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SEC NEWS DIGEST
Issue 2008-11 January 16, 2008
COMMISSION ANNOUNCEMENTS
CHANGE IN THE MEETING: CANCELLATION OF MEETING
The open meeting scheduled for Wednesday, Jan. 16, 2008, at 10:00 a.m.
was cancelled.
For further information please contact the Office of the Secretary at
(202) 551-5400.
ENFORCEMENT PROCEEDINGS
DELINQUENT FILER'S STOCK REGISTRATION REVOKED
The registration of the stock of Roanoke Technology Corp. has been
revoked. It had not filed any annual or quarterly reports with the
Securities and Exchange Commission for more than two years. Thus, it
violated a crucial provision of the federal securities laws that
requires public corporations to publicly disclose current, accurate
financial information so that investors may make informed decisions.
The revocation was ordered in an administrative proceeding before an
administrative law judge. (Rel. 34-57151; File No. 3-12901)
COMMISSION SANCTIONS WARWICK CAPITAL MANAGEMENT, INC. AND CARL
LAWRENCE
The Commission has imposed sanctions on Warwick Capital Management,
Inc., an investment adviser, and Carl Lawrence, its president. The
Commission found that Warwick and Lawrence willfully violated Sections
203A, 206(1), 206(2), 206(4), and 207 of the Investment Advisers Act
of 1940 by reporting inflated assets under management and performance
returns in Forms ADV filed with the Commission and to database
services and by maintaining Warwick's Commission registration while
having less than the required $25 million of assets under management.
The Commission concluded that it was in the public interest to impose
cease-and-desist orders against Warwick and Lawrence and to bar
Lawrence from association with any investment adviser. (Rel. IA-2694;
File No. 3-12357)
IN THE MATTER OF TRAUTMAN WASSERMAN & COMPANY, INC., ET AL.
An Administrative Law Judge has issued an Initial Decision finding
that: (1) Trautman Wasserman & Company, Inc. (TWCO), a registered
broker dealer, and Gregory O. Trautman (Trautman) and Samuel M.
Wasserman (Wasserman), its principal owners, violated the antifraud
provisions of the securities statutes and rules thereunder; (2) TWCO
and Trautman aided and abetted and caused violations of the Investment
Company Act and a rule thereunder; and (3) TWCO violated certain
record keeping requirements of the Securities Exchange Act of 1934.
Based on the factual findings and legal conclusions, the
Administrative Law Judge:
Revoked the registration of TWCO;
Ordered Trautman to cease and desist from: (1) committing or causing
any violations or any 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 (2) aiding or abetting any
violations or any future violations of Section 15(c) of the Securities
Exchange Act of 1934 and Rule 10b-3 thereunder, and Section 22(c) of
the Investment Company Act of 1940 and Rule 22(c)-1 thereunder;
Barred Trautman from association with a broker or dealer and from
serving or acting as an employee, officer, director, member of an
advisory board, investment adviser or depositor of, or principal
underwriter for, a registered investment company or affiliated person
of such investment adviser, depositor, or principal underwriter;
Barred Wasserman from association with a broker or dealer or
investment adviser in a supervisory capacity;
Ordered TWCO to disgorge the amount of its assets not exceeding
$9,040,000; Trautman to disgorge $1,373,799.75, plus prejudgment
interest from October 31, 2003, through the date this Order is issued;
and Wasserman to disgorge $25,000, plus prejudgment interest from
October 31, 2003, through the date this Order is issued; and
Ordered TWCO to pay a civil money penalty in the amount of $500,000
and Trautman to pay a civil money penalty in the amount of $500,000.
