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SEC NEWS DIGEST
Issue 2007-242 December 18, 2007
ENFORCEMENT PROCEEDINGS
SEC SUES DON WARNER REINHARD FOR FRAUD
The Commission announced the filing of a civil injunctive action
against Don Warner Reinhard, of Tallahassee, Florida. The SEC alleged
in its complaint that from at least January 2002 through August 2003,
Reinhard, through his wholly owned investment adviser, Magnolia
Capital Advisors, Inc. (Magnolia Capital), made false and misleading
statements and omissions of material fact to his clients in connection
with the offer and sale of collateralized mortgage obligations (CMOs).
Specifically, Reinhard misrepresented the safety of principal in the
highly leveraged CMOs he purchased for his clients' accounts and the
account of Magnolia Capital Partners, L.P. (Magnolia Partners), a
hedge fund he controlled as the general partner, according to the
complaint. The complaint also alleges Reinhard omitted to disclose to
his clients and in filings with the Commission a lawsuit by the
Florida Department of Insurance against him involving CMO investments
and allegations of fraud. In addition, during July and August 2003, as
market values of the CMO investments declined, Reinhard engaged in a
fraudulent scheme to artificially increase the equity in certain
brokerage accounts and avoid margin calls, according to the complaint.
The SEC alleges Reinhard did this by temporarily "parking" the CMO
investments in the accounts of a third party, while falsely reporting
the nature of the transactions to his broker-dealer and clearing firm.
The SEC also alleges that at least between December 2002 and June
2003, Reinhard provided his hedge fund clients with false quarterly
account statements showing materially inflated account valuations.
The complaint charges Reinhard with violating Section 17(a) of the
Securities Act of 1933, Section 10(b) of the Exchange Act of 1934 and
Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 207 of the
Investment Advisers Act of 1940 (Advisers Act), and aiding and
abetting violations of Sections 204 and 206(4) of the Advisers Act and
Rules 204-2(a)(7) and 206(4)-4 thereunder. The Commission seeks a
permanent injunction, disgorgement plus prejudgment interest and a
civil money penalty. [SEC v. Don Warner Reinhard, Case No. 4:07-cv-
00529-RH-WCS, USDC, N.D. Fla.] (LR-20401)
SEC CHARGES LAW FIRM PARTNER WITH AIDING AND ABETTING REFCO DISCLOSURE
FRAUD
The Commission today filed a civil injunctive action in U.S. District
Court for the Southern District of New York against Joseph P. Collins,
a partner at the law firm of Mayer Brown LLP. Collins was the
longtime, primary outside attorney for Refco Group Ltd. The
Commission's complaint alleges that Collins, in the course of
representing Refco Group Ltd., and its corporate successor, Refco Inc.
(hereinafter, together Refco), learned that an entity controlled by
Refco's chief executive officer owed the company hundreds of millions
of dollars. In addition, the complaint alleges that Collins worked on,
and supervised other attorneys who worked on, short-term related party
transactions that occurred at the end of Refco fiscal periods from
February 2000 through May 2005. In these transactions, Refco assumed
potential liabilities of hundreds of millions of dollars, in the form
of guaranties and indemnification that it extended to third parties.
The complaint further alleges that Collins, while aware of the
indebtedness and the transactions, reviewed and revised sections of a
Refco offering circular and a Refco registration statement, without
inserting requisite disclosures regarding the indebtedness, the
period-end transactions, and the potential liabilities.
As a result of this conduct, the complaint alleges that Collins aided
and abetted Refco's violations of the antifraud provisions of the
federal securities laws. The complaint seeks a permanent injunction
enjoining Collins from violating the antifraud provisions, as well as
civil money penalties. [SEC v. Joseph P. Collins, Civil Action No. 07
CV 11343, USDC, SDNY] (LR-20402)
SEC SUES TWO FORMER MORGAN STANLEY FINANCIAL ADVISORS FOR DECEPTIVE
MARKET TIMING ACTIVITY; MORGAN STANLEY CONSENTS TO $17 MILLION
SETTLEMENT IN RELATED ADMINISTRATIVE PROCEEDING
On December 14, the Commission filed a civil fraud action in the U.S.
District Court for the Southern District of New York (S.D.N.Y.)
against two former Morgan Stanley DW, Inc. (MSDW) financial advisors,
Darryl A. Goldstein and Christopher O'Donnell, for allegedly engaging
in a fraudulent market timing scheme. "Market timing" refers to the
practice of short term buying, selling, and exchanging of mutual fund
shares in order to exploit inefficiencies in mutual fund pricing.
The Commission's complaint alleges that Goldstein and O'Donnell
engaged in a number of deceptive practices to defraud at least 50
mutual fund companies and their shareholders by circumventing the
funds' restrictions on market-timing. The conduct alleged occurred
from on or about January 2002 until August 2003 and generated
approximately $1 million in net commissions or asset-based fees for
the defendants. The Complaint further alleges that, in response to
market-timing trades by Goldstein and O'Donnell for their hedge fund
customers, mutual fund companies sent MSDW at least 225 "block
letters" that barred or restricted trading by Goldstein, O'Donnell, or
their customers.
