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SEC NEWS DIGEST
Issue 2008-2 January 3, 2008
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF JAMES T. GARRETT, JR.
On January 3, the Commission issued an Order Instituting Public
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions
against James T. Garrett, Jr. The Order finds that on June 15, 2007,
Garrett, the former president of Carolinas First Investments, Inc. of
Charlotte, N.C., pled guilty to nine counts of securities fraud in a
South Carolina criminal proceeding (State v. James T. Garrett, Jr.,
Case No. 2005-GS-47-31, S.C. Circuit Court of Charleston). Carolinas
First was a broker dealer registered with the Commission. Its
registration was withdrawn in January 2004. The counts to which
Garrett pled guilty alleged that he defrauded investors and obtained
money by means of materially false and misleading statements or
omissions.
Based on the above, the Order bars Garrett from association with any
broker or dealer. Garrett consented to the issuance of the Order
without admitting or denying any of the findings in the Order. (Rel.
34-57085; File No. 3-12917)
IN THE MATTER OF VFINANCE INVESTMENTS, INC., NICHOLAS THOMPSON AND
RICHARD CAMPANELLA
On January 3, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings Pursuant to Sections
15(b) and 21C of the Securities Exchange Act of 1934 against
registered broker-dealer vFinance Investments, Inc., based in Boca
Raton, Fla.; former vFinance branch manager Nicholas Thompson, 41, of
Kintnersville, Pa.; and vFinance President Richard Campanella, 56, of
Boca Raton, Fla.
The Division of Enforcement alleges in the Order that vFinance, as
well as Campanella and Thompson, failed to retain records and produce
them to the Commission staff. The action alleges that Thompson deleted
email and other documents from his computer after they were requested
as part of a Commission investigation. The action further alleges that
vFinance President Campanella, who at the time served as vFinance's
Chief Operating Officer and Chief Compliance Officer, was on notice
that vFinance was not retaining Thompson's business records and failed
to search for responsive documents at Thompson's branch office for 18
months despite repeated requests by the Commission staff.
The Division of Enforcement alleges that through its conduct, vFinance
willfully violated the document retention and production requirements
of Section 17(a) of the Securities Exchange Act of 1934 and Rules 17a-
4(b)(4) and 17a-4(j) thereunder, and that Thompson and Campanella
willfully aided and abetted and caused vFinance's violations.
An administrative hearing will be scheduled to determine whether the
allegations in the Order are true, and to provide vFinance, Thompson
and Campanella an opportunity to establish any defenses to the
allegations. The proceedings also will determine whether remedial
sanctions should be imposed. As directed by the Commission, the
administrative law judge shall issue an initial decision in this
matter no later than 300 days from the date of service of the Order.
(Rel. 34-57088; File No. 3-12918)
FINAL JUDGMENT ENTERED AGAINST FORMER CFO OF WASTE MANAGEMENT, INC.
On January 3, the Securities and Exchange Commission announced that
the U.S. District Court for the Northern District of Illinois has
entered final judgment against James E. Koenig, the former CFO of
Waste Management, Inc., after a jury found that he committed 60
securities laws violations in a five-year period. The final judgment
follows an 11-week jury trial in 2006 that resulted in a verdict in
the SEC's favor against Koenig on all charges. The jury found Koenig
liable for securities fraud, falsifying company books and records,
lying to auditors, and aiding and abetting the company's violations.
The final judgment, entered on Dec. 21, 2007, followed a two-day bench
trial on remedies before U.S. District Court Judge Wayne R. Andersen,
and was based upon a Dec. 3, 2007, memorandum opinion and order that
set forth the Court's findings on remedies. See SEC v. Koenig, 2007 WL
4277439, N.D. Ill. Dec. 3, 2007. The final judgment permanently bars
Koenig from acting as an officer or director of a public company and
enjoins him from future violations of the antifraud and other
provisions of the federal securities laws. The judgment also requires
Koenig to pay more than $4 million, comprised of $831,500 in
disgorgement for Koenig's ill-gotten earnings-based performance
bonuses, $1,246,517 in prejudgment interest, and a $2,078,017 civil
penalty.
