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SEC NEWS DIGEST
Issue 2008-3 January 4, 2008
COMMISSION ANNOUNCEMENTS
SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN TWELVE ISSUERS
FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On January 4, Securities and Exchange Commission announced the
temporary suspension of trading of the securities of the following
issuers, commencing at 9:30 a.m., EST, on Jan. 4, 2008, and
terminating at 11:59 p.m., EST, on Jan. 17, 2008:
ABC Dispensing Technologies, Inc. (n/k/a Ka Wang Holding, Inc.)
(KWGI)
Accent Color Sciences, Inc. (ACLR)
Access Tradeone.com, Inc. (ACST)
ActFit.com, Inc. (n/k/a Telum International Corp.) (TLMIF)
Addison-Davis Diagnostics, Inc. (ADSD)
Aden Enterprises, Inc. (ADEN)
AdPads, Inc. (APAD)
Advanced Products Group, Inc. (n/k/a Cloudtech Sensors, Inc.)
(CLDH)
Advanced Recycling Sciences, Inc. (ARYC)
Advanced Systems International, Inc. (ADSN)
Aero Group, Inc. (AROU)
Alford Refrigerated Warehouses, Inc. (ALFO).
The Commission temporarily suspended trading in the securities of
these twelve issuers due to a lack of current and accurate information
about the companies because they have not filed periodic reports with
the Commission in over two years. This order was entered pursuant to
Section 12(k) of the Securities Exchange Act of 1934.
The Commission cautions brokers, dealers, shareholders and prospective
purchasers that they should carefully consider the foregoing
information along with all other currently available information and
any information subsequently issued by this company.
Brokers and dealers should be alert to the fact that, pursuant to
Exchange Act Rule 15c2-11, at the termination of the trading
suspensions, no quotation may be entered relating to the securities of
the subject company unless and until the broker or dealer has strictly
complied with all of the provisions of the rule. If any broker or
dealer is uncertain as to what is required by the rule, it should
refrain from entering quotations relating to the securities of this
company that has been subject to a trading suspension until such time
as it has familiarized itself with the rule and is certain that all of
its provisions have been met. Any broker or dealer with questions
regarding the rule should contact the staff of the Securities and
Exchange Commission in Washington, D.C., at (202) 551-5720. If any
broker or dealer enters any quotation which is in violation of the
rule, the Commission will consider the need for prompt enforcement
action.
If any broker, dealer or other person has any information which may
relate to this matter, they should immediately communicate it to the
Delinquent Filings Branch of the Division of Enforcement at (202) 551-
5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-57096; File
No. 500-1)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF DANIEL J. SKRYPEK, CPA
On January 3, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Rule 102(e) of the Commission's
Rules of Practice, Making Findings and Imposing Remedial Sanctions
against Daniel J. Skrypek, CPA. The Order finds that on Dec. 21, 2007,
Skrypek, a certified public accountant and the former Controller of
Buca, Inc., the corporate parent of the Buca di Beppo national
restaurant chain, was permanently enjoined from violating the
antifraud provisions of the Securities Act and the Exchange Act. The
Commission's complaint alleged that Skrypek facilitated Buca's
engaging in improper accounting practices which resulted in Buca's
filing materially false and misleading financial statements between
2000 and 2004. The complaint also alleged that Skrypek failed to
ensure the disclosure of related party transactions involving Buca's
former Chief Executive Officer and Buca's former Chief Financial
Officer and signed management representation letters on behalf of Buca
that provided false and misleading information to Buca's auditors
concerning the company's financial statements. In addition, the
complaint alleged that Skrypek was involved in drafting proxy
statements that materially understated the compensation of Buca's
Chief Executive Officer and Chief Financial Officer.
Based on the above, the Order suspends Skrypek from appearing or
practicing before the Commission as a preparer, or reviewer of any
public company's financial statements that are filed with the
Commission, or as an accountant, with a right to apply for
reinstatement after five years. Skrypek consented to the issuance of
the Order without admitting or denying any of the findings. (Rels. 34-
57091; AAER-2764; File No. 3-12919)
IN THE MATTER OF GREG A. GADEL, CPA
On January 3, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Rule 102(e) of the Commission's
Rules of Practice, Making Findings and Imposing Remedial Sanctions
against Greg A. Gadel, CPA. The Order finds that on Dec. 21, 2007,
Gadel, a certified public accountant and the former Chief Financial
Officer of Buca, Inc., the corporate parent of the Buca di Beppo
national restaurant chain, was permanently enjoined from violating the
antifraud provisions of the Securities Act and the Exchange Act. The
Commission's complaint alleged that Gadel facilitated Buca's engaging
in improper accounting practices which resulted in Buca's filing
materially false and misleading financial statements between 2000 and
2004. The complaint also alleged that Gadel failed to ensure the
disclosure of related party transactions involving Buca's former Chief
Executive Officer and himself and signed management representation
letters on behalf of Buca that provided false and misleading
information to Buca's auditors concerning the company's financial
statements. In addition, the complaint alleged that Gadel was involved
in drafting proxy statements that materially understated the
compensation of Buca's Chief Executive Officer and Chief Financial
Officer.