The Commission's complaint specifically alleges that Goldstein and
O'Donnell, in an effort to circumvent mutual funds' market-timing
restrictions and conceal their hedge fund customers' ongoing market-
timing trading, repeatedly and systematically employed a variety of
deceptive practices including, but not limited to, opening and trading
in multiple brokerage accounts, trading using different financial
advisor identification numbers, and trading through variable annuity
contracts.
The Commission's complaint alleges that the Defendants used 11
different FA identification numbers, opened approximately 122
brokerage accounts and 64 variable annuity contracts, and placed more
than 4,000 market-timing trades totaling over $4.8 billion in trading
volume, in less than two years for only two hedge fund customers. The
complaint alleges that by engaging in the fraudulent market-timing
scheme, Goldstein and O'Donnell violated Section 17(a) of the
Securities Act of 1933 (Securities Act) and Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule
10b-5.
In a related administrative proceeding, Morgan Stanley & Co.
Incorporated (MS&Co.), as successor to MSDW, consented to the issuance
of a Commission order which found that MSDW failed reasonably to
supervise four financial advisors with a view to preventing and
detecting their violations of the federal securities laws who engaged
in the fraudulent market timing scheme within the meaning of Section
15(b)(4) of the Exchange Act and willfully violated Rule 22c-1(a)
under the Investment Company Act of 1940 by allowing multiple mutual
fund trades to be placed or amended after the 4:00 p.m. ET close of
trading but priced at the net asset value determined at the market
close. The order also found that MSDW violated Section 17(a)(1) of the
Exchange Act and Exchange Act Rule 17a-3 by failing to make and keep
records of customer orders placed after the market close and orders
placed for certain hedge fund customers in variable annuity sub-
accounts. Without admitting or denying the findings contained in the
Commission's order, MS&Co. consented to a censure and an order to pay
disgorgement, including prejudgment interest, of $5,120,000 and a
penalty of $11,880,000, for a total of $17 million.
In another related administrative proceeding, Marc H. Plotkin, a
former MSDW financial advisor who worked with Goldstein, consented to
the issuance of a Commission order which found that Plotkin willfully
aided and abetted and caused violations of Section 17(a) of the
Securities Act and Section 10(b) of the Exchange Act and Exchange Act
Rule 10b-5 and ordered Plotkin to cease and desist from committing or
causing any violations and any future violations of those statutory
Sections and Rule. Without admitting or denying the findings contained
in the Commission's order, Plotkin consented to an order to pay a
civil penalty of $90,000 and to be barred from association with any
broker, dealer, or investment adviser with the right to reapply for
association after one year and prohibited him from serving or acting
as an employee, officer, director, member of an advisory board,
investment adviser or depositor of, or principal underwriter for, a
registered investment company or affiliated person of such investment
adviser, depositor or principal underwriter with the right to reapply
for association after one year. (Marc H. Plotkin - Rels. 33-8872; 34-
56979; IC-28077; IA-2683; File No. 3-12906; Morgan Stanley & Co., Inc.
- Rel. 34-56980; IC-28078; File No. 3-12907); [SEC v. Darryl A.
Goldstein and Christopher L. O'Donnell, Civil Action No. 07 CV 11275
JGK, SDNY] (LR-20403)
ADDITIONS AND CORRECTIONS
The civil action cite was not included in a summary for litigation
release 20399, which appeared in the December 17th issue of the
Digest. It is as follows: [SEC v. RONALD K. BOWEN, Civil Action No.
1:07-CV-03345-RDB (USDC)].
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-BSE-2007-52) filed by the Boston Stock
Exchange. relating to Exchange Fees and Charges 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
December 17. (Rel. 34-56948)
A proposed rule change (SR-ISE-2007-118) filed by the International
Securities Exchange relating to fee changes 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 December 17. (Rel. 34-56960)
A proposed rule change (SR-NYSE-2007-114) filed by the New York Stock
Exchange relating to NYSE Rule 92 and riskless principal trading at
the Exchange 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 December 17. (Rel. 34-56968)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission granted accelerated approval of a proposed rule change
(SR-NASDAQ-2007-097) filed by The NASDAQ Stock Market to trade the
shares of 45 funds of the Rydex ETF Trust based on numerous domestic
securities indexes pursuant to unlisted trading privileges.