The Commission alleged in its complaint that, beginning in 1992 and
continuing into 1997, Koenig and others engaged in a systematic scheme
to falsify and misrepresent Waste Management's financial results with
profits being overstated by $1.7 billion. According to the complaint,
the scheme was accomplished through false and misleading disclosures
and a variety of non-GAAP accounting practices designed to defer
current period expenses whenever possible. All of these practices
boosted current period earnings by reducing current period expenses.
The fraud resulted in a restatement in February 1998, which at the
time was the largest restatement in history.
Previously, the Commission reached settlements with the company's
outside public accountants, Arthur Andersen, and four of its former
partners (Litigation Release No. 17039, June 19, 2001). Settlements
also were reached in litigation with the founder and four other top
officers of Waste Management (Litigation Release No. 19351, Aug. 29,
2005, and Litigation Release No. 18913, Sept. 30, 2004). [SEC v.
Koenig, 2007 WL 4277439, N.D. Ill. Dec. 3, 2007] (LR-20420)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the NASDAQ Stock Market relating to a
change to Nasdaq's Rule 7033 (SR-NASDAQ-2007-093) 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 January 7. (Rel. 34-57068)
A proposed rule change filed by NYSE Arca amending certain transaction
fees and credits (SR-NYSEArca-2007-126) 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
January 7. (Rel. 34-57069)
A proposed rule change (SR-Amex-2007-139) filed by the American Stock
Exchange to retire the EEM options pilot program 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 January 7. (Rel. No. 34-57070)
A proposed rule change filed by the Depository Trust Corporation (SR-
DTC-2007-15) to provide participants using DTC's Stock Loan REPO
Adjustment Menu system with new warning messages advising participants
if any corrective action is needed to complete the transaction 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 January 7. (Rel. 34-57071)
A proposed rule change filed by Financial Industry Regulatory
Authority relating to revisions to the Series 24 examination program
(SR-FINRA-2007-028) 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 January 7. (Rel.
34-57073)
A proposed rule change filed by Financial Industry Regulatory
Authority relating to revisions to the Series 23 examination program
(SR-FINRA-2007-027) 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 January 7. (Rel.
34-57074)
A proposed rule change filed by Financial Industry Regulatory
Authority relating to revisions to the Series 42 examination program
(SR-FINRA-2007-029) 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 January 7. (Rel.
34-57076)
A proposed rule change filed by Financial Industry Regulatory
Authority relating to revisions to the Series 55 examination program
(SR-FINRA-2007-030) 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 January 7. (Rel.
34-57077)
A proposed rule change filed with the Commission by the Chicago Stock
Exchange regarding trade processing fees on the Exchange (SR CHX-2007-
28) has become immediately effective under Section 19(b)(3)(A) of the
Securities Exchange Act of 1934 and Rule 19b-4(f)(2) thereunder.
Publication of the proposal is expected to be made in the Federal
Register during the week of January 7. (Release No. 34-57078)
A proposed rule change filed by Financial Industry Regulatory
Authority relating to revisions to the Series 82 examination program
(SR-FINRA-2007-033) 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 January 7. (Rel.
34-57079)
A proposed rule change filed by Financial Industry Regulatory
Authority relating to revisions to the Series 72 examination program
(SR-FINRA-2007-032) 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 January 7. (Rel.
34-57080)
A proposed rule change filed by Financial Industry Regulatory
Authority relating to revisions to the Series 62 examination program
(SR-FINRA-2007-031) 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 January 7. (Rel.