(Initial Decision No. 340; File No. 3-12559)
CPA CHARGES DISMISSED
CPAs Kevin Hall and Rosemary Meyer have been cleared of charges of
failing to follow professional auditing standards after a hearing
before an administrative law judge. Hall and Meyer had been engagement
partner and senior manager, respectively, of the 1999 audit of the
financial statements of US Foodservice, Inc. (USF), a broad-line
distributor of foods. At that time, certain members of USF management,
in collusion with certain vendors and brokers, engaged in a fraudulent
scheme to overstate USF's operating income. The fraud involved USF's
accounting for vendor rebates, known as promotional allowances. The
fraudsters used secrecy, obfuscation, and false documentation to
conceal the fraud from the auditors. The charges against Hall and
Meyer arose from their failure to uncover the fraud during their 1999
audit. The fraud was ultimately discovered in 2003 after new, post-
Enron, auditing standards aimed at the detection of fraud had been
adopted. (Initial Decision No. 341; File No. 3-12208)
SEC SUES FOREIGN TRADER FOR FRAUDULENT ACCOUNT INTRUSION SCHEME TO
CONTROL PRICES AT WHICH HE PURCHASED AND SOLD OPTIONS
The Commission today announced the filing of a complaint in the U.S.
District Court for the Southern District of New York against Anatoly
Russ, a Russian citizen. The Commission's complaint alleges Russ
engaged in a fraudulent scheme to control the prices at which he
purchased and sold options on an Exchange Traded Fund (ETF) by placing
unauthorized orders in online brokerage accounts designed to match
orders in his own account.
The complaint further alleges that between Aug. 23, 2006, and Sept.
19, 2006, Russ electronically stole and used usernames and passwords
to gain unauthorized Internet access to online brokerage accounts for
the sole purpose of entering purchase or sell orders that were
executed opposite orders that he had placed in his own online
accounts. Russ engaged in a pattern of purchasing four series of
thinly traded options contracts on iShares Lehman Aggregate Bond Fund
(AGG) and subsequently selling the contracts the same day at inflated
prices that did not reflect the true economic value of the options
contracts. More specifically, the complaint alleges that Russ placed
orders to buy AGG options contracts in his own online trading accounts
at low prices. Around the same time, without the accountholders'
knowledge and using the victims' own funds, Russ also purchased AGG
options contracts in the intruded accounts. Russ then placed orders to
sell the AGG options contracts in the intruded accounts matching the
orders entered in his accounts. Once the trades were executed, Russ
placed orders to sell the options contracts in his accounts at
inflated prices, and placed matching orders to buy the options
contracts in the intruded accounts.
The complaint alleges that since AGG options were so thinly traded,
Russ was able to control the prices at which he purchased and sold the
options, allowing him to earn guaranteed profits - sometimes as high
as sixteen-times the prices at which he had purchased the options
contracts. As a result of his fraudulent scheme, Russ realized at
least $88,465 in unlawful profits and caused losses of at least
$339,929 in the intruded online accounts. The online brokers have made
the intruded accountholders whole by taking the losses themselves.
The Commission's complaint alleges Russ violated 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 seeks permanent injunctive
relief, disgorgement of all ill-gotten gains, prejudgment interest,
and civil penalties.
The Commission's Office of Investor Education and Advocacy has
previously issued an investor alert, available on the Commission's
website, which provides tips for avoiding becoming a victim of an
online intrusion. See
http://www.sec.gov/investor/pubs/onlinebrokerage.htm. [SEC v. Anatoly
Russ, Civil Action No. 08-CV-0415 (S.D.N.Y.)] (LR-20430)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGES
The Commission granted approval to the proposed rule change (SR-
NYSEArca-2007-122), as modified by Amendment No. 1 thereto, submitted
by NYSE Arca, through its wholly owned subsidiary, NYSE Arca Equities,
Inc., relating to certain modifications to the initial listing
standards for Index-Linked Securities. Publication is expected in the
Federal Register during the week of January 14. (Rel. 34-57149)
A proposed rule change (SR-CBOE-2006-106), as modified by Amendment
Nos. 1 and 2 thereto, filed by the Chicago Board Options Exchange
relating to an interpretation of paragraph (b) of Article Fifth of its
Certificate of Incorporation has been approved pursuant to Section
19(b)(2) of the Securities Exchange Act of 1934. Publication is
expected in the Federal Register during the week of January 14. (Rel.