Publication is expected in the Federal Register during the week of
December 17. (Rel. 34-56952)
The Commission granted accelerated approval of a proposed rule change
(SR-Amex-2007-46), as modified by Amendment No. 1 thereto, filed by
the American Stock Exchange to require specialists to yield orally
agreed upon proprietary trades to later-arriving customer system
orders. Publication is expected in the Federal Register during the
week of December 17. (Rel. 34-56959)
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change as modified by
Amendment Nos. 2 and 3 thereto submitted by the New York Stock
Exchange (SR-NYSE-2006-99) relating to Rule 104 (Dealings by
Specialists). Publication is expected in the Federal Register during
the week of December 17. (Rel. 34-56958)
The Commission granted accelerated approval of a proposed rule change,
as modified by Amendment Nos. 1, 2, and 3 thereto, and a notice of
Amendment No. 3 to the proposed rule change (SR-Amex-2007-53) relating
to the listing and trading of the GreenHaven Continuous Commodity
Index Fund. Publication is expected in the Federal Register during the
week of December 17. (Rel. 34-56969)
The Commission approved a proposed rule change (SR CBOE-2007-99), as
modified by Amendment Nos. 1 and 2 thereto, submitted by the Chicago
Board Options Exchange relating to a delta hedging exemption from
equity options position limits. Publication is expected in the Federal
Register during the week of December 17. (Rel. 34-56970)
The Commission approved a proposed rule change (SR-CBOE-2007-106)
filed by the Chicago Board Options Exchange to the proposed rule
change has been filed by the Chicago Board Options Exchange,
Incorporated, and the Commission has granted accelerated approval to
Amendment No. 1. The rule change will amend CBOE Rules 3.6A, 9.2, 9.3,
9.6, 9.7, 9.8, 9.10, and 26.10 (i) to integrate the Senior Registered
Options Principal and Compliance Registered Options Principal
functions of a member organization into its overall supervisory and
compliance programs and (ii) to strengthen supervisory procedures and
internal controls as they relate to a member organization's public
customer options business. Publication is expected in the Federal
Register during the week of December 17. (Rel. 34-56971)
PROPOSED RULE CHANGES
The International Securities Exchange filed a proposed rule change
(SR-ISE-2007-109), as modified by Amendment No. 1 thereto, relating to
Rule 2213, Market Maker Trading Licenses. Publication is expected in
the Federal Register during the week of December 17. (Rel. 34-56973)
The American Stock Exchange filed a proposed rule change (SR-Amex-
2007-132), as modified by Amendment No. 1 thereto, to include volume
executed by remote quoting towards the earning of remote quoting
rights. Publication is expected in the Federal Register during the
week of December 17. (Rel. 34-56974)
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.
SB-2 Xtreme Link, Inc., 21-10405 JASPER AVE., EDMONTON, A0, T5J-3S2,
780-669-7909 - 2,900,000 ($290,000.00) Equity, (File 333-148098 -
Dec. 17) (BR. 05)
SB-2 GENERAL ENVIRONMENTAL MANAGEMENT, INC, 3191 TEMPLE AVE, SUITE 250,
POMONA, CA, 91768, 9094449500 - 14,230,972 ($25,611,749.60) Equity,
(File 333-148100 - Dec. 17) (BR. 09B)
S-4 CH2M HILL COMPANIES LTD, 9191 S.JAMAICA STREET, ENGLEWOOD, CO, 80112,
