/07
SATCON TECHNOLOGY CORP DE 3.02,7.01 08/30/07
SAVE THE WORLD AIR INC NV 1.01,2.04,9.01 08/01/07
SCBT FINANCIAL CORP SC 1.01,8.01,9.01 08/29/07
SEARS HOLDINGS CORP DE 2.02,9.01 08/30/07
SECURE COMPUTING CORP DE 1.01,5.02,9.01 08/28/07
SEQUA CORP /DE/ DE 1.01,9.01 08/30/07
Sequoia Mortgage Trust 2007-4 8.01,9.01 08/28/07
SIERRA HEALTH SERVICES INC NV 8.01 08/27/07
SILICON GRAPHICS INC DE 2.02,9.01 08/30/07
SILVERADO GOLD MINES LTD A1 1.01,2.03,9.01 08/30/07
SILVERADO GOLD MINES LTD A1 8.01,9.01 08/30/07
SILVERLEAF RESORTS INC 7.01,9.01 08/29/07
SKY PETROLEUM, INC. NV 5.02 08/24/07
SMITH & WOLLENSKY RESTAURANT GROUP IN DE 2.01,3.01,5.01,5.02,8.01,9.01 08/28/07
SPACEHAB INC \WA\ WA 5.02 08/28/07
SportsQuest, Inc. NJ 1.01,9.01 08/20/07
STANDEX INTERNATIONAL CORP/DE/ DE 2.02,9.01 03/31/07
STANDEX INTERNATIONAL CORP/DE/ DE 5.02 08/28/07
Star Resorts Development Inc. 1.01,9.01 07/31/07
STAR SCIENTIFIC INC DE 8.01,9.01 08/24/07
STILLWATER MINING CO /DE/ DE 8.01,9.01 08/29/07
STOCKERYALE INC MA 5.03,9.01 08/28/07
Structured Asset Securities CORP Mort DE 8.01,9.01 08/30/07
Sucampo Pharmaceuticals, Inc. 7.01,9.01 08/29/07
Superior Offshore International Inc. DE 1.01,2.03,9.01 08/24/07
SURMODICS INC MN 1.01 08/24/07
TESCO CORP 7.01 08/29/07
TESCO CORP 7.01 08/30/07
THQ INC DE 5.02,9.01 08/27/07
TIFFANY & CO DE 2.02,9.01 08/30/07
TOWERSTREAM CORP DE 5.03,9.01 08/28/07
TREY RESOURCES INC DE 2.02,9.01 08/21/07
TRIAD GUARANTY INC DE 8.01,9.01 08/30/07
TRIO TECH INTERNATIONAL CA 1.01,9.01 08/27/07
TSB Financial CORP NC 1.01,5.02,8.01,9.01 08/29/07
U.S. Helicopter CORP DE 1.01,2.03,3.02,9.01 08/24/07
UNION NATIONAL FINANCIAL CORP / PA PA 1.01,3.03,9.01 08/27/07
UNITED PARCEL SERVICE INC DE 5.02 08/29/07
UNITED RENTALS INC /DE DE 5.02,9.01 08/24/07
UNITED STATES STEEL CORP DE 1.01,2.03,9.01 08/26/07
URANERZ ENERGY CORP. NV 7.01,8.01,9.01 08/24/07
US GEOTHERMAL INC DE 3.01,9.01 08/29/07
VERISIGN INC/CA DE 1.01,5.02,9.01 08/22/07
VERTICAL BRANDING, INC. DE 1.01 08/27/07
VIEWSONIC CORP DE 5.02 08/24/07
Vistula Communications Services, Inc. DE 5.02 08/24/07
WARWICK VALLEY TELEPHONE CO NY 8.01,9.01 08/30/07
WELLS FARGO & CO/MN DE 9.01 08/30/07
Wells Fargo Mortgage Backed Securitie DE 9.01 08/30/07
Western Dubuque Biodiesel, LLC IA 5.02 08/27/07
WHITEMARK HOMES INC CO 5.01,5.02 08/22/07 AMEND
WIND RIVER SYSTEMS INC DE 2.02,9.01 08/30/07
WOLVERINE WORLD WIDE INC /DE/ MI 5.02 08/24/07
YRC WORLDWIDE INC DE 7.01,9.01 08/28/07
YTB International, Inc. NY 2.02,2.03 08/14/07
ZALE CORP DE 2.02 08/30/07
http://www.sec.gov/news/digest/2007/dig083107.htm
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