34-57159)
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 Green Energy Live Inc, 1740 44TH STREET, SUITE 5-230, WYOMING, MI,
49519, 616-802-8822 - 129,400 ($42,986.00) Equity, (File 333-148661 -
Jan. 15) (BR. 06)
S-3ASR PACIFICORP /OR/, 825 N.E. MULTNOMAH, SUITE 2000, PORTLAND, OR, 97232,
5038135000 - 0 ($0.00) Mortgage Backed Securities, (File 333-148662 -
Jan. 15) (BR. 02B)
S-8 GIGAMEDIA LTD, 57 TUNG HSING RD FOURTH FLOOR,
TAIPEI TAIWAN (886-2)8768-3020, REPUBLIC OF CHINA, F5, 00000,
2,000,000 ($33,650,000.00) Equity, (File 333-148663 - Jan. 15) (BR. 03C)
SB-2 BATTERY CONTROL CORP, 20 A SHAREI TORAH STREET, JERUSALEM, L3, 96387,
972-2-6432855 - 2,000,000 ($80,000.00) Equity, (File 333-148664 -
Jan. 15) (BR. 10)
S-8 Banco Santander, S.A., NEW YORK BRANCH, 45 EAST 53RD STREET, NEW YORK,
NY, 10022, 2124505098 - 0 ($75,768,000.00) Equity, (File 333-148665 -
Jan. 15) (BR. 07A)
S-3 CHINDEX INTERNATIONAL INC, 4340 EAST WEST HWY, SUITE 1100, BETHESDA,
MD, 20814, 3012157777 - 233,454 ($7,799,698.00) Equity,
(File 333-148666 - Jan. 15) (BR. 09B)
N-2 Pertuity Funds, 2 GATEWAY CENTER, 603 STANWIX STREET, SUITE 300,
PITTSBURGH, PA, 15222, 412-567-6677 -
30,000,000 ($300,000,000.00) Equity, (File 333-148669 - Jan. 15)
(BR. 18)
N-2 GABELLI DIVIDEND & INCOME TRUST, ONE CORPORATE CENTER, RYE, NY, 10580,
500,000,000 ($500,000,000.00) Equity, (File 333-148670 - Jan. 15)
(BR. 22)
S-8 MEDTRONIC INC, 710 MEDTRONIC PKWY, MS LC300, MINNEAPOLIS, MN, 55432,
7635144000 - 2,977,705 ($148,438,594.25) Equity, (File 333-148672 -
Jan. 15) (BR. 10B)
S-8 INTEROIL CORP, 25025 I-45 NORTH, SUITE 420, WOODLANDS, TX, 77380,
2812921800 - 2,000,000 ($33,820,000.00) Equity, (File 333-148673 -
Jan. 15) (BR. 04C)
S-4 Community Bankers Acquisition Corp., 9912 GEORGETOWN PIKE, SUITE D203,
GREAT FALLS, VA, 22066, 703-759-0751 - 0 ($34,046,249.95) Equity,
(File 333-148675 - Jan. 15) (BR. 09)
S-3ASR THERAVANCE INC, 901 GATEWAY BLVD, SOUTH SAN FRANCISCO, CA, 94080,
6508086000 - 0 ($0.00) Debt Convertible into Equity, (File 333-148677 -
Jan. 15) (BR. 01C)
S-8 ESPEY MFG & ELECTRONICS CORP, 233 BALLSTON AVE,
COR. CONGRESS & BALLSTON AVES., SARATOGA SPRINGS, NY, 12866,
5185844100 - 400,000 ($7,500,000.00) Other, (File 333-148678 - Jan. 15)
(BR. 10A)
S-8 ACTIONVIEW INTERNATIONAL INC, 145 TYEE DRIVE, #388, POINT ROBERTS, WA,
X1, 98281, 888-889-0888 - 130,000,000 ($260,000.00) Equity,
