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SEC NEWS DIGEST
Issue 2007-180 September 18, 2007
ENFORCEMENT PROCEEDINGS
COURT ISSUES TRO AGAINST SENIOR RESOURCES OF HAWAII, INC. AND MARK K.
TERUYA
The Commission announced that on September 14 following a hearing on
the Commission's application for a temporary retraining order, the
Honorable Helen Gillmor, Chief Judge of the U.S. District Court for
the District of Hawaii, issued the order against a Honolulu-based
investment adviser representative and his company.
The SEC filed an emergency action on September 7 against Mark K.
Teruya (Teruya), age 35, and his company, Senior Resources of Hawaii,
Inc. (Senior Resources), alleging that the defendants' engaged in
fraudulent activities targeted at seniors and received substantial
undisclosed commissions. Simultaneous with the filing of the SEC's
complaint, the Hawaii Securities Commissioner issued a Preliminary
Order to Cease and Desist and Notice of Right to Hearing against
Teruya and Senior Resources seeking to revoke Teruya's state
registration as an investment adviser representative. On September 10,
the Hawaii Insurance Division issued a Statement of Charges and
Summary Suspension of Producer's License and Notice of Intent to Fine
and Revocation of License, immediately suspending Teruya's insurance
license.
According to the SEC's complaint, since at least 2004 and continuing
as recently as August 2007, Teruya, through Senior Resources, has on
multiple occasions fraudulently induced clients to sign a series of
pre-printed, fill-in-the-blank forms by misrepresenting the purpose of
the forms. The complaint alleges that Teruya used the signed forms to
sell the seniors' existing securities holdings without their knowledge
or authorization. The complaint also alleges that Teruya, who is also
a licensed insurance agent, then used the proceeds of the unauthorized
sales to purchase equity-indexed annuities for which he received
substantial, undisclosed commissions. Since 2004, defendants have
earned $2 million in undisclosed commissions on EIA sales.
The Court's order temporarily restrains the defendants from future
violations of the antifraud provisions of the federal securities laws,
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 Section
206(1) and (2) of the Investment Advisers Act. The order also
prohibits the destruction of documents.
The Commission continues to seek preliminary and permanent
injunctions, return of ill-gotten gains with prejudgment interest, and
civil penalties against the defendants. The Court scheduled a hearing
on the Commission's request for a preliminary injunction for Oct. 17,
2007.
For further information see Litigation Release No. 20272 (Sept. 10,
2007). [SEC v. Senior Resources of Hawaii, Inc. and Mark K. Teruya,
Civil Action No.CV 07 00467 HG LEK, USDC, D. Hi.] (LR-20287)
SEC FILES EMERGENCY CIVIL ACTION, OBTAINS ASSET FREEZE AND APPOINTMENT
OF A RECEIVER IN RESPONSE TO A FRAUDULENT UNREGISTERED SECURITIES
OFFERING
The Commission announced that on September 12 it filed an emergency
civil action against University Lab Technologies, Inc. (ULT) of Boca
Raton, Florida and George Theodoropoulos, a/k/a George Theodore
(Theodore), in connection with a fraudulent and unregistered offering
of ULT securities. Among other things, the SEC's complaint alleges
that the defendants made false and misleading representations and
omissions regarding the use of the ULT offering proceeds and regarding
the percentage of ULT ownership the investors would receive through
their participation in the offering.
The complaint charges ULT and Theodore 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 SEC
seeks, among other things, permanent injunctive relief against ULT and
Theodore, disgorgement of ill-gotten profits, civil money penalties,
and orders barring Theodore from serving as an officer or director of
any public company and from participating in any offering of a penny
stock.
On September 12, the Honorable Donald M. Middlebrooks, U.S. District
Judge for the Southern District of Florida, entered an emergency order
temporarily freezing the assets of ULT, prohibiting the destruction of
documents, and providing for expedited discovery and a sworn
accounting. The court also appointed a receiver over ULT to marshal
and safeguard the company's assets. [SEC v. University Lab
Technologies, Inc. and George Theodoropoulos, a/k/a George Theodore,
Case No. 07-80838-CIV-MIDDLEBROOKS (S.D. Fla.)] (LR-20288)
IN THE MATTER OF SWISS RE FINANCIAL PRODUCTS CORPORATION
SWISS RE FINANCIAL PRODUCTS CORPORATION SETTLES RULE 105 SHORT SELLING
CASE
On September 18, 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
against Swiss Re Financial Products Corporation (SRFP). Without
admitting or denying the Commission's findings, SRFP consented to the
issuance of the Order, which also requires SRFP to pay disgorgement
and prejudgment interest totaling $457,605.
