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SEC NEWS DIGEST
Issue 2008-10 January 15, 2008
COMMISSION ANNOUNCEMENTS
REGISTRATION OPENS FOR CCOUTREACH BD NATIONAL SEMINAR 2008
The Securities and Exchange Commission and the Financial Industry
Regulatory Authority (FINRA) today announced the opening of
registration for the inaugural CCOutreach BD National Seminar for
broker-dealer chief compliance officers.
The CCOutreach BD National Seminar, designed to further promote strong
compliance practices for the protection of investors, will be held on
March 7, 2008, from 8:45 a.m. to 4:30 p.m. at the SEC's headquarters
located at 100 F Street, N.E. in Washington, D.C. Attendance is
limited to 500, with CCOs given priority on a first-come, first-served
basis.
The seminar will include panel discussions with SEC and FINRA staff
and CCO representatives from both large and small broker-dealers about
the latest compliance developments relevant to CCOs. The national
seminar will be followed by a series of regional seminars held by SEC
and FINRA staff. Dates and locations for the regional seminars will be
announced at future dates.
The agenda and registration information for the CCOutreach BD National
Seminar is available at http://www.sec.gov/info/bdccoutreach.htm.
(Press Rel. 2008-5)
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF MARC A. FREEDMAN
On January 14, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 203(f) of the
Investment Advisers Act of 1940, Making Findings, and Imposing
Remedial Sanctions (Order) against Marc A. Freedman, of Gaithersburg,
Maryland. The Order finds that Freedman was permanently enjoined, by
consent, from future violations of Section 17(a) of the Securities Act
of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule
10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment
Advisers Act. The Order is based on the entry of a Final Judgment
entered against him on Dec. 21, 2007, in the U.S. District Court for
the District of Maryland, in a civil action entitled SEC v. Marc A.
Freedman, Civil Action No. 07-CV-3263.
The Order finds that, from 1993 to May 2006, Freedman was a
shareholder in TriCapital Advisors, Inc. (TriCapital), an investment
adviser registered with the Commission. During that time, he was
TriCapital's president, chief compliance officer and operations
manager, and managed his own client accounts.
The Order also finds that the Commission's complaint alleged that
between 1999 and June 2005, Freedman misappropriated approximately
$2.38 million from three TriCapital clients. In order to perpetrate
his fraud, Freedman, among other things, falsely told the clients that
he was purchasing legitimate investments with their funds, and then
created false account statements and other documents purportedly
reflecting the purchases. The complaint further alleged that Freedman
used the misappropriated funds both for his personal benefit and to
repay funds earlier taken from two of the clients.
Based on the above, the Order bars Freedman from association with any
investment adviser. Freedman consented to the issuance of the Order
without admitting or denying any of the findings in the Order, except
he admitted the entry of the injunction. (Rel. IA-2693; File No. 3-
12931)
SEC FILES SETTLED ACTION AGAINST A FORMER SOUTHERN CALIFORNIA BROKER
IN A MULTI-MILLION DOLLAR HEDGE FUND FRAUD
On January 14, the Commission filed a complaint charging a former
broker with UBS Financial Services, Inc. for his role in a hedge fund
fraud. The broker, Justin M. Paperny, age 36, of Studio City,
California, agreed to settle the charges, without admitting or denying
the allegations, by consenting to a permanent injunction and agreeing
to pay disgorgement with prejudgment interest and a civil penalty in
amounts to be determined.
The Commission's complaint alleges that, from 2002 through 2004,
Paperny participated in a fraudulent offering of limited partnership
interests in a hedge fund, the GLT Venture Fund, L.P., which raised
$14.1 million from 42 investors. The complaint alleges that Paperny
was GLT's broker and that he falsely told GLT investors that GLT had
access to highly sought after initial public offerings and achieved
high average yearly returns. In reality, GLT had no access to hot IPOs
and suffered substantial losses because of its hedge fund manager's
poor trading and his misappropriation of investor funds. The complaint
also alleges that Paperny knew that GLT's fund manager made similar
false claims to investors but that Paperny nevertheless aided and
abetted the hedge fund manager's fraud. Specifically, the complaint
alleges that Paperny arranged for new GLT investors to place their
funds in GLT through UBS Financial and executed thousands of GLT's
securities trades, using funds of GLT and its investors who, Paperny
knew, were being defrauded by the fund manager. In exchange, Paperny
received approximately $220,000 in commissions and in additional
payments from the hedge fund manager.
To settle the Commission's charges, Paperny consented to the entry of
a judgment permanently enjoining him from future violations of the
securities registration and antifraud provisions of the federal
securities laws, Sections 5(a), 5(c), and 17(a) of the Securities Act
of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule
10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment
Advisers Act of 1940. Paperny also agreed to pay disgorgement with
prejudgment interest and a civil penalty in amounts to be determined.