(File 333-148679 - Jan. 15) (BR. 05A)
S-3 CALLON PETROLEUM CO, 200 N CANAL ST, NATCHEZ, MS, 39120, 6014421601 -
0 ($400,000,000.00) Unallocated (Universal) Shelf, (File 333-148680 -
Jan. 15) (BR. 04C)
S-3 AMERICAN EQUITY INVESTMENT LIFE HOLDING CO, 5000 WESTOWN PARKWAY,
SUITE 440, WEST DEMOINES, IA, 50266, 5152210002 -
0 ($19,450,000.00) Equity, (File 333-148681 - Jan. 15) (BR. 01C)
S-8 AMAG PHARMACEUTICALS INC., 125 CAMBRIDGEPARK DRIVE, 6TH FLOOR,
CAMBRIDGE, MA, 02140, 6174972070 - 0 ($203,232,380.00) Equity,
(File 333-148682 - Jan. 15) (BR. 01C)
S-8 SABA SOFTWARE INC, 2400 BRIDGE PARKWAY, SIOTE 150, REDWOOD SHORES, CA,
94065-1166, 6506963822 - 1,440,753 ($6,987,652.05) Equity,
(File 333-148683 - Jan. 15) (BR. 03C)
S-8 Nuance Communications, Inc., 1 WAYSIDE ROAD, BURLINGTON, MA, 01803,
781-565-5000 - 0 ($31,152,146.00) Equity, (File 333-148684 - Jan. 15)
(BR. 03C)
N-2 UBS Enso Fund, 51 WEST 52ND STREET, NEW YORK, NY, 10019, 212-882-5000 -
0 ($100,000,000.00) Equity, (File 333-148685 - Jan. 15) (BR. )
SB-2 Monster Offers, 8937 QUINTESSA COVE ST, LAS VEGAS, NV, 89148,
702-575-4816 - 7,710,000 ($154,200.00) Equity, (File 333-148686 -
Jan. 15) (BR. )
S-3 TTM TECHNOLOGIES INC, 2630 S. HARBOR BLVD., SANTA ANA, CA, 92704,
7142410303 - 200,000,000 ($200,000,000.00) Equity, (File 333-148687 -
Jan. 15) (BR. 03B)
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
------------------------------------------------------------------------------------------------------
ADC TELECOMMUNICATIONS INC MN 2.06 01/09/08
ADOBE SYSTEMS INC DE 5.03,9.01 01/11/08
ADVANCE DISPLAY TECHNOLOGIES INC CO 5.02 01/10/08
AF FINANCIAL GROUP 7.01,9.01 01/15/08
AFFYMETRIX INC DE 1.01 01/09/08
ALLIANCE HEALTHCARD INC 2.02,9.01 01/15/08
Allied Nevada Gold Corp DE 1.01,5.02,9.01 01/11/08
AMARILLO BIOSCIENCES INC TX 3.02 01/11/08
American Casino & Entertainment Prope DE 1.01,9.01 01/11/07
AMERICAN ELECTRIC POWER CO INC NY 7.01 01/15/08
AMERICAN UNITED GOLD CORP NV 4.01 01/11/08 AMEND
AP PHARMA INC /DE/ DE 5.02,9.01 01/14/08
APEX SILVER MINES LTD 5.02 01/10/08
API Nanotronics Corp. 2.02,9.01 01/15/08
APOLLO INVESTMENT CORP MD 7.01,9.01 01/14/08
APPLE INC CA 2.02,8.01 01/15/08
APPLIED DIGITAL SOLUTIONS INC MO 8.01,9.01 01/11/08
APPLIED MATERIALS INC /DE DC 7.01,9.01 01/15/08
ARIZONA LAND INCOME CORP AZ 7.01,9.01 01/14/08
ASV INC /MN/ MN 1.01,5.02,8.01,9.01 01/13/08 AMEND