Based on the above, the Order suspends Gadel from appearing or
practicing before the Commission as an accountant. Gadel consented to
the issuance of the Order without admitting or denying any of the
findings. (Rels. 34-57092; AAER-2765; File No. 3-12920)
COMMISSION ORDERS HEARINGS ON REGISTRATION SUSPENSION OR REVOCATION
AGAINST TWELVE COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On January 4, in conjunction with trading suspensions (Release No. 34-
57096; File No. 500-1), the Commission instituted two separate public
administrative proceedings to determine whether to revoke or suspend
for a period not exceeding twelve months the registration of each
class of the securities twelve companies for failure to make required
periodic filings with the Commission:
In the Matter of ABC Dispensing Technologies, Inc., et al.,
Administrative Proceeding File No. 3-12921
ABC Dispensing Technologies, Inc.
Access Tradeone.com, Inc. (ACST)
Addison-Davis Diagnostics, Inc. (ADSD)
Aden Enterprises, Inc. (ADEN)
Advanced Recycling Sciences, Inc. (ARYC)
Advanced Systems International, Inc. (ADSN)
In the Matter of Accent Color Sciences, Inc., et al., Administrative
Proceeding File No. 3-12922
Accent Color Sciences, Inc. (ACLR)
ActFit.com, Inc. (n/k/a Telum International Corp.) (TLMIF)
AdPads, Inc. (APAD)
Advanced Products Group, Inc. (n/k/a Cloudtech Sensors, Inc.)
(CLDH)
Aero Group, Inc. (AROU)
Alford Refrigerated Warehouses, Inc. (ALFO)
In each Order, the Division of Enforcement alleges that the respective
respondents are delinquent in their required periodic filings with the
Commission.
In each of these proceedings, instituted pursuant to Exchange Act
Section 12(j), a hearing will be scheduled before an Administrative
Law Judge. At the hearing, the judge will hear evidence from the
Division and the respondents to determine whether the allegations of
the Division contained in the Order, which the Division alleges
constitute failures to comply with Exchange Act Section 13(a) and
Rules 13a-1 and 13a-13 or 13a-16 thereunder, are true. The judge in
the proceeding will then determine whether the registrations pursuant
to Exchange Act Section 12 of the securities of these respondents
should be revoked, or in the alternative, suspended for a period not
exceeding twelve months. The Commission ordered that the
Administrative Law Judge in this proceeding issue an initial decision
not later than 120 days from the date of service of the order
instituting proceedings. (In the Matter of ABC Dispensing
Technologies, Inc., et al. - Rel. 34-57097; File No. 3-12921; In the
Matter of Accent Color Sciences, Inc., et al., - Rel. 34-57098; File
No. 3-12922)
IN THE MATTER OF K.W. BROWN & COMPANY, ET. AL.
On January 4, the Commission issued an Order Instituting Public
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment
Advisers Act of 1940 against Ken and Wendy Brown, who controlled K.W.
Brown & Company, 21st Century Advisors, Inc., and K.W. Brown
Investments, Inc., which are entities registered with the Commission
as investment advisers and/or broker-dealers, and a registered
representative of the broker-dealer, Michael Cimilluca. The Order is
based on the entry of a permanent injunction against the Respondents
for violating Section 10(b) of the Securities Exchange Act of 1934,
Rule 10b-5 promulgated thereunder, Sections 204, 206(1), 206(2) and
207 of the Investment Advisers Act and Rules 204-1(a)(2) and 204-
2(a)(8) thereunder, based on the District Court's findings the
Respondents engaged in an illegal cherry-picking scheme.
The Division of Enforcement alleges in the Order that from September
2002 through at least June 2006 the respondents, knowingly or
recklessly, engaged in an illegal cherry-picking scheme that netted
the respondents $4.5 million dollars while passing more than $9
million of losses onto unsuspecting advisory clients who had placed
their trust and confidence in Ken Brown, Brown & Company and 21st
Century.
The Division also alleges that following a nine-day bench trial, the
District Court entered a permanent injunction and final judgment
against all Respondents, permanently enjoining them from future
violations of Section 10(b) of the Exchange Act and Rule 10b-5
thereunder, Section 17(a) of the Securities Act of 1933, Sections 204,
206(1), 206(2) and 207 of the Advisers Act and Rules 204-1(a)(2) and
204-2(a)(8) thereunder. The Division alleges the District Court also
held the Respondents joint and severally liable for disgorgement of
$4,796,147 in ill-gotten gains plus prejudgment interest.
Additionally, the Court imposed third-tier civil penalties of $4.5
million on the corporate defendants, collectively; $250,000 each on
Ken Brown and Cimilluca; and $100,000 on Wendy Brown.
A hearing will be scheduled before an administrative law judge to
determine whether the allegations contained in the Order are true, to
provide the Respondents an opportunity to dispute these allegations,
and to determine what, if any, remedial sanctions are appropriate and
in the public interest. The Order requires the Administrative Law
Judge to issue an initial decision no later than 210 days from the
date of service of the Order. (Rels. 34-57101; IA-2690; File No. 3-
12923)
IN THE MATTER OF SANTO C. MAGGIO
On January 4, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act
of 1940, Making Findings, and Imposing Remedial Sanctions against
Santo C. Maggio. The Order finds that Maggio was enjoined from future
violations of the federal securities laws pursuant to a final judgment
that was entered by consent on Dec. 28, 2007, in a Commission civil
injunctive action. The Commission's complaint in that action alleged
that, from at least 1998 to October 2005, Maggio engaged in conduct
that repeatedly concealed, at the end of Refco fiscal periods,
hundreds of millions of dollars of receivables owed to Refco Group
Ltd. or its successor entity Refco Inc. (together, Refco) by an entity
controlled by Refco's chairman and chief executive officer. The
complaint also alleged that Maggio participated in certain practices
that inflated Refco's reported revenue and income. While engaged in
this misconduct, the Order finds that Maggio was an officer with Refco
Securities, LLC, a registered broker-dealer, and was a director of
Forstmann-Leff Associates LLC and FLA Asset Management LLC, which were
registered investment advisers.