The Commission previously filed an enforcement action against GLT's
hedge fund manager and the company through which he operated. SEC v.
CMG-Capital Management Group Holding Co., LLC and Keith G. Gilabert,
Civil Action No. CV-06-2595-GHK (Ex)(C.D. Cal.). The Commission
obtained complete relief in the previous action. For additional
information, see Lit. Rel. No. LR-19680 (May 1, 2006) and Exchange Act
Rel. No. 55785 (May 18, 2007). [SEC v. Justin M. Paperny, Case No. CV-
08-00213-CAS (VBKx) (C.D. Cal.)] (LR-20428)
SEC CHARGES TWO FORMER ACCOUNTING FIRM EMPLOYEES WITH INSIDER TRADING
The Commission today charged two former San Francisco-area employees
of PricewaterhouseCoopers LLP (PwC) with insider trading.
According to the Commission's complaint, Gregory B. Raben, 30, a
former PwC auditor, and William Patrick Borchard, 28, a former senior
associate in PwC's Transaction Services Group, used their access to
sensitive information about PwC's clients to allow Raben to buy stock
ahead of a series of corporate takeovers. Without admitting or denying
the allegations, Raben and Borchard agreed to a settlement including
monetary penalties.
The Commission's complaint, filed in federal district court in San
Francisco, alleges that Borchard learned about the potential
acquisition plans of PwC clients through his position in the
Transaction Services Group, where he handled financial due diligence
for clients interested in mergers or acquisitions. On six separate
occasions in 2006, Borchard told his friend and co-worker Raben about
these confidential plans. Raben then used the information to trade
before the news was released to the investing public. The pair's
scheme continued until October 2006, when it was uncovered by PwC's
Office of General Counsel, which referred the matter to the Commission
and cooperated with the SEC staff's investigation.
According to the Commission's complaint, Raben netted unlawful trading
profits of more than $20,000 by buying stock ahead of public
announcements disclosing the acquisitions and then selling his shares.
Raben also tipped two other acquaintances about two of the
acquisitions, allowing them to make several thousand dollars in
unlawful trading profits.
Borchard and Raben are both charged with violating Section 10(b) of
the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
Raben (now of Louisville, Ky.) has agreed to a permanent injunction
from further violations of the antifraud provisions of the federal
securities laws. He will disgorge his trading profits and those of the
two acquaintances he tipped, altogether totaling $23,879.22, and will
pay a civil penalty of $23,879.22. Borchard (now of Chicago), a
licensed Certified Public Accountant, has consented to a permanent
injunction and a civil penalty of $20,835.57 (equal to Raben's trading
profits), as well as an order denying him the privilege of appearing
or practicing before the Commission as an accountant, with the right
to apply to resume appearing or practicing before the Commission after
three years. [SEC v. Gregory B. Raben and William Patrick Borchard,
Case No. CV-08-0250-EMC (N.D. Cal.)] (LR-20429)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by NYSE Arca relating to exchange fees
and charges (SR-NYSEArca-2008-02) 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 14. (Rel. 34-57122)
A proposed rule change filed by the Financial Industry Regulatory
Authority to delay implementation of certain rule changes approved in
SR-NASD-2005-146 (SR-FINRA-2007-038) 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 14. (Rel. 34-57133)
A proposed rule change and Amendment No. 1 thereto filed by Chicago
Board Options Exchange elating to extension of the iShares Russell
2000 Index Fund Option Pilot Program (SR-CBOE-2007-147) 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 14. (Rel. 34-57141)
A proposed rule change filed by National Futures Association (SR-NFA-
2007-07) regarding amendments to Compliance Rules 2-7 and 2-30 and the
Interpretive Notices entitled "NFA Compliance Rule 2-4:
Confidentiality Language in Release Agreements," "Compliance Rule 2-9:
Enhanced Supervisory Requirements," "Compliance Rule 2-9: Special
Supervisory Requirements for Members Registered as Broker-Dealers
Under Section 15(b)(11) of the Securities Exchange Act of 1934," "NFA
Compliance Rule 2-37: Fair Commissions," "NFA Compliance Rules 2-7 and
2-24 and Registration Rule 401: Proficiency Requirements for Security
Futures Products," and "NFA Compliance Rule 2-30(b): Risk Disclosure
Statement for Security Futures Contracts" has become effective under
Section 19(b)(7) of the Securities Exchange Act of 1934. Publication
is expected in the Federal Register during the week of January 14.