ATLANTIC WINE AGENCIES INC FL 1.01,3.02 01/15/08
ATM FINANCIAL CORP NV 5.03 01/14/08
ATWOOD OCEANICS INC TX 7.01,9.01 01/15/08
BELO CORP DE 8.01,9.01 01/11/08
BETTER BIODIESEL, INC 1.01 12/17/07
BFC FINANCIAL CORP FL 7.01,9.01 01/14/08
Bidz.com, Inc. CA 2.02,9.01 01/14/08
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 01/15/08
BIOSPECIFICS TECHNOLOGIES CORP DE 3.02,9.01 01/14/08
BNCCORP INC DE 3.01,8.01,9.01 01/14/08
BOSTON CAPITAL REAL ESTATE INVESTMENT MD 8.01,9.01 01/15/08
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01,9.01 01/14/08
BSD MEDICAL CORP DE 7.01,9.01 01/10/08
BSD MEDICAL CORP DE 7.01,9.01 01/15/08
BURLINGTON COAT FACTORY WAREHOUSE COR DE 7.01,9.01 01/15/08
CalAmp Corp. DE 2.02,9.01 01/15/08
CALGON CARBON CORPORATION DE 8.01,9.01 01/14/08
CALIFORNIA PIZZA KITCHEN INC DE 2.02,9.01 01/15/08
CALLIDUS SOFTWARE INC 1.01,8.01,9.01 01/14/08
CALPINE CORP DE 7.01,9.01 01/14/08
CANANDAIGUA NATIONAL CORP NY 5.02 01/15/08
CANO PETROLEUM, INC 7.01,9.01 01/14/08 AMEND
CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 01/15/08
CARGO CONNECTION LOGISTICS HOLDING, I FL 1.01,1.02,9.01 01/11/08
CASEYS GENERAL STORES INC IA 7.01 01/15/08
CELL GENESYS INC DE 8.01,9.01 01/14/08
Centro NP LLC MD 2.04 01/10/08
CEPHALON INC DE 2.05 01/15/08
CERADYNE INC DE 7.01,9.01 01/04/08
CHARLES & COLVARD LTD NC 2.02 01/14/08
CHARMING SHOPPES INC PA 8.01,9.01 01/15/08
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 01/15/08
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 01/15/08
CHESAPEAKE ENERGY CORP OK 7.01,9.01 01/09/08
China Solar & Clean Energy Solutions, NV 1.01,2.01,7.01,9.01 01/10/08
CHINA SUN GROUP HIGH-TECH CO NC 8.01,9.01 01/15/08
China Wind Energy Inc. NV 4.01 01/10/08
CHOICEPOINT INC GA 1.01,2.03,8.01,9.01 01/14/08
CHURCH LOANS & INVESTMENTS TRUST TX 5.02 12/31/07 AMEND
CITIBANK OMNI-S MASTER TRUST 9.01 01/14/08
CITIBANK SOUTH DAKOTA N A DE 8.01 12/26/07
CITIGROUP INC DE 2.02,9.01 01/15/08
CITIGROUP INC DE 3.02,8.01,9.01 01/15/08
CITIZENS & NORTHERN CORP PA 2.02,9.01 12/31/07
CLEARWIRE CORP 7.01,9.01 01/15/08
CNET NETWORKS INC DE 5.02 01/14/08
COCA COLA ENTERPRISES INC DE 8.01,9.01 01/14/08
COEUR D ALENE MINES CORP ID 9.01 12/21/07 AMEND
COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 01/15/08
Converted Organics Inc. DE 1.01 01/15/08
CRAFTMADE INTERNATIONAL INC DE 2.01 01/02/08 AMEND
CREDO PETROLEUM CORP CO 8.01,9.01 01/14/08