The Order bars Maggio from association with any broker, dealer, or
investment adviser. Maggio consented to the issuance of the Order
without admitting or denying the Commission's findings, except as to
entry of the injunction. (Rel. 34-57102; IA-2691; AAER-2766; File No.
3-12924)
COURT ORDERS ALAN BROWN TO DISGORGE ILL-GOTTEN GAINS AND PAY CIVIL
PENALTY IN FRAUD AGAINST SENIOR CITIZENS
On January 3, the United States District Court for the Eastern
District of New York entered a final judgment against defendant Alan
Brown, of Wheatley Heights, N.Y., in an action filed in 2006 by the
Securities and Exchange Commission. The Honorable Nicholas Garaufis
ordered that Brown disgorge his ill-gotten gains of $95,965, together
with prejudgment interest of $12,107.18. The Court also imposed a
third-tier civil penalty of $60,000 on Brown, based on Brown's conduct
in targeting multiple investors, including senior citizens, at least
one of whom lost a significant part of his life savings.
Previously, on May 22, 2007, the Court entered a partial consent
judgment against Brown. The partial consent judgment permanently
enjoined Brown from further violations of the antifraud and
registration provisions of the federal securities laws, and reserved
judgment on any monetary obligations. With the entry of the January 3
judgment, the Commission's action against Brown is now complete.
The Commission's complaint alleged that Brown made numerous oral and
written false and misleading statements to investors, primarily senior
citizens, who were induced to purchase One Wall Street, Inc. common
stock. The defendants, including Brown, raised at least $1.6 million
from at least 64 investors.
The litigation is continuing against the remaining defendants and the
relief defendant. [SEC v. One Wall Street, Inc., Donte C. Jarvis, Alan
Brown, Willis "Bill" White III, and Cecil Baptiste, a/k/a John
Latorri, 06 CIV. 4217, NGG, ARL, E.D.N.Y.] (LR-20421)
SEC FILES ACTION AGAINST COADUM ADVISORS, INC., ET AL.
On January 3, the Commission filed a complaint, and motion seeking a
temporary restraining order, asset freeze and appointment of a
Receiver in the United States District Court for the Northern District
of Georgia. The complaint seeks relief against two individuals and six
entities under their control. The complaint alleges that defendants
Coadum Advisors, Inc. (Coadum), Mansell Capital Partners III, LLC
(Mansell), James A. Jeffery, Thomas E. Repke, Coadum Capital Fund 1,
LLC (Coadum 1), Coadum Capital Fund II, LP (Coadum II), Coadum Capital
Fund III, LP (Coadum III) and Mansell Acquisition Company LP (MAC)
engaged in fraud in conjunction with a series of four securities
offerings which began in early 2006. Two of the offerings are ongoing,
and approximately $30 million has been raised from approximately 150
investors. The complaint also alleges that Jeffery of Ontario, Canada,
and Repke of Holladay, Utah, control the entities and are directing
the offerings.
The complaint alleges that the defendants falsely represent to
investors that they will receive a return of from 3 to 6% per month,
misrepresent that their principal is protected and never leaves the
escrow account; and fail to disclose that the defendants have made
loans to themselves from the investor proceeds. However, in reality,
the defendants have transferred the majority of the funds to Exodus
Equities, Inc. (Exodus) a Malta based "investment platform" which in
turn appears to have placed the funds in the Exodus Platinum Genesis
Fund, Ltd. (Exodus Platinum Fund), a Bermuda hedge fund which has yet
to begin operation, and in "Pre-REIT convertible bonds" which have yet
to provide any return. Furthermore, the complaint alleges that the
defendants have falsely represented in monthly account statements to
investors that they have earned approximately 4% per month, and that
all or most of their principal is in escrow. Finally, the complaint
alleges that, without disclosure to investors, Coadum and Mansell have
also "borrowed" in excess of $3 million of, or against, the investors'
funds and have disbursed approximately $5 million to related parties.
The complaint alleges that all defendants violated 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, and that defendants
Coadum, Mansell, Jeffery and Repke further violated, Sections 206(1)
and 206(2) of the Investment Advisers Act, 15 U.S.C. 15 U.S.C. ยงยง 80b-
6 (1) and (2).
The Honorable Orinda D. Evans, United States District Judge for the
Northern District of Georgia, entered an order on January 3
temporarily restraining the eight defendants from violations of the
antifraud provisions of the Securities Act and the Exchange Act, and
further restraining Coadum, Mansell, Jeffery and Repke from violations
of the Adviser's Act; requiring the defendants to show cause why a
preliminary injunction should not be granted; requiring an accounting
of all funds received by the defendants pursuant to the scheme
described in the complaint; freezing the assets of the eight
defendants; expediting discovery and prohibiting destruction of
documents; and appointing a Receiver for the six entity defendants.
[SEC v. Coadum Advisors, Inc.; Mansell Capital Partners III, LLC;
James A. Jeffery; Thomas E. Repke; Coadum Capital Fund 1, LLC; Coadum
Capital Fund II, LP; Coadum Capital Fund III, LP; and Mansell
Acquisition Company LP, Civil Action File No. 1:08-CV-0011-ODE, N.D.
