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SEC NEWS DIGEST
Issue 2007-228 November 28, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF DAVID A. FINNERTY, ET AL.
On November 27, the Commission issued three separate Orders Making
Findings, Imposing Remedial Sanctions, And Imposing A Cease-And-Desist
Order Pursuant To Section 8A Of The Securities Act of 1933 And
Sections 15(b)(6), 21C And 11(b) Of The Securities Exchange Act of
1934 And Rule 11b-1 Thereunder As To Michael J. Hayward, Michael F.
Stern, and Freddy DeBoer (the Hayward, Stern, and DeBoer Orders,
respectively).
The Hayward Order
The Hayward Order finds that during the period from at least Jan. 1,
1999 to approximately March 2004, Michael J. Hayward (Hayward), a
former specialist on the New York Stock Exchange at Van der Moolen
Specialists USA, LLC (Van der Moolen), knowingly or recklessly engaged
in approximately 2,774 instances of interpositioning, locking in a
riskless profit of approximately $333,216 for his firm's proprietary
account at the expense of customer orders, and approximately 3,524
instances of trading ahead, causing approximately $751,973.75 in
customer harm, and, in doing so, willfully violated Section 17(a) of
the Securities Act of 1933 (Securities Act), Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5
thereunder, and Section 11(b) of the Exchange Act and Rule 11b-1
thereunder.
Based on the above, the Hayward Order orders Hayward to cease and
desist from committing or causing any violations and any future
violations of Section 17(a) of the Securities Act, and Sections 10(b)
and 11(b) of the Exchange Act and Rules 10b-5 and 11b-1 thereunder,
bars Hayward from association with any broker or dealer, and orders
Hayward to pay disgorgement in the sum of $113,356.57, together with
prejudgment interest in the amount of $51,808.82, for a total of
$165,165.39, which sum shall be reduced dollar for dollar by any sums
Hayward pays in satisfaction in whole or in part of the fine imposed
on him in a parallel criminal proceeding, US v. Joseph Bongiorno, et
al., 05 Crim. 390 (SDNY). Hayward consented to the issuance of the
Hayward Order without admitting or denying any of the findings
therein. (Rels. 33-8864; 34-56849; File No. 3-11893)
The Stern Order
The Stern Order finds that during the period from at least Jan. 1,
1999 to approximately March 2004, Michael F. Stern (Stern), a former
specialist on the New York Stock Exchange at Van der Moolen, knowingly
or recklessly engaged in approximately 3,935 instances of
interpositioning, locking in a riskless profit of approximately
$407,508 for his firm's proprietary account at the expense of customer
orders, and approximately 5,151 instances of trading ahead, causing
approximately $619,190 in customer harm, and, in doing so, willfully
violated Section 17(a) of the Securities Act, Section 10(b) of the
Exchange Act and Rule 10b-5 thereunder, and Section 11(b) of the
Exchange Act and Rule 11b-1 thereunder.
Based on the above, the Stern Order orders Stern to cease and desist
from committing or causing any violations and any future violations of
Section 17(a) of the Securities Act, and Sections 10(b) and 11(b) of
the Exchange Act and Rules 10b-5 and 11b-1 thereunder, bars Stern from
association with any broker or dealer, and orders Stern to pay
disgorgement in the sum of $84,611.04, together with prejudgment
interest in the amount of $35,768, for a total of $120,379.04, which
sum shall be reduced dollar for dollar by any sums Stern pays in
satisfaction in whole or in part of the fine imposed on him in a
parallel criminal proceeding, US v. Joseph Bongiorno, et al., 05 Crim.
390 (SDNY). Stern consented to the issuance of the Stern Order without
admitting or denying any of the findings therein. (Rels. 33-8862; 34-
56847; File No. 3-11893)
The DeBoer Order
The DeBoer Order finds that during the period from at least Jan. 1,
1999 to approximately July 2004, Freddy DeBoer (DeBoer), a former
specialist on the New York Stock Exchange at LaBranche & Co. LLC, who
is believed to reside currently in the Netherlands, knowingly or
recklessly engaged in over 7,710 instances of interpositioning,
locking in a riskless profit of over $770,000 for his firm's
proprietary account at the expense of customer orders, and over 11,620
instances of trading ahead, causing over $3,280,000 in customer harm,
and, in doing so, willfully violated Section 17(a) of the Securities
Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and
Section 11(b) of the Exchange Act and Rule 11b-1 thereunder.
Based on the above, the DeBoer Order orders DeBoer to cease and desist
from committing or causing any violations and any future violations of
Section 17(a) of the Securities Act, and Sections 10(b) and 11(b) of
the Exchange Act and Rules 10b-5 and 11b-1 thereunder, bars DeBoer
from association with any broker or dealer, and orders DeBoer to pay a
$300,000 civil money penalty. DeBoer consented to the issuance of the
DeBoer Order without admitting or denying any of the findings therein.