3037710900 - 0 ($419,100,000.00) Equity, (File 333-148101 - Dec. 17)
(BR. 06B)
S-8 SYMANTEC CORP, 20330 STEVENS CREEK BLVD, CUPERTINO, CA, 95014,
4082539600 - 0 ($10,769,303.00) Equity, (File 333-148107 - Dec. 17)
(BR. 03C)
S-4 CLAIRES STORES INC, 3 S W 129TH AVE, PEMBROKE PINES, FL, 33027,
9544333900 - 935,000,000 ($935,000,000.00) Debt, (File 333-148108 -
Dec. 17) (BR. 09B)
S-8 VioQuest Pharmaceuticals, Inc., 180 MT. AIRY ROAD SUITE 102,
BASKING RIDGE, NJ, 07920, 732-274-0399 -
6,000,000 ($1,350,000.00) Equity, (File 333-148109 - Dec. 17) (BR. 01A)
S-8 BULLION RIVER GOLD CORP, 3500 LAKESIDE COURT, SUITE 200, RENO, NV,
89509, 775-324-4881 - 5,000,000 ($1,000,000.00) Equity,
(File 333-148110 - Dec. 17) (BR. 04B)
S-8 INTUIT INC, 2700 COAST AVENUE, MOUNTAIN VIEW, CA, 94043, 650-944-6000 -
0 ($297,950,000.00) Equity, (File 333-148112 - Dec. 17) (BR. 03C)
S-8 ALNYLAM PHARMACEUTICALS, INC., 300 THIRD STREET, CAMBRIDGE, MA, 02142,
(617) 551-8200 - 3,184,444 ($98,526,697.36) Equity, (File 333-148114 -
Dec. 17) (BR. 01B)
S-3 SUPERCONDUCTOR TECHNOLOGIES INC, 460 WARD DRIVE, SANTA BARBARA, CA,
93111-2310, 8056904500 - 0 ($80,000,000.00) Other, (File 333-148115 -
Dec. 17) (BR. 11B)
S-8 BLUEFIRE ETHANOL FUELS INC, 31 MUSICK, IRVINE, CA, 92618,
949-588-3767 - 10,000,000 ($32,500,000.00) Equity, (File 333-148116 -
Dec. 17) (BR. 06B)
S-4 FNB CORP/FL/, F.N.B. CORPORATION, ONE F.N.B. BOULEVARD, HERMITAGE, PA,
16148, 724-981-6000 - 26,600,000 ($365,059,348.00) Equity,
(File 333-148117 - Dec. 17) (BR. 07A)
SB-2 Lifevantage Corp, 6400 SOUTH FIDDLER, SUITE 1750, ENGLEWOOD, CO, 80111,
720-488-1711 - 0 ($3,897,350.00) Equity, (File 333-148119 - Dec. 17)
(BR. 06A)
S-1 FINISAR CORP, 1389 MOFFETT PARK DR, SUNNYVALE, CA, 94089, 4085481000 -
0 ($19,952,066.00) Equity, (File 333-148120 - Dec. 17) (BR. 10B)
S-3ASR Copano Energy, L.L.C., 2727 ALLEN PARKWAY, SUITE 1200, HOUSTON, TX,
77019, 713-621-9547 - 0 ($419,801,191.00) Equity, (File 333-148121 -
Dec. 17) (BR. 02C)
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
--------------------------------------------------------------------------------------------------------
ABIOMED INC DE 1.01 12/11/07
Acadia Resources Inc. NV 5.03 12/13/07
ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 12/17/07
ACI WORLDWIDE, INC. DE 1.01,3.02,9.01 12/17/07
ACURA PHARMACEUTICALS, INC NY 5.02 12/13/07
ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 12/17/07
ADOBE SYSTEMS INC DE 2.02,9.01 12/17/07
Adrenalina NV 5.03,8.01,9.01 12/15/07
Advanced BioEnergy, LLC DE 1.01,5.02,9.01 12/11/07
Advanced BioPhotonics Inc. DE 8.01,9.01 12/17/07
ADVANCED PHOTONIX INC DE 5.02 12/14/07
AFC ENTERPRISES INC MN 5.02,9.01 12/13/07
AGILYSYS INC OH 7.01,9.01 12/17/07
AIR PRODUCTS & CHEMICALS INC /DE/ DE 8.01 12/17/07
Akeena Solar, Inc. DE 7.01 12/13/07
ALBEMARLE CORP VA 5.02 12/11/07
ALKERMES INC PA 5.02 12/11/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 12/17/07
ALLIED WASTE INDUSTRIES INC DE 5.03,9.01 12/11/07
ALLIED WORLD ASSURANCE CO HOLDINGS LT 1.01,9.01 12/14/07
AMERICA SERVICE GROUP INC /DE DE 5.02,5.03,8.01,9.01 12/11/07
AMERICAN ELECTRIC POWER CO INC NY 5.02 12/13/07
AMERICAN TECHNOLOGY CORP /DE/ DE 2.02,9.01 12/17/07
AMERITRANS CAPITAL CORP DE 2.02 12/14/07
ANALYSTS INTERNATIONAL CORP 5.02,9.01 12/11/07
AP PHARMA INC /DE/ DE 8.01 12/14/07
APA Enterprises, Inc. MN 2.02,9.01 12/17/07