34-57081)
A proposed rule change (SR-CBOE-2007-153) filed by the Chicago Board
Options Exchange relating to Rule 6.14 (Hybrid Agency Liason) has
become effective under Section 19(b)(3)(A) of the Securities Exchange
Act of 1934. Publication is expected to be made in the Federal
Register during the week of January 7. (Rel. 34-57082)
A proposed rule change (SR-NYSE-2007-121) filed by the New York Stock
Exchange to reduce the Trading Floor Regulatory Fee 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 January 7. (Rel. 34-57084)
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 FALCON MEDIA SERVICES LTD, 34 GROUSNER GARDENS, LONDON, X0, SW1WODH,
631 737 8381 - 3,784,600 ($946,150.00) Equity, (File 333-148425 -
Jan. 2) (BR. 05)
S-4 ePAK International LTD, 435 DEVON PARK DRIVE, BUILDING 400, WAYNE, PA,
19087, 610-519-1336 - 0 ($132,147,439.00) Equity, (File 333-148427 -
Jan. 2) (BR. 10A)
S-8 SMITHTOWN BANCORP INC, 100 MOTOR PARKWAY, SUITE 160, HAUPPAUGE, NY,
11788, 631-360-9300 - 874,163 ($19,423,901.00) Equity,
(File 333-148428 - Jan. 2) (BR. 07B)
S-3 Atlas Energy Resources, LLC, WESTPOINTE CORPORATE CENTER ONE,
1550 CORAOPOLIS HEIGHTS RD. 2ND. FLOOR, MOON TOWNSHIP, PA, 15108,
412-262-2830 - 24,001,009 ($741,631,178.10) Equity, (File 333-148429 -
Jan. 2) (BR. 04C)
SB-2 MUSTANG ALLIANCES, 410 PARK AVENUE, 15TH FLOOR, NEW YORK, NY, 10022,
1888 251 3422 - 4,000,000 ($100,000.00) Equity, (File 333-148431 -
Jan. 2) (BR. 05)
SB-2 HUMAN BIOSYSTEMS INC, 1127 HARKER AVE, PALO ALTO, CA, 94301,
6503230943 - 35,337,091 ($353,370.91) Equity, (File 333-148432 -
Jan. 2) (BR. 01C)
S-3 Neuro-Hitech, Inc., ONE PENN PLAZA, SUITE 2514, NEW YORK, NY, 10119,
212-798-8100 - 3,284,645 ($13,795,509.00) Equity, (File 333-148433 -
Jan. 2) (BR. 01B)
S-8 PETROHAWK ENERGY CORP, 1000 LOUISIANA SUITE 5600, HOUSTON, TX, 77002,
8322042700 - 5,500,000 ($97,267,500.00) Equity, (File 333-148434 -
Jan. 2) (BR. 04A)
S-4 MVP Network, Inc., 110 N. JEFFERSON AVENUE, ST. LOUIS, MO, 63103,
314-241-0070 - 379,564,544 ($5,313,903.62) Equity, (File 333-148435 -
Jan. 2) (BR. 03B)
S-8 K12 INC, 2300 CORPORATE PARK DRIVE, SUITE 200, HERNDON, VA, 20171,
7034837000 - 0 ($85,713,260.00) Equity, (File 333-148436 - Jan. 2)
(BR. 11A)
SB-2 WESTMOUNTAIN ASSET MANAGEMENT INC, 103 WEST MOUNTAIN, FOR COLLINS, CO,
80524, 736,750 ($73,675.00) Equity, (File 333-148437 - Jan. 2) (BR. )
S-8 PAIVIS, CORP ./NV/, 3475 LENOX ROAD, SUITE 400, ATLANTA, 2Q, 30326,
4046012885 - 50,000,000 ($2.00) Equity, (File 333-148438 - Jan. 2)
(BR. 11B)
SB-2 WESTMOUNTAIN DISTRESSED DEBT INC, 103 WEST MOUNTAIN, FORT COLLINS, CO,
80524, 715,750 ($71,575.00) Equity, (File 333-148439 - Jan. 2) (BR. )