(Rels. 33-8863; 34-56848; File No. 3-11893)
COURT ENTERS ORDER ADOPTING MAGISTRATE JUDGE'S REPORT AND
RECOMMENDATION DISMISSING DISGORGEMENT AND CIVIL PENALTY AS TO JEFFREY
R. SENGER
The Commission announced that on Oct. 19, 2006, the U.S. District
Court for the Southern District of Florida entered an Order granting
the Commission's motion to dismiss disgorgement and civil penalty
claims against defendant Jeffrey R. Senger. Previously, on March 30,
2005, the Court entered a Judgment of Permanent Injunction against
Senger. [SEC v. Jeffrey R. Senger, Brad M. Nirenberg and Norman F.
Piatti, Case No. 02-80766-CIV-HURLEY/LYNCH] (LR-20374)
INVESTMENT COMPANY ACT RELEASES
FOCUSSHARES TRUST F/N/A MYSHARES TRUST, ET AL.
An order has been issued on an application filed by FocusShares Trust
f/n/a MyShares Trust, et al. The order permits: (a) certain open-end
management investment companies whose series will consist of the
securities of equity securities indices to issue shares that can be
redeemed only in large aggregations; (b) secondary market transactions
in shares of the series to occur at negotiated prices; (c) dealers to
sell the series' shares to purchasers in the secondary market
unaccompanied by a prospectus when prospectus delivery is not required
by the Securities Act of 1933; and (d) certain affiliated persons of
the series to deposit securities into, and receive securities from,
the series. (Rel. IC-28066 - November 27)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-
2007-089) to modify fees for members using the Nasdaq Market Center
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. 34-56841)
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change (SR-NYSE-2007-77), as
modified by Amendment Nos. 1, 2, and 3 thereto, filed by the New York
Stock Exchange to amend listing fees for Structured Products.
Publication is expected in the Federal Register during the week of
November 26. (Rel. 34-56842)
The Commission approved a proposed rule change (SR-ISE-2007-71)
submitted by the International Securities Exchange relating to fee
changes on a retroactive basis. Publication is expected in the Federal
Register during the week of November 26. (Rel. 34-56843)
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 URANIUM ENERGY CORP, 9801 ANDERSON MILL ROAD, AUSTIN, TX, 78750,
512-721-1022 - 5,500,000 ($22,055,000.00) Equity, (File 333-147626 -
Nov. 27) (BR. 04C)
F-1 Solarfun Power Holdings Co., Ltd., 666 LINYANG ROAD,
QIDONG, JIANGSU PROVINCE, F4, 226200, (86)(513) 8330-7688 -
0 ($75,000,000.00) ADRs/ADSs, (File 333-147627 - Nov. 27) (BR. 10C)
S-4 ISB Financial Corp., 102 SOUTH CLINTON ST., IOWA CITY, IA, 52240,
319-356-5800 - 0 ($74,986,326.00) Equity, (File 333-147628 - Nov. 27)
(BR. )
SB-2 MAJIC WHEELS CORP, 7 JAUBOTINSKY STREET, NAMAT BAN, L3, 52520,
971544646141 - 2,000,000 ($160,000.00) Equity, (File 333-147629 -
Nov. 27) (BR. 05)
SB-2 Goldvale Resources Inc, 3070 #2006 GUILDFORD WAY, COQUITLAM, A1,
V3B 7R8, (604)944-1751 - 6,585,000 ($131,700.00) Equity,
(File 333-147631 - Nov. 27) (BR. 04)
S-8 3PAR Inc., 4209 TECHNOLOGY DRIVE, FREMONT, CA, 94538, 510-413-5999 -
