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SEC NEWS DIGEST
Issue 2007-196 October 11, 2007
ENFORCEMENT PROCEEDINGS
ORDER APPROVING APPLICATION FOR RELIEF FROM A STATUTORY
DISQUALIFICATION
On October 10, the Commission issued an Order approving the
application of the Financial Industry Regulatory Authority, Inc.
(FINRA), f/k/a National Association of Securities Dealers, Inc., for
relief from a statutory disqualification to permit Stephen Anthony
Englese to associate as a general securities principal with Equity
Services, Inc. (Equity Services), a member of FINRA. The Order states
that, based on the representations made by FINRA and Equity Services
with respect to the supervision of Mr. Englese and the conditions
placed on his employment, the Commission will not institute
proceedings pursuant to Section 15(b)(4), 15(b)(6), 19(h)(2), or
19(h)(3) of the Securities Exchange Act of 1934 (Exchange Act), and
will not direct FINRA to bar the proposed association, as provided in
Section 15A(g)(2) of the Exchange Act. (Rel. 34-56638)
IN THE MATTER OF WARREN R. FELLUS
On October 11, the Commission issued an Order Making Findings and
Imposing Remedial Sanctions Pursuant to Section 15(b) of the
Securities Exchange Act of 1934 (Order) against Warren R. Fellus
(Fellus). The Order finds that from February 2002 through May 2003,
Fellus was a proprietary trader at A.B. Watley, Inc., a day trading
firm that was registered with the Commission as a broker-dealer. From
May 2003 through December 2003, Fellus was the head of the proprietary
trading desk at Millennium Brokerage, LLC, a broker-dealer registered
with the Commission. From Dec. 1, 2003 through Dec. 31, 2003, Fellus
was a proprietary trader at E*Trade Professional Trading, LLC, a
broker-dealer registered with the Commission. For a portion of the
time in which he engaged in the conduct underlying the information
described below, Respondent had a Series 7 license and was associated
with registered broker-dealers.
The Order further finds that on July 8, 2005, Fellus pleaded guilty to
one count of conspiracy to commit securities fraud, a felony, in a
sealed proceeding in the U.S. District Court in the Eastern District
of New York. U.S. v. Fellus, No. 05-CR426 (ILG) (E.D.N.Y. July 8,
2005). The count of the criminal information in the case in which
Fellus pleaded guilty alleged, inter alia, that while associated with
a broker-dealer, Fellus participated in a scheme to use confidential
material information improperly obtained from broker-dealers' "squawk
boxes" to trade ahead of the broker-dealers' institutional orders.
Based on the above, the Order bars Fellus from association with any
broker or dealer. Fellus consented to the issuance of the Order
without admitting or denying any of the findings in the Order except
as to his guilty plea, which he admits. (Rel. 34-56643; File No. 3-
12679)
800AMERICA.COM SECURITIES REGISTRATION REVOKED AND FINAL JUDGMENT
ENTERED AGAINST COMPANY
On Sept. 6, 2007, the Commission, pursuant to an Order Instituting
Proceedings Making Findings, And Revoking Registration Of Securities
Pursuant To Section 12(j) of the Securities Exchange Act Of 1934,
ordered that the registration of each class of 800America.com, Inc.'s
(800America) securities registered pursuant to Section 12 of the
Securities Exchange Act of 1934 (Exchange Act) be revoked. The Order
was based in part on the Commission's findings that 800America has
failed to comply with Section 13(a) and Rules 13a-1 of the Exchange
Act and Rules 13a-13 thereunder while its securities were registered
with the Commission in that it has not filed any periodic reports for
any fiscal period subsequent to Nov. 25, 2002.
On Aug. 14, 2007, the U.S. District Court for the Southern District of
New York (the Court) entered a Final Consent Judgment in favor of the
Commission as to 800America, which permanently enjoined 800America's
officers, directors and employees from violating Section 10(b) of the
Exchange Act and Rule 10b-5 thereunder; Section 17(a) of the
Securities Act of 1933 (Securities Act); Sections 5(a) and 5(c) of the
Securities Act; and Sections 13(a) and 13(b)(2) of the Exchange Act
and Rules 12b-20 and 13a-13 thereunder.
The Commission's complaint, filed with the Court in November 2002,
alleged that defendants Tillie Steeples (Steeples) and David Rabi
(Rabi), among other things, falsified virtually all of 800America's
reported earnings, expenses and assets and also sold more than one
million shares of improperly registered 800America stock. Shortly
after the complaint was filed, the Court granted the Commission's
request for a preliminary injunction, asset freeze and appointment of
a receiver. In December 2002, a voluntary Chapter 7 petition was filed
on behalf of 800America in U.S. Bankruptcy Court (800America's
liabilities far exceeded it assets).