Ga.] (LR-20422)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change filed by NYSE Arca relating to the closing time
for options on ETFs (SR-NYSEArca-2008-01) 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. 34-57087)
PROPOSED RULE CHANGE AND AMENDMENT NO.1 THERETO
The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-
2007-90) and Amendment No. 1 thereto relating to the $1 Strike Pilot
Program pursuant to Rule 19b-4 under the Securities Exchange Act of
1934. Publication is expected in the Federal Register during the week
of January 7. (Rel. 34-57086)
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 AMERIRESOURCE TECHNOLOGIES INC, 3440 E. RUSSELL ROAD, SUITE 217,
LAS VEGAS, NV, 89120, 702-214-4245 -
1,200,000,000 ($180,000.00) Equity, (File 333-148441 - Jan. 3) (BR. 02A)
S-3 NETWORK EQUIPMENT TECHNOLOGIES INC, 6900 PASEO PADRE PARKWAY, FREMONT,
CA, 94555-3660, 5107137300 - 1,732,252 ($14,897,367.20) Equity,
(File 333-148442 - Jan. 3) (BR. 03C)
S-3 BANKUNITED FINANCIAL CORP, 255 ALHAMBRA CIRCLE, CORAL GABLES, FL,
33134, 3055692000 - 0 ($400,000,000.00) Unallocated (Universal) Shelf,
(File 333-148443 - Jan. 3) (BR. 07A)
S-8 ISCO INTERNATIONAL INC, 1001 CAMBRIDGE DRIVE, ELK GROVE VILLAGE, IL,
60007, 8473919400 - 15,359,679 ($2,995,138.00) Equity,
(File 333-148448 - Jan. 3) (BR. 10B)
S-8 TOTAL SYSTEM SERVICES INC, 1600 FIRST AVENUE, P O BOX 1755, COLUMBUS,
GA, 31901, 7066492267 - 17,000,000 ($481,780,000.00) Equity,
(File 333-148449 - Jan. 3) (BR. 03C)
S-4 M&F BANCORP INC /NC/, 2634 CHAPTEL HILL BLVD, PO BOX 19322, DURHAM, NC,
27702-3221, 9196831521 - 0 ($1,836,781.00) Equity, (File 333-148452 -
Jan. 3) (BR. 07A)
S-8 Dynamic Response Group, Inc., 4770 BISCAYNE BLVD, SUITE 1400, MIAMI,
FL, 33137, 305-576-6889 - 5,000,000 ($375,000.00) Equity,
(File 333-148453 - Jan. 3) (BR. 09)
S-8 CUBIST PHARMACEUTICALS INC, 65 HAYDEN AVENUE, LEXINGTON, MA, 02421,
781-860-8660 - 0 ($5,067,500.00) Equity, (File 333-148454 - Jan. 3)
(BR. 01A)
S-8 CUBIST PHARMACEUTICALS INC, 65 HAYDEN AVENUE, LEXINGTON, MA, 02421,
781-860-8660 - 0 ($6,081,000.00) Equity, (File 333-148455 - Jan. 3)
(BR. 01A)
S-1 China Energy Partners Inc., 8801 BRICKYARD ROAD, POTOMAC, MD, 20854,
202-365-7000 - 20,000,000 ($200,000,000.00) Equity, (File 333-148456 -
Jan. 3) (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
----------------------------------------------------------------------------------------------------------
ACORN FACTOR, INC. DE 2.04,5.03,9.01 12/28/07
ACUSPHERE INC DE 8.01,9.01 01/03/08
ADAMS GOLF INC DE 1.01,1.02 12/31/07
Advance Nanotech, Inc. DE 2.01,8.01,9.01 12/28/07
Affinion Group, Inc. DE 5.02 12/31/07
Alon USA Energy, Inc. DE 5.02 12/31/07
ALPHA PRO TECH LTD DE 8.01,9.01 01/02/08
Alternative Loan Trust 2007-4CB 7.01,9.01 01/03/08
AMERICAN AIRLINES INC DE 8.01 01/03/08
AMERICAN MEDICAL TECHNOLOGIES INC/DE DE 7.01,9.01 01/01/08
AMERICAN METAL & TECHNOLOGY, INC. 7.01,9.01 01/03/08
AMERICAN RIVER BANKSHARES CA 7.01,9.01 01/03/08
AMR CORP DE 8.01 01/03/08
AMSURG CORP TN 7.01,9.01 01/03/08
ANCHOR BANCORP WISCONSIN INC WI 8.01 01/03/08
ANTIGENICS INC /DE/ DE 8.01,9.01 01/03/08
APPLIANCE RECYCLING CENTERS OF AMERIC MN 5.03,9.01 12/26/07
APRIA HEALTHCARE GROUP INC DE 7.01 12/31/07
ARADIGM CORP CA 5.02 12/28/07
ARCTIC OIL & GAS CORP. 1.01,2.01,5.01,5.02,9.01 01/02/08
