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SEC NEWS DIGEST
Issue 2007-226 November 26, 2007
COMMISSION ANNOUNCEMENTS
ELIZABETH G. OSTERMAN NAMED ASSOCIATE DIRECTOR IN THE DIVISION OF
INVESTMENT MANAGEMENT
The Securities and Exchange Commission announced today that Elizabeth
G. Osterman has been named Associate Director of Exemptive
Applications and Special Projects in the agency's Division of
Investment Management.
Ms. Osterman will oversee the Investment Company Act exemptive
applications process that fosters mutual fund innovations to provide
additional choice and opportunity for fund investors. Ms. Osterman
also will oversee a new office in the Division of Investment
Management dedicated to special projects.
Andrew J. Donohue, Director of the Division of Investment Management,
said, "Liz is a highly regarded attorney and a well-respected leader
in the Division of Investment Management. Liz has a passion for her
work. I have appreciated having the benefit of her analysis on a
variety of complex issues. The Division's Offices of Investment
Company Regulation have made significant recent strides in improving
efficiency, reporting an 84 percent increase in the number of
exemptive applications noticed in FY 2007 versus FY 2006. Under Liz's
strong leadership as Associate Director, I expect this positive
momentum to continue for the ultimate benefit of America's investors.
In addition, Liz's insights will be invaluable as the Division of
Investment Management launches a new office to conduct in-depth
special projects."
Ms. Osterman said, "I am looking forward to leading the exemptive
applications offices. I have great respect for the staff of those
offices and am excited about having the opportunity to work with them
directly. I am also looking forward to working with Buddy Donohue and
other senior staff in launching the Division's new Special Projects
Office."
Ms. Osterman has served as Assistant Chief Counsel, Financial
Institutions in the Division of Investment Management's Office of
Chief Counsel since 2000. From 1997 to 2000, Ms. Osterman was
Assistant Director in the Division's Office of Enforcement Liaison.
From 1994 to 1997, Ms. Osterman was Assistant Director in the Office
of Investment Company Regulation. She joined that Office in 1991,
becoming a Branch Chief of the Office in 1992. Prior to entering
public service at the SEC, Ms. Osterman was an associate with Piper &
Marbury in Baltimore, Md.
Ms. Osterman earned a J.D., cum laude, in 1986 from the University of
Baltimore School of Law, where she was Business Editor of the Law
Review. Ms. Osterman received her B.A. in German from Swarthmore
College in 1977. (Press Rel. 2007-242)
ENFORCEMENT PROCEEDINGS
SEC v. ERIC R. MAJORS AND JOSHUA N. WOLCOTT
The Commission announced today that it filed charges against Eric R.
Majors of South Africa and Joshua N. Wolcott of Denver, Colorado,
stemming from the fraudulent offering and sale of more than eight
million shares of unregistered stock in Maximum Dynamics, Inc.
(Maximum).
The Commission's civil injunctive complaint alleges that from December
2002 through February 2005, chief executive officer Majors and former
chief financial officer Wolcott issued millions of Maximum shares in
the names of alleged consultants in Mexico using false consulting
contracts and false Form S-8 registration statements. The complaint
further alleges that Majors and Wolcott deposited the shares in
brokerage accounts that they controlled and used the proceeds from the
sale of the shares to secretly pay themselves, Maximum, and others.
The complaint also alleges that Majors and Wolcott fraudulently
certified Maximum's periodic reports with the Commission under the
Sarbanes-Oxley Act of 2002.
The Commission's complaint alleges that, as a result of their conduct,
Majors and Wolcott violated, and unless enjoined, will continue to
violate, Sections 5(a), 5(c), and 17(a) of the Securities Act and
10(b), 13(d), and 16(a) of the Exchange Act and Rules 10b-5, 13a-14,
13d-2, 16a-2, and 16a-3 thereunder and aided and abetted Maximum's
violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-
1, and 13a-13 thereunder. [SEC v. Eric R. Majors and Joshua N.
Wolcott, Civil Action No. 1:07-cv-2414-WYD (D. Colo.)] (LR-20368)
FEDERAL COURT ENTERS FINAL JUDGMENT AGAINST MICHAEL J. PIETRZAK AND
MAURICE W. FURLONG, OFFICERS AND DIRECTORS OF HEXAGON CONSOLIDATED
COMPANIES OF AMERICA, INC.