The deregistration of 800America securities and the entry of the final
judgment against it follow the Court's entry of summary judgment
against Steeples on Dec. 8, 2006, which ordered Steeples to disgorge
ill-gotten gains in the amount $2,731,760.27, and barred Steeples from
serving as an officer or director of a public company. The Court's
officer-and-director bar takes effect upon the completion of Steeples'
70 month prison sentence, which was imposed after Steeples pleaded
guilty in September 2003 to making false statements to 800America's
auditors and to the Commission and conducting a fraudulent S-8 stock
offering. Steeples was also sentenced to 24 months supervised release
and was ordered to pay restitution of more than $9 million.
Rabi was convicted on all counts relating to the 800America fraud in a
trial in 2003, and was sentenced t0 120 months incarceration and
ordered to pay restitution of $7 million. Rabi died in 2005 while
incarcerated after appealing his conviction; accordingly, his
indictment was subsequently dismissed.
For additional information, please see Litigation Release Nos. 17863
(Nov. 25, 2002) and 17835 (Nov. 13, 2002). [SEC v. 800AMERICA.COM,
INC., ET AL., Civil Action No. 02 Civ. 9046 (HB) (S.D.N.Y.)] (LR-
20326)
SEC BRINGS FRAUD CHARGES AND OBTAINS EMERGENCY RELIEF AGAINST ROBERT
RAY WHITE SAMPLES
The Commission charged Robert Ray White Samples (Samples), of Parker,
Colorado, with misappropriating investor funds through two fraudulent
investment schemes. According to the Commission's complaint, filed
October 4 in federal district court in Denver, Colorado, from at least
September 2002 through September 2006, Samples, operating through his
company, Pot O' Gold Financial Services, LLC (POG), used material
misrepresentations to raise at least $1,033,597 from 31 investors,
including seniors, in two pooled investments. On October 11, the Court
entered an order, with the defendants' consent, granting a preliminary
injunction against Samples and POG, and freezing their assets and
ordering an accounting.
The complaint alleges that Samples offered and sold almost $1 million
worth of POG's Private Capital Accounts to the public. Samples
represented to investors that funds placed in Private Capital Accounts
would be pooled together and invested primarily in fixed income
securities and secondarily in an auto loan program under Samples'
management to generate returns. The complaint also alleges that
Samples sold interests worth almost $65,000 in POG's Golden Investment
Club (Club). Samples represented to Club investors that he would pool
their funds together in a brokerage account for investment in
securities, which he would manage in exchange for an advisory fee.
According to the Commission's complaint, Samples' representations to
investors were false and he misappropriated a large portion of the
funds he received to pay for personal expenses such as a new home, two
timeshare condominiums, automobiles, and personal credit cards.
The Commission's complaint alleges Samples violated Sections 5(a),
5(c), and 17(a) of the Securities Act of 1933 (Securities Act);
Sections 10(b) and 15(a) of the Securities Exchange Act of 1934
(Exchange Act) and Rule 10b-5 thereunder; and Sections 206(1) and (2)
of the Investment Advisers Act; and POG violated Sections 5(a), 5(c),
and 17(a) of the Securities Act; Section 10(b) of the Exchange Act and
Rule 10b-5 thereunder; and Section 7(a) of the Investment Company Act.
The Commission is seeking a permanent injunction, disgorgement plus
prejudgment interest, and civil penalties against Samples and POG. The
Commission also names as a relief defendant, Cristella Treece Samples,
Samples' wife, who received assets through Samples' and POG's fraud.
[SEC v. Robert Ray White Samples, Pot O' Gold Financial Services, LLC,
and Cristella Treece Samples, Civ. No. 07-CV-02081 LTB-CBS (D. Colo.)
(LR-20327)
INVESTMENT COMPANY ACT RELEASES
HERCULES TECHNOLOGY GROWTH CAPITAL, INC.
An order has been issued under Section 61(a)(3)(B) of the Investment
Company Act on an application filed by Hercules Technology Growth
Capital, Inc. The order approves applicant's proposal to issue stock
options to non-employee directors under applicant's amended and
restated 2006 non-employee director plan. The order supersedes a prior
order issued to applicant under Section 61(a)(3)(B) of the Act. (Rel.
IC-28011 - October 10)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change and Amendment No. 1 thereto filed by the New
York Stock Exchange to amend NYSE Rule 70.30 relating to the
definition of a Crowd (SR-NYSE-2007-94) has become effective pursuant
to Section 19(b)(3)(A) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
October 8. Rel. 34-56621)
A proposed rule change (SR-Phlx-2007-77) filed by the Philadelphia
Stock Exchange relating to Web CRD fingerprinting fees has become
effective under Section 19(b)(3)(A) of the Securities Exchange Act of
1934. Publication is expected in the Federal Register during the week
of October 8. Rel. 34-56622)
PROPOSED RULE CHANGE
The Chicago Board Options Exchange filed a proposed rule change, as
modified by Amendment No. 1 thereto, (SR-CBOE-2007-99) relating to a
delta hedging exemption from equity options position limits.