18,152,335 ($201,948,284.75) Equity, (File 333-147632 - Nov. 27)
(BR. 03C)
S-3 MDI, INC., 10226 SAN PEDRO AVENUE, SAN ANTONIO, TX, 78216,
210-582-2664 - 5,200,000 ($3,068,000.00) Equity, (File 333-147633 -
Nov. 27) (BR. 10B)
SB-2 Pioneer Consulting group, Inc., 2840 HWY 954 ALT S #7, SILVER SPRINGS,
CA, 89429, 775-577-4822 - 2,000,000 ($100,000.00) Equity,
(File 333-147634 - Nov. 27) (BR. 02)
N-2 RMR DIVIDEND CAPTURE FUND, 400 CENTRE STREET, NEWTON, MA, 02458,
617-332-9530 - 0 ($10,000,000.00) Equity, (File 333-147635 - Nov. 27)
(BR. 18)
S-8 DILLARDS INC, 1600 CANTRELL RD, LITTLE ROCK, AR, 72201, 5013765200 -
3,000,000 ($54,420,000.00) Equity, (File 333-147636 - Nov. 27) (BR. 02A)
S-3 MiddleBrook Pharmaceuticals, Inc., 20425 SENECA MEADOWS PARKWAY,
GERMANTOWN, MD, 20878, (301) 944-6600 - 0 ($3,225,000.00) Equity,
(File 333-147637 - Nov. 27) (BR. 01C)
SB-2 BRENDAN TECHNOLOGIES INC, 2236 RUTHERFORD RD., STE 107, CARLSBAD, CA,
92008, 760 929 7500 - 7,198,800 ($1,943,676.00) Equity,
(File 333-147638 - Nov. 27) (BR. 03C)
S-1 ZHONGPIN INC., C/O PRYOR CASHMAN SHERMAN & FLYNN LLP, 410 PARK AVENUE,
NEW YORK, NY, 10022, 212-326-0846 - 7,856,250 ($90,346,875.00) Equity,
(File 333-147639 - Nov. 27) (BR. 05C)
SB-2 Biodiesel of America, Inc., 2720 NW 55TH COURT, FORT LAUDERDALE, FL,
33309, 954-731-0707 - 3,537,500 ($7,075,000.00) Equity,
(File 333-147640 - Nov. 27) (BR. 06)
S-3 ODYSSEY MARINE EXPLORATION INC, 5215 WEST LAUREL STREET, TAMPA, FL,
33607, (813) 876-1776 - 3,500,000 ($19,285,000.00) Equity,
(File 333-147641 - Nov. 27) (BR. 05B)
S-3 XO HOLDINGS INC, 11111 SUNSET HILLS ROAD, RESTON, VA, 20190,
7035472000 - 0 ($900,000,000.00) Equity, (File 333-147643 - Nov. 27)
(BR. 11C)
S-8 Solarfun Power Holdings Co., Ltd., 666 LINYANG ROAD,
QIDONG, JIANGSU PROVINCE, F4, 226200, (86)(513) 8330-7688 -
22,035,676 ($156,589,949.10) Equity, (File 333-147644 - Nov. 27)
(BR. 10C)
S-1 Education Media, Inc., 1700 PENNSYLVANIA AVENUE, NW, SUITE 900,
WASHINGTON, DC, 20006, 202-367-1047 - 0 ($207,250,100.00) Other,
(File 333-147645 - Nov. 27) (BR. 07)
S-8 BIOFORM MEDICAL INC, 1875S GRANT ST, SUITE 110, SAN MATEO, CA, 94402,
650-286-4000 - 11,729,796 ($76,671,523.25) Equity, (File 333-147647 -
Nov. 27) (BR. 01A)
F-3ASR RANDGOLD RESOURCES LTD, 011-44-1534-735-333 - 0 ($0.00) ADRs/ADSs,
(File 333-147648 - Nov. 27) (BR. 04B)
S-8 ASHWORTH INC, 2765 LOKER AVE WEST, CARLSBAD, CA, 92008, 7604386610 -
200,000 ($966,000.00) Equity, (File 333-147649 - Nov. 27) (BR. 09A)
S-4 STEEL DYNAMICS INC, 6714 POINTE INVERNESS WAY, SUITE 200, FORT WAYNE,
IN, 46804, 2604593553 - 0 ($500,000,000.00) Debt, (File 333-147650 -
Nov. 27) (BR. 06B)
S-4 Discover Financial Services, 2500 LAKE COOK ROAD, RIVERWOODS, IL,
60015, 224-405-0900 - 0 ($800,000,000.00) Non-Convertible Debt,
(File 333-147651 - Nov. 27) (BR. 07)
S-8 EMS TECHNOLOGIES INC, 660 ENGINEERING DRIVE, NORCROSS, GA, 30092,
7702639200 - 2,000,000 ($55,570,300.00) Equity, (File 333-147652 -
Nov. 27) (BR. 11B)
S-8 EMS TECHNOLOGIES INC, 660 ENGINEERING DRIVE, NORCROSS, GA, 30092,
7702639200 - 0 ($12,690,095.00) Equity, (File 333-147653 - Nov. 27)
(BR. 11B)
S-8 ALLIANCE IMAGING INC /DE/, 1065 N PACIFICENTER DR, STE 200, ANAHEIM,