AROTECH CORP DE 1.01,2.03,9.01 12/27/07
ARTHROCARE CORP DE 8.01,9.01 12/31/07
ATOMIC PAINTBALL INC 3.02 12/10/07
ATWOOD OCEANICS INC TX 1.01,2.03,9.01 01/02/08
BALCHEM CORP MD 5.02,5.03,9.01 01/02/08
BANK OF HAWAII CORP DE 5.02,9.01 12/31/07
BARRETT BUSINESS SERVICES INC MD 7.01,9.01 01/02/08
BED BATH & BEYOND INC NY 2.02,9.01 01/03/08
BOLT TECHNOLOGY CORP CT 3.01,9.01 01/03/08
BOSTON CAPITAL REAL ESTATE INVESTMENT MD 2.03 12/27/07
Bradford Bancorp Inc /MD 1.02,9.01 01/03/08
CABCO SERIES 2002-1 TRUST (AOL TIME W DE 8.01,9.01 11/20/07
CABCO TRUST FOR TEXACO CAPITAL INC. G DE 8.01,9.01 12/06/07
CALIFORNIA PIZZA KITCHEN INC DE 8.01,9.01 01/03/08
CALLON PETROLEUM CO DE 8.01,9.01 12/31/07
CAMDEN NATIONAL CORP ME 2.01,5.02,5.03,9.01 12/31/07
CAMPBELL FUND TRUST MD 3.02 01/01/08
CAREGUIDE INC DE 1.01,3.02,3.03,5.03,8.01,9.01 12/28/07
CARRIZO OIL & GAS INC TX 5.03,9.01 12/31/07
CASTLE A M & CO MD 8.01,9.01 01/03/08
CATCHER HOLDINGS, INC 1.01,9.01 01/03/08
CBRL GROUP INC TN 7.01,9.01 01/03/08
CEDAR SHOPPING CENTERS INC MD 2.02,7.01,9.01 01/03/08
CELEBRATE EXPRESS, INC. 2.02,9.01 01/02/08
CELGENE CORP /DE/ DE 8.01,9.01 01/03/08
CELL THERAPEUTICS INC WA 5.02 12/27/07
CENTERLINE HOLDING CO DE 1.01,9.01 12/27/07
CENTERLINE HOLDING CO DE 1.01,2.01,2.03,9.01 12/27/07
CENTERPOINT ENERGY INC 3.02 01/02/08
CEPHALON INC DE 8.01,9.01 12/31/07
CEPHEID CA 1.01 12/31/07
CFS BANCORP INC IN 5.02,9.01 12/31/07
CH ENERGY GROUP INC NY 5.01 12/31/07
Chaparral Energy, Inc. DE 7.01,9.01 10/31/06 AMEND
CHICAGO RIVET & MACHINE CO IL 5.03,9.01 12/28/07
Citicorp Mortgage Securities Trust, S DE 8.01,9.01 01/03/08
CLEAN HARBORS INC MA 3.02 12/28/07
CLEARONE COMMUNICATIONS INC UT 5.02 01/02/08
CLEVELAND CLIFFS INC OH 8.01 12/31/07
COATES INTERNATIONAL LTD \DE\ DE 8.01,9.01 12/21/07
COLONY BANKCORP INC GA 5.02 01/03/08
COMMAND SECURITY CORP NY 5.02,8.01 12/21/07
COMMUNITY BANCORP /VT VT 2.01,5.02,9.01 12/31/07
COMMUNITY CAPITAL CORP /SC/ SC 1.01,9.01 12/31/07
COMSYS IT PARTNERS INC DE 5.02 01/02/08
CONOCOPHILLIPS DE 2.02,9.01 01/03/08
CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 01/03/08
CREE INC NC 5.02,9.01 12/31/07
CRM Holdings, Ltd. 5.02 01/01/08
CROSSTEX ENERGY INC DE 5.02,7.01,9.01 12/28/07
CROSSTEX ENERGY LP DE 5.02,7.01,9.01 12/28/07
CROWN MEDIA HOLDINGS INC DE 1.01,2.03,9.01 01/02/08
CTI GROUP HOLDINGS INC DE 2.06 12/12/07
CVS CAREMARK CORP DE 2.02,9.01 01/03/08
Cyberfund, Inc. OK 5.03,9.01 12/31/07
CYBEX INTERNATIONAL INC NY 5.02 01/01/08
CytoCore Inc DE 1.01,9.01 12/26/07
DECORATOR INDUSTRIES INC PA 5.02 01/02/08
DEERE & CO DE 7.01 01/03/08
Delek US Holdings, Inc. 1.01,5.02,9.01 12/28/07
DIGITAL ALLY INC NV 3.01,5.02,9.01 12/27/07
DISCOVERY LABORATORIES INC /DE/ DE 5.02,9.01 01/03/08
DOMINION RESOURCES INC /VA/ VA 5.02 12/31/07
DRI CORP NC 7.01,9.01 01/03/08
DUCOMMUN INC /DE/ DE 5.02,9.01 12/31/07
Duncan Energy Partners L.P. DE 5.03,9.01 12/27/07 AMEND
Dynamic Natural Resources Inc. NV 8.01,9.01 01/03/08
EARTHLINK INC DE 8.01 12/31/07
Echo Healthcare Acquisition Corp. DE 8.01,9.01 01/03/08
Ecology Coatings, Inc. NV 1.01,9.01 12/28/07
EMAGIN CORP DE 5.02,9.01 12/27/07
ENBRIDGE ENERGY PARTNERS LP DE 5.03,9.01 12/28/07
ENCORE ACQUISITION CO DE 8.01 12/27/07
Encore Energy Partners LP DE 1.01,3.02,7.01,9.01 12/27/07
Enterprise GP Holdings L.P. DE 5.03,9.01 12/27/07 AMEND