Publication is expected in the Federal Register during the week of
October 15. Rel. 34-56631)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission issued notice of, and granted accelerated approval to,
a proposed rule change (SR-NYSEArca-2007-92), as modified by Amendment
Nos. 1, 2, and 3 thereto, submitted by NYSE Arca, through its wholly
owned subsidiary, NYSE Arca Equities, Inc., relating to generic
listing and trading rules for Index-Linked Securities. Publication is
expected in the Federal Register during the week of October 15. Rel.
34-56637)
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 ATLAS PIPELINE PARTNERS LP, 311 ROUSER ROAD, MOON TOWNSHIP, PA, 15108,
4122622830 - 0 ($1,250,292,866.00) Limited Partnership Interests,
(File 333-146586 - Oct. 10) (BR. 02A)
S-3 Atlas Pipeline Holdings, L.P., 311 ROUSER ROAD, MOON TOWNSHIP, PA,
15108, 4122622830 - 0 ($242,187,307.00) Limited Partnership Interests,
(File 333-146587 - Oct. 10) (BR. 02A)
S-3ASR ATP OIL & GAS CORP, 4600 POST OAK PL, STE 200, HOUSTON, TX, 77027,
7136223311 - 0 ($0.00) Other, (File 333-146588 - Oct. 10) (BR. 04C)
S-3 TERREMARK WORLDWIDE INC, 2601 SOUTH BAYSHORE DRIVE, MIAMI, FL, 33133,
2123199160 - 0 ($22,772,176.00) Equity, (File 333-146589 - Oct. 10)
(BR. 11B)
S-8 PRUDENTIAL FINANCIAL INC, 751 BROAD ST, NEWARK, NJ, 07102, 9738026000 -
0 ($150,000,000.00) Equity, (File 333-146592 - Oct. 10) (BR. 01B)
S-8 STARLIMS Technologies Ltd, 32B HABARZEL STREET, TEL AVIV, L3, 69710,
972-3-648-5227 - 216,750 ($1,187,820.00) Equity, (File 333-146593 -
Oct. 10) (BR. 03)
S-3ASR V F CORP, 105 CORPORATE CENTER BOULEVARD, GREENSBORO, NC, 27408,
(336)424-6000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-146594 - Oct. 10) (BR. 02A)
S-8 UWHARRIE CAPITAL CORP, 132 NORTH FIRST STREET, PO BOX 338, ALBEMARLE,
NC, 28001, 7049836181 - 255,033 ($1,428,185.00) Equity,
(File 333-146595 - Oct. 10) (BR. 07B)
SB-2 NORTHERN OIL & GAS, INC., 130 LAKE STREET WEST, SUITE 300, WAYZATA, MN,
55391, 952-476-9800 - 9,363,639 ($50,965,924.00) Equity,
(File 333-146596 - Oct. 10) (BR. 04B)
S-1 HCM Acquisition CO, 13455 NOEL ROAD, SUITE 800, DALLAS, TX, 75240,
972-628-4100 - 0 ($287,500,000.00) Equity, (File 333-146597 - Oct. 10)
(BR. 09)
S-4 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 -
0 ($5,000,647,990.00) Equity, (File 333-146598 - Oct. 10) (BR. 07A)
F-6 Merrion Pharmaceuticals LTD, BIOTECHNOLOGY BUILDING,
TRINITY COLLEGE DUBLIN, DUBLIN, L2, DUBLIN 2, 011353(1)672-9272 -
100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-146599 - Oct. 10)
(BR. 01)
S-8 NATIONAL SEMICONDUCTOR CORP, 2900 SEMICONDUCTOR DR, PO BOX 58090,
SANTA CLARA, CA, 95052-8090, 4087215000 - 0 ($452,370,000.00) Equity,
(File 333-146600 - Oct. 10) (BR. 10B)
S-8 APPALACHIAN BANCSHARES INC, 822 INDUSTRIAL BLVD, ELLIJAY, GA, 30540,
7062768000 - 300,000 ($4,461,000.00) Equity, (File 333-146601 -
Oct. 10) (BR. 07C)
SB-2 LG Holding Corp, 3413 S Ammons Str, Lakewood, co, 80227, 303-793-0304 -
63,100 ($31,550.00) Equity, (File 333-146602 - Oct. 10) (BR. 08)
S-8 TURBINE TRUCK ENGINES INC, 1200 FLIGHTLINE BLVD SUITE 5, DELAND, FL,