The Order finds that over a period of approximately eighteen months,
from mid-2003 until early 2005, in connection with thirteen public
offerings by eleven issuers, SRFP violated Rule 105 of Regulation M,
and that SRFP profited on all but one of the thirteen transactions,
realizing total profits of $380,517 on the profitable transactions.
The Order further finds that the transactions were effected by several
traders located in New York and London who were part of a group of
traders that is no longer associated with SRFP or its affiliates; that
most of the transactions followed the same general pattern in which
SRFP sold securities short either the day of, or the day before, the
follow-on or secondary offering; that in each instance, the short sale
occurred before the offering was priced; and that the firm covered all
or part of the short position with shares it was allocated in the
offering. In addition, the Order finds that during the relevant
period, SRFP did not have procedures in place designed to prevent or
detect Rule 105 violations and provided no training to the traders
concerning Rule 105.
Without admitting or denying the Commission's findings, except as to
jurisdiction, SRFP consented to the issuance of the Order, which
requires it to cease and desist from committing or causing any
violations and any future violations of Rule 105 of Regulation M and
requires it to pay disgorgement in the amount of $380,517, and
prejudgment interest in the amount of $77,088.
In a related settled civil action, SRFP has also consented to pay a
$95,000 civil penalty. (Rel. 34-56450; File No. 3-12804); [SEC v.
Swiss Re Financial Products Corporation, 07 Civ. 8154(SHS) SDNY] (LR-
20289)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGE
The Financial Industry Regulatory Authority (f/k/a the National
Association of Securities Dealers, Inc.) filed a proposed rule change
(SR-FINRA-2007-007) relating to exemption from reporting for TRACE-
eligible securities transactions resulting from exercise or settlement
of options, termination or settlement of credit default swaps, other
types of swaps, or similar instruments. Publication is expected in the
Federal Register during the week of September 17. (Rel. 34-56439)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-Phlx-2007-64) filed by the Philadelphia
Stock Exchange relating to trade throughs for IOC Cross Orders on the
XLE 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 17. (Rel. 34-56443)
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-3 WPCS INTERNATIONAL INC, 140 SOUTH VILLAGE AVENUE, SUITE 20, EXTON, PA,
19341, 6109030400 - 97,007 ($1,085,346.37) Equity, (File 333-146106 -
Sep. 17) (BR. 11A)
S-8 ELECTRO SCIENTIFIC INDUSTRIES INC, 13900 NW SCIENCE PARK DR, PORTLAND,
OR, 97229, 5036414141 - 0 ($3,530,510.00) Equity, (File 333-146107 -
Sep. 17) (BR. 10B)
S-3D TEPPCO PARTNERS LP, 2929 ALLEN PKWY, PO BOX 2521, HOUSTON, TX,
77252-2521, 7137593636 -
10,000,000 ($388,400,000.00) Limited Partnership Interests,