CA, 92806-2131, 7146887100 - 0 ($14,900,500.00) Equity,
(File 333-147654 - Nov. 27) (BR. 09A)
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
---------------------------------------------------------------------------------------------------------
155 East Tropicana, LLC NV 8.01,9.01 11/26/07
ACCENTURE LTD 5.02 11/20/07
ACHILLION PHARMACEUTICALS INC 5.02,9.01 11/26/07
ACNB CORP PA 1.01,5.02,9.01 11/20/07
ACTIVIDENTITY CORP DE 5.02 11/20/07
ADA-ES INC CO 7.01,9.01 11/27/07
ADDVANTAGE TECHNOLOGIES GROUP INC OK 1.01,2.03,7.01,9.01 11/26/07
ADVANCED BIOTHERAPY INC DE 5.02 11/21/07
AECOM TECHNOLOGY CORP DE 2.02,9.01 11/27/07
ALABAMA NATIONAL BANCORPORATION DE 8.01,9.01 11/27/07
ALABAMA POWER CO AL 3.02 11/26/07
ALASKA AIR GROUP INC DE 7.01 11/27/07
Aldabra 2 Acquisition Corp. DE 8.01,9.01 11/26/07
ALLIANCE FINANCIAL CORP /NY/ NY 7.01 11/27/07
Alternative Loan Trust 2007-25 DE 7.01,9.01 11/21/07
Alternative Loan Trust 2007-25 DE 8.01,9.01 11/27/07
Alternative Loan Trust 2007-OA11 8.01,9.01 10/30/07
AMCORE FINANCIAL INC NV 5.02 11/27/07
AMERICAN PHYSICIANS CAPITAL INC MI 8.01,9.01 11/26/07
ANALOG DEVICES INC MA 2.02,9.01 11/27/07
APOLLO DRILLING, INC. DE 8.01 11/21/07
ARCH COAL INC DE 7.01,9.01 11/27/07
ASCENDIA BRANDS, INC. DE 1.01,2.03,3.02,9.01 11/19/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/27/07
ASIA PREMIUM TELEVISION GROUP NV 1.01,5.03 11/27/07
AspenBio Pharma, Inc. CO 7.01,9.01 11/27/07
ASTRATA GROUP INC NV 4.01,9.01 11/20/07
AT&T INC. DE 8.01 11/27/07
ATC HEALTHCARE INC /DE/ DE 3.01,9.01 11/21/07
AUTOMATIC DATA PROCESSING INC DE 8.01,9.01 09/30/07
AVANT IMMUNOTHERAPEUTICS INC DE 5.02 11/26/07
AXCELIS TECHNOLOGIES INC DE 5.02 11/26/07
AXIAL VECTOR ENGINE CORP NV 4.01,9.01 11/21/07
AXIAL VECTOR ENGINE CORP NV 5.01,9.01 11/26/07
AZZ INC TX 5.03,9.01 11/27/07
BA Credit Card Funding, LLC DE 8.01,9.01 11/27/07
BAB, INC. DE 8.01,9.01 11/27/07
Bancroft Uranium, Inc. NV 5.01,5.02,9.01 11/20/07
BEIJING MED PHARM CORP 1.01,8.01,9.01 11/22/07
Belvedere SoCal CA 2.01,5.02,9.01 11/23/07
BladeLogic, Inc. DE 5.02,9.01 11/20/07
BLASTGARD INTERNATIONAL INC CO 3.02,5.02,7.01,9.01 11/26/07
BMW Vehicle Owner Trust 2005-A 9.01 11/26/07
Boardwalk Bancorp Inc NJ 8.01,9.01 11/27/07
Bois d Arc Energy, Inc. NV 5.02,9.01 11/21/07
BOOKS A MILLION INC DE 2.02 11/03/07
BRT REALTY TRUST MA 8.01,9.01 11/26/07
Bunge LTD 5.04,9.01 11/20/07
CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 11/15/07
CALYPSO WIRELESS INC DE 4.01,9.01 01/01/07 AMEND
CAMDEN NATIONAL CORP ME 8.01,9.01 11/27/07
CAMDEN NATIONAL CORP ME 8.01,9.01 11/27/07
Cape Bancorp, Inc. MD 8.01,9.01 11/26/07
CAPITAL ONE FINANCIAL CORP DE 5.02 11/27/07
CAPITAL ONE FINANCIAL CORP DE 8.01 11/27/07
CAPITAL PROPERTIES INC /RI/ RI 1.01,9.01 11/21/07
CARGO CONNECTION LOGISTICS HOLDING, I FL 1.01,9.01 11/20/07
CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 11/27/07
Centennial Bank Holdings, Inc. DE 2.02,7.01,9.01 11/26/07
CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,9.01 11/27/07
CENTRAL GARDEN & PET CO DE 2.02,9.01 11/27/07
CHAMPION ENTERPRISES INC MI 8.01,9.01 11/26/07
CHEETAH OIL & GAS LTD. NV 1.01,3.02,9.01 11/15/07
China Precision Steel, Inc. CO 8.01,9.01 11/26/07