32724, 904-943-8358 - 0 ($850,000.00) Equity, (File 333-146603 -
Oct. 10) (BR. 10C)
S-8 BERKSHIRE HILLS BANCORP INC, 24 NORTH ST., PITTSFIELD, MA, 01201,
4134435601 - 171,862 ($3,511,141.00) Equity, (File 333-146604 -
Oct. 10) (BR. 07B)
F-1 CNINSURE INC., 19/F, YINHAI BUILDING, NO. 299 YANJIANG ZHONG ROAD,
GUANGZHOU, F4, 510110, (86-20) 6122-2777 - 0 ($184,000,000.00) Equity,
(File 333-146605 - Oct. 10) (BR. )
S-8 NORTH AMERICAN TECHNOLOGIES GROUP INC /TX/, 14315 WEST HARDY ROAD,
SUITE 301, HOUSTON, TX, 77060, 281-847-0029 - 0 ($164,590.00) Equity,
(File 333-146606 - Oct. 10) (BR. 06A)
S-8 Echo Therapeutics, Inc., 10 FORGE PARKWAY, FRANKLIN, MA, 02038,
508 553-8850 - 0 ($2,987,500.00) Equity, (File 333-146607 - Oct. 10)
(BR. 10C)
F-3 DIVERSINET CORP, 2225 SHEPPARD AVE EAST STE 1801,
TORONTO CANADA M2J 5C2, ONTARIO, A6, 00000, 4167562324 -
6,813,007 ($5,246,015.39) Equity, (File 333-146608 - Oct. 10) (BR. 03B)
SB-2 Amish Naturals, Inc., 8224 COUNTY RD 245,, HOLMESVILLE, OH, 44633,
(330) 674-0998 - 9,565,000 ($19,703,900.00) Equity, (File 333-146609 -
Oct. 10) (BR. 04B)
S-3 DELPHAX TECHNOLOGIES INC, 12500 WHITEWATER DRIVE, MINNETONKA, MN,
55343-9420, 952-939-9000 - 2,000,000 ($1,980,000.00) Equity,
(File 333-146610 - Oct. 10) (BR. 10A)
S-1 XPLORE TECHNOLOGIES CORP, 14000 SUMMIT DRIVE SUITE 900, AUSTIN, TX,
78746, 512-336-7797 - 0 ($48,114,631.00) Other, (File 333-146611 -
Oct. 10) (BR. 03C)
S-8 COMPELLENT TECHNOLOGIES INC, 7625 SMETANA LANE, EDEN PRAIRIE, MN,
55344, 9522943300 - 0 ($73,784,607.36) Other, (File 333-146612 -
Oct. 10) (BR. 03)
S-8 Akeena Solar, Inc., 605 UNIVERSITY AVENUE, LOS GATOS, CA, 95032,
408-395-7774 - 3,728,014 ($34,335,008.94) Equity, (File 333-146613 -
Oct. 10) (BR. 02A)
S-8 VITA FOOD PRODUCTS INC, 222 WEST LAKE ST, CHICAGO, IL, 60612,
3127384500 - 0 ($845,516.34) Equity, (File 333-146616 - Oct. 10)
(BR. 04A)
S-4 NATIONAL PENN BANCSHARES INC, PHILADELPHIA AND READING AVES,
PO BOX 547, BOYERTOWN, PA, 19512, 1-800-822-3321 -
29,521,502 ($493,553,664.66) Equity, (File 333-146617 - Oct. 10)
(BR. 07A)
S-1 CRITICAL HOMECARE SOLUTIONS HOLDINGS, INC., TWO TOWER BRIDGE,
ONE FAYETTE STREET, SUITE 180, CONSHOHOCKEN, PA, 19428,
(610) 825-2061 - 0 ($125,000,000.00) Equity, (File 333-146618 -
Oct. 10) (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 5.02 10/05/07
Accelerated Building Concepts CORP DE 4.01,9.01 10/08/07 AMEND
ACTIVE POWER INC DE 1.01,2.03,9.01 10/05/07
ADEPT TECHNOLOGY INC CA 5.02,9.01 10/04/07
ADVANCED MEDICAL OPTICS INC DE 1.01,5.02 10/05/07
ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 10/10/07
ADVENTRX PHARMACEUTICALS INC DE 7.01,9.01 10/10/07
AES CORP DE 8.01,9.01 10/10/07
ALCOA INC PA 2.02,9.01 10/09/07
ALCOA INC PA 2.05,2.06 09/28/07 AMEND
ALLIN CORP DE 2.03,3.02,9.01 10/05/07
ALPHARMA INC DE 3.02,9.01 10/03/07
AMERICAN COMMUNITY PROPERTIES TRUST MD 9.01 10/10/07
ANADYS PHARMACEUTICALS INC 8.01 10/09/07
ANTIGENICS INC /DE/ DE 8.01,9.01 10/10/07
Apple REIT Eight, Inc. VA 1.01 10/09/07
ARQULE INC DE 5.02,9.01 10/04/07
ASCENDIA BRANDS, INC. DE 1.01,7.01,9.01 10/09/07
ASIA GLOBAL HOLDINGS CORP. NV 8.01,9.01 10/09/07