ENTERPRISE PRODUCTS PARTNERS L P DE 5.03,9.01 12/27/07 AMEND
ERIE INDEMNITY CO PA 1.02,5.02,9.01 12/27/07
ETELCHARGE COM INC 1.01,2.03,3.02,8.01,9.01 12/28/07
ev3 Inc. DE 5.02 12/27/07
EVOLVING SYSTEMS INC DE 1.01 01/01/08
EXELON CORP PA 5.02 12/27/07
Exobox Technologies Corp. NV 8.01 01/03/08
FARMERS & MERCHANTS BANCORP INC OH 8.01,9.01 12/31/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/31/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/31/07
Federal Home Loan Bank of Indianapoli X1 5.02 12/31/07
Federal Home Loan Bank of New York X1 2.02,8.01,9.01 01/03/08
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/31/07
Federal Home Loan Bank of San Francis X1 2.03 12/31/07
FEDERAL-MOGUL CORP DE 1.01,1.02,2.03,3.02,3.03,5.01, 12/27/07
5.02,5.03,9.01
Feldman Mall Properties, Inc. MD 5.02,9.01 12/31/07
FINISH LINE INC /IN/ IN 2.02,9.01 01/03/08
FIRST CENTURY BANCORP. GA 3.02 12/31/07
FIRST CITIZENS BANCSHARES INC /TN/ TN 5.02 01/01/08
FIRST MUTUAL BANCSHARES INC WA 8.01 01/02/08
FIRST UNITED ETHANOL LLC GA 4.02 12/21/07
FORD MOTOR CO DE 8.01,9.01 01/03/08
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 01/03/08
Fortress Financial Group, Inc. / WY WY 4.01,9.01 01/02/08
FRANKLIN TOWERS ENTERPRISES INC 4.01,9.01 01/02/08
FULLCIRCLE REGISTRY INC NV 8.01,9.01 01/03/08
g8wave Holdings, Inc. 1.02,9.01 12/27/07
GALAXY ENERGY CORP CO 2.03,9.01 12/28/07
GALAXY ENERGY CORP CO 2.03,9.01 12/31/07
GAMCO INVESTORS, INC. ET AL NY 5.02 12/31/07
GAMCO INVESTORS, INC. ET AL NY 5.02,9.01 01/03/08
GateHouse Media, Inc. DE 5.02 01/03/08
GATEWAY FINANCIAL HOLDINGS INC NC 8.01 01/02/08
GENCO SHIPPING & TRADING LTD 7.01,9.01 01/03/08
GENERAL MOTORS CORP DE 8.01,9.01 01/03/08
GENESIS HOLDINGS, INC. 5.02 11/05/07
GENLYTE GROUP INC DE 8.01,9.01 01/03/08
GLACIER BANCORP INC DE 5.02,9.01 12/27/07
Global Employment Holdings, Inc. 3.03,9.01 12/28/07
Global Ink Supply Inc. DE 4.01 12/28/07
GLOBAL PAYMENTS INC GA 2.02,9.01 01/03/08
GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.02 01/03/08
GREENE COUNTY BANCORP INC DE 5.02,9.01 12/31/07
Greenlight Capital Re, Ltd. 1.01,1.02,9.01 01/01/08
GROEN BROTHERS AVIATION INC /UT/ UT 1.01,9.01 12/28/07
Grubb & Ellis Healthcare REIT, Inc. MD 9.01 12/20/07 AMEND
Grubb & Ellis Healthcare REIT, Inc. MD 9.01 12/20/07 AMEND
HANOVER GOLD CO INC DE 1.01,2.01,3.02,5.01,5.02,5.06, 01/02/08
9.01
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 01/02/08
Huifeng Bio-Pharmaceutical Technology NV 1.01,2.03,9.01 12/31/07
HUNTINGTON BANCSHARES INC/MD MD 8.01 12/28/07
I2 TECHNOLOGIES INC DE 5.02,8.01,9.01 01/02/08
ICEWEB INC DE 8.01,9.01 01/03/08
IFTH ACQUISITION CORP DE 8.01,9.01 01/03/08
IGI INC DE 3.02,5.03,9.01 12/31/07
II-VI INC PA 8.01,9.01 01/03/08
II-VI INC PA 4.01,9.01 01/03/08
IKONA GEAR INTERNATIONAL INC NV 4.01,9.01 01/03/08
INDEVUS PHARMACEUTICALS INC DE 2.02,9.01 11/29/07
Indigo-Energy, Inc. NV 1.01,3.02,9.01 12/30/07
INFINITY ENERGY RESOURCES, INC 3.01,9.01 12/28/07
INFINITY ENERGY RESOURCES, INC 1.01,9.01 12/27/07
Inland American Real Estate Trust, In MD 1.01,2.03,9.01 12/10/07 AMEND
INLAND WESTERN RETAIL REAL ESTATE TRU MD 1.01,5.02 01/02/08
Inova Technology Inc. NV 1.01 01/02/07
INSWEB CORP DE 8.01 12/27/07
IPARTY CORP DE 2.01,8.01,9.01 01/02/08
IRWIN FINANCIAL CORP IN 8.01,9.01 01/03/08
ITRONICS INC TX 1.01,2.03,3.02,9.01 12/27/07