The Commission announced today that on November 19 the Honorable John
F. Grady, United States District Judge for the Northern District of
Illinois, entered Final Judgment against Michael J. Pietrzak and
Maurice W. Furlong, for their role in defrauding the shareholders of
Hexagon Consolidated Companies of America, Inc. (HCCA), by
fraudulently inflating the value of claimed company assets, while at
the same time selling their own HCCA stock into the marketplace. The
final judgment against Pietrzak and Furlong includes permanent
injunctions, disgorgement, prejudgment interest, civil penalties,
officer and director bars and penny stock bars. Pietrzak is the former
CFO and general counsel to HCCA. Furlong is the former CEO and
President of the company. The final judgment follows a lengthy jury
trial which resulted in an Aug. 3, 2007, verdict against the
defendants, and in favor of the Commission on every count in the
Commission's complaint.
The final judgment permanently enjoins Pietrzak and Furlong from: (i)
future violations of the antifraud provisions of Section 17(a) of the
Securities Act of 1933 and Section 10(b) of the Securities Exchange
Act of 1934 and Rule 10b-5 thereunder; (ii) future violations of
aiding and abetting in the filing of false periodic reports with the
Commission in violation of Section 13(a) of the Exchange Act and Rules
12b-20, 13a-1, 13a-11, 13a-13 thereunder; (iii) future aiding and
abetting violations involving internal accounting controls and books
and records in violation of Sections 13(b)(2)(A) and 13(b)(2)(B) of
the Exchange Act; and (iv) future violations involving failure to
implement internal accounting controls in violation of Section
13(b)(5) of the Exchange Act and Rule 13b2-1 thereunder. The final
judgment also permanently enjoins Furlong from future violations of
stock ownership reporting provisions of Sections 16(a) of the Exchange
Act and Rules 16a-2 and 16a-3 thereunder.
As to other relief, the final judgment also orders Pietrzak to pay
disgorgement in the amount of $1,282,205, representing gross proceeds
he received from sales of his HCCA stock, during the period that the
accounting fraud was ongoing, along with pre-judgment interest thereon
in the amount of $884,317 for a total of $2,166,522. The judgment
orders Furlong to pay disgorgement in the amount of $3,375,662,
representing gross proceeds he received from sales of his HCCA stock,
during the period that the accounting fraud was ongoing, along with
pre-judgment interest thereon in the amount of $2,612,888 for a total
of $5,988,550. Civil penalties were imposed against the defendants in
the amounts of the respective ordered disgorgement against them,
however the judgment provides that the civil penalties shall be deemed
paid to the extent that disgorgement is paid. All payments in the
final judgment are due within 30 days of the entry of the judgment.
Finally the judgment bars Pietrzak and Furlong from ever again serving
as an officer or director of a public company, and bars them from
offering or selling penny stocks.
The jury verdict, upon which the final judgment is based, included
findings on a wide-range of securities law violations, including that
material misrepresentations were made by HCCA in filings with the
Commission, and that Pietrzak and Furlong engaged in protracted
efforts to fraudulently increase the stock price and value of the
company by, among other means, filing false and misleading
registration statements and periodic and current reports, and by
issuing false press releases and a letter to shareholders. During the
same time, Pietrzak and Furlong sold millions of their own shares of
HCCA stock, fraudulently receiving the amounts that the judgment
ordered them to disgorge. The verdict also concluded that from 1996
through 2000, HCCA, through the efforts of Pietrzak and Furlong,
reported to the public that it was an entity with substantial assets
when, in fact, it was virtually worthless. A former codefendant,
assayer Donald E. Jordan passed away during the litigation, and has
now been dismissed from the case. [SEC v. Michael J. Pietrzak and
Maurice W. Furlong, Civil Action File No. 1:03-CV-1507-Judge Grady
(N.D. Ill.)] (LR-20369; AAE Rel. 2751)
JURY RULES IN SEC'S FAVOR, FINDS FORMER CHAIRMAN/CEO OF CHANCELLOR
CORPORATION LIABLE FOR SECURITIES FRAUD
The Commission announced that a federal court jury returned a verdict
on November 16 in the SEC's favor on all securities fraud charges
against Brian M. Adley, who was the former chairman, chief executive
officer and controlling shareholder of Chancellor Corporation, a
defunct Boston-based transportation equipment-leasing company.