CHL Mortgage Pass-Through Trust 2007- 8.01,9.01 10/30/07
CICERO INC DE 7.01 11/27/07
CIGNA CORP DE 1.01,7.01,8.01,9.01 11/26/07
CIT GROUP INC DE 8.01,9.01 11/26/07
CITIGROUP INC DE 3.02,9.01 11/26/07
CITIGROUP INC DE 9.01 11/27/07
COLORADO GOLDFIELDS INC. NV 4.01,9.01 11/27/07 AMEND
COMCAST CORP PA 8.01,9.01 10/26/07
COMMONWEALTH EDISON CO IL 7.01,9.01 11/27/07
COMMUNICATIONS SYSTEMS INC MN 5.02,9.01 11/20/07
COMTEX NEWS NETWORK INC DE 4.01,9.01 11/26/07
CONAGRA FOODS INC /DE/ DE 7.01 11/27/07
Credit Suisse Commercial Mortgage Tru DE 8.01,9.01 11/01/07
CrossPoint Energy CO NV 1.01,1.02,2.04,5.02,8.01,9.01 11/20/07
Cyclacel Pharmaceuticals, Inc. DE 8.01,9.01 11/26/07
DANKA BUSINESS SYSTEMS PLC 3.01,9.01 11/20/07
DATAWATCH CORP DE 2.02,5.02,9.01 11/26/07
DCP Holding CO OH 8.01,9.01 11/27/07
DEL GLOBAL TECHNOLOGIES CORP NY 8.01,9.01 11/26/07
dELiAs, Inc. DE 5.02,9.01 11/20/07
DESTINATION TELEVISION, INC. DE 1.01,3.02,3.03,9.01 11/26/07
DIRECT INSITE CORP DE 1.01,9.01 11/21/07
DISTRIBUTION MANAGEMENT SERVICES INC 4.01,9.01 11/20/07 AMEND
DOCUMENT SECURITY SYSTEMS INC NY 8.01,9.01 11/21/07
DRI CORP NC 7.01,9.01 11/27/07
Eagle Test Systems, Inc. IL 5.02,9.01 11/20/07
Eastern Insurance Holdings, Inc. PA 8.01,9.01 11/27/07
EAUTOCLAIMS, INC NV 4.01,9.01 11/27/07
Echo Healthcare Acquisition Corp. DE 8.01,9.01 11/26/07
eHealth, Inc. DE 5.02 11/20/07
ELEC COMMUNICATIONS CORP NY 7.01,9.01 11/27/07
EMPIRE MINERALS CORP DE 5.03 11/26/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 11/26/07
ENERGIZER HOLDINGS INC MO 5.02 11/21/07
EnerLume Energy Management Corp. CO 1.01,3.02,9.01 11/21/07
ENGLOBAL CORP NV 8.01,9.01 11/07/07
ENHERENT CORP DE 1.02,5.02 11/15/07 AMEND
ETRIALS WORLDWIDE INC. 2.02,9.01 11/27/07
EVERGREEN SOLAR INC DE 1.01,9.01 11/20/07
EXCELSIOR LASALLE PROPERTY FUND INC 2.01,9.01 11/21/07
EXELIXIS INC DE 1.01 11/20/07
EXPRESS SCRIPTS INC DE 7.01 11/27/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 11/27/07
FAR EAST ENERGY CORP 5.02,9.01 11/26/07
Federal Home Loan Bank of Atlanta X1 2.03 11/21/07
Federal Home Loan Bank of Boston X1 2.03 11/20/07
Federal Home Loan Bank of Chicago X1 2.03 11/21/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/21/07
Federal Home Loan Bank of Dallas 2.03 11/20/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/21/07
Federal Home Loan Bank of New York X1 2.03,9.01 11/19/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/21/07
Federal Home Loan Bank of San Francis X1 2.03 11/21/07
Federal Home Loan Bank of Seattle 2.03 11/26/07
FINLAY ENTERPRISES INC /DE DE 2.02,9.01 11/27/07
FINLAY FINE JEWELRY CORP DE 2.02,9.01 11/27/07
First Advantage Bancorp TN 1.01,9.01 11/21/07
FIRST BANCORP /PR/ PR 1.02,9.01 11/20/07
FIRST BUSEY CORP /NV/ NV 8.01 11/20/07
FIRST COMMUNITY BANCORP /CA/ CA 7.01,9.01 11/26/07
FIRST MUTUAL BANCSHARES INC WA 8.01 11/21/07
Fleurs De Vie, Inc. NV 5.02 11/27/07
FORWARD INDUSTRIES INC NY 8.01 11/21/07
FRANKLIN BANK CORP 7.01,9.01 11/27/07
FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE 3.01,9.01 11/20/07
FRANKLIN TOWERS ENTERPRISES INC 8.01,9.01 11/26/07
FRONTIER ENERGY CORP. NV 5.02 09/30/07