SB-2 WestMountain Alternative Energy Inc, 103 West Mountain, Fort Collins,
co, 80524, 303-793-0304 - 781,250 ($78,125.00) Equity,
(File 333-148440 - Jan. 2) (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
----------------------------------------------------------------------------------------------------------
155 East Tropicana Finance Corp. NV 8.01 12/31/07
ADVANCED CELL TECHNOLOGY, INC. DE 1.01,8.01 12/28/07
AGL RESOURCES INC GA 8.01,9.01 12/31/07
Airbee Wireless, Inc. DE 4.02 12/20/07
ALANCO TECHNOLOGIES INC AZ 1.01,2.03,9.01 12/31/07
ALBANY INTERNATIONAL CORP /DE/ DE 1.01,9.01 01/01/08
ALLOS THERAPEUTICS INC DE 8.01,9.01 12/27/07
Alternative Loan Trust Resecuritizati DE 8.01,9.01 12/18/07
AMERICAN COMMUNITY PROPERTIES TRUST MD 5.03 12/20/07
AMERICAN ENERGY PRODUCTION INC 2.02,7.01,9.01 12/31/06
AMERICAN TECHNOLOGY CORP /DE/ DE 4.02,9.01 12/26/07
AMERICAN TONERSERV CORP. DE 1.01,1.02,3.02 12/26/07
AMS HEALTH SCIENCES INC OK 1.03,2.04,8.01,9.01 01/02/08
ANALOG DEVICES INC MA 8.01,9.01 12/31/07
APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01,9.01 12/27/07
ARCH CHEMICALS INC VA 5.02 12/27/07
ARCHSTONE SMITH OPERATING TRUST 5.02 12/31/07
ASIAMART, INC. DE 4.01 01/02/08
ASTRATA GROUP INC NV 4.01,9.01 11/20/07 AMEND
ATHEROGENICS INC GA 3.01,9.01 12/26/07
ATLANTIC AMERICAN CORP GA 9.01 12/27/07
AVNET INC NY 7.01,9.01 01/02/08
BERKSHIRE HILLS BANCORP INC 7.01,9.01 01/02/08
BERRY PLASTICS HOLDING CORP DE 7.01 01/02/08
BlackRock Kelso Capital CORP DE 1.01,2.03,9.01 12/28/07
BLYTH INC DE 5.02 01/02/08
BSML INC UT 5.02 12/19/07
BTHC X INC DE 5.03,9.01 12/31/07
BUCKEYE PARTNERS L P DE 8.01 12/31/07
CADENCE FINANCIAL CORP MS 5.02 12/31/07
CBL & ASSOCIATES PROPERTIES INC DE 9.01 10/16/07 AMEND
CHAMPION INDUSTRIES INC WV 2.02,9.01 01/02/08
CHARLOTTE RUSSE HOLDING INC 5.02,9.01 12/26/07
CHARMING SHOPPES INC PA 1.01,1.02,9.01 12/31/07
CHEESECAKE FACTORY INC DE 8.01,9.01 12/30/07
China Display Technologies, Inc. DE 1.01,5.02,9.01 12/17/07
CIENA CORP DE 3.03,5.03 12/29/07
CLEAN DIESEL TECHNOLOGIES INC DE 8.01,9.01 12/31/07
CLICKABLE ENTERPRISES INC DE 8.01,9.01 11/15/04
CLICKABLE ENTERPRISES INC DE 1.01,3.02,9.01 05/31/07 AMEND
Convergence Ethanol, Inc. 1.03,2.04,5.02,9.01 12/21/07 AMEND
COWLITZ BANCORPORATION WA 5.02,9.01 01/02/07
CSMC Trust 2007-5R DE 8.01,9.01 12/28/07
DAYTON POWER & LIGHT CO OH 8.01,9.01 01/02/08
DEL LABORATORIES INC DE 2.04,5.02,8.01,9.01 12/31/07
DISCOVER CARD MASTER TRUST I DE 8.01 12/31/07
DISCOVERY TECHNOLOGIES INC NV 1.01,2.01,3.02,3.03,5.01,5.02, 12/26/07
5.03,5.06,9.01
Dorman Products, Inc. PA 1.01,2.03 01/02/08
DPL INC OH 8.01,9.01 01/02/08
DXP ENTERPRISES INC TX 5.02 01/02/08
E TRADE FINANCIAL CORP DE 5.02,9.01 12/27/07