(File 333-146108 - Sep. 17) (BR. 04C)
S-8 Spirit AeroSystems Holdings, Inc., 3801 SOUTH OLIVER, WICHITA, KS,
67210, (316) 526-1100 - 0 ($61,249,372.80) Equity, (File 333-146112 -
Sep. 17) (BR. 05C)
S-1 SOLERA HOLDINGS, INC, 6111 BOLLINGER CANYON ROAD, SUITE 200, SAN RAMON,
CA, 94583, (925) 866-1100 - 0 ($360,516,384.00) Equity,
(File 333-146113 - Sep. 17) (BR. 03B)
S-3 ADEPT TECHNOLOGY INC, 3011 TRIAD DRIVE, LIVERMORE, CA, 94551,
9252453400 - 0 ($1,365,750.00) Equity, (File 333-146114 - Sep. 17)
(BR. 10A)
SB-2 HUIHENG MEDICAL, INC., C/O HARBORVIEW MASTER FUND LP,
850 THIRD AVENUE, SUITE 1801, NEW YORK, NY, 10022, 281-648-4442 -
3,651,113 ($27,383,348.00) Equity, (File 333-146115 - Sep. 17) (BR. 06A)
S-8 SOUTHRIDGE ENTERPRISES INC., 3625 N. HALL STREET, SUITE 900, DALLAS,
TX, 75219-5106, 888- 862-2192 - 7,500,000 ($825,000.00) Equity,
(File 333-146116 - Sep. 17) (BR. 04C)
N-2 Nuveen Municipal High Income Strategy Fund, 333 WEST WACKER DRIVE,
CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($15,000.00) Equity,
(File 333-146117 - Sep. 17) (BR. )
SB-2 Easy ESL Publishing, Inc., 501 SILVERSIDE ROAD, SUITE 105, WILMINGTON,
DE, 19809, 727-596-6095 - 4,000,000 ($80,000.00) Equity,
(File 333-146118 - Sep. 17) (BR. 05)
SB-2 Global West Resources Inc., 45 MILFORD AVE., TORONTO, A6, M6M 2W1,
6045158065 - 2,875,000 ($115,000.00) Equity, (File 333-146119 -
Sep. 17) (BR. 04)
S-3 LINN ENERGY, LLC, 600 TRAVIS, SUITE 5100, HOUSTON, TX, 77002,
281-605-4100 - 0 ($1,322,268,641.00) Limited Partnership Interests,
(File 333-146120 - Sep. 17) (BR. 04A)
S-3 PARKE BANCORP, INC., 601 DELSEA DRIVE, WASHINGTON TOWNSHIP, NJ, 08080,
856 256-2500 - 559,379 ($3,216,429.00) Equity, (File 333-146121 -
Sep. 17) (BR. 07C)
S-8 FTS GROUP, INC., 7610 WEST HILLSBOROUGH AVE., TAMPA, FL, 33615,
215-688-2355 - 50,000,000 ($950,000.00) Equity, (File 333-146122 -
Sep. 17) (BR. 02A)
S-3 SECURITISATION ADVISORY SERVICES PTY LTD, LEVEL 8, 48 MARTIN PLACE,
SYDNEY NEW S. WALES 2000 AUSTRALIA, SYDNEY, C3, 00000,
0 ($1,000,000.00) Mortgage Backed Securities, (File 333-146124 -
Sep. 17) (BR. 05D)
S-8 AVALON ENERGY CORP., SUITE 806, 1288 ALBERNI STREET, VANCOUVER, A1,
V6E 4R8, 604-664-0499 - 6,000,000 ($420,000.00) Equity,
(File 333-146125 - Sep. 17) (BR. 04A)
SB-2 SIGNALIFE, INC., 4531 SOUTH MAIN STREET, SUITE 301, GREENVILLE, SC,
29601, (864) 233-2300 - 5,875,730 ($7,819,720.90) Equity,
(File 333-146126 - Sep. 17) (BR. 10C)
N-2 Claymore/AlphaShares China Strategy Fund, 2455 CORPORATE WEST DRIVE,
LISLE, IL, 60532, 630-505-3700 - 50,000 ($1,000,000.00) Equity,
(File 333-146127 - Sep. 17) (BR. )
S-4 PINNACLE FINANCIAL PARTNERS INC, 6157443742 -
0 ($85,299,966.00) Equity, (File 333-146128 - Sep. 17) (BR. 07A)
SB-2 DotVN, Inc., 9449 BALBOA AVENUE, SUITE 114, SAN DIEGO, CA, 92123,
858-571-2007 - 0 ($29,881,262.39) Equity, (File 333-146129 - Sep. 17)
(BR. )
F-6 GRUPO TELEVISA, S.A.B., AV VASCO DE QUIROGA 2000, COLONIA SANTA FE,
MEXICO, D.F., O5, 01210, (5255) 52612000 -