FUSION TELECOMMUNICATIONS INTERNATION 1.01,3.02,9.01 11/16/07 AMEND
GARDNER DENVER INC DE 7.01,9.01 11/27/07
GARMIN LTD 8.01,9.01 11/27/07
GB&T BANCSHARES INC GA 5.03,9.01 11/20/07
GENESIS ENERGY LP DE 5.02 11/26/07
GENESIS ENERGY LP DE 8.01,9.01 11/27/07
GENESIS ENERGY LP DE 8.01,9.01 11/27/07
Geneva Resources, Inc. NV 4.01,9.01 11/23/07
GENLYTE GROUP INC DE 1.01,3.03,9.01 11/26/07
Global BPO Services Corp DE 8.01,9.01 11/27/07
GMX RESOURCES INC OK 7.01,9.01 11/26/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/23/07
GRAPHIC PACKAGING CORP DE 8.01,9.01 11/26/07
GREAT CHINA INTERNATIONAL HOLDINGS, I NV 1.01,2.03,9.01 11/20/07
GREENS WORLDWIDE INC AZ 1.01,9.01 11/21/07
Guidance Software, Inc. DE 2.02,7.01,9.01 11/27/07
H&R BLOCK INC MO 5.02 11/20/07
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 2.02,8.01,9.01 11/20/07
Harbor Acquisition Corp. DE 8.01 08/20/07 AMEND
HarborView 2007-7 DE 8.01,9.01 11/09/07 AMEND
HARSCO CORP DE 1.02 11/21/07
HARVEY ELECTRONICS INC NY 2.04,8.01 11/15/07
HERCULES OFFSHORE, INC. DE 7.01,9.01 11/21/07
HIGHBURY FINANCIAL INC DE 5.02,9.01 11/21/07
HOLLY CORP DE 7.01,9.01 11/27/07
HOME FEDERAL BANCORP IN 5.03,9.01 11/27/07
HOMEBANC CORP 8.01,9.01 10/23/07
HORIZON BANCORPORATION INC FL 9.01 11/27/07
I-LEVEL MEDIA GROUP INC NV 1.01,9.01 11/20/07
ICT GROUP INC PA 7.01,9.01 11/27/07
iDNA, Inc. DE 1.01,2.03,3.02,8.01,9.01 11/21/07
IMMUNICON CORP 7.01,9.01 11/26/07
Industrial Enterprises of America, In NV 3.01 11/15/07
Industrial Enterprises of America, In NV 5.02 11/21/07
INFE HUMAN RESOURCES INC NV 3.02 11/27/07
Information Services Group Inc. DE 1.01,2.01,2.02,2.03,3.02,5.06, 11/27/07
8.01,9.01
INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 11/27/07
INNERWORKINGS INC 1.01,8.01,9.01 11/26/07
INNUITY, INC. /UT/ UT 5.02,7.01,8.01,9.01 11/03/07
INTER PARFUMS INC DE 1.01 11/27/07
INTERNATIONAL BUSINESS MACHINES CORP NY 8.01,9.01 11/27/07
Intrepid Global Imaging 3D, INC. DE 1.01 11/26/07
Intrepid Global Imaging 3D, INC. DE 5.03 11/27/07
ISOLAGEN INC DE 8.01,9.01 11/27/07
ISONICS CORP CA 7.01 11/16/07
itLinkz Group, Inc. FL 5.03 11/23/07
J P MORGAN CHASE & CO DE 9.01 11/26/07
JACKSON HEWITT TAX SERVICE INC DE 2.02,9.01 11/27/07
Juniper Content Corp DE 5.02 11/21/07
KAMAN CORP CT 8.01,9.01 11/27/07
KBR, INC. DE 8.01 11/26/07
KENSEY NASH CORP DE 2.03 11/23/07
KEYCORP /NEW/ OH 8.01,9.01 11/15/07
KMG America CORP VA 7.01,9.01 11/27/07
KOPIN CORP DE 2.02,9.01 11/27/07
La Solucion Inc DE 4.01,9.01 11/20/07
LAKE AREA CORN PROCESSORS LLC 8.01,9.01 11/20/07
LECG CORP DE 1.01,8.01,9.01 11/27/07
LEHMAN ABS CORP AT&T NOTE BACKED SERI DE 8.01,9.01 11/15/07
LEHMAN ABS CORP AT&T NOTE BACKED SERI DE 8.01,9.01 11/15/07
LEHMAN ABS CORP BCKD TR CRTS FRD MOT DE 8.01,9.01 11/15/07
LEHMAN ABS CORP CNA FINANCIAL DEBENTU DE 8.01,9.01 11/15/07
LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01,9.01 11/15/07
LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 11/15/07
LEHMAN ABS CORP SPRINT CAPITAL BACK S DE 8.01,9.01 11/15/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/26/07
LINCOLN BANCORP /IN/ IN 5.03,8.01,9.01 11/20/07
LIPID SCIENCES INC/ AZ 3.01,9.01 11/20/07
LITEWAVE CORP NV 4.01,8.01,9.01 11/07/07 AMEND