AZTEK VENTURES INC. NV 4.01,9.01 10/09/07
BALL CORP IN 8.01,9.01 10/04/07
BAUSCH & LOMB INC NY 7.01 10/08/07
BCAP LLC Trust 2007-AA5 8.01,9.01 09/21/07
BEA SYSTEMS INC DE 4.02,8.01 10/10/07
BEA SYSTEMS INC DE 1.01 10/09/07
BIG SKY ENERGY CORP NV 7.01 10/08/07
BIOENVISION INC DE 8.01,9.01 10/09/07
BIOPHAN TECHNOLOGIES INC NV 2.01,7.01,9.01 10/05/07
BJs RESTAURANTS INC CA 8.01,9.01 10/09/07
BLONDER TONGUE LABORATORIES INC DE 5.02 10/04/07
BOOKS A MILLION INC DE 8.01 10/10/07
BRADLEY PHARMACEUTICALS INC DE 1.01 10/05/07
BRIDGFORD FOODS CORP CA 5.03,9.01 10/08/07
BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 10/09/07
BROADCAST INTERNATIONAL INC UT 3.02 10/04/07
Bronco Drilling Company, Inc. DE 7.01,9.01 10/10/07
CAMDEN PROPERTY TRUST TX 1.01,2.03,9.01 10/04/07
CANTEL MEDICAL CORP DE 2.02,9.01 10/09/07
Capital One Auto Receivables LLC DE 8.01,9.01 10/04/07
CAPITAL ONE MASTER TRUST NY 8.01,9.01 10/09/07
CBD Media Holdings LLC DE 7.01,9.01 10/09/07
CBD MEDIA LLC DE 7.01,9.01 10/09/07
CDEX INC NV 5.02,9.01 10/09/07
CELEBRATE EXPRESS, INC. 1.01,9.01 10/04/07
CENTER BANCORP INC NJ 8.01,9.01 10/10/07
CENTURY BANCORP INC MA 2.02,9.01 10/09/07
CERIDIAN CORP /DE/ DE 8.01,9.01 10/04/07
CHAMPION PARTS INC IL 1.03 10/10/07
CHANNELL COMMERCIAL CORP DE 1.01,2.03,9.01 10/03/07
CHEMOKINE THERAPEUTICS CORP DE 8.01,9.01 10/10/07
CHEMOKINE THERAPEUTICS CORP DE 8.01 10/02/07
CHINA AGRITECH INC 1.01,9.01 10/08/07
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 09/28/07
CHRISTOPHER & BANKS CORP DE 1.01,9.01 08/01/07
CHS/Community Health Systems, Inc. 8.01,9.01 10/09/07
Citicorp Mortgage Securities Trust, S DE 8.01,9.01 10/10/07
CITIZENS & NORTHERN CORP PA 2.02,9.01 09/30/07
CNB CORP /MI/ MI 8.01,9.01 10/10/07
Compass Diversified Holdings DE 8.01,9.01 10/05/07
COMPLIANCE SYSTEMS CORP 4.01,9.01 10/04/07
Comverge, Inc. DE 1.01,9.01 10/04/07
COREL CORP A6 5.02 10/10/07
COREL CORP A6 2.02,9.01 10/10/07
COSI INC DE 5.02 08/10/07
COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 10/10/07
CREDIT ONE FINANCIAL INC 1.01,2.01,5.06,9.01 10/10/07
CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 10/05/07
CrossPoint Energy CO NV 5.02 10/04/07
CRYSTAL INTERNATIONAL TRAVEL GROUP, I DE 1.01,3.02,9.01 10/04/07
CYTYC CORP DE 8.01,9.01 10/10/07
DCP Midstream Partners, LP DE 8.01 10/04/07
Design Source, Inc. NV 4.01,9.01 10/08/07
Digital Music Group, Inc. DE 1.01,8.01,9.01 10/05/07
Disaboom, Inc. CO 3.02,7.01,9.01 10/09/07
Discover Card Execution Note Trust DE 1.01,9.01 10/09/07
DOWNEY FINANCIAL CORP DE 7.01,9.01 10/10/07
DRI CORP NC 7.01,9.01 10/10/07
DUCKWALL ALCO STORES INC KS 5.02,7.01,9.01 10/03/07
E-Z-EM, Inc. DE 2.02,7.01,9.01 10/10/07
EARTHFIRST TECHNOLOGIES INC FL 1.01,9.01 10/04/07
EATON VANCE CORP MD 7.01,9.01 10/10/07
ELEC COMMUNICATIONS CORP NY 1.01,2.03,3.02,8.01,9.01 10/04/07
Energy Transfer Equity, L.P. DE 7.01,9.01 10/10/07
Energy Transfer Equity, L.P. DE 7.01,9.01 10/10/07
Energy Transfer Partners, L.P. DE 7.01,9.01 10/10/07
Energy Transfer Partners, L.P. DE 7.01,9.01 10/10/07
ENTERPRISE FINANCIAL SERVICES CORP DE 8.01,9.01 10/10/07
ENTERTAINMENT PROPERTIES TRUST MD 7.01,8.01,9.01 10/09/07