100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-146130 - Sep. 17)
(BR. 11B)
S-4 Consolidated Communications Holdings, Inc., 121 SOUTH 17TH STREET,
MATTOON, IL, 61938, (217) 235-3311 - 0 ($50,116,700.00) Equity,
(File 333-146131 - Sep. 17) (BR. 11C)
S-4 M&T BANK CORP, C/O CORPORATE REPORTING, ONE M&T PLAZA 5TH FLOOR,
BUFFALO, NY, 14203, 7168425390 - 2,712,431 ($274,044,161.00) Equity,
(File 333-146132 - Sep. 17) (BR. 07B)
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 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
a21, Inc. DE 8.01,9.01 09/14/07
AAA Energy Inc. NV 5.02 09/17/07
ACA Capital Holdings Inc 8.01,9.01 09/17/07
ACG HOLDINGS INC DE 7.01,8.01,9.01 09/14/07
ADOBE SYSTEMS INC DE 2.02,9.01 09/17/07
AGILYSYS INC OH 7.01,9.01 09/14/07
ALLEGHENY ENERGY, INC MD 1.01,9.01 09/11/07
ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 09/14/07
ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 09/17/07
Allied Nevada Gold Corp DE 7.01,9.01 08/30/07
Allied Nevada Gold Corp DE 7.01,9.01 09/13/07
ALLIED WASTE INDUSTRIES INC DE 7.01 09/17/07
ALMOST FAMILY INC DE 7.01,9.01 09/14/07
ALTIGEN COMMUNICATIONS INC 5.02 09/17/07
AMACORE GROUP, INC. DE 5.02 09/14/07
AMERICAN ENERGY PRODUCTION INC 7.01,9.01 09/14/07
American Express Issuance Trust DE 8.01,9.01 09/17/07
AMERICHIP INTERNATIONAL INC 5.02 09/11/07
AMERISOURCEBERGEN CORP DE 5.02,8.01,9.01 09/14/07
AMERITRANS CAPITAL CORP DE 2.02 09/17/07
Andover Medical, Inc. DE 5.02,9.01 09/11/07
ANNTAYLOR STORES CORP DE 5.02,9.01 09/17/07
APPLE HOSPITALITY FIVE INC VA 8.01 09/17/07
APPLIX INC /MA/ MA 8.01,9.01 09/17/07
ARVINMERITOR INC IN 1.01,9.01 09/17/07
AUDIBLE INC 8.01 09/14/07
AUTO PHOTO TECHNOLOGIES INC NV 5.03,7.01,9.01 09/11/07
AUTOMATIC DATA PROCESSING INC DE 8.01,9.01 09/14/07
BABYUNIVERSE, INC. FL 1.01,9.01 09/12/07
BANK OF AMERICA CORP /DE/ DE 7.01,9.01 09/17/07
Bank of Commerce Holdings CA 8.01,9.01 09/14/07
Basin Water, Inc. DE 1.01,7.01,9.01 09/14/07
Bear Stearns ALT-A Trust II 2007-1 DE 8.01,9.01 08/31/07
BEARINGPOINT INC DE 8.01 09/12/07
BEAZER HOMES USA INC DE 1.01,2.03,9.01 09/14/07
Behringer Harvard Opportunity REIT I, MD 7.01,9.01 09/17/07
BIG SKY ENERGY CORP NV 7.01 09/14/07
BIOCRYST PHARMACEUTICALS INC DE 5.02 09/11/07
BlackRock Inc. DE 1.01,2.03,9.01 09/12/07
BLUE COAT SYSTEMS INC DE 8.01 09/14/07
BLUE RIDGE PAPER PRODUCTS INC 1.01,8.01 09/14/07
BRADY CORP WI 2.02,5.02,8.01,9.01 09/11/07
BRANTLEY CAPITAL CORP MD 8.01,9.01 09/17/07
BreitBurn Energy Partners L.P. DE 1.01,3.02 09/11/07
BRINKS CO VA 8.01,9.01 09/14/07
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 09/13/07
BUTLER NATIONAL CORP DE 2.02,8.01,9.01 09/17/07
CAPITAL ONE FINANCIAL CORP DE 7.01 09/17/07
CAREY W P & CO LLC DE 8.01,9.01 09/17/07
CAROLINA POWER & LIGHT CO NC 5.03 09/17/07
CASUAL MALE RETAIL GROUP INC DE 5.02,7.01,9.01 09/14/07
CATALYTICA ENERGY SYSTEMS INC DE 8.01,9.01 09/16/07
Caterpillar Financial Asset Trust 200 8.01,9.01 09/17/07