(Rel. 34-57142)
PROPOSED RULE CHANGE
The Commission issued notice of filing of a proposed rule change, as
modified by Amendment No. 1 thereto (SR-CHX-2007-24), submitted by the
Chicago Stock Exchange relating to the handling of clearly erroneous
transactions. Publication is expected in the Federal Register during
the week of January 14. (Rel. 34-57137)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
(SR-NYSE-2008-01) submitted by the New York Stock Exchange relating to
NYSE Rule 129 to reflect the changes to NYSE's gross FOCUS (Financial
and Operational Combined Uniform Single Report) fee that commenced on
January 1, 2008. Publication is expected in the Federal Register
during the week of January 14. (Rel. 34-57139)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change submitted by the
Chicago Stock Exchange (SR-CHX-2007-23) to allow the Exchange to open
at 8:30 a.m. (Chicago time) without regard to the opening on the
primary market. Publication is expected in the Federal Register during
the week of January 14. (Rel. 34-57140)
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 Pricester.Com, Inc., 3900 HOLLYWOOD BLVD, SUITE 203, HOLLYWOOD, FL,
33021, 954-272-1200 - 3,000,000 ($105,000.00) Equity,
(File 333-148629 - Jan. 14) (BR. 02B)
S-4 ON SEMICONDUCTOR CORP, 5005 EAST MCDOWELL ROAD, PHOENIX, AZ, 85008,
6022446600 - 0 ($951,667,114.00) Equity, (File 333-148630 - Jan. 14)
(BR. 10B)
S-1 Grail Investment Corp., 767 THIRD AVENUE, 21ST FLOOR, NEW YORK, NY,
10017, 212.676.5525 - 0 ($402,500,000.00) Equity, (File 333-148631 -
Jan. 14) (BR. 04)
S-3 VALENCE TECHNOLOGY INC, 12201 TECHNOLOGY BOULEVARD, SUITE 150, AUSTIN,
TX, 78727, 5125272900 -
0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-148632 -
Jan. 14) (BR. 10C)
S-8 NOAH EDUCATION HOLDINGS LTD., 10TH FLOOR B BUILDING,
FUTIAN TIAN'AN HI-TECH VENTURE PARK, FUTIAN DISTRICT, SHENZHEN, F4,
518048, (86-755) 8343-2800 - 0 ($6,890,807.00) ADRs/ADSs,
(File 333-148633 - Jan. 14) (BR. 03A)
S-8 SmartMetric, Inc., (212) 859-5007 - 3,000,000 ($795,000.00) Equity,
(File 333-148634 - Jan. 14) (BR. 06B)
S-8 IBERIABANK CORP, 200 WEST CONGRESS STREET, LAFAYETTE, LA, 70505,
3375214003 - 0 ($5,000,000.00) Other, (File 333-148635 - Jan. 14)
(BR. 07A)
SB-2 Race World International, Inc., 968 - 240TH STREET, LANGLEY, A1,
V2Z 2Y3, 604 539-9680 - 41,900,000 ($4,190,000.00) Equity,
(File 333-148636 - Jan. 14) (BR. 05)
S-3 Wonder Auto Technology, Inc, NO. 56 LINGXI STREET, TAIHE DISTRICT,
TAIHE DISTRICT, F4, 121013, 7039184926 - 0 ($36,330,000.00) Equity,
(File 333-148637 - Jan. 14) (BR. 05B)
N-2 BlackRock Kelso Capital CORP, 40 EAST 52ND STREET, NEW YORK, NY, 10022,
212-754-5300 - 0 ($1,000,000,000.00) Unallocated (Universal) Shelf,
(File 333-148638 - Jan. 14) (BR. 17)
S-8 Cavit Sciences, Inc., 100 EAST LINTON BLVD., SUITE 106B, DELRAY BEACH,
FL, 33483, 5612787856 - 1,000,000 ($460,000.00) Equity,
(File 333-148639 - Jan. 14) (BR. 01A)
F-6 ATA Inc., 8TH FLOOR, TOWER E, 6 GONGYUAN WEST ST., JIAN GUO MEN NEI,
BEIJING, F4, 100005, 8610-6518-1122 -
100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-148641 - Jan. 14)
(BR. DN)