APAC CUSTOMER SERVICE INC IL 5.02,9.01 12/13/07
ARIBA INC DE 2.01,3.02,9.01 12/17/07
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 12/17/07
ASIA PREMIUM TELEVISION GROUP NV 8.01 12/17/07 AMEND
Aspreva Pharmaceuticals CORP A1 1.01,8.01,9.01 12/17/07
ATHENAHEALTH INC DE 5.02,9.01 12/14/07
ATHEROS COMMUNICATIONS INC DE 1.01,2.01,3.02,9.01 12/13/07
AUXILIUM PHARMACEUTICALS INC 7.01,8.01,9.01 12/17/07
AVNET INC NY 7.01,9.01 12/17/07
AXS ONE INC DE 5.02,9.01 12/11/07
BEHRINGER HARVARD REIT I INC MD 2.03 12/11/07
BEKEM METALS INC UT 1.02,5.02 12/12/07
BERMAN CENTER, INC. DE 1.01,2.03,3.02,9.01 11/27/07
BERRY PETROLEUM CO DE 1.01,9.01 12/14/07
BLACK HILLS CORP /SD/ SD 5.03,9.01 12/14/07
BlackRock Inc. DE 9.01 12/17/07 AMEND
BLINK LOGIC INC. NV 5.02 11/20/07
BOSTON BEER CO INC MA 5.02,7.01 12/11/07
BreitBurn Energy Partners L.P. DE 9.01 11/01/07 AMEND
Brishlin Resources, Inc. CO 5.03,9.01 12/11/07
BROOKE CAPITAL CORP KS 1.02 12/12/07
BROOKE CORP KS 1.02 12/12/07
BUTLER NATIONAL CORP DE 2.02,8.01,9.01 12/17/07
BW ACQUISITION INC/ NV NV 5.02 12/17/07
CADENCE PHARMACEUTICALS INC 5.03,9.01 12/14/07
Cal Dive International, Inc. DE 1.01,2.01,2.03,5.02,7.01,9.01 12/11/07
CalAmp Corp. DE 1.01,9.01 12/14/07
CAMDEN NATIONAL CORP ME 7.01,9.01 12/17/07
CANARGO ENERGY CORP DE 7.01,9.01 12/11/07
CAPITAL PROPERTIES INC /RI/ RI 5.02,8.01,9.01 12/12/07
CapitalSouth Bancorp DE 5.03,8.01,9.01 12/13/07
CARRIER ACCESS CORP DE 8.01,9.01 12/17/07
CARRIER ACCESS CORP DE 1.01,9.01 12/15/07
CATERPILLAR INC DE 7.01 12/17/07
Chaolei Marketing & Finance Co. 1.01,9.01 12/01/07
CHAPEAU INC UT 1.01,9.01 12/14/07
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 12/17/07
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 12/17/07
CHEMOKINE THERAPEUTICS CORP DE 5.02,8.01,9.01 12/17/07
China Water & Drinks Inc.. NV 1.01,9.01 08/24/07 AMEND
CINTEL CORP NV 5.02 12/12/07
CITIBANK OMNI-S MASTER TRUST 8.01 12/17/07
Clean Energy Fuels Corp. DE 5.02 12/12/07
COMARCO INC CA 2.02,8.01,9.01 12/17/07
COMMERCE ENERGY GROUP, INC. DE 2.02,9.01 12/17/07
Community Bankers Acquisition Corp. 1.01,9.01 12/13/07
CONCEPTUS INC DE 1.01,5.03,9.01 12/13/07
CONCURRENT COMPUTER CORP/DE DE 5.02,9.01 12/14/07
CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 12/14/07
CONOLOG CORP DE 2.02,9.01 12/14/07
CONTINENTAL FUELS, INC. NV 1.01,2.01,5.02,8.01,9.01 12/11/07
CORN PRODUCTS INTERNATIONAL INC DE 5.02 12/11/07
Cornerstone Growth & Income REIT, Inc MD 5.02 12/11/07
Covidien Ltd. D0 1.01,2.06,7.01,9.01 12/14/07
CREDENCE SYSTEMS CORP DE 5.02,9.01 12/11/07
CROWN CASTLE INTERNATIONAL CORP DE 5.02 08/09/07 AMEND
CROWN CASTLE INTERNATIONAL CORP DE 5.02 10/17/07 AMEND
Crystal River Capital, Inc. MD 5.03,9.01 12/12/07
CSX CORP VA 1.01,2.03,9.01 12/12/07
DAYTON POWER & LIGHT CO OH 8.01,9.01 12/13/07
DEBT RESOLVE INC DE 7.01,9.01 12/04/07
DELPHAX TECHNOLOGIES INC MN 2.02,9.01 12/17/07
DELTA FINANCIAL CORP DE 1.03,3.01 12/17/07
DIALYSIS CORP OF AMERICA FL 1.01,2.03,9.01 12/17/07
Disaboom, Inc. CO 1.01,5.02,9.01 12/11/07
DPL INC OH 8.01,9.01 12/13/07
EASYLINK SERVICES INTERNATIONAL CORP DE 2.02,9.01 12/17/07
Echo Healthcare Acquisition Corp. DE 8.01,9.01 12/17/07
ECHOSTAR COMMUNICATIONS CORP NV 5.02 09/24/07
EDAC TECHNOLOGIES CORP WI 8.01,9.01 12/14/07
ELECSYS CORP KS 2.02,8.01,9.01 12/17/07
ELECSYS CORP KS 2.01,9.01 09/21/07 AMEND