EPOCH HOLDING CORP DE 8.01,9.01 10/09/07
EQUITY INNS INC TN 2.01,9.01 10/04/07
Federal Home Loan Bank of Chicago X1 1.02,7.01,9.01 10/10/07
FIRST BANCSHARES INC /MS/ MS 8.01 10/08/07
First Financial Northwest, Inc. WA 8.01,9.01 10/09/07
First Guaranty Bancshares, Inc. LA 1.02 10/05/07
FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02,9.01 10/10/07
First Trinity Financial CORP 5.02 10/08/07
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 8.01,9.01 10/10/07
FLORIDA POWER & LIGHT CO FL 8.01,9.01 10/10/07
FOX PETROLEUM INC. NV 3.02,9.01 10/01/07
FTI CONSULTING INC MD 1.01,8.01,9.01 10/03/07
FUEGO ENTERTAINMENT, INC. NV 4.01,5.02,9.01 10/10/07
GASCO ENERGY INC NV 7.01,9.01 10/10/07
GENESIS ENERGY LP DE 9.01 07/25/07 AMEND
GENESIS TECHNOLOGY GROUP INC FL 2.01 10/01/07 AMEND
GLADSTONE CAPITAL CORP MD 2.02,9.01 10/10/07
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 10/10/07
Glenrose Instruments Inc. 3.02 10/10/07
GP STRATEGIES CORP DE 8.01,9.01 10/09/07
GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 10/10/07
GREENBRIER COMPANIES INC DE 8.01,9.01 10/10/07
GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 8.01 10/10/07
GYMBOREE CORP DE 7.01 10/10/07
H2Diesel Holdings, Inc FL 1.01,9.01 10/05/07
HALIFAX CORP OF VIRGINIA VA 8.01 10/10/07
HAMPTON ROADS BANKSHARES INC VA 2.02 10/09/07
HANSEN MEDICAL INC 7.01,9.01 10/09/07
HarborView 2007-2 DE 6.02 09/24/07
HAROLDS STORES INC OK 5.02 10/05/07
HEALTH DISCOVERY CORP 2Q 3.02,5.03,9.01 10/09/07
HEALTH NET INC DE 5.02 10/10/07
Highlands Acquisition Corp DE 5.03,8.01,9.01 10/03/07
HOLOGIC INC DE 8.01 10/08/07
HOMEBANC CORP 8.01,9.01 10/01/07
HOST AMERICA CORP DE 7.01,9.01 10/10/07
HOST HOTELS & RESORTS L.P. DE 2.02,9.01 10/10/07
HOST HOTELS & RESORTS, INC. MD 2.02,9.01 10/10/07
HUTTIG BUILDING PRODUCTS INC DE 5.02 10/04/07
HYDRON TECHNOLOGIES INC NY 1.01,3.02,9.01 10/03/07
I A EUROPE GROUP INC DE 1.01 10/03/07
IA GLOBAL INC DE 1.01,9.01 10/09/07
IKONA GEAR INTERNATIONAL INC NV 7.01,9.01 10/09/07
INCYTE CORP DE 2.03,3.02,9.01 10/10/07
Inland American Real Estate Trust, In MD 2.01,9.01 10/10/07
INLAND REAL ESTATE CORP MD 8.01,9.01 10/10/07
INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 10/10/07
INTERLINK GLOBAL CORP NV 8.01,9.01 10/09/07
INTERNATIONAL BARRIER TECHNOLOGY INC/ 7.01,9.01 10/09/07
INTERNATIONAL PAPER CO /NEW/ NY 5.02 10/10/07
INTERNET AMERICA INC TX 1.01,9.01 07/27/07 AMEND
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 10/09/07
INVERTED PARADIGMS CORP DE 1.01,3.02,9.01 10/10/07
Investors Bancorp Inc DE 8.01 10/09/07
IROBOT CORP DE 2.02,7.01,9.01 10/10/07
ISTAR FINANCIAL INC MD 7.01 10/09/07
ITEX CORP NV 7.01,9.01 10/10/07
ITRONICS INC TX 2.02 10/04/07
J P MORGAN CHASE & CO DE 9.01 10/04/07
JUPITER ENTERPRISES INC NV 4.01,9.01 10/04/07
K-FED BANCORP 3.01,9.01 10/04/07
KeyOn Communications Holdings Inc. DE 5.02 10/09/07
KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 8.01,9.01 10/10/07
KLONDIKE STAR MINERAL CORP DE 4.01 09/13/07 AMEND
KMG CHEMICALS INC TX 2.02,9.01 10/10/07
LAM RESEARCH CORP DE 2.02,9.01 10/10/07
LAM RESEARCH CORP DE 5.04,9.01 10/10/07