CRYOCOR INC DE 5.02 01/09/08
CRYOLIFE INC FL 2.02,9.01 01/10/08
CTS CORP IN 5.02,9.01 01/15/08
CYBER DIGITAL INC NY 5.03 01/15/08
DCI USA, INC DE 1.01,2.04,5.02,8.01,9.01 11/25/07
DCP Midstream Partners, LP DE 8.01,9.01 01/15/08
DECODE GENETICS INC DE 7.01 01/09/08
Deerfield Capital Corp. MD 1.01,9.01 12/21/07 AMEND
DEL MONTE FOODS CO DE 7.01 01/14/08
DELPHI CORP DE 8.01 01/14/08
DERMA SCIENCES, INC. PA 2.01,9.01 11/09/07 AMEND
DIEBOLD INC OH 4.02 01/09/08
DIGICORP UT 8.01,9.01 01/10/08
Discover Card Execution Note Trust DE 8.01,9.01 01/15/08
DORCHESTER MINERALS LP DE 2.02,7.01,9.01 12/31/07
DYNAMIC MATERIALS CORP DE 1.01,5.02 01/09/08
EBIX INC DE 9.01 11/01/07 AMEND
Eddie Bauer Holdings, Inc. DE 5.02 01/14/08
EDIETS COM INC DE 5.02 01/11/08
EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 01/15/08
EINSTEIN NOAH RESTAURANT GROUP INC DE 7.01,9.01 01/15/08
ENCORIUM GROUP INC NV 5.02 01/11/08
ENCYSIVE PHARMACEUTICALS INC DE 5.02 12/11/07 AMEND
ENSCO INTERNATIONAL INC DE 2.02,9.01 01/15/08
Enterprise Acquisition Corp. DE 5.02,9.01 01/10/08
ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 01/15/08
ENXNET INC OK 3.02,7.01,9.01 12/31/07
EPICOR SOFTWARE CORP DE 2.02,9.01 01/09/08
EPOCH HOLDING CORP DE 8.01 01/14/08
EQUITY ONE, INC. 5.02,9.01 01/14/08
ESCALA GROUP INC NY 1.01,9.01 12/28/07 AMEND
EVCI Career Colleges Holding Corp DE 3.01,9.01 01/08/08
Ever-Glory International Group, Inc. FL 1.01,9.01 01/09/08
EXCO RESOURCES INC TX 7.01,9.01 01/10/08
EXTERRAN HOLDINGS INC. DE 5.02 01/09/08
FAIRCHILD CORP DE 5.02,9.01 01/10/08
Federal Home Loan Bank of Atlanta X1 2.03 01/09/08
Federal Home Loan Bank of Boston X1 2.03 01/09/08
Federal Home Loan Bank of Chicago X1 2.03 01/09/08
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/09/08
Federal Home Loan Bank of Dallas 2.03 01/09/08
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/10/08
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/09/08
Federal Home Loan Bank of New York X1 2.03,9.01 01/09/08
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/09/08
Federal Home Loan Bank of San Francis X1 2.03 01/09/08
Federal Home Loan Bank of Seattle 2.03 01/15/08
Federal Home Loan Bank of Topeka 2.03 01/09/08
FINANCIAL INDUSTRIES CORP TX 1.01,9.01 01/14/08
FIRST AMERICAN CORP CA 7.01,9.01 01/15/08
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 01/11/08