EN POINTE TECHNOLOGIES INC DE 5.03 12/17/07
ENERGIZER HOLDINGS INC MO 2.01,9.01 12/17/07 AMEND
EnergySolutions, Inc. DE 1.01 12/11/07
ENGLOBAL CORP NV 3.01 12/17/07
ENSCO INTERNATIONAL INC DE 2.02,9.01 12/17/07
EVERGREEN SOLAR INC DE 1.01,9.01 06/20/07 AMEND
EXCELSIOR LASALLE PROPERTY FUND INC 8.01,9.01 12/17/07
FIRST INTERSTATE BANCSYSTEM INC MT 2.03,8.01 12/14/07
FOOTHILLS RESOURCES INC 1.01,1.02,2.03,3.02,9.01 12/13/07
Forestar Real Estate Group Inc. 1.01,2.03,9.01 12/14/07
Fortunet, Inc. NV 8.01 12/14/07
FORWARD INDUSTRIES INC NY 5.02,8.01 12/14/07
FRONTIER OIL CORP /NEW/ WY 8.01,9.01 12/17/07
FULL HOUSE RESORTS INC DE 1.01,8.01,9.01 12/14/07
GENCO SHIPPING & TRADING LTD 2.01,9.01 12/17/07
GENCOR INDUSTRIES INC DE 8.01 12/17/07
GENESIS ENERGY LP DE 3.01,5.02,9.01 12/12/07
Genpact LTD D0 8.01,9.01 12/14/07
GeoEye, Inc. DE 1.01,5.02,9.01 12/13/07
Global Realty Development Corp DE 4.02 05/11/06
GOLDFIELD CORP DE 5.02,5.03 12/11/07
GOURMET HERB GROWERS INC 5.03,9.01 12/13/07
GRANT PRIDECO INC DE 1.01,8.01,9.01 12/16/07
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 12/17/07
GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 8.01 12/17/07
HANCOCK HOLDING CO MS 8.01,9.01 12/14/07
HARLEY DAVIDSON INC WI 1.01,2.03,9.01 12/11/07
HeartWare LTD C3 1.02,5.02,9.01 12/14/07
HECLA MINING CO/DE/ DE 1.01,8.01,9.01 12/12/07
HEXCEL CORP /DE/ DE 5.03,9.01 12/13/07
HOME DEPOT INC DE 5.02 12/13/07
HOME FEDERAL BANCORP, INC. OF LOUISIA 1.01,9.01 12/11/07
HOUSEHOLD AFFINITY CREDIT CARD MASTER DE 9.01 12/17/07
HOUSERAISING, INC. NC 1.01,5.03 12/11/07
HUMANA INC DE 7.01 12/17/07
HydroGen CORP NV 8.01 12/13/07
HYPERDYNAMICS CORP DE 3.02,9.01 12/12/07
I FLOW CORP /DE/ DE 1.01,7.01,9.01 12/13/07
I/OMAGIC CORP NV 1.01,9.01 12/12/07
IA GLOBAL INC DE 8.01,9.01 12/17/07
IA GLOBAL INC DE 2.03 11/27/07
IBASIS INC DE 9.01 10/01/07 AMEND
ICO Global Communications (Holdings) DE 1.01,9.01 12/11/07
IGI INC DE 8.01,9.01 12/17/07
IMMUNOGEN INC MA 7.01 12/14/07
INGERSOLL RAND CO LTD 1.01,9.01 12/15/07
INLAND REAL ESTATE CORP MD 8.01,9.01 12/17/07
INTEGRAMED AMERICA INC DE 5.03,9.01 12/11/07
INTEGRATED ELECTRICAL SERVICES INC DE 1.01,1.02,2.03,8.01,9.01 12/17/07
INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,1.02,7.01,9.01 12/11/07
INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 12/14/07
INTERVEST BANCSHARES CORP DE 5.03,9.01 12/13/07
INTERWOVEN INC CA 2.02,9.01 12/14/07
INTRICON CORP PA 3.01,7.01,9.01 12/17/07
INTUIT INC DE 5.02,9.01 12/14/07
INTUITIVE SURGICAL INC DE 5.02 12/17/07
IOMEGA CORP DE 1.01,3.02,3.03,5.02,9.01 12/12/07
ION GEOPHYSICAL CORP DE 7.01,9.01 12/17/07
IRIDEX CORP DE 5.02,9.01 12/17/07
J P MORGAN CHASE & CO DE 9.01 12/14/07
JER Investors Trust Inc 1.01,9.01 12/11/07
JK Acquisition Corp. 8.01,9.01 12/11/07
Kandi Technologies Corp 2.02,9.01 12/17/07
KBS Real Estate Investment Trust, Inc MD 1.01,2.01 12/11/07
KILLBUCK BANCSHARES INC OH 2.02,9.01 12/15/07
KMG CHEMICALS INC TX 2.02,9.01 12/13/07
Kohlberg Capital CORP DE 8.01 12/17/07
KREISLER MANUFACTURING CORP DE 5.02,5.03,7.01,9.01 12/11/07
L 3 COMMUNICATIONS HOLDINGS INC DE 5.03,9.01 12/11/07
LAKELAND FINANCIAL CORP IN 5.03,9.01 12/11/07
LAMAR ADVERTISING CO/NEW DE 5.02 12/13/07
LB-UBS Commercial Mortgage Trust 2007 9.01 11/30/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/13/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 12/14/07