CEPHALON INC DE 8.01,9.01 09/13/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 09/17/07
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 09/17/07
CHENIERE ENERGY INC DE 8.01,9.01 09/17/07
China Direct, Inc DE 8.01,9.01 09/17/07
CHINA SUN GROUP HIGH-TECH CO NC 7.01,9.01 09/17/07
CHINDEX INTERNATIONAL INC DE 5.02,8.01,9.01 09/11/07
CITIBANK OMNI-S MASTER TRUST 8.01 09/17/07
CITIBANK SOUTH DAKOTA N A DE 8.01 08/28/07
CITY CAPITAL CORP NV 5.02,9.01 09/11/07
CLEAN POWER TECHNOLOGIES INC. NV 5.02 09/12/07
CNH Equipment Trust 2007-B DE 8.01,9.01 09/17/07
COASTAL BANKING CO INC SC 5.02,9.01 09/10/07
COGNIZANT TECHNOLOGY SOLUTIONS CORP 8.01,9.01 09/16/07
COGNOS INC CA 8.01,9.01 09/17/07
COLDWATER CREEK INC DE 7.01 09/15/07
COLDWATER CREEK INC DE 7.01 09/15/07 AMEND
COLDWATER CREEK INC DE 5.02 06/09/07 AMEND
COLONIAL COMMERCIAL CORP NY 8.01,9.01 09/11/07
COLONY BANKCORP INC GA 8.01 09/17/07
COMARCO INC CA 2.02,9.01 09/17/07
COMERICA INC /NEW/ DE 7.01,9.01 09/17/07
COMMUNICATIONS SYSTEMS INC MN 8.01,9.01 09/12/07
COMPOSITE TECHNOLOGY CORP NV 3.02,7.01,9.01 09/13/07
COMPREHENSIVE HEALTHCARE SOLUTIONS IN DE 5.01,5.02,9.01 09/17/07
Conihasset Capital Partners, Inc. DE 1.01,9.01 09/14/07
Conihasset Capital Partners, Inc. DE 2.01,5.02,9.01 07/23/07 AMEND
Conihasset Capital Partners, Inc. DE 2.01,9.01 06/29/07 AMEND
Consolidated Communications Holdings, DE 7.01,9.01 09/17/07
CONSOLIDATED GRAPHICS INC /TX/ TX 7.01,9.01 09/14/07
CONTINENTAL AIRLINES INC /DE/ DE 5.02 09/17/07
CRANE CO /DE/ DE 8.01,9.01 09/17/07
DCP Midstream Partners, LP DE 7.01,9.01 09/14/07
Deep Down, Inc. NV 3.02,9.01 09/17/07
DELL INC DE 3.01,9.01 09/14/07
DENNYS CORP DE 2.05,9.01 09/17/07
DENTAL PATIENT CARE AMERICA INC UT 1.01,2.01,9.01 09/11/07
DEPOMED INC CA 2.05 09/13/07
DESERT CAPITAL REIT INC MD 5.02 09/17/07
Deutsche Alt-A Securities Mortgage Lo DE 8.01,9.01 09/17/07
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 09/17/07
Dibz International Inc NV 8.01,9.01 09/17/07
DOMINION HOMES INC OH 1.01,9.01 09/11/07
DOVER CORP DE 8.01,9.01 09/17/07
DREAMS INC UT 5.03 09/12/07
DURECT CORP DE 8.01 09/11/07
EASTMAN CHEMICAL CO DE 2.06 09/14/07
Ecology Coatings, Inc. NV 4.01 08/30/07 AMEND
eHealth, Inc. DE 5.02,5.03,9.01 09/11/07
ELECTRO ENERGY INC FL 5.02,9.01 09/14/07
EMTA Holdings, Inc. NV 2.04,9.01 09/11/07
ENCORE CAPITAL GROUP INC DE 2.05,3.01,5.02,9.01 09/14/07
ENDOCARE INC DE 1.01 09/11/07
ESTEE LAUDER COMPANIES INC DE 5.02,9.01 09/13/07
Ethos Environmental, Inc. NV 4.01,9.01 08/23/07 AMEND
EV Energy Partners, LP DE 7.01,9.01 09/12/07
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02 09/14/07
FERRELLGAS PARTNERS L P DE 7.01 09/17/07
FINISH LINE INC /IN/ IN 8.01,9.01 09/14/07
FIRST ADVANTAGE CORP DE 5.02,9.01 09/17/07
FIRST ALBANY COMPANIES INC NY 8.01,9.01 09/17/07
First Business Financial Services, In 7.01,9.01 09/17/07
First California Financial Group, Inc DE 5.02 09/11/07
FIRST DATA CORP DE 7.01 09/17/07
FORGENT NETWORKS INC DE 1.01,8.01,9.01 09/11/07