S-3 INTERPUBLIC GROUP OF COMPANIES, INC., 1114 AVENUE OF THE AMERICAS,
19TH FLOOR, NEW YORK, NY, 10036, 212-704-1200 -
0 ($200,000,000.00) Debt Convertible into Equity, (File 333-148642 -
Jan. 14) (BR. 11C)
SB-2 SPACEDEV, INC., 13855 STOWE DRIVE, PO BOX 2121, POWAY, CA, 92064,
8583752000 - 5,715,669 ($4,293,606.73) Equity, (File 333-148643 -
Jan. 14) (BR. 05C)
SB-2 WHITE MOUNTAIN TITANIUM CORP, 2150 - 1188 WEST GEORGIA STREET,
VANCOUVER, A1, V6E 4A2, (604) 408-2333 -
20,782,600 ($21,431,454.00) Equity, (File 333-148644 - Jan. 14)
(BR. 04B)
S-8 Southern Trust Securities Holding Corp, 2121 PONCE DE LEON BOULEVARD,
SUITE 340, CORAL GABLES, FL, 33134, 305-446-4800 -
600,000 ($1,380,000.00) Equity, (File 333-148645 - Jan. 14) (BR. 08B)
S-8 IsoRay, Inc., 350 HILLS STREET,, SUITE 106, RICHLAND, WA, 99354,
(509) 375-1202 - 2,000,000 ($4,220,000.00) Equity, (File 333-148647 -
Jan. 14) (BR. 10B)
SB-2 Lincoln Mining Corp, 9454 Wilshire Blvd, Beverly Hills, CA, 90212,
310-887-4416 - 2,420,000 ($121,000.00) Equity, (File 333-148648 -
Jan. 14) (BR. 04)
S-3 CapLease, Inc., 1065 AVENUE OF THE AMERICAS, 19TH FLOOR, NEW YORK, NY,
10018, 2122176300 - 0 ($52,359,462.00) Equity, (File 333-148649 -
Jan. 14) (BR. 08C)
S-1 Global Telecom & Technology, Inc., 8484 WESTPARK DRIVE, SUITE 720,
MCLEAN, VA, 22102, (703) 442-5500 - 0 ($5,714,562.00) Equity,
(File 333-148650 - Jan. 14) (BR. 11B)
F-6 BANCOLOMBIA SA, CARRERA 52 #50-20, CALLE 50 #51-66, MEDELLIN, F8,
00000, 5745108866 - 400,000,000 ($20,000,000.00) ADRs/ADSs,
(File 333-148651 - Jan. 14) (BR. 07A)
S-3 CapLease, Inc., 1065 AVENUE OF THE AMERICAS, 19TH FLOOR, NEW YORK, NY,
10018, 2122176300 - 0 ($226,895,675.00) Equity, (File 333-148653 -
Jan. 14) (BR. 08C)
F-8 TSX GROUP INC, THE EXCHANGE TOWER 130 KING STREET WEST, TORONTO, A6,
M5X 1J2, 416 947 4670 - 6,777,327 ($260,454,174.40) Equity,
(File 333-148654 - Jan. 14) (BR. )
S-3ASR PIONEER NATURAL RESOURCES CO, 200 WILLIAMS SQUARE WEST,
5205 N OCONNOR BLVD, IRVING, TX, 75039, 9724449001 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-148655 - Jan. 14)
(BR. 04B)
SB-2 RedRoller Holdings, Inc., SOUNDVIEW PLAZA, 1266 EAST MAIN STREET.,
STANFORD, CT, 06902-3546, 203-852-0100 -
11,700,150 ($9,360,120.00) Equity, (File 333-148656 - Jan. 14) (BR. 03A)
SB-2 WIFIMED HOLDINGS COMPANY, INC., 2000 RIVEREDGE PARKWAY, STE. GL 100A,
ATLANTA, GA, 30328, 7709197220 - 25,875,000 ($20,700,000.00) Equity,
(File 333-148657 - Jan. 14) (BR. 03B)
S-1 Command Center, Inc., 3773 WEST FIFTH AVENUE, POST FALLS, ID, 83854,
(208)773-7450 - 16,609,688 ($21,173,985.40) Equity, (File 333-148658 -
Jan. 14) (BR. 11B)
S-8 AP PHARMA INC /DE/, 123 SAGINAW DRIVE, REDWOOD CITY, CA, 94063,
6503662626 - 3,100,000 ($4,650,000.00) Equity, (File 333-148660 -
Jan. 14) (BR. 01C)
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 Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain 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
5.06 Change in Shell Company Status
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
----------------------------------------------------------------------------------------------------------
ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 01/14/08
ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 01/14/08
AEP INDUSTRIES INC DE 2.02,9.01 01/14/08
Affinity Media International Corp., DE 1.01,3.02,9.01 01/14/08
ALCOA INC PA 2.02,9.01 01/09/08
ALLIED HEALTHCARE INTERNATIONAL INC NY 5.02,9.01 01/08/08
ALTERNATIVE ENERGY SOURCES INC 1.01,9.01 01/09/08
AMERICAN DENTAL PARTNERS INC DE 1.01,9.01 01/11/08
AMERICAN OIL & GAS INC NV 7.01,9.01 01/14/08
AMERICAN URANIUM CORP NV 4.01,9.01 10/06/07
AMERON INTERNATIONAL CORP DE 8.01 01/14/08
AMGEN INC DE 2.02,9.01 01/08/08
Anpath Group, Inc. 1.01,2.03,3.02,9.01 01/08/08
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 01/14/08
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 01/14/08 AMEND
ASTRATA GROUP INC NV 4.02 01/10/08
ASV INC /MN/ MN 1.01,5.02,8.01,9.01 01/14/08
AUDIOVOX CORP DE 2.02,8.01 01/09/08
AUTHENTIDATE HOLDING CORP DE 7.01,9.01 01/14/08
AVANEX CORP DE 2.02 01/08/08
AXS ONE INC DE 5.02 01/08/08
BANK JOS A CLOTHIERS INC /DE/ DE 7.01,9.01 01/11/08
BEAR STEARNS COMPANIES INC DE 5.02,9.01 01/08/08
BENCHMARK ELECTRONICS INC TX 2.02,9.01 01/10/08
BENIHANA INC DE 2.02,9.01 01/14/08
BH RE LLC NV 5.02,9.01 01/08/08
BIODELIVERY SCIENCES INTERNATIONAL IN DE 7.01,8.01,9.01 01/10/08
BIOLIFE SOLUTIONS INC DE 1.01,3.02 01/11/08
BLACKBOARD INC DE 1.01,2.02,3.02,8.01,9.01 01/11/08
BLUE DOLPHIN ENERGY CO DE 8.01,9.01 01/14/08
BLUE NILE INC DE 2.02,9.01 01/14/08
BOSTON CAPITAL REAL ESTATE INVESTMENT MD 8.01,9.01 01/14/08
BRIGHT HORIZONS FAMILY SOLUTIONS INC DE 1.01,7.01,9.01 01/14/08
CANO PETROLEUM, INC 7.01,9.01 01/14/08
CAPITAL SENIOR LIVING CORP DE 7.01,9.01 01/14/08
CarMax Auto Owner Trust 2008-1 DE 1.01,8.01,9.01 01/10/08
CELL THERAPEUTICS INC WA 7.01,8.01,9.01 01/08/08
CHANCERY RESOURCES, INC. NV 5.02 01/09/08
CHDT CORP FL 1.01,3.02,8.01,9.01 01/11/08
China Energy CORP 1.01,5.01,8.01,9.01 01/03/08
CHINA FIRE & SECURITY GROUP, INC. 7.01,9.01 01/14/08
China Public Security Technology, Inc 9.01 01/11/08 AMEND
China Water & Drinks Inc.. NV 4.01,9.01 01/14/08
CHINDEX INTERNATIONAL INC DE 1.01,2.03,3.02,8.01,9.01 01/05/08
CHL Mortgage Pass-Through Trust 2007- DE 8.01,9.01 12/28/07
CNET NETWORKS INC DE 1.01,3.03,5.03,8.01,9.01 01/11/08
COLDWATER CREEK INC DE 7.01,9.01 01/14/08
Command Center, Inc. WA 3.02,7.01,9.01 12/27/07 AMEND
COMVERSE TECHNOLOGY INC/NY/ NY 7.01,9.01 01/14/08
CONCUR TECHNOLOGIES INC WA 5.02,9.01 01/14/08
Consolidation Services inc 8.01 01/08/08
Cyberfund, Inc. OK 4.01,9.01 12/31/07
CYBERONICS INC DE 1.02 01/14/08
Data Domain, Inc. DE 1.01,2.03,9.01 01/09/08
DEBT RESOLVE INC DE 3.01,9.01 01/11/08
DELTA APPAREL INC GA 2.02,9.01 01/14/08
DemandTec, Inc. DE 5.02 01/10/08
DIOMED HOLDINGS INC NV 7.01,9.01 01/14/08
DOWNEY FINANCIAL CORP DE 7.01,9.01 01/14/07
DTE ENERGY CO MI 7.01,9.01 01/14/08
DUANE READE HOLDINGS INC 2.02,5.02,9.01 01/08/08
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 01/11/08
Electronic Sensor Technology, Inc 1.01,9.01 12/27/07 AMEND
EMERSON ELECTRIC CO MO 8.01,9.01 01/10/08
EMTA Holdings, Inc. NV 8.01,9.01 01/02/08
EMTEC INC/NJ UT 2.02,9.01 01/14/08
ENCYSIVE PHARMACEUTICALS INC DE 8.01 01/14/08