LEMAITRE VASCULAR INC 5.02,7.01,9.01 12/12/07
LEXINGTON PRECISION CORP DE 1.01 12/11/07
Liberty Acquisition Holdings Corp. DE 8.01,9.01 12/12/07
LIBERTY PROPERTY TRUST MD 9.01 10/04/07 AMEND
LIVEDEAL INC NV 2.02,9.01 12/17/07
LOCAL.COM DE 1.01 12/13/07
LOEWS CORP DE 7.01,9.01 12/17/07
LUFKIN INDUSTRIES INC TX 5.02,9.01 12/17/07
MAGNETEK, INC. DE 5.02 12/14/07
MANARIS CORP NV 1.01,8.01,9.01 12/12/07
MARSHALL & ILSLEY CORP WI 8.01,9.01 12/17/07
MARTEN TRANSPORT LTD DE 5.02 12/11/07
MASS MEGAWATTS WIND POWER INC 2.02,9.01 12/17/07
MASTEC INC FL 5.03,9.01 12/12/07
MATHSTAR INC MN 7.01 12/17/07
MAXUS REALTY TRUST INC. 8.01 12/11/07
MBIA INC CT 7.01,8.01,9.01 12/14/07
MEDWAVE INC DE 5.02,8.01 12/07/07
METROCORP BANCSHARES INC 7.01,9.01 12/17/07
MILLENNIUM CELL INC DE 1.01,9.01 12/14/07
MINDSPEED TECHNOLOGIES, INC DE 5.02 12/11/07 AMEND
MOBILE SERVICES GROUP INC DE 7.01,9.01 12/14/07
MTI TECHNOLOGY CORP DE 8.01,9.01 12/17/07
MULTIMEDIA GAMES INC TX 2.02,9.01 12/11/07
NANOGEN INC DE 5.02,9.01 12/12/07
NATIONAL CITY CORP DE 7.01,9.01 12/17/07
NATIONAL PENN BANCSHARES INC PA 8.01,9.01 12/17/07
NETMANAGE INC DE 1.01,7.01,9.01 12/11/07
NETtime Solutions, Inc NV 8.01 12/10/07
NEWARK GROUP, INC NJ 7.01 12/12/07
NEWPARK RESOURCES INC DE 8.01,9.01 12/12/07
NL INDUSTRIES INC NJ 5.03,9.01 12/11/07
NORDSON CORP OH 5.02,9.01 12/12/07
NORTHEAST UTILITIES MA 5.02,8.01 12/11/07
NORWOOD FINANCIAL CORP PA 8.01,9.01 12/17/07
NTR Acquisition Co. DE 5.03,9.01 12/11/07
NTS REALTY HOLDINGS LP DE 8.01,9.01 12/17/07
NuStar Energy L.P. DE 1.01 12/10/07
NxStage Medical, Inc. DE 2.01,9.01 12/17/07 AMEND
NYER MEDICAL GROUP INC FL 5.03,9.01 12/13/07
NYFIX INC DE 5.02 12/11/07
O A K FINANCIAL CORP MI 8.01,9.01 12/14/07
OCCIDENTAL PETROLEUM CORP /DE/ DE 8.01,9.01 12/17/07
Ocean Power Technologies, Inc. NJ 2.02,9.01 12/17/07
OCM HoldCo, LLC 1.01 12/11/07
OLIN CORP VA 5.02,9.01 12/11/07
OMNI ENERGY SERVICES CORP LA 8.01,9.01 12/14/07
Omniture, Inc. DE 7.01,9.01 12/13/07
Omrix Biopharmaceuticals, Inc. DE 7.01 12/07/07
ORBIT INTERNATIONAL CORP DE 1.01,5.02,9.01 12/11/07
Orbitz Worldwide, Inc. DE 5.02 12/14/07
OSI PHARMACEUTICALS INC DE 5.03,8.01,9.01 12/12/07
OSTEOTECH INC DE 5.02 12/11/07
Pacific Ethanol, Inc. DE 5.02,9.01 12/11/07
PALATIN TECHNOLOGIES INC DE 5.03,9.01 12/14/07
PARALLEL PETROLEUM CORP DE 5.02 12/12/07
Park Place Energy Corp. NV 8.01 12/14/07
PDL BIOPHARMA, INC. DE 1.01,9.01 12/14/07
PetroSouth Energy Corp. 1.01,2.01,3.02,5.06,9.01 10/03/07 AMEND
PHARMACYCLICS INC DE 5.02 12/12/07
PHOTONIC PRODUCTS GROUP INC NJ 8.01,9.01 12/17/07
PLAINS EXPLORATION & PRODUCTION CO DE 1.01,7.01,8.01,9.01 12/14/07
POINT THERAPEUTICS INC DE 8.01,9.01 12/17/07
PORTEC RAIL PRODUCTS INC WV 8.01,9.01 12/14/07
Porter Bancorp, Inc. KY 7.01,9.01 12/17/07
PRAIRIE CREEK ETHANOL LLC 7.01,9.01 12/17/07
PREMIERWEST BANCORP OR 8.01,9.01 12/17/07
PRO PHARMACEUTICALS INC NV 5.03,9.01 12/13/07
PROGRESS ENERGY INC NC 5.02 12/11/07
PUBLIC SERVICE CO OF COLORADO CO 8.01,9.01 12/13/07 AMEND
PUBLICARD INC PA 7.01,9.01 12/16/07
PUGET ENERGY INC /WA WA 7.01 12/17/07
QUADRAMED CORP DE 8.01,9.01 12/17/07
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01 12/11/07
RADIANT SYSTEMS INC GA 1.01,9.01 12/11/07
RAMCO GERSHENSON PROPERTIES TRUST MD 5.03,9.01 12/12/07
Rand Logistics, Inc. DE 5.03,9.01 12/12/07
RAPTOR PHARMACEUTICALS CORP. 1.01,3.02,8.01,9.01 12/14/07