GANDER MOUNTAIN CO MN 5.02 09/14/07
GateHouse Media, Inc. DE 8.01,9.01 09/13/07
Gateway Certifications, Inc. NV 1.01,9.01 06/30/07
General Finance CORP DE 8.01,9.01 09/13/07
GENESCO INC TN 8.01,9.01 09/17/07
GENTA INC DE/ DE 8.01,9.01 09/13/07
GENTA INC DE/ DE 8.01,9.01 09/17/07
GEVITY HR INC FL 7.01 09/17/07
GIGABEAM CORP DE 7.01,9.01 09/13/07
GLOBAL CROSSING LTD 8.01 09/12/07
GLOBAL PARI-MUTUEL SERVICES, INC. NV 7.01,8.01 09/10/07
GOTTSCHALKS INC DE 8.01,9.01 09/17/07
GULF WESTERN PETROLEUM CORP NV 3.02 09/12/07
GULFMARK OFFSHORE INC DE 5.03,9.01 09/17/07
GULFMARK OFFSHORE INC DE 5.03,9.01 09/17/07 AMEND
HARTFORD FINANCIAL SERVICES GROUP INC DE 7.01 09/17/07
HASBRO INC RI 1.01,2.03,8.01,9.01 09/17/07
HealthSpring, Inc. DE 5.02,9.01 09/17/07
HELIX BIOMEDIX INC DE 1.01,9.01 09/12/07
HERZFELD CARIBBEAN BASIN FUND INC MD 8.01,9.01 09/14/07
HESPERIA HOLDING INC 5.02 08/13/07
High Velocity Alternative Energy Corp 5.02,8.01,9.01 09/01/07
IA GLOBAL INC DE 8.01,9.01 09/14/07
IC ISAACS & CO INC DE 5.02 09/11/07
ICAGEN INC DE 1.01,2.03,9.01 09/12/07
ICU MEDICAL INC/DE DE 8.01 09/17/07
IDLEAIRE TECHNOLOGIES CORP DE 1.01,8.01,9.01 09/13/07
Information Services Group Inc. DE 7.01,9.01 09/17/07
INGRAM MICRO INC DE 5.02 09/11/07
INLAND REAL ESTATE CORP MD 8.01,9.01 09/17/07
INNODATA ISOGEN INC DE 5.02,9.01 09/13/07
INTEGRITY BANCSHARES INC GA 5.02,9.01 09/17/07
InterAmerican Acquisition Group Inc 8.01,9.01 09/10/07
INVERNESS MEDICAL INNOVATIONS INC DE 2.01,9.01 09/12/07
InZon CORP NV 1.01,9.01 09/17/07
IRONCLAD PERFORMANCE WEAR CORP 1.01,3.02 09/12/07
IT Group Holdings Inc. 5.02 09/11/07
ITT CORP IN 8.01,9.01 09/17/07
J P MORGAN CHASE & CO DE 9.01 09/14/07
JL HALSEY CORP 4.02,9.01 09/15/07
JONES SODA CO WA 7.01 09/14/07
KKR Financial Holdings LLC DE 8.01,9.01 09/13/07
KLONDIKE STAR MINERAL CORP DE 4.01 09/13/07
KOPIN CORP DE 2.03,9.01 09/17/07
LANDRYS RESTAURANTS INC 2.02,9.01 09/17/07
Latin Television, Inc NV 2.01,5.02,5.03,8.01,9.01 08/14/07
Lattice INC DE 9.01 09/19/06 AMEND
LAYNE CHRISTENSEN CO DE 5.03,9.01 09/14/07
LEAP WIRELESS INTERNATIONAL INC DE 8.01,9.01 09/16/07
LEINER HEALTH PRODUCTS INC DE 8.01 09/17/07
Lincoln Park Bancorp 8.01,9.01 09/17/07
LINN ENERGY, LLC DE 9.01 08/31/07 AMEND
LITHIUM TECHNOLOGY CORP DE 8.01,9.01 09/14/07
Live Nation, Inc. DE 5.02 09/11/07
MAGNA ENTERTAINMENT CORP DE 7.01,9.01 09/17/07
MARSH & MCLENNAN COMPANIES, INC. DE 5.02,9.01 09/14/07
MASTR Asset Backed Securities Trust 2 DE 2.01,9.01 08/23/07
MDC PARTNERS INC A6 7.01,9.01 09/17/07
MEDALLION FINANCIAL CORP DE 1.01 09/14/07
MEDICAL DISCOVERIES INC UT 1.01,2.01,2.03,3.02,5.02,8.01, 07/06/07
9.01
MEDICAL STAFFING NETWORK HOLDINGS INC DE 2.05 09/17/07 AMEND
MERCK & CO INC NJ 5.02 09/11/07
MIDDLEBY CORP DE 8.01 09/14/07
MIRANT CORP DE 8.01 09/15/07
MOSAIC CO 1.01 09/11/07
MOVE INC DE 8.01,9.01 09/13/07
MOVIE GALLERY INC DE 5.02 09/14/07
MRV COMMUNICATIONS INC DE 8.01 09/14/07
MULTI FINELINE ELECTRONIX INC 5.02,9.01 09/11/07
NATHANIEL ENERGY CORP NV 5.02 09/12/07
NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 09/17/07
NATIONAL CITY CORP DE 7.01,9.01 09/17/07
National Collegiate Student Loan Trus 8.01,9.01 09/14/07
National Collegiate Student Loan Trus 8.01,9.01 09/14/07
National Collegiate Student Loan Trus 8.01,9.01 09/14/07
National Collegiate Student Loan Trus 8.01,9.01 09/14/07
NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 09/13/07
NATROL INC DE 8.01,9.01 09/17/07
NAVIGANT CONSULTING INC DE 8.01,9.01 09/17/07
NETBANK INC GA 1.02 09/14/07
NeuroMetrix, Inc. 5.03,9.01 09/12/07
NEW MEDIUM ENTERPRISES INC NV 5.02 09/17/07
NEWBRIDGE BANCORP NC 4.01,9.01 09/17/07
NEWFIELD EXPLORATION CO /DE/ DE 1.01,8.01,9.01 09/17/07
NEXITY FINANCIAL CORP DE 4.02 09/11/07
NEXT INC/TN DE 7.01,9.01 09/17/07
NN INC DE 8.01,9.01 09/13/07
Northstar Neuroscience, Inc. WA 8.01,9.01 09/17/07
NOVASTAR FINANCIAL INC MD 3.01,8.01,9.01 09/11/07
NTN BUZZTIME INC DE 5.02 09/13/07
NYMAGIC INC NY 7.01,9.01 09/14/07
Ocean Power Technologies, Inc. NJ 2.02,9.01 09/17/07
OLD POINT FINANCIAL CORP VA 5.03,9.01 09/11/07
ONE VOICE TECHNOLOGIES INC NV 1.01,2.03,3.02,9.01 08/23/07
OneBeacon Insurance Group, Ltd. D0 7.01,9.01 09/17/07
ONEOK INC /NEW/ OK 7.01,9.01 09/17/07
ONSCREEN TECHNOLOGIES INC CO 5.02 09/17/07
OPHTHALMIC IMAGING SYSTEMS CA 7.01,9.01 09/12/07
ORIGEN FINANCIAL INC DE 1.01,3.02,9.01 09/11/07
PAETEC Holding Corp. 1.01,9.01 09/17/07
PALM INC DE 2.02,7.01,9.01 09/17/07
Panglobal Brands Inc. DE 4.01,9.01 08/17/07 AMEND
PARKER HANNIFIN CORP OH 8.01,9.01 09/17/07
PARKER HANNIFIN CORP OH 5.02,9.01 09/11/07
PATCH INTERNATIONAL INC/CN 5.03,9.01 09/14/07
PENNANTPARK INVESTMENT CORP 8.01,9.01 09/17/07
PEOPLES COMMUNITY BANCORP INC /MD/ MD 1.01,8.01,9.01 09/12/07
PETROLEUM DEVELOPMENT CORP NV 1.01 09/14/07
PFF BANCORP INC DE 1.01,9.01 09/11/07
PHANTOM FIBER CORP DE 5.02 09/17/07
PHARMACOPEIA INC DE 7.01,8.01,9.01 09/12/07
PHH CORP MD 8.01,9.01 09/17/07
PHOENIX FOOTWEAR GROUP INC DE 2.01,9.01 07/02/07 AMEND
PHOTONIC PRODUCTS GROUP INC NJ 8.01 09/17/07
PINNACLE AIRLINES CORP DE 8.01,9.01 09/10/07
PIONEER COMPANIES INC DE 8.01,9.01 09/17/07
POKERTEK, INC. NC 5.02 09/14/07
PORTEC RAIL PRODUCTS INC WV 8.01,9.01 09/14/07
POSSIS MEDICAL INC MN 7.01,9.01 09/17/07
PPG INDUSTRIES INC PA 8.01,9.01 09/13/07
Pregis Holding II CORP DE 2.01,9.01 07/04/07 AMEND
Prime Mortgage Trust 2007-3 DE 9.01 08/31/07
PROELITE, INC. NJ 1.01,2.01,3.02,9.01 09/14/07
PROELITE, INC. NJ 1.01,2.01,3.02,9.01 09/12/07
PUBLIC SERVICE CO OF NEW HAMPSHIRE NH 8.01,9.01 09/17/07
QUEST SOFTWARE INC CA 2.02,7.01,9.01 09/17/07
QUESTAR ASSESSMENT, INC. DE 2.02,9.01 09/17/07
RACINO ROYALE, INC. NV 8.01,9.01 09/14/07
RAYONIER INC NC 8.01,9.01 09/17/07
ReAble Therapeutics Finance LLC DE 8.01 09/13/07
REDDY ICE HOLDINGS INC DE 8.01,9.01 09/17/07
REGENT COMMUNICATIONS INC DE 1.01,5.02,9.01 09/14/07
REIT AMERICAS, INC. MD 1.01,9.01 09/11/07
Renegy Holdings, Inc. DE 5.02,9.01 09/16/07
REPLIDYNE INC DE 7.01 09/17/07
RICA FOODS INC NV 5.02,5.05,9.01 09/11/07