Adley was accused of orchestrating a scheme to inflate Chancellor's
reported assets, revenue and profits, and to pay unwarranted fees to
entities that he controlled by using fabricated documents and
fraudulent accounting from1998 through 2000. The jury verdict followed
a three-week trial in Boston before the Honorable Patti B. Saris, U.S.
District Court Judge for the District of Massachusetts.
The Commission's complaint alleged that Adley caused Chancellor to
file false financial statements in 1999 and 2000 by directing the
wholesale fabrication of corporate documents, instructing that the
fabricated documents be given to the company's auditors, and
coordinating the filing of false financial statements with the SEC.
The jury found Adley liable for violating the antifraud and record-
keeping provisions of the federal securities laws, for making false
statements to its accountants, and for aiding and abetting
Chancellor's reporting and recordkeeping provisions of the securities
laws. The district court will determine the appropriate sanctions and
remedies at a later date.
The Commission had previously settled with 10 other defendants:
Chancellor Corporation; the former President and Chief Operating
Officer; the former acting Chief Financial Officer; the former
treasurer; two former Chancellor directors and audit committee
members; Chancellor's outside auditing firm and three members of its
audit team.
For further information, please see Litigation Release Nos. 18104
(April 24, 2003), 19177 (April 11, 2005) and 20177 (July 2, 2007).
[SEC v. Chancellor Corporation, et al., 03-CV-10762-PBS (D. Mass.)]
(LR-20370; AAE Rel. 2752)
SEC CHARGES TWO FORMER GLOBETEL EXECUTIVES WITH CREATING $119 MILLION
IN FALSE INVOICES
The Commission today announced it has filed securities fraud charges
against Joseph J. Monterosso and Luis E. Vargas, former executives at
GlobeTel Communications Corp. of Fort Lauderdale, Fla. The
Commission's complaint, filed in the Southern District of Florida on
Nov. 21, 2007, alleges that Monterosso and Vargas created $119 million
in fake invoices and caused GlobeTel to overstate its revenue for two
years.
The complaint alleges that Monterosso and Vargas created hundreds of
false invoices that made it appear that GlobeTel's three wholly-owned
subsidiaries, Centerline Communications, LLC (Centerline), Volta
Communications, LLC (Volta), and Lonestar Communications, LLC
(Lonestar) bought and sold telecom "minutes" with other wholesale
telecom companies. In reality, there were no transactions under the
program that GlobeTel executives described as the "off-net" revenue
program. Two of GlobeTel's subsidiaries - Volta and Lonestar -
actually did no business. The third subsidiary, Centerline, reported
millions of dollars in business with Monterosso's and Vargas' own
private company, Carrier Services Inc. (CSI), which did not occur.
The Commission alleges that Monterosso and Vargas created hundreds of
false invoices from technical data they obtained from their friends in
the telecom industry. Those invoices - and the technical data that
Monterosso and Vargas provided to the company's auditors - caused
GlobeTel to report $119 million in false revenue. This so-called "off-
net" revenue accounted for approximately 80 percent of the revenue
GlobeTel reported between the third quarter of 2004 and the second
quarter of 2006 - four out of every five dollars that the company
reported.
The complaint alleges that Monterosso and Vargas received hundreds of
thousands of dollars in payments from GlobeTel - including about
$300,000 in cash that Vargas withdrew from CSI's bank accounts and
gave to Monterosso.
GlobeTel has not filed a quarterly or annual statement for any period
after the second quarter of 2006. On May 8 and June 29, 2007, GlobeTel
filed Forms 8-K announcing that it will restate its financials for
2004 through 2006 to eliminate about $120 million in revenue. On Nov.
2, 2007, the company filed a restated Form 10-KSB for 2004 in which
the company reduced its annual revenue by $17.68 million.