ENTROPIC COMMUNICATIONS INC 5.02,9.01 01/10/08
ENVIRONMENTAL TECTONICS CORP PA 2.02,9.01 01/14/08
EQUIFAX INC GA 2.02,7.01,9.01 01/14/08
ERF Wireless, Inc. NV 2.01,9.01 10/31/07 AMEND
Esmark INC DE 5.02,9.01 01/08/08
ev3 Inc. DE 7.01,9.01 01/14/08
Ever-Glory International Group, Inc. FL 4.01,9.01 12/12/07 AMEND
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 8.01 01/11/08
Expleo Solutions, Inc. FL 5.02 01/08/08
FAIR ISAAC CORP DE 2.02,9.01 01/14/08
FCCC INC CT 4.01,9.01 12/31/07 AMEND
FCStone Group, Inc. DE 2.02,9.01 01/14/08
FIFTH THIRD BANCORP OH 8.01 01/14/08
Financial Media Group, Inc. NV 8.01 01/08/08
FIRST CHARTER CORP /NC/ NC 8.01,9.01 01/14/08
FLEXTRONICS INTERNATIONAL LTD. U0 5.02,9.01 01/10/08
FORCE PROTECTION INC NV 1.01,2.03 01/09/08
FORCE PROTECTION INC NV 1.01 01/10/08
FREEPORT MCMORAN COPPER & GOLD INC DE 1.01 01/11/08
FREMONT GENERAL CORP NV 8.01,9.01 01/08/08
FRIEDMAN BILLINGS RAMSEY GROUP INC VA 8.01 01/11/08
FRONTIER OIL CORP /NEW/ WY 7.01 01/14/08
FTD Group, Inc. 2.02,9.01 01/14/08
FUSHI INTERNATIONAL INC NV 2.01,9.01 10/31/07 AMEND
GAMCO INVESTORS, INC. ET AL NY 5.02 01/11/08
GEMSTAR TV GUIDE INTERNATIONAL INC DE 8.01,9.01 01/14/08
GENENTECH INC DE 2.02,8.01,9.01 01/14/08
GENERAL CABLE CORP /DE/ DE 9.01 10/29/07 AMEND
GENERAL STEEL HOLDINGS INC NV 1.01,9.01 01/14/08
GENTA INC DE/ DE 8.01,9.01 01/14/08
GeoEye, Inc. DE 8.01 01/12/08
GEOGLOBAL RESOURCES INC. DE 7.01,9.01 01/14/08
GEOGLOBAL RESOURCES INC. DE 1.01,9.01 01/08/08
Geovax Labs, Inc. IL 1.01,3.02,9.01 12/06/07
GOLDEN CYCLE GOLD CORP CO 7.01,9.01 01/14/08
Good Harbor Partners Acquisition Corp DE 8.01,9.01 01/14/08
Goodman Global Inc 2.02,8.01 01/14/08
GRAPHIC PACKAGING CORP DE 8.01 01/09/08
GREEN PLAINS RENEWABLE ENERGY, INC. IA 8.01,9.01 01/14/08
GreenHaven Continuous Commodity Index DE 1.01,9.01 01/14/08
GS FINANCIAL CORP LA 7.01,9.01 01/12/08
Guidance Software, Inc. DE 5.02,9.01 01/14/08
GULFMARK OFFSHORE INC DE 2.02,7.01,9.01 01/11/08
Harbor Acquisition Corp. DE 8.01,9.01 01/11/08
HARMAN INTERNATIONAL INDUSTRIES INC / DE 7.01,9.01 12/31/07
HARRAHS ENTERTAINMENT INC DE 7.01,9.01 01/11/08
Harry's Trucking, Inc. DE 4.01 01/09/08
HELEN OF TROY LTD 2.02,9.01 01/09/08
HERCULES INC DE 8.01,9.01 01/14/08
HIBBETT SPORTS INC 7.01,9.01 01/14/08
HIGHLANDS BANKSHARES INC /WV/ WV 5.05,9.01 01/08/08
HIRERIGHT INC 5.02,9.01 01/08/08
HOME SOLUTIONS OF AMERICA INC DE 5.02,9.01 01/07/08
HuntMountain Resources WA 4.01,9.01 12/24/07 AMEND
IAC/INTERACTIVECORP DE 8.01 01/14/08
ICON CASH FLOW PARTNERS L P SEVEN DE 5.02 01/11/08
ICON INCOME FUND EIGHT /DE DE 5.02 01/11/08
ICON INCOME FUND EIGHT B LP 5.02 01/11/08
ICON INCOME FUND NINE LLC DE 5.02 01/11/08
ICON INCOME FUND TEN LLC DE 5.02 01/11/08
ICON Leasing Fund Eleven, LLC DE 5.02 01/11/08
ICON Leasing Fund Twelve, LLC DE 5.02 01/11/08
IHOP CORP DE 2.02,9.01 01/10/08
IHOP CORP DE 5.02 01/11/08
INHIBITEX, INC. 3.01,9.01 01/10/08
INSIGHT ENTERPRISES INC DE 5.03 01/11/08
INSPIRE PHARMACEUTICALS INC DE 9.01 01/11/08
INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.01,9.01 10/29/07 AMEND
Integrated Media Holdings, Inc. 5.02,8.01 01/09/08
INTERFACE INC GA 5.02,8.01,9.01 01/14/08