ROLLINS INC DE 7.01,9.01 09/14/07
ROLLINS INC DE 7.01,9.01 09/17/07
ROLLINS INC DE 8.01,9.01 09/17/07
Rosetta Resources Inc. DE 7.01,9.01 09/17/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01,9.01 07/19/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01,9.01 09/07/07
Sabine Pass LNG, L.P. DE 8.01,9.01 09/17/07
SAUER DANFOSS INC DE 5.02,9.01 09/11/07
SCHERING PLOUGH CORP NJ 8.01,9.01 09/12/07
SEACHANGE INTERNATIONAL INC DE 3.01 09/17/07
SECURED DIGITAL APPLICATIONS INC DE 5.02,9.01 09/12/07
Securus Technologies, Inc. DE 8.01 09/12/07
SEPRACOR INC /DE/ DE 1.01 09/11/07
SEQUA CORP /DE/ DE 8.01,9.01 09/17/07
SHEARSON FINANCIAL NETWORK INC NV 5.03,9.01 09/05/07 AMEND
SHERWIN WILLIAMS CO OH 1.01,9.01 09/17/07
SINOFRESH HEALTHCARE INC FL 1.01,3.02,9.01 09/17/07
SMART ONLINE INC 5.02,8.01 09/11/07
SMITH & WESSON HOLDING CORP NV 7.01,9.01 09/17/07
SMOKY MARKET FOODS INC NV 8.01,9.01 09/13/07
SOVRAN ACQUISITION LTD PARTNERSHIP MD 1.01,2.03,9.01 09/12/07
SOVRAN SELF STORAGE INC MD 1.01,2.03,9.01 09/12/07
SPARTON CORP OH 2.02,8.01,9.01 09/17/07
STAPLES INC DE 5.02 09/11/07
STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 1.01,2.03,9.01 09/13/07
Stem Cell Therapy International, Inc. NV 5.02 09/17/07
Structured Asset Mortgage Investments DE 8.01,9.01 08/31/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/17/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/17/07
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/17/07
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 09/17/07
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 09/17/07
Sucampo Pharmaceuticals, Inc. 7.01,9.01 09/17/07
SUNCOM WIRELESS HOLDINGS, INC. 8.01,9.01 09/17/07
Surge Global Energy, Inc. 8.01,9.01 09/17/07
Susser Holdings CORP DE 5.02,9.01 09/11/07
SYSCO CORP DE 8.01 09/17/07
TECH LABORATORIES INC NJ 1.01,2.01,2.03,3.02,9.01 07/02/07 AMEND
TIME WARNER TELECOM INC DE 5.03 09/12/07
TIMKEN CO OH 8.01 09/17/07
TOWER TECH HOLDINGS INC. NV 1.01,8.01,9.01 09/13/07
Trident Systems International/AAMPRO NV 9.01 09/17/07 AMEND
TRIQUINT SEMICONDUCTOR INC DE 5.01,9.01 09/17/07
TRUE RELIGION APPAREL INC NV 8.01 09/12/07
U. S. Premium Beef, LLC 7.01,9.01 09/17/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 8.01,9.01 09/14/07
Unum Group DE 8.01 09/11/07
URANIUM 308 CORP. NV 3.02,8.01,9.01 09/11/07
VAALCO ENERGY INC /DE/ DE 3.03,9.01 09/14/07
VAXGEN INC DE 2.05,9.01 09/13/07
VCAMPUS CORP DE 3.02 09/12/07
VERMILLION, INC. DE 3.01,9.01 09/14/07
VERMONT PURE HOLDINGS LTD/DE DE 2.02,9.01 09/17/07
VIACELL INC 1.01,9.01 09/11/07
VICTORY RENEWABLE FUELS LLC 1.02 09/10/07
VirtualScopics, Inc. DE 1.01,3.02,3.03,5.03,8.01,9.01 09/17/07
VISION SCIENCES INC /DE/ DE 8.01 09/17/07
VOXWARE INC DE 5.02,9.01 09/13/07
W R GRACE & CO DE 5.03,9.01 09/12/07
WESTERN DIGITAL CORP DE 5.02 09/12/07
WFN CREDIT CO LLC DE 8.01,9.01 09/17/07
Winthrop Realty Trust OH 8.01,9.01 09/11/07
http://www.sec.gov/news/digest/2007/dig09182007.htm
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