FIRST PLACE FINANCIAL CORP /DE/ DE 8.01,9.01 01/14/08
FIRST SOUTH BANCORP INC /VA/ VA 8.01,9.01 01/15/08
FIRSTFED FINANCIAL CORP DE 7.01,9.01 12/31/07
FISCHER WATT GOLD CO INC NV 3.02,8.01,9.01 01/14/08
FORMAT INC 4.01,9.01 01/11/08
Fortissimo Acquisition Corp. DE 1.01,7.01,9.01 01/15/08
FOSSIL INC DE 7.01,9.01 01/15/08
FreightCar America, Inc. DE 1.01,9.01 01/13/08
FRISCHS RESTAURANTS INC OH 2.02,9.01 01/15/08
FTI CONSULTING INC MD 7.01,9.01 01/15/08
General Moly, Inc ID 7.01,9.01 01/15/08
GOLDEN CYCLE GOLD CORP CO 1.01,8.01,9.01 01/14/08
GRAFTECH INTERNATIONAL LTD DE 2.04 01/15/08
GRAN TIERRA ENERGY, INC. NV 5.03,9.01 01/14/08
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 01/11/08
GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01 01/14/08
GRILL CONCEPTS INC DE 2.02,9.01 01/15/08
Grubb & Ellis Realty Advisors, Inc. DE 8.01,9.01 01/15/08
HELIX BIOMEDIX INC DE 1.01 01/09/08
HOUSEHOLD AFFINITY CREDIT CARD MASTER DE 9.01 01/15/08
Hyde Park Acquisition CORP DE 4.01,9.01 01/10/08
I-LEVEL MEDIA GROUP INC NV 3.02 12/28/07
IAC/INTERACTIVECORP DE 1.01,9.01 01/10/08
IBT BANCORP INC PA 5.03,9.01 01/15/08
IDM PHARMA, INC. DE 1.01,2.05,5.02 01/10/08
IKANOS COMMUNICATIONS CA 1.01,9.01 01/15/08
ILLUMINA INC DE 1.01 01/09/08
IMAGE ENTERTAINMENT INC DE 8.01,9.01 01/14/08
IMEDIA INTERNATIONAL INC DE 5.02 01/10/08
INDYMAC BANCORP INC DE 7.01,9.01 01/15/08
INTEL CORP DE 2.02,7.01 01/15/08
INTERVEST BANCSHARES CORP DE 2.02,9.01 01/15/08
INVERTED PARADIGMS CORP DE 5.02 01/14/08
ITC Holdings Corp. MI 7.01 01/14/08
J P MORGAN CHASE & CO DE 9.01 01/11/08
JACKSON RIVERS CO FL 1.01,5.02,9.01 01/07/08
Jake's Trucking International, Inc. NV 2.01,9.01 01/14/08
Jazz Technologies, Inc. DE 2.02,9.01 01/10/08
JOHNSON & JOHNSON NJ 5.03 01/14/08
KAISER GROUP HOLDINGS INC DE 8.01 01/11/08 AMEND
KNIGHT CAPITAL GROUP, INC. DE 7.01,9.01 01/14/08
Kraton Polymers LLC DE 5.02,9.01 01/15/08
LEHMAN BROTHERS HOLDINGS INC DE 9.01 01/14/08
LEHMAN BROTHERS HOLDINGS INC DE 9.01 01/11/08
LESCARDEN INC NY 4.01,9.01 01/07/08
LIBERTY MEDIA CORP 7.01 01/11/08
LIBERTY MEDIA CORP 7.01 01/11/08 AMEND
LIFECORE BIOMEDICAL INC MN 1.01,9.01 01/15/08
LIFECORE BIOMEDICAL INC MN 2.02,9.01 01/15/08
LIQUIDMETAL TECHNOLOGIES INC 5.02,7.01,9.01 01/13/08
LNB BANCORP INC OH 5.02,9.01 01/10/08
LODGENET INTERACTIVE CORP DE 5.03,8.01,9.01 01/15/08
LOOKSMART LTD DE 8.01,9.01 01/15/08
LoopNet, Inc. DE 5.02 01/09/08