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 01/14/08
International Stem Cell CORP 8.01,9.01 01/14/08
ION MEDIA NETWORKS INC. DE 5.01,5.02 01/08/08
IPC HOLDINGS LTD 1.01,1.02,9.01 01/09/08
ISONICS CORP CA 5.02 01/11/08
IsoRay, Inc. MN 5.02,5.03,9.01 01/14/08
ISRAEL GROWTH PARTNERS ACQUISITION CO DE 8.01,9.01 01/14/08
ITC Holdings Corp. MI 2.01,9.01 12/20/07 AMEND
ITEX CORP NV 8.01,9.01 01/11/08
J P MORGAN CHASE & CO DE 9.01 01/10/08
Jayhawk Energy, Inc. CO 7.01 01/10/08
KELLWOOD CO DE 2.01,9.01 01/08/08 AMEND
KITE REALTY GROUP TRUST MD 7.01,9.01 01/14/08
KNOBIAS, INC. DE 5.02 01/11/08
KRONOS WORLDWIDE INC 7.01,9.01 01/11/08
LA-Z-BOY INC MI 5.02 01/14/08
LENOX GROUP INC DE 1.01,3.03,5.02,5.03,7.01,8.01, 01/08/08
9.01
LIQUIDMETAL TECHNOLOGIES INC 2.02,9.01 01/14/08
M&T BANK CORP NY 2.02,9.01 01/14/08
MACROVISION CORP DE 8.01,9.01 01/11/08
MAJESCO ENTERTAINMENT CO DE 2.02,9.01 01/14/08
MB FINANCIAL INC /MD MD 8.01,9.01 01/14/08
MBIA INC CT 8.01,9.01 01/11/08
MCG CAPITAL CORP DE 1.01,2.03,9.01 01/08/08
MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 01/14/08
MCMORAN EXPLORATION CO /DE/ DE 1.01,5.02 01/11/08
MEADE INSTRUMENTS CORP DE 2.02,9.01 01/14/08
MEADE INSTRUMENTS CORP DE 5.02,9.01 01/10/08
MESABI TRUST NY 2.02,9.01 01/14/08
MET PRO CORP PA 8.01 01/10/08
MIDWAY GAMES INC DE 5.02,9.01 01/09/08
Millennium India Acquisition CO Inc. DE 8.01,9.01 01/14/08
MINRAD INTERNATIONAL, INC. 5.02,8.01 01/14/08
MISCOR GROUP, LTD. 5.03,8.01,9.01 01/14/08
MIV THERAPEUTICS INC NV 5.02 01/08/08
MOBILEPRO CORP DE 8.01 01/11/08
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 01/14/08
MONEYGRAM INTERNATIONAL INC 1.01 01/08/08
MONRO MUFFLER BRAKE INC NY 1.01,9.01 01/10/08
MSGI SECURITY SOLUTIONS, INC NV 1.01,2.01,3.02,7.01,9.01 01/04/08 AMEND
MYMETICS CORP DE 1.01,9.01 01/08/08
NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 01/14/08
National CineMedia, Inc. DE 5.02 01/08/08
NEENAH ENTERPRISES, INC. 5.02,9.01 01/08/08
Neonode, Inc DE 1.01 01/08/08
NETSCOUT SYSTEMS INC DE 7.01,9.01 11/01/07 AMEND
NEUROCRINE BIOSCIENCES INC CA 1.02,2.06,5.02 01/09/08
Neutral Tandem Inc 7.01,9.01 01/14/08
NEXTGEN BIOSCIENCE INC. NV 5.02 01/09/08
NORD RESOURCES CORP DE 5.02,9.01 01/08/08
NORTH AMERICAN TECHNOLOGIES GROUP INC 5.02 01/14/08
NORTH STATE BANCORP NC 2.02,9.01 01/14/08
NOVASTAR FINANCIAL INC MD 3.01 01/10/08
NOVAVAX INC DE 7.01,9.01 01/14/08
NU SKIN ENTERPRISES INC DE 1.01,2.03,9.01 01/08/08
NUCLEAR SOLUTIONS INC NV 3.02 01/08/08
NUVELO INC DE 8.01 01/02/08
O REILLY AUTOMOTIVE INC MO 7.01,9.01 12/31/07
Oak Ridge Financial Services, Inc. NC 1.01,9.01 01/10/08
OHIO VALLEY BANC CORP OH 2.02,9.01 12/31/07
OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 01/10/08
OLD SECOND BANCORP INC DE 8.01,9.01 01/14/08
ONCOVISTA INNOVATIVE THERAPIES, INC 8.01,9.01 01/14/08
ONCOVISTA INNOVATIVE THERAPIES, INC 8.01,9.01 11/13/07 AMEND
OPNEXT INC 2.02,8.01,9.01 01/11/08
ORTHOFIX INTERNATIONAL N V 8.01 01/07/08
OSCIENT PHARMACEUTICALS CORP MA 2.02,9.01 01/14/08
Osteologix, Inc. DE 5.02 01/10/08
P F CHANGS CHINA BISTRO INC 2.02,9.01 01/11/08
PACIFIC SANDS INC NV 5.02 01/09/08