In its complaint, the Commission alleges that Monterosso and Vargas
violated Section 17(a) of the Securities Act of 1933 (Securities Act)
and Sections 10(b) of the Securities Exchange Act of 1934 (Exchange
Act) and Rule 10b-5, 13b2-1 and 13b2-2 thereunder and that they aided
and abetted violations of Sections 10(b), 13(a), and 13(b)(2)(A) of
the Exchange Act and Rules 10b-5, 12b-20, 13a-1, and 13a-13
thereunder. The Commission seeks permanent injunctions, disgorgement
with prejudgment interest and civil penalties. The Commission also
seeks to bar permanently Monterosso and Vargas from acting as an
officer or director of a public company.
The Commission's investigation continues. [SEC v. Joseph J. Monterosso
and Luis E. Vargas, Civil Action No. 07-61693 (S.D. Fla.)] [LR-20371;
AAE Rel. 2753)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the Financial Industry Regulatory
Authority to delay implementation of certain rule changes approved in
SR-NASD-2005-146 (SR-FINRA-2007-023) 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
November 26. (Rel. 34-56822)
A proposed rule change filed by the Philadelphia Stock Exchange
relating to the trading sessions for selected ETFs (SR-Phlx-2007-87)
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 November 26. (Rel. 34-56828)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
S-8 BECTON DICKINSON & CO, ONE BECTON DR, FRANKLIN LAKES, NJ, 07417-1880,
2018476800 - 5,500,000 ($458,535,000.00) Equity, (File 333-147594 -
Nov. 23) (BR. 10A)
S-3 Elixir Gaming Technologies, Inc., 1120 N. TOWN CENTER DRIVE, SUITE 260,
LAS VEGAS, NV, 89144, 7027337195 - 0 ($12,187,500.00) Equity,
(File 333-147595 - Nov. 23) (BR. 06C)
S-3 Elixir Gaming Technologies, Inc., 1120 N. TOWN CENTER DRIVE, SUITE 260,
LAS VEGAS, NV, 89144, 7027337195 - 0 ($82,036,635.00) Equity,
(File 333-147596 - Nov. 23) (BR. 06C)
S-4 Omniture, Inc., ATTN: SHAWN LINDQUIST, 550 EAST TIMPANOGOS CIRCLE,
OREM, UT, 84097, 801-722-7000 - 0 ($343,267,701.00) Equity,
(File 333-147597 - Nov. 23) (BR. 03C)
S-3 HALLMARK FINANCIAL SERVICES INC, 777 MAIN STREET, SUITE 1000,
FORT WORTH, TX, 76102, 8173481600 - 0 ($155,750.00) Equity,
(File 333-147598 - Nov. 23) (BR. 01A)
S-8 HEADWATERS INC, 10653 SOUTH RIVERFRONT PARKWAY, SUITE 300,
SOUTH JORDAN, UT, 84095, 8019849400 - 750,000 ($9,202,500.00) Equity,
(File 333-147599 - Nov. 23) (BR. 06A)
S-B QUEENSLAND TREASURY CORP, LEVEL 14 61 MARY STREET, GPO BOX 1096,
BRISBANE QUEENSLAND, C3, 4001, 61738424600 -
0 ($10,000,000,000.00) Non-Convertible Debt, (File 333-147600 -
Nov. 23) (BR. DN)
F-1 VanceInfo Technologies Inc., 3/F, BUILDING 8,
ZHONGGUANCUN SOFTWARE PARK, HAIDIAN DIST, BEIJING, F4, 100094,
(86-10) 8282-5266 - 0 ($120,000,000.00) Equity, (File 333-147601 -
Nov. 23) (BR. )
F-6 VanceInfo Technologies Inc., 3/F, BUILDING 8,