LAYNE CHRISTENSEN CO DE 8.01,9.01 10/10/07
LEGEND MOBILE INC DE 3.02 10/09/07
LENNOX INTERNATIONAL INC DE 2.05,9.01 10/10/07
LEVI STRAUSS & CO DE 2.02,7.01,9.01 10/10/07
Liberty Global, Inc. 2.03,9.01 10/08/07
LIBERTY MEDIA CORP 8.01,9.01 10/10/07
LITTLE SQUAW GOLD MINING CO AK 8.01,9.01 10/08/07
LORAL SPACE & COMMUNICATIONS INC. DE 2.03,8.01,9.01 10/04/07
MACROCHEM CORP DE 1.01,9.01 10/03/07
MACROCHEM CORP DE 1.01,3.02,9.01 10/10/07
MAKEMUSIC, INC. MN 5.02 10/03/07
MANAGEMENT NETWORK GROUP INC 1.01,3.02,7.01,8.01 10/05/07
Matador Acquisition CORP E9 1.01,2.01,3.02,5.01,5.03,9.01 10/03/07
MATERIAL SCIENCES CORP DE 2.02,9.01 10/10/07
MAUI LAND & PINEAPPLE CO INC HI 5.02,9.01 10/08/07
MAXWELL TECHNOLOGIES INC DE 1.01,9.01 10/09/07
MEADOW VALLEY CORP NV 1.01,9.01 10/09/07
MEADWESTVACO CORP DE 8.01 10/10/07
MEDICINOVA INC DE 7.01,9.01 10/10/07
MERCANTILE BANK CORP MI 2.02,9.01 10/10/07
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 10/01/07
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 10/01/07
Merrill Lynch First Franklin Mortgage DE 8.01,9.01 10/10/07
METHODE ELECTRONICS INC DE 3.01,9.01 10/08/07
MICROSEMI CORP DE 7.01 10/10/07
MIDWEST AIR GROUP INC WI 8.01,9.01 10/10/07
MIT Holding, Inc. DE 8.01,9.01 10/02/07
MONMOUTH REAL ESTATE INVESTMENT CORP MD 4.02,7.01,9.01 10/10/07
MONSANTO CO /NEW/ DE 2.02,9.01 10/10/07
Morgans Hotel Group Co. DE 1.01,3.03,9.01 10/09/07
MOTIVE INC DE 5.02,9.01 10/08/07
MSC SOFTWARE CORP DE 2.02,9.01 10/10/07
MultiCell Technologies, Inc. DE 1.01,8.01,9.01 10/09/07
MYMETICS CORP DE 1.01,2.03,3.02,9.01 10/03/07
NANOBAC PHARMACEUTICALS INC FL 4.01,9.01 10/10/07
NATIONAL COAL CORP FL 3.02 10/09/07
Neonode, Inc DE 5.02,9.01 10/09/07
Neonode, Inc DE 4.01 10/08/07
NEW JERSEY RESOURCES CORP NJ 8.01 10/09/07
NEWMONT MINING CORP /DE/ DE 1.01,9.01 08/10/07
NEWPOWER HOLDINGS INC DE 8.01,9.01 10/09/07
NewStar Financial, Inc. 5.02,9.01 10/10/07
NEXIA HOLDINGS INC NV 3.02,8.01 10/08/07
NextMart Inc. DE 5.03 10/10/07
Nissan Auto Receivables 2007-B Owner DE 8.01,9.01 10/09/07
NOVADEL PHARMA INC DE 7.01,8.01,9.01 10/10/07
NTN BUZZTIME INC DE 4.01,9.01 10/05/07
O2 Secure Wireless, Inc. GA 4.01,9.01 10/10/07
OM GROUP INC DE 1.01 10/07/07
ON2 TECHNOLOGIES, INC. DE 3.01,5.03,8.01,9.01 10/10/07
OPEN ENERGY CORP NV 5.02,9.01 10/10/07
OPENWAVE SYSTEMS INC DE 5.02,9.01 10/09/07
OPTICAL COMMUNICATION PRODUCTS INC DE 8.01 10/03/07
OSCIENT PHARMACEUTICALS CORP MA 2.02,9.01 10/10/07
OSIRIS THERAPEUTICS, INC. DE 1.01,7.01,9.01 10/05/07
PANDA ETHANOL, INC. NV 4.02 10/09/07
Penn Virginia GP Holdings, L.P. 1.01,9.01 10/08/07
PENN VIRGINIA RESOURCE PARTNERS L P DE 1.01,9.01 10/08/07
PETSMART INC DE 7.01,9.01 10/10/07
PILGRIMS PRIDE CORP DE 5.02,7.01,9.01 10/10/07
POINT THERAPEUTICS INC DE 1.01,2.03,9.01 10/09/07
PREMIER EXHIBITIONS, INC. 1.01,2.02,9.01 10/04/07
PROCTER & GAMBLE CO OH 5.02 10/10/07
PROCTER & GAMBLE CO OH 7.01 10/10/07 AMEND
PROGRESSIVE CORP/OH/ OH 2.02,9.01 10/10/07
QMED INC DE 2.02,9.01 10/08/07
RAINING DATA CORP DE 3.01,3.02,9.01 10/04/07
RAYONIER INC NC 8.01 10/09/07
RCN CORP /DE/ DE 8.01,9.01 10/10/07
READING INTERNATIONAL INC NV 1.01,7.01,9.01 10/08/07