MARVELL TECHNOLOGY GROUP LTD D0 2.02,9.01 11/27/07
MARVELL TECHNOLOGY GROUP LTD D0 2.05 11/27/07
MAXIMUS INC VA 5.02,9.01 11/20/07
MAXYGEN INC DE 2.05,9.01 11/26/07
MEADWESTVACO CORP DE 1.01,7.01 11/20/07
MERCARI COMMUNICATIONS GROUP LTD CO 3.02 11/27/07
MERCK & CO INC NJ 5.02,9.01 11/27/07
MERIDIAN INTERSTATE BANCORP INC MA 1.01,8.01,9.01 11/21/07
MICROSOFT CORP WA 8.01,9.01 10/25/07
MILLER HERMAN INC MI 7.01,9.01 11/27/07
MOVIE STAR INC /NY/ NY 1.01,5.03,9.01 11/23/07
MTI TECHNOLOGY CORP DE 1.01,9.01 11/20/07
MxEnergy Holdings Inc 2.02,9.01 11/20/07
NANOMETRICS INC DE 7.01,9.01 11/27/07
NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 11/27/07
NATIONAL BANCSHARES CORP /OH/ OH 5.02 11/27/07
NATIONAL TAX CREDIT INVESTORS II CA 8.01 11/21/07
NATURE VISION, INC. MN 1.01,5.02,9.01 11/19/07
Nayna Networks, Inc. WY 1.03 11/19/07
Neonode, Inc DE 4.01,9.01 11/20/07
New Century Energy Corp. CO 1.01,3.02,9.01 11/26/07
NEW JERSEY RESOURCES CORP NJ 8.01,9.01 11/27/07
NEW JERSEY RESOURCES CORP NJ 8.01,9.01 11/27/07 AMEND
NEWBRIDGE BANCORP NC 5.02,9.01 11/27/07
NEXT INC/TN DE 1.01,3.02,9.01 11/19/07 AMEND
NNN Healthcare/Office REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 11/20/07
NOBLE ROMANS INC IN 7.01,9.01 11/26/07
NORTHWEST PIPE CO OR 5.02,9.01 11/26/07
NOVACEA INC DE 5.02,7.01,9.01 11/21/07
NU HORIZONS ELECTRONICS CORP DE 8.01,9.01 11/21/07
OCCIDENTAL PETROLEUM CORP /DE/ DE 8.01,9.01 11/26/07
ODYSSEY HEALTHCARE INC DE 5.02 11/20/07
OLIN CORP VA 7.01,9.01 11/27/07
ON ASSIGNMENT INC DE 1.02,5.02 11/27/07
OSIRIS THERAPEUTICS, INC. DE 7.01,9.01 11/27/07
PAB BANKSHARES INC GA 8.01 11/27/07
PACIFICNET INC DE 3.01,9.01 11/20/07
PAMRAPO BANCORP INC DE 5.03,9.01 11/27/07
PAVILION BANCORP INC 8.01,9.01 11/26/07
PEABODYS COFFEE INC/NV NV 1.01,8.01,9.01 11/26/07
PENFORD CORP WA 8.01,9.01 11/27/07
PENN VIRGINIA CORP VA 1.01,9.01 11/26/07
PENNICHUCK CORP NH 5.02 11/24/07
PERFECTENERGY INTERNATIONAL LTD NV 5.02 11/27/07
PERFICIENT INC DE 1.01,2.01,3.02,7.01,8.01,9.01 11/21/07
PHARSIGHT CORP CA 8.01,9.01 11/27/07
PHOTONIC PRODUCTS GROUP INC NJ 8.01 11/27/07
PLANETLINK COMMUNICATIONS INC GA 4.01,5.02,9.01 11/20/07
PRECISION OPTICS CORPORATION INC MA 2.02,9.01 11/20/07
Prime Mortgage Trust 2007-1 DE 9.01 03/30/07
PRIVATEBANCORP, INC DE 1.01,3.02,8.01,9.01 11/26/07
PROELITE, INC. NJ 2.01,9.01 09/11/07 AMEND
PUBLICARD INC PA 7.01,9.01 11/23/07
PULTE HOMES INC/MI/ MI 1.01,9.01 11/21/07
QEP CO INC DE 1.01 11/09/07
QMED INC DE 3.01,9.01 11/20/07
QUIGLEY CORP NV 5.03,9.01 11/27/07
RADIAN GROUP INC DE 2.02,9.01 11/27/07
RAIT Financial Trust MD 2.02,7.01,9.01 11/27/07
ReAble Therapeutics Finance LLC DE 1.01,1.02,2.01,2.03,4.01,5.02, 11/20/07
9.01
REHABCARE GROUP INC DE 7.01,9.01 11/27/07
Resource Capital Corp. MD 7.01,9.01 11/27/07
RESTORATION HARDWARE INC CA 8.01,9.01 11/27/07
ROWAN COMPANIES INC DE 7.01,9.01 11/26/07
SALIX PHARMACEUTICALS LTD 8.01,9.01 11/27/07
SALTON INC DE 8.01 11/20/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 11/27/07
SAN HOLDINGS INC CO 1.03,5.02 11/26/07
SECURITY BANK CORP GA 8.01,9.01 11/20/07
Security Capital Assurance Ltd D0 5.02,9.01 11/26/07
SEMTECH CORP DE 1.01,2.02,7.01,9.01 11/27/07