IVAX DIAGNOSTICS INC DE 1.02,5.02,9.01 01/03/08
KFORCE INC FL 8.01,9.01 01/02/08
KIK TECHNOLOGY INTERNATIONAL INC CA 5.02,9.01 12/28/07
KILROY REALTY CORP MD 5.02 12/27/07
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/03/08
LADENBURG THALMANN FINANCIAL SERVICES FL 9.01 10/19/07 AMEND
LANDEC CORP \CA\ CA 2.02,9.01 01/03/08
LCC INTERNATIONAL INC DE 1.01,3.03,5.03,9.01 12/27/07
LCNB CORP OH 5.02,7.01,9.01 01/03/08
LEADIS TECHNOLOGY INC DE 8.01,9.01 01/03/08
LIFEWAY FOODS INC IL 1.01,9.01 12/31/07
LINCARE HOLDINGS INC DE 5.02,7.01,9.01 12/28/07
LITHIA MOTORS INC OR 2.02,9.01 01/02/08
LONGS DRUG STORES CORP MD 7.01,9.01 01/03/08
LSB INDUSTRIES INC DE 2.02,9.01 01/03/08
LUMINEX CORP DE 7.01,9.01 12/20/07
MACHINETALKER INC DE 8.01,9.01 12/28/07
MACROVISION CORP DE 8.01 01/01/08
Magnum dOr Resources Inc 5.01,9.01 01/03/08
Main Street Capital CORP MD 1.01,2.03,9.01 12/31/07
MANHATTAN PHARMACEUTICALS INC DE 5.02,9.01 12/27/07
MAP IV ACQUISITION, INC. DE 1.01,3.02,5.01,5.02,9.01 12/27/07
MAP V ACQUISITION, INC. DE 1.01,3.02,5.01,5.02,9.01 12/27/07
MAP VI ACQUISITION, INC. DE 1.01,3.02,5.01,5.02,9.01 12/27/07
MAVERICK OIL & GAS, INC. 5.02 12/31/07
MEDALLION FINANCIAL CORP DE 1.01,2.03,9.01 12/31/07
MERCADOLIBRE INC 1.01 12/27/07
MICREL INC CA 2.02,9.01 01/03/08
MOCON INC MN 5.02 12/31/07
MONSANTO CO /NEW/ DE 2.02,9.01 01/03/08
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 12/26/07
MZT Holdings, Inc. DE 1.02,5.02,9.01 12/28/07
NATIONAL COAL CORP FL 1.01,3.02,9.01 12/31/07
NATIONAL TAX CREDIT INVESTORS II CA 8.01 12/27/07
Natural Nutrition Inc. NV 1.01,5.02,9.01 12/31/07
NETFLIX INC DE 5.02 01/01/08
NETWORK 1 SECURITY SOLUTIONS INC DE 5.02,9.01 12/31/07
NEW CENTURY FINANCIAL CORP MD 5.02 12/19/07
NEW GENERATION HOLDINGS INC DE 1.01,3.02,9.01 12/31/07
NOBLE CORP 5.02,7.01,9.01 01/02/08
NORTHWEST BIOTHERAPEUTICS INC DE 5.02,9.01 12/31/07
NOVEN PHARMACEUTICALS INC DE 5.02,9.01 01/02/08
Och-Ziff Capital Management Group LLC DE 7.01 01/03/08
OHIO LEGACY CORP OH 5.02 12/31/07
OM GROUP INC DE 2.01,9.01 12/31/07
OMEGA PROTEIN CORP NV 5.02,9.01 12/31/07
ON SEMICONDUCTOR CORP DE 8.01,9.01 01/02/08
Optelecom-NKF, Inc. DE 5.02 12/27/07
OREGON PACIFIC BANCORP OR 8.01,9.01 01/02/08
ORLEANS HOMEBUILDERS INC DE 8.01 12/28/07
OVERSTOCK.COM, INC UT 1.01,2.03,9.01 12/31/07
P F CHANGS CHINA BISTRO INC 2.02,9.01 01/03/08
Pacific Ethanol, Inc. DE 3.02 12/31/07
PANACOS PHARMACEUTICALS, INC. DE 8.01,9.01 01/03/08
PANERA BREAD CO DE 2.02,9.01 01/03/08
PATAPSCO BANCORP INC MD 1.02,9.01 01/03/08
PAY88 NV 4.01,9.01 01/02/08
PDL BIOPHARMA, INC. DE 5.03,9.01 12/28/07
PEOPLES FINANCIAL SERVICES CORP/ PA 9.01 12/31/07
PERFECTENERGY INTERNATIONAL LTD NV 5.02 01/01/08
PERMA FIX ENVIRONMENTAL SERVICES INC DE 3.02 12/31/07
PHARMION CORP 8.01,9.01 01/03/08
PHILADELPHIA CONSOLIDATED HOLDING COR PA 1.01 12/27/07
PHOENIX FOOTWEAR GROUP INC DE 2.02,7.01,9.01 12/29/07
Phoenix International Ventures, Inc. NV 3.02,9.01 12/31/07
PINNACLE BANCSHARES INC AL 8.01,9.01 01/03/08
PLANGRAPHICS INC CO 5.02,9.01 12/31/07
PLATINUM ENERGY RESOURCES INC DE 1.01,9.01 12/18/07
POLYONE CORP 1.01,2.03,9.01 01/03/08
POTLATCH CORP DE 5.02 12/31/07
PRE PAID LEGAL SERVICES INC OK 2.02,9.01 12/31/07
PRE PAID LEGAL SERVICES INC OK 2.02,9.01 12/31/07
PRE PAID LEGAL SERVICES INC OK 2.02,9.01 12/31/07