ZHONGGUANCUN SOFTWARE PARK, HAIDIAN DIST, BEIJING, F4, 100094,
(86-10) 8282-5266 - 0 ($5,000,000.00) ADRs/ADSs, (File 333-147602 -
Nov. 23) (BR. )
S-8 China Direct, Inc, 5301 N FEDERAL HIGHWAY, SUITE 120, BOCA RATON, FL,
33487, 561-989-9171 - 3,575,000 ($18,562,500.00) Equity,
(File 333-147603 - Nov. 23) (BR. 08B)
S-3ASR REDWOOD TRUST INC, ONE BELVEDERE PLACE, SUITE 300, MILL VALLEY, CA,
94941, (415) 380-2317 - 0 ($0.00) Debt, 0 ($0.00) Equity,
(File 333-147604 - Nov. 23) (BR. 08C)
S-3 CYTRX CORP, 11726 SAN VICENTE BOULEVARD, SUITE 650, LOS ANGELES, CA,
90049, 310-826-5648 - 0 ($100,000,000.00) Equity, (File 333-147605 -
Nov. 23) (BR. 01A)
S-8 Buckingham Exploration Inc., #502 - 1978 VINE STREET, VANCOUVER, A1,
V6K 4S1, (604)7370203 - 4,000,000 ($4,200,000.00) Equity,
(File 333-147606 - Nov. 23) (BR. 04)
S-8 OMNIVISION TECHNOLOGIES INC, 930 THOMPSON PL, SUNNYVALE, CA, 94085,
4087333030 - 0 ($115,380,000.00) Equity, (File 333-147607 - Nov. 23)
(BR. 10B)
S-3 NAVISITE INC, 400 MINUTEMAN RD, ANDOVER, MA, 01810, 9786828300 -
3,540,203 ($28,533,377.53) Equity, (File 333-147608 - Nov. 23) (BR. 02B)
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
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2-Track Global, Inc. 3.02 11/22/07
Aleris International, Inc. DE 1.01,9.01 11/19/07
AMERICAN ENERGY PRODUCTION INC 5.02,9.01 11/21/07
AMERICAN RIVER BANKSHARES CA 8.01,9.01 11/23/07
ANALYTICAL SURVEYS INC CO 1.01,9.01 11/20/07
Aspreva Pharmaceuticals CORP A1 8.01,9.01 11/23/07
Atomic Guppy Inc NV 5.02,9.01 11/20/07
BIOPURE CORP DE 5.02 11/17/07
BofI Holding, Inc. DE 1.01 11/20/07
CANARGO ENERGY CORP DE 7.01,9.01 11/19/07
CENTRAL VALLEY COMMUNITY BANCORP CA 8.01,9.01 11/20/07
CH2M HILL COMPANIES LTD OR 2.01,9.01 09/07/07 AMEND
COLONIAL COMMERCIAL CORP NY 9.01 09/10/07 AMEND
COLORADO GOLDFIELDS INC. NV 3.02 11/20/07
COLUMBUS VENTURES INC. NV 4.01,9.01 10/19/07 AMEND
CONTINENTAL FUELS, INC. NV 5.02 11/23/07
Covidien Ltd. D0 5.02,7.01,9.01 11/19/07
Covidien Ltd. D0 2.06 11/16/07
Dresser-Rand Group Inc. DE 7.01,9.01 11/23/07
DYNEGY INC. DE 7.01,9.01 11/21/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 11/19/07
ENTREMED INC DE 5.02 11/16/07
FEDDERS CORP /DE DE 5.02,8.01,9.01 10/31/07
Federal Home Loan Bank of Atlanta X1 2.03 11/19/07
Federal Home Loan Bank of Chicago X1 2.03 11/19/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/19/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/19/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/19/07
Federal Home Loan Bank of San Francis X1 2.03 11/19/07
Federal Home Loan Bank of Seattle 2.03 11/23/07
Federal Home Loan Bank of Topeka 2.03 11/19/07
FIRST FINANCIAL CORP /IN/ IN 8.01,9.01 11/21/07
FOX PETROLEUM INC. NV 1.01,9.01 11/16/07
FUSION TELECOMMUNICATIONS INTERNATION 1.01,3.02,9.01 11/16/07
General Moly, Inc ID 1.01,3.02,8.01,9.01 11/19/07