Palace Entertainment Holdings, Inc. DE 1.01,8.01,9.01 01/08/08
PALMETTO BANCSHARES INC SC 5.05,9.01 10/23/07
PATCH INTERNATIONAL INC/CN 5.02 01/11/08
PERFORMANCE FOOD GROUP CO TN 2.05 01/09/08
PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01 01/08/08
PETROLEUM DEVELOPMENT CORP NV 8.01 01/14/08
PHH CORP MD 5.02,9.01 01/10/08
PINNACLE RESOURCES INC WY 4.01,9.01 01/11/08
PIONEER NATURAL RESOURCES CO DE 8.01,9.01 01/14/08
POPE & TALBOT INC /DE/ DE 1.01,9.01 01/08/08
PORTEC RAIL PRODUCTS INC WV 1.01,9.01 01/11/08
PORTOLA PACKAGING INC DE 2.02,9.01 01/09/08
Precision Aerospace Components, Inc. 8.01 01/14/08
PREMIERWEST BANCORP OR 7.01,9.01 01/14/08
ProLink Holdings Corp. DE 1.02,9.01 01/08/08
Purple Beverage Company, Inc. NV 5.02,8.01,9.01 01/14/08
Purple Beverage Company, Inc. NV 8.01,9.01 01/07/08
QAD INC DE 5.02,9.01 01/10/08
RANCHER ENERGY CORP. NV 7.01,9.01 01/14/08
REGENERATION TECHNOLOGIES INC FL 8.01,9.01 01/14/07
REGENERATION TECHNOLOGIES INC FL 8.01,9.01 01/14/08
REWARDS NETWORK INC DE 5.02,9.01 01/09/08
RIVERVIEW BANCORP INC WA 5.02 01/11/08
ROYAL INVEST INTERNATIONAL CORP. DE 1.01,9.01 12/27/07
SEATTLE GENETICS INC /WA DE 7.01,9.01 01/14/08
SECURITY NATIONAL FINANCIAL CORP UT 1.01,9.01 12/20/07
SELECTICA INC DE 8.01,9.01 01/14/08
SHINECO, INC. 4.01,9.01 01/08/08
SIGNALIFE, INC. DE 3.01 01/07/07
SL INDUSTRIES INC NJ 5.02 01/08/08
SMITH & WESSON HOLDING CORP NV 5.02 01/08/08
SMITHTOWN BANCORP INC NY 8.01,9.01 01/14/08
Smooth Global (China) Holdings, Inc. NV 5.02 01/08/08
SOLUTIA INC DE 8.01 01/14/08
SONO TEK CORP NY 7.01,9.01 01/11/08
SOTHEBYS DE 1.01 01/11/08
SOUTHWESTERN ENERGY CO DE 8.01,9.01 01/11/08
SOVEREIGN BANCORP INC PA 8.01,9.01 01/14/08
SPARTAN MOTORS INC MI 7.01,9.01 01/14/08
SPIRALFROG, INC 1.01,1.02,2.03,3.02,7.01,9.01 12/11/07
ST. LAWRENCE ENERGY CORP. DE 1.01 01/08/08
STAAR SURGICAL CO DE 5.02,7.01 01/08/08
STIFEL FINANCIAL CORP DE 8.01,9.01 01/14/08
STINGER SYSTEMS, INC 5.02 01/07/08
Superior Offshore International Inc. DE 1.01,9.01 01/08/08
Swank, Inc. DE 5.02,9.01 01/07/08
TECHNITROL INC PA 1.01,9.01 01/08/08
TEMECULA VALLEY BANCORP INC CA 5.02 01/14/08
TEREX CORP DE 7.01,8.01,9.01 01/14/08
TETRA TECHNOLOGIES INC DE 2.02,2.06,7.01,9.01 01/14/08
TIDEWATER INC DE 7.01,9.01 01/09/08
TIDEWATER INC DE 8.01,9.01 01/11/08
TOWER TECH HOLDINGS INC. NV 1.01,5.02,9.01 01/08/08
TRACEGUARD TECHNOLOGIES, INC. 5.02 01/08/08
TRANSCOMMUNITY FINANCIAL CORP VA 8.01 01/14/08
TRANSMERIDIAN EXPLORATION INC DE 2.02,9.01 01/10/08
TRONOX INC DE 1.01,5.02,9.01 01/10/08
UAP HOLDING CORP DE 5.04 01/09/07
ULTRALIFE BATTERIES INC DE 3.02 01/10/08
UNION STREET ACQUISITION CORP. DE 4.01,9.01 01/03/08 AMEND
UNITED REFINING CO PA 8.01,9.01 01/14/08
UNIVERSAL DISPLAY CORP \PA\ PA 3.02 01/09/08
UTi WORLDWIDE INC 7.01 01/14/08
VERAMARK TECHNOLOGIES INC DE 5.02,7.01,9.01 01/10/08
VERENIUM CORP DE 5.02,9.01 12/27/07
VUBOTICS INC NV 5.02 01/14/08
WAVE SYSTEMS CORP DE 8.01 01/09/08
WESTERN ALLIANCE BANCORPORATION 7.01 01/14/08
Zep Inc. DE 2.02,9.01 01/10/08
ZINGO, INC NV 4.01,9.01 01/11/08
http://www.sec.gov/news/digest/2008/dig011508.htm
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