RED CARPET ENTERTAINMENT INC NV 1.01,2.01,3.02,5.01,5.02,5.03, 12/17/07 AMEND
5.06,9.01
REIT AMERICAS, INC. MD 1.01,9.01 12/12/07
RESEARCH FRONTIERS INC DE 1.01 12/17/07
RETAIL VENTURES INC OH 8.01,9.01 12/17/07
RR Donnelley & Sons Co DE 7.01,9.01 12/17/07
RYLAND GROUP INC MD 5.02,9.01 12/17/07
S&T BANCORP INC PA 1.01,8.01,9.01 12/16/07
SARATOGA RESOURCES INC /TX TX 1.01,9.01 12/14/07
SCHULMAN A INC DE 8.01,9.01 12/17/07
SCOTTS MIRACLE-GRO CO OH 5.02,8.01,9.01 12/11/07
Security Capital Assurance Ltd D0 8.01 12/14/07
SGX PHARMACEUTICALS, INC. DE 5.02,9.01 12/13/07
SIMMONS FIRST NATIONAL CORP AR 8.01 12/17/07
SIRVA INC DE 5.02,8.01,9.01 12/12/07
SMARTIRE SYSTEMS INC 7.01 12/17/07
SPSS INC DE 5.02,9.01 12/17/07
STAAR SURGICAL CO DE 1.01 12/14/07
Standard Drilling, Inc. 8.01 12/14/07
STERICYCLE INC DE 8.01 12/17/07
STUDIO ONE MEDIA, INC. DE 8.01 10/31/07
Summit Global Logistics, Inc. DE 5.02 12/14/07
SUPERCONDUCTOR TECHNOLOGIES INC DE 8.01 12/17/07
SUSQUEHANNA BANCSHARES INC PA 5.03,9.01 12/13/07
Sutura, Inc. 1.01,2.03,8.01,9.01 12/12/07
SYMANTEC CORP DE 8.01,9.01 12/17/07
Symmetry Medical Inc. DE 1.01,2.03,9.01 12/14/07
SYMYX TECHNOLOGIES INC DE 2.01,9.01 10/01/07 AMEND
SYSCO CORP DE 8.01 12/17/07
TAUBMAN CENTERS INC MI 5.02,9.01 12/17/07
TAYLOR CALVIN B BANKSHARES INC MD 5.02 12/12/07
TBS INTERNATIONAL LTD 7.01,9.01 12/17/07
TEKNI PLEX INC DE 1.01,2.04,5.02,8.01,9.01 11/26/07
TELKONET INC 5.02,9.01 12/11/07
TESCO CORP 7.01 12/13/07
TEXTRON FINANCIAL CORP DE 8.01,9.01 12/17/07
THINKENGINE NETWORKS, INC. 5.03,9.01 12/14/07
Titan Machinery Inc. ND 3.02 12/11/07
TITAN PHARMACEUTICALS INC DE 8.01,9.01 12/13/07
TOLL BROTHERS INC DE 5.03,9.01 12/12/07
TRACEGUARD TECHNOLOGIES, INC. 3.02,8.01,9.01 12/16/07
TRANE INC. DE 1.01,3.03,5.02,9.01 12/15/07
TUPPERWARE BRANDS CORP DE 8.01,9.01 12/17/07
TXP CORP NV 1.01,2.03,3.02,9.01 12/13/07
UNITED BANCORPORATION OF ALABAMA INC DE 5.02,9.01 12/12/07
United Refining Energy Corp DE 1.01,9.01 12/11/07
UNIVERSAL GUARDIAN HOLDINGS INC DE 2.01,7.01 12/13/07
UNIVERSAL PROPERTY DEVELOPMENT & ACQU NV 1.01,2.01,9.01 12/12/07
UOMO Media Inc. NV 1.01,9.01 12/11/07
URBAN OUTFITTERS INC PA 1.01 12/11/07
VALEANT PHARMACEUTICALS INTERNATIONAL DE 5.02 12/14/07
VELCERA, INC. DE 5.02 12/11/07
VIASPACE Inc. NV 1.01 12/14/07
VIZARIO INC NV 4.01,9.01 12/12/07
WALT DISNEY CO/ DE 8.01,9.01 12/13/07
WASHINGTON MUTUAL, INC WA 3.03,5.03,8.01,9.01 12/17/07
WebMD Health Corp. DE 5.03,9.01 12/14/07
WESCO INTERNATIONAL INC DE 1.01,8.01 12/17/07
WEST PHARMACEUTICAL SERVICES INC PA 2.05,2.06,5.02,5.03,9.01 12/17/07
WEST PHARMACEUTICAL SERVICES INC PA 5.02 12/11/07 AMEND
Western Refining, Inc. DE 5.02 12/17/07
WFN CREDIT CO LLC DE 8.01,9.01 12/17/07
Williams Partners L.P. 1.01,2.01,2.03,3.02,7.01,9.01 12/11/07
WILLIS LEASE FINANCE CORP DE 1.01,2.03,7.01,9.01 12/11/07
WINNEBAGO INDUSTRIES INC IA 7.01,9.01 12/17/07
Wise Metals Group LLC DE 2.02,9.01 12/17/07
WORLDGATE COMMUNICATIONS INC DE 5.02,8.01 12/13/07
WPCS INTERNATIONAL INC DE 2.02,9.01 12/17/07
XA, INC. NV 2.04,9.01 12/01/07
XFONE INC NV 8.01,9.01 12/17/07
Z TRIM HOLDINGS, INC IL 7.01,8.01,9.01 12/17/07
ZBB ENERGY CORP WI 5.02,8.01,9.01 12/12/07
ZEBRA TECHNOLOGIES CORP/DE DE 2.01,9.01 12/14/07
ZEBRA TECHNOLOGIES CORP/DE DE 5.02,9.01 12/12/07
http://www.sec.gov/news/digest/2007/dig121807.htm
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