GRYPHON GOLD CORP NV 7.01,9.01 11/22/07
H&R BLOCK INC MO 1.01,1.02,2.03 11/16/07
HEMIS CORP NV 1.01 11/16/07
ICONIX BRAND GROUP, INC. DE 8.01 11/20/07
INTERNATIONAL IMAGING SYSTEMS INC 5.03,9.01 11/15/07
INVERNESS MEDICAL INNOVATIONS INC DE 3.02,8.01 10/24/07 AMEND
INVESTOOLS INC DE 7.01,9.01 11/21/07
ION NETWORKS INC DE 8.01 11/23/07
Isilon Systems, Inc. DE 3.01,9.01 11/21/07
K-Care Nutritional Products Inc. 1.01,9.01 11/20/07
LAMPERD LESS LETHAL INC NV 7.01 11/20/07
LEAP WIRELESS INTERNATIONAL INC DE 2.03,9.01 11/20/07
LINCOLN GOLD CORP NV 5.03,9.01 11/16/07
MACROVISION CORP DE 1.01,9.01 11/17/07
Mar Ked Mineral Exploration, Inc. NV 5.01,5.02 11/14/07
MASTERCARD INC DE 8.01 11/19/07
MEDICAL SOLUTIONS MANAGEMENT INC. NV 1.01,9.01 11/16/07
MFB CORP IN 9.01 11/21/07
MIDDLEBY CORP DE 1.01,9.01 11/18/07
MIDWEST BANC HOLDINGS INC DE 9.01 10/01/07 AMEND
Millennium India Acquisition CO Inc. DE 7.01,9.01 11/23/07
MobiVentures Inc. NV 1.01,3.02,9.01 11/09/07 AMEND
MONUMENTAL MARKETING INC NV 5.02 11/19/07
MWI Veterinary Supply, Inc. DE 7.01,9.01 11/23/07
NATIONAL COAL CORP FL 1.01,9.01 11/16/07
NAVISTAR INTERNATIONAL CORP DE 8.01 11/21/07
NB&T FINANCIAL GROUP INC OH 5.02,7.01,9.01 11/23/07
NEW PARADIGM PRODUCTIONS INC NV 1.01,2.01,3.02,4.01,5.01,5.02, 11/17/07
5.03,5.06,9.01
NORTH AMERICAN SCIENTIFIC INC 1.01,2.03,9.01 11/20/07
Nugget Resources Inc. NV 4.01 11/21/07
OAK HILL FINANCIAL INC OH 8.01,9.01 11/19/07
Oilsands Quest Inc 1.01,5.03,8.01,9.01 11/18/07
OSIRIS THERAPEUTICS, INC. DE 5.02,9.01 11/16/07
PARTNERS TRUST FINANCIAL GROUP INC 8.01,9.01 11/21/07
PFF BANCORP INC DE 8.01,9.01 11/23/07
PIXELWORKS, INC OR 5.02 11/16/07
PROSPERO MINERALS CORP. NV 2.01,7.01,9.01 11/23/07
QUEST RESOURCE CORP NV 7.01 11/21/07
RAIT Financial Trust MD 5.02 11/16/07
REDWOOD TRUST INC MD 8.01,9.01 11/23/07
RF MICRO DEVICES INC NC 5.02 11/16/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01,9.01 11/23/07
SBT Bancorp, Inc. CT 8.01 11/21/07
Security Capital Assurance Ltd D0 8.01,9.01 11/23/07
SENORX INC 1.02 11/19/07
SIERRA BANCORP CA 5.02,9.01 11/15/07
Sino Gas International Holdings, Inc. UT 5.02 11/22/07
SMF ENERGY CORP DE 1.01,2.03,9.01 11/19/07
SOUTH FINANCIAL GROUP INC SC 5.02,9.01 11/16/07
STERLING CONSTRUCTION CO INC DE 7.01,9.01 11/21/07
SUMMIT FINANCIAL GROUP INC WV 1.01,8.01,9.01 11/21/07
TLC VISION CORP A6 8.01,9.01 11/21/07
TREX CO INC DE 1.01 11/20/07
UNITED RENTALS INC /DE DE 5.02,8.01,9.01 11/16/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02 11/13/07
VALUEVISION MEDIA INC MN 5.02 11/16/07
VOICE MOBILITY INTERNATIONAL INC NV 5.02 11/21/07
WAKO LOGISTICS GROUP INC 7.01,9.01 11/23/07
XERIUM TECHNOLOGIES INC DE 2.03 11/16/07
YADKIN VALLEY FINANCIAL CORP NC 8.01,9.01 11/21/07
http://www.sec.gov/news/digest/2007/dig112607.htm
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