REDDY ICE HOLDINGS INC DE 8.01 10/05/07
RIDGEWOOD ELECTRIC POWER TRUST II DE 4.02 10/08/07
RIDGEWOOD ELECTRIC POWER TRUST IV DE 4.02 10/08/07
ROLLINS INC DE 8.01 10/03/07
RUSH ENTERPRISES INC \TX\ TX 8.01,9.01 10/10/07
SCHOOL4CHAUFFEURS, INC. DE 8.01 10/10/07
Searchlight Minerals Corp. NV 1.01,9.01 10/04/07
SECURED DIGITAL APPLICATIONS INC DE 8.01,9.01 10/09/07
SEMCO ENERGY INC MI 8.01,9.01 10/10/07
SEMCO ENERGY INC MI 8.01,9.01 10/10/07
Sequoia Mortgage Trust 2007-1 6.02 09/01/07 AMEND
Sequoia Mortgage Trust 2007-2 6.02 09/01/07 AMEND
Sequoia Mortgage Trust 2007-3 6.02 09/01/07 AMEND
SHAW GROUP INC LA 2.02,9.01 10/10/07
SIMPSON MANUFACTURING CO INC /CA/ DE 8.01,9.01 10/10/07
SKYLYNX COMMUNICATIONS INC DE 8.01 10/03/07
SMITHTOWN BANCORP INC NY 8.01 10/09/07
SOUTH SHORE RESOURCES INC. 7.01,9.01 10/09/07
SOUTHERN COPPER CORP/ DE 8.01,9.01 10/10/07
SPHERIX INC DE 7.01,9.01 10/08/07
STANLEY FURNITURE CO INC. DE 7.01,9.01 10/10/07
State Auto Financial CORP OH 5.02 10/04/07
STEVEN MADDEN, LTD. DE 5.02 10/08/07
STRATS SM TRUST FOR Goldman Sachs Cap 8.01 10/05/07
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01 10/05/07
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01 10/05/07
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01 10/05/07
STRATS(SM) Trust for Allstate Corp Se 8.01 10/05/07
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01 10/05/07
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01 10/05/07
STRATS(SM) Trust For Goldman Sachs Ca 8.01 10/05/07
STRATS(SM) Trust for Goldman Sachs Gr 8.01 10/05/07
Strats(SM) Trust for JPMorgan Chase C 8.01 10/05/07
STRATS(SM) Trust For Morgan Stanley S 8.01 10/05/07
SUMMIT ENVIRONMENTAL CORP INC TX 5.02 10/05/07
SUPERIOR BANCORP DE 2.01,7.01,9.01 07/27/07 AMEND
SUPREME INDUSTRIES INC DE 1.01,9.01 10/08/07
SYNNEX CORP DE 2.01,9.01 05/01/07
TAIWAN FUND INC DE 7.01,9.01 08/01/07
TALBOTS INC DE 5.02,7.01,9.01 10/04/07
TANDY BRANDS ACCESSORIES INC DE 5.02 10/07/07
TLC VISION CORP A6 8.01,9.01 10/10/07
TOREADOR RESOURCES CORP TX 5.02 10/04/07
TOUSA INC DE 7.01,9.01 10/08/07
TRB SYSTEMS INTERNATIONAL INC DE 4.01 10/05/07 AMEND
TRIMERIS INC DE 5.02,9.01 10/05/07
TURNSTONE SYSTEMS INC DE 4.01,9.01 10/04/07
U S CANADIAN MINERALS INC CA 8.01 10/09/07
UNITED BANCORP INC /MI/ MI 8.01,9.01 10/10/07
UNITED HERITAGE CORP UT 5.02,9.01 10/08/07
UNIVERSAL FOOD & BEVERAGE COMPNY NV 1.01,1.03 10/03/07
Urigen Pharmaceuticals, Inc. DE 5.02,7.01,9.01 10/03/07
UTSTARCOM INC DE 2.02,5.03,9.01 10/08/07
VALUECLICK INC/CA DE 2.01,9.01 07/30/07 AMEND
VIA Pharmaceuticals, Inc. DE 8.01,9.01 10/10/07
Victory Divide Mining CO 1.01,2.01,3.02,3.03,4.01,5.01, 10/03/07
5.06,8.01,9.01
WASHINGTON GROUP INTERNATIONAL INC DE 8.01 10/05/07
WATAIRE INTERNATIONAL, INC. WA 3.02 10/05/07
WATCHIT MEDIA, INC. DE 2.02,8.01 08/03/07
WEBSENSE INC DE 2.02,9.01 10/10/07
Whitestone REIT TX 8.01,9.01 10/04/07
WOLVERINE TUBE INC DE 8.01,9.01 10/05/07
WORLD AM, INC. 4.02,9.01 09/26/07 AMEND
XETHANOL CORP CO 1.01,9.01 10/05/07
Zumiez Inc 7.01,9.01 10/10/07
http://www.sec.gov/news/digest/2007/dig101107.htm
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