EBIX INC DE 2.01,2.03,9.01 12/26/07
ELECTRO OPTICAL SCIENCES INC /NY 8.01 01/02/08
Emrise CORP DE 8.01,9.01 01/02/08
Enterprise Informatics Inc CA 2.02 09/30/07
EPICUS COMMUNICATIONS GROUP INC FL 8.01 01/02/08
EPL Intermediate, Inc. DE 1.01,5.02,8.01,9.01 12/26/07
EXACTECH INC FL 1.01,2.01,2.02,7.01,9.01 12/27/07
FALCONSTOR SOFTWARE INC DE 1.01,5.02,9.01 12/31/07
FARMERS & MERCHANTS BANCORP INC OH 5.02 12/31/07
Federal Home Loan Bank of Boston X1 2.03 12/26/07
Federal Home Loan Bank of Chicago X1 2.03 12/26/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/26/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/27/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/26/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/26/07
Federal Home Loan Bank of San Francis X1 2.03 12/26/07
Federal Home Loan Bank of Seattle 2.03 12/31/07
Feldman Mall Properties, Inc. MD 8.01 12/28/07
Fidelity National Information Service 5.02,9.01 12/31/07
FIRST FINANCIAL BANKSHARES INC TX 1.01,9.01 12/31/07
FIRSTENERGY CORP OH 5.02 12/31/07
FORCE PROTECTION INC NV 1.01 12/18/07
Foundation Coal Holdings, Inc. DE 5.02,9.01 01/01/08
GABRIEL TECHNOLOGIES CORP DE 1.01,4.01,8.01,9.01 10/01/07 AMEND
GATEWAY FINANCIAL HOLDINGS INC NC 5.03 01/02/08
General Moly, Inc ID 1.01,8.01,9.01 12/28/07
GFR PHARMACEUTICALS INC NV 5.02,9.01 01/02/08
GlenRose Instruments Inc. 5.01 12/31/07
GOAMERICA INC DE 1.01,9.01 01/01/08
GOLDSPRING INC FL 7.01,9.01 01/02/08
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 12/28/07
Great Lakes Dredge & Dock CORP DE 8.01 12/28/07
GREAT PEE DEE BANCORP INC DE 5.03,9.01 12/20/07
Grubb & Ellis Healthcare REIT, Inc. MD 2.01 12/20/07 AMEND
Grubb & Ellis Healthcare REIT, Inc. MD 2.03,9.01 12/19/07 AMEND
HARRAHS ENTERTAINMENT INC DE 1.01,9.01 12/31/07
HARTE HANKS INC DE 5.02,7.01,9.01 12/31/07
HAUPPAUGE DIGITAL INC DE 2.02,9.01 12/27/07
HIBBETT SPORTS INC 1.01,5.02,7.01,9.01 12/27/07
HOKU SCIENTIFIC INC DE 1.01,8.01,9.01 12/28/07
HOKU SCIENTIFIC INC DE 1.01 12/28/07
HOME BANCSHARES INC 7.01 01/02/08
HORIZON BANCORP /IN/ IN 8.01,9.01 12/31/07
I MANY INC DE 1.01,3.02,8.01,9.01 12/31/07
INGRAM MICRO INC DE 8.01,9.01 01/02/08
INNOVATIVE CARD TECHNOLOGIES INC DE 8.01,9.01 12/21/07
INSIGHTFUL CORP DE 5.03,9.01 12/31/07
INTERNATIONAL WIRE GROUP INC DE 7.01,9.01 01/02/08
INX Inc DE 5.02 01/02/08
ION MEDIA NETWORKS INC. DE 8.01,9.01 01/02/08
J P MORGAN CHASE & CO DE 9.01 12/28/07
Jade Art Group Inc. NV 8.01 12/28/07
Jake's Trucking International, Inc. NV 1.01,2.01,5.01,9.01 12/24/07
K-Care Nutritional Products Inc. 5.03,8.01,9.01 11/30/07 AMEND
K12 INC DE 8.01 12/10/07
KAMAN CORP CT 5.02,9.01 01/01/08
KAMAN CORP CT 1.01,2.01,9.01 12/31/07