Printing Components Inc. NV 3.02 12/28/07
QUIDEL CORP /DE/ DE 1.01,5.02,9.01 12/31/07
RADIAN GROUP INC DE 5.02 12/27/07
RAPTOR NETWORKS TECHNOLOGY INC 5.02 01/02/08
REDDY ICE HOLDINGS INC DE 5.02,9.01 01/02/08
REGIONS FINANCIAL CORP DE 7.01,9.01 01/03/08
Revolutions Medical CORP NV 4.02,9.01 12/07/07
REXAHN PHARMACEUTICALS, INC. DE 8.01,9.01 01/03/08
RIO VISTA ENERGY PARTNERS LP DE 1.01,1.02,2.01,9.01 12/27/07
ROANOKE TECHNOLOGY CORP 1.01,5.02,9.01 12/31/07
ROYAL FINANCIAL, INC. 5.02,8.01,9.01 01/03/08
RxElite, Inc. 1.01,2.03,3.02,7.01,8.01,9.01 12/31/07
SAFLINK CORP DE 8.01,9.01 01/02/08
SALESFORCE COM INC DE 8.01,9.01 01/03/08
SCANA CORP SC 5.02 12/31/07
SCHERING PLOUGH CORP NJ 5.02,9.01 01/02/08
SCORES HOLDING CO INC UT 8.01 12/11/07
Searchlight Minerals Corp. NV 3.02,7.01,9.01 12/26/07
SECURED DIGITAL APPLICATIONS INC DE 8.01,9.01 01/02/08
Securus Technologies, Inc. DE 3.02,9.01 01/02/08
SENOMYX INC DE 8.01,9.01 01/03/08
SGS International, Inc. DE 1.01,2.01,2.03,9.01 12/27/07
ShengdaTech, Inc. 8.01,9.01 01/03/08
Shire plc 8.01,9.01 01/02/08
SILICON LABORATORIES INC DE 5.02 12/29/07
Sinoenergy CORP NV 2.02,9.01 12/31/07
SLM CORP DE 1.01,5.03,8.01,9.01 12/27/07
SMART BALANCE, INC. DE 7.01,9.01 01/03/08
SOUTH DAKOTA SOYBEAN PROCESSORS LLC 1.01,2.03 12/28/07
SOUTH TEXAS OIL CO NV 1.02,5.02,9.01 12/31/07
SOUTHWEST WATER CO DE 1.01,2.03,9.01 12/28/07
SPARE BACKUP, INC. DE 8.01 01/02/08
SPARTECH CORP DE 5.02,8.01,9.01 01/02/08
Stamford Industrial Group, Inc. DE 1.01,5.02,9.01 12/27/07
STANDARD PARKING CORP DE 1.01,9.01 12/31/07
STATE STREET CORP MA 2.02,5.02,9.01 01/02/08
SUNRISE TELECOM INC 1.01,9.01 12/28/07
SYNOVIS LIFE TECHNOLOGIES INC MN 5.02,9.01 01/02/08
SYNOVUS FINANCIAL CORP GA 2.01,8.01,9.01 12/31/07
TAPESTRY PHARMACEUTICALS, INC DE 1.01,9.01 12/27/07
TELEFLEX INC DE 2.01,2.02,9.01 12/27/07
TEPPCO PARTNERS LP DE 5.02,7.01,9.01 12/27/07
Thomas Weisel Partners Group, Inc. DE 2.01,2.02,3.02,5.02,5.03,9.01 01/02/07
TIDEWATER INC DE 8.01,9.01 01/02/08
TMT CAPITAL CORP FL 8.01,9.01 12/31/07
Tradeshow Marketing Co. Ltd. NV 4.02 01/02/08
TransMontaigne Partners L.P. DE 1.01,2.01,2.03,8.01,9.01 12/28/07
TULLYS COFFEE CORP 5.02 12/31/07
Turnaround Partners, Inc. DE 1.01,5.02,9.01 12/27/07
TVI CORP MD 1.01,2.03,9.01 12/27/07
U S PHYSICAL THERAPY INC /NV NV 8.01 01/03/08
uBid.com Holdings, Inc. DE 8.01,9.01 01/03/08
UDR, Inc. MD 5.02,9.01 12/31/07
ULTICOM INC NJ 5.02 12/27/07
Uni-Pixel DE 8.01,9.01 01/03/08
UNIFIRST CORP MA 2.02,9.01 11/24/07
UNISYS CORP DE 5.02,9.01 01/02/08
UNITED FUEL & ENERGY CORP NV 1.01,2.03,9.01 01/03/08
URBAN OUTFITTERS INC PA 2.02,9.01 01/03/08
US BioEnergy CORP 8.01,9.01 01/02/08
UTEK CORP 8.01,9.01 12/28/07
Vantage Energy Services, Inc. DE 1.01 12/27/07
VELOCITY EXPRESS CORP DE 8.01,9.01 01/03/08
VENTANA MEDICAL SYSTEMS INC DE 5.02 12/28/07
VeruTEK Technologies, Inc. 8.01 12/31/07
VIVUS INC CA 8.01,9.01 01/03/08
VONAGE HOLDINGS CORP DE 1.01 12/28/07
W-H ENERGY SERVICES INC TX 1.01 12/28/07
WACHOVIA ASSET SECURITIZATION INC 200 8.01,9.01 12/26/07
WACHOVIA ASSET SECURITIZATION INC AST 8.01,9.01 12/26/07
WAKO LOGISTICS GROUP INC 8.01,9.01 12/31/07
WASHINGTON FEDERAL INC WA 8.01 01/02/08
WSB Holdings Inc DE 8.01 01/03/08
XTENT INC 5.02 12/27/07
http://www.sec.gov/news/digest/2008/dig010408.htm
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