SHANGHAI CENTURY ACQUISITION CORP F4 1.01,9.01 04/30/06 AMEND
Shire plc 8.01,9.01 11/26/07
SIMULATIONS PLUS INC 8.01,9.01 11/26/07
Sino Gas International Holdings, Inc. UT 1.01,3.02,9.01 10/20/06 AMEND
Sinoenergy CORP NV 8.01,9.01 11/19/07
Skagit State Bancorp, Inc. WA 5.02 11/20/07
SKYWEST INC UT 5.02 11/21/07
SLC Student Loan Trust 2007-2 DE 8.01,9.01 11/27/07
SONA MOBILE HOLDINGS CORP DE 1.01,8.01,9.01 11/26/07
SONIC SOLUTIONS/CA/ CA 2.02,9.01 11/27/07
SourceForge, Inc DE 2.02 11/27/07
SOUTHERN MICHIGAN BANCORP INC MI 1.01,2.03,9.01 11/20/07
SPAR GROUP INC DE 1.02,5.02 11/20/07
SPARK NETWORKS INC X0 5.02,7.01,9.01 11/26/07
SPARTAN MOTORS INC MI 7.01,8.01,9.01 11/27/07
SPECTRX INC DE 8.01,9.01 11/27/07
SportsQuest, Inc. NJ 1.01,3.02,9.01 11/21/07
STAPLES INC DE 2.02,9.01 11/27/07
streetTRACKS GOLD TRUST 3.01,7.01,9.01 11/26/07
SUFFOLK BANCORP NY 8.01 11/26/07
SYNERGY BRANDS INC DE 3.02,7.01,9.01 11/27/07 AMEND
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 11/26/07
SYNTHETIC BLOOD INTERNATIONAL INC NJ 2.03,3.02,5.02,9.01 11/20/07
TALBOTS INC DE 2.02,9.01 11/27/07
TECH DATA CORP FL 2.02,9.01 11/27/07
TEGAL CORP /DE/ DE 1.01 11/20/07
TEKTRONIX INC OR 1.01,2.01,2.04,3.01,3.03,5.01, 11/21/07
5.02,5.03,9.01
Tennessee Valley Authority 5.02 11/26/07
TERRA NOSTRA RESOURCES CORP. NV 1.01,2.03,3.02,9.01 11/21/07
TESCO CORP 7.01 11/26/07
TRANS WORLD ENTERTAINMENT CORP NY 3.03,8.01,9.01 11/20/07
TRANSOCEAN INC E9 5.03,8.01,9.01 05/17/99 AMEND
TRI STATE 1ST BANK INC OH 5.02 11/26/07
TRI-ISTHMUS GROUP, INC. DE 3.02 10/29/07 AMEND
TRIAD AUTOMOBILE RECEIVABLES TRUST 20 8.01,9.01 11/21/07
TRONOX INC DE 5.02,9.01 11/20/07
TURBOCHEF TECHNOLOGIES INC DE 5.03 11/26/07
UAL CORP /DE/ DE 7.01,9.01 11/26/07
UNION BANKSHARES CO/ME ME 8.01 11/27/07
UNIVERSAL GUARDIAN HOLDINGS INC DE 7.01 10/30/07
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 5.03,9.01 11/20/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 2.02,8.01,9.01 11/26/07
Uranium Hunter CORP NV 4.01,9.01 11/19/07
Urigen Pharmaceuticals, Inc. DE 1.01,9.01 11/20/07
US ENERGY CORP WY 2.01,9.01 11/26/07
Valentec Systems, Inc DE 8.01,9.01 11/27/07
VEECO INSTRUMENTS INC DE 8.01,9.01 11/27/07
Verigy Ltd. U0 2.02,8.01,9.01 11/27/07
VERTEX PHARMACEUTICALS INC / MA MA 8.01 11/20/07
VIASPACE Inc. NV 1.01,2.03 11/20/07
VISTA GOLD CORP 1.02,7.01,9.01 11/20/07
VITAL IMAGES INC MN 1.01,9.01 11/26/07
VOXWARE INC DE 8.01 11/14/07
WASHINGTON FEDERAL INC WA 2.02,7.01,9.01 07/16/07
WELLS FARGO & CO/MN DE 8.01 11/27/07
Wells Fargo Mortgage Backed Securitie DE 9.01 11/27/07
WESTSIDE ENERGY CORP NV 8.01,9.01 11/27/07
Wilber CORP 5.02 11/20/07
WILLBROS GROUP INC R1 1.01,1.02,2.01,2.03,3.02,3.03, 11/20/07
9.01
WILLIAM LYON HOMES DE 1.01,2.03,9.01 11/15/07
WINDSWEPT ENVIRONMENTAL GROUP INC DE 2.02,9.01 11/26/07
WINSONIC DIGITAL MEDIA GROUP LTD NV 1.01,9.01 11/20/07
WIRELESS RONIN TECHNOLOGIES INC MN 8.01,9.01 11/27/07
WORLDTRADESHOW COM INC 1.01,9.01 11/26/07 AMEND
XETA TECHNOLOGIES INC OK 8.01,9.01 11/26/07
ZIMMER HOLDINGS INC DE 5.02,5.03,9.01 11/26/07
http://www.sec.gov/news/digest/2007/dig112807.htm
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