KAMAN CORP CT 8.01,9.01 12/31/07
KEY TRONIC CORP WA 5.02 12/28/07
KILROY REALTY CORP MD 5.02 12/26/07
LADENBURG THALMANN FINANCIAL SERVICES FL 8.01,9.01 12/26/07
LAWSON PRODUCTS INC/NEW/DE/ DE 1.01,9.01 12/26/07
LCC INTERNATIONAL INC DE 1.01,5.02,9.01 12/26/07
LEGACY RESERVES LP DE 5.03,9.01 01/02/08
LHC Group, Inc 8.01,9.01 01/02/08
LIBERTY STAR URANIUM & METALS CORP. NV 7.01,9.01 12/26/07
Limelight Networks, Inc. DE 8.01 12/31/07
M&F BANCORP INC /NC/ NC 8.01,9.01 01/02/08
MAGELLAN MIDSTREAM HOLDINGS LP 1.01,2.03,9.01 01/01/08
MAGNA ENTERTAINMENT CORP DE 1.01,7.01,8.01,9.01 12/21/07
Magnum dOr Resources Inc 1.01,1.02,9.01 12/31/07
Mandalay Media, Inc. DE 1.01,9.01 12/31/07
MARKWEST ENERGY PARTNERS L P 1.01 12/26/07
MARKWEST HYDROCARBON INC DE 1.01 12/26/07
MARSHALL & ILSLEY CORP WI 8.01,9.01 01/02/08
MARTIN MIDSTREAM PARTNERS LP DE 1.01,2.03,7.01,9.01 12/28/07
MARVELL TECHNOLOGY GROUP LTD D0 5.02,9.01 12/28/07
McCormick & Schmicks Seafood Restaura 1.01,9.01 12/28/07
Measurement Specialties Inc NJ 1.01,2.01,2.03,9.01 12/28/07
MEDALLION FINANCIAL CORP DE 8.01,9.01 12/28/07
Meritage Homes CORP MD 5.02 01/02/08
MFA MORTGAGE INVESTMENTS MD 5.02,9.01 01/01/08
MGP INGREDIENTS INC KS 8.01 12/27/07
Milk Bottle Cards Inc. NV 8.01,9.01 12/28/07
MIV THERAPEUTICS INC NV 2.01 12/28/07
MOVIE GALLERY INC DE 7.01,9.01 12/28/07
MQ ASSOCIATES INC 8.01,9.01 12/31/07
NATHANIEL ENERGY CORP NV 7.01,9.01 01/02/08
NATIONAL FUEL GAS CO NJ 8.01,9.01 01/02/08
NATIONAL PENN BANCSHARES INC PA 1.01,2.03,9.01 12/19/07
NATURAL GAS SERVICES GROUP INC 5.02,9.01 12/26/07
NEOPROBE CORP DE 1.01,1.02,2.03,3.02,8.01,9.01 12/26/07
NETGEAR, INC DE 5.02,9.01 01/01/08
Neuro-Hitech, Inc. DE 8.01,9.01 12/31/07
NEUSTAR INC 5.02,9.01 01/02/08
NEVADA CHEMICALS INC UT 5.03,9.01 12/27/07
NEW YORK COMMUNITY BANCORP INC DE 8.01,9.01 01/02/08
NITCHES INC CA 4.01 12/31/07
NOVA BIOSOURCE FUELS, INC. NV 1.01,2.03,7.01,9.01 12/26/07
NUTRITION 21 INC NY 3.01 12/26/07
OMNI ENERGY SERVICES CORP LA 5.02,9.01 01/02/08
Oncothyreon Inc. DE 8.01,9.01 01/02/08
OPEN ENERGY CORP NV 1.01 12/26/07
Orchids Paper Products CO /DE DE 7.01,9.01 12/28/07
ORLEANS HOMEBUILDERS INC DE 2.06,9.01 12/27/07
ORRSTOWN FINANCIAL SERVICES INC PA 5.02 01/02/08
OSI PHARMACEUTICALS INC DE 8.01 01/02/08
OVERSEAS PARTNERS LTD 8.01,9.01 12/28/07
OVERSTOCK.COM, INC UT 5.02,9.01 12/31/07
PAR PHARMACEUTICAL COMPANIES, INC. DE 8.01,9.01 12/28/07
PARK NATIONAL CORP /OH/ OH 1.01,2.03,8.01,9.01 12/28/07
PENN NATIONAL GAMING INC PA 5.02,5.03,9.01 12/26/07
PENN TRAFFIC CO DE 7.01,9.01 01/02/08
People's United Financial, Inc. DE 2.01,5.02,9.01 01/01/08
People's United Financial, Inc. DE 7.01 01/02/08
PFGI CAPITAL CORP MD 5.02,9.01 12/31/07
PGT, Inc. DE 1.01,1.02 12/26/07
PHH CORP MD 1.02,9.01 01/01/08
PHOTON DYNAMICS INC CA 3.01,9.01 12/26/07
PIEDMONT NATURAL GAS CO INC NC 2.02,7.01 12/28/07
PPG INDUSTRIES INC PA 2.01,9.01 01/02/08
PPL ENERGY SUPPLY LLC 2.03,8.01 12/31/07
pSivida LTD C3 3.01,9.01 12/27/07
QCR HOLDINGS INC DE 3.02,3.03,9.01 01/02/08
QUIKBYTE SOFTWARE INC CO 8.01 01/02/08
RESEARCH FRONTIERS INC DE 5.02 01/02/08
Ridgewood Energy M Fund LLC 2.06 12/26/07
SALARY. COM, INC. DE 5.02,9.01 01/02/08
SALIX PHARMACEUTICALS LTD 1.01,9.01 12/28/07
SCIVANTA MEDICAL CORP DE 3.02,5.02,9.01 01/01/08
SEANERGY MARITIME CORP. 8.01,9.01 01/02/08
SecureLogic Corp NV 1.01,2.05,9.01 12/28/07
SERVICE CORPORATION INTERNATIONAL TX 5.02,9.01 12/28/07
SHARPS COMPLIANCE CORP DE 8.01,9.01 01/02/08
SKY PETROLEUM, INC. NV 7.01,9.01 01/02/08
SMART MOVE, INC. DE 8.01,9.01 12/28/07
Solar Thin Films, Inc. DE 1.01,2.03,3.02,9.01 12/19/07
Solar Thin Films, Inc. DE 1.01,2.03,3.02,9.01 12/19/07 AMEND
SOMERSET INTERNATIONAL GROUP,INC. DE 3.02,9.01 12/31/07
SOUTHWEST BANCORP INC OK 1.01,5.02 12/26/07
Stereotaxis, Inc. DE 1.01,8.01 12/26/07
SYBASE INC DE 7.01,9.01 12/28/07
SYSVIEW TECHNOLOGY, INC. 5.03 12/26/07
TEKELEC CA 1.01,2.03,9.01 12/26/07
Terra Nova Financial Group Inc TX 5.02 12/26/07
TESCO CORP 5.02 12/31/07
TomoTherapy Inc 8.01,9.01 01/02/08
TOREADOR RESOURCES CORP TX 3.02 12/31/07
TOTAL SYSTEM SERVICES INC GA 5.02,5.03,8.01,9.01 12/31/07
TOUSA INC DE 8.01 01/02/08
TOYS R US INC DE 7.01,9.01 01/02/08
TRANSMERIDIAN EXPLORATION INC DE 1.01,9.01 12/31/07
TREX CO INC DE 5.02,9.01 01/01/08
TUESDAY MORNING CORP/DE DE 5.02,9.01 12/31/07
uBid.com Holdings, Inc. DE 8.01,9.01 11/30/07
UBS Managed Futures LLC (Aspect Serie 3.02 01/01/08
UNITED BANCORP INC /MI/ MI 8.01 01/02/08
United Financial Bancorp, Inc. MD 1.01,9.01 12/20/07
URANIUM RESOURCES INC /DE/ DE 8.01,9.01 12/31/07
URON INC MN 8.01,9.01 12/31/07
VALCOM, INC DE 5.02,9.01 12/17/07
VERASUN ENERGY CORP 8.01,9.01 01/02/08
VERTIS INC DE 5.02 12/26/07
Vyteris Holdings (Nevada), Inc. NV 1.02 01/02/08
WAYNE SAVINGS BANCSHARES INC /DE/ DE 5.03,9.01 12/20/07
WCA WASTE CORP 5.02,7.01 01/01/08
WEGENER CORP DE 3.01,9.01 12/26/07
WELLCARE HEALTH PLANS, INC. DE 1.02 12/26/07
WELLS REAL ESTATE INVESTMENT TRUST II MD 1.01 12/31/07
WESBANCO INC WV 8.01,9.01 01/02/08
Willdan Group, Inc. DE 1.01,1.02,2.03,9.01 12/28/07
WINLAND ELECTRONICS INC MN 5.02,9.01 01/02/08
Xeno Transplants CORP 1.01,9.01 12/26/07
YELLOWCAKE MINING INC. 5.02 12/31/07
YOUNG BROADCASTING INC /DE/ DE 5.03,9.01 12/28/07
YRC WORLDWIDE INC DE 8.01,9.01 01/02/08
http://www.sec.gov/news/digest/2008/dig010308.htm
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