LUFKIN INDUSTRIES INC TX 8.01,9.01 01/14/08
LUMINENT MORTGAGE CAPITAL INC 3.01,9.01 01/09/08
MACATAWA BANK CORP MI 2.02,9.01 01/14/08
MANATRON INC MI 1.01,3.03,8.01,9.01 01/14/08
MANTECH INTERNATIONAL CORP DE 5.02,9.01 01/11/08
MARCUS CORP WI 4.01,8.01,9.01 01/09/08
MARSHALL & ILSLEY CORP WI 2.02,9.01 01/15/08
MEDICIS PHARMACEUTICAL CORP DE 8.01 01/15/08
MEDIVATION, INC. DE 8.01,9.01 01/15/08
Merisant Worldwide, Inc. DE 5.02,9.01 01/09/08
MMA Media Inc. DE 1.01,3.02,9.01 01/09/08
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 01/15/08
MONEYGRAM INTERNATIONAL INC 8.01 01/14/08
MORGAN STANLEY CAPITAL I TRUST 2007-I DE 8.01,9.01 03/29/07 AMEND
MOSAIC CO 2.02,9.01 01/09/08
MOVIE GALLERY INC DE 7.01,9.01 01/09/08
MTI TECHNOLOGY CORP DE 5.02 01/15/08 AMEND
MTR GAMING GROUP INC DE 1.01,1.02,9.01 01/11/08
NB&T FINANCIAL GROUP INC OH 2.02,7.01,9.01 01/15/08
Network Communications, Inc. GA 2.02,9.01 01/14/08
NEUSTAR INC 7.01,9.01 01/15/08
New York & Company, Inc. 7.01,9.01 01/14/08
Nissan Auto Receivables 2008-A Owner DE 8.01,9.01 01/14/08
NORTHRIM BANCORP INC AK 5.02,9.01 01/15/08
NovaBay Pharmaceuticals, Inc. CA 5.02,9.01 01/09/08
NovaBay Pharmaceuticals, Inc. CA 5.02,9.01 01/09/08 AMEND
NUTRACEA CA 1.01,5.02,9.01 01/08/08
NYMEX HOLDINGS INC DE 5.02,9.01 01/15/08
ODYSSEY HEALTHCARE INC DE 1.01,7.01,9.01 01/15/08
OMNOVA SOLUTIONS INC OH 2.02,9.01 01/14/08
ONEOK INC /NEW/ OK 7.01,9.01 01/15/08
ONEOK Partners LP DE 7.01,9.01 01/15/08
OPENWAVE SYSTEMS INC DE 5.02,8.01,9.01 01/10/08
Opko Health, Inc. DE 1.02,9.01 01/11/08
OPPENHEIMER HOLDINGS INC A6 8.01 11/04/07 AMEND
OptimumBank Holdings, Inc. FL 2.02 01/14/08
ORTHOVITA INC 8.01,9.01 01/14/08
OSI PHARMACEUTICALS INC DE 1.01,2.03,3.02,8.01,9.01 01/09/08
OVERHILL FARMS INC NV 5.02,9.01 01/10/08
OVERSTOCK.COM, INC UT 5.02,8.01,9.01 01/10/08
OVERSTOCK.COM, INC UT 1.01,9.01 01/14/08
PAETEC Holding Corp. 8.01,9.01 10/31/07 AMEND
PALMETTO BANCSHARES INC SC 2.02,9.01 01/11/08
PANTRY INC DE 1.01,9.01 01/09/08
PARK NATIONAL CORP /OH/ OH 2.02,2.06,8.01,9.01 01/15/08
PC MALL INC DE 1.01,2.03,9.01 01/10/08
PENSON WORLDWIDE INC DE 5.02 01/10/08
Pharma-Bio Serv, Inc. 5.02 01/15/08
PHILLIPS VAN HEUSEN CORP /DE/ DE 7.01 01/15/08
PIONEER NATURAL RESOURCES CO DE 2.02,7.01,9.01 01/15/08
POLYCOM INC DE 5.02 01/09/08
PRO DEX INC CO 8.01 01/15/08
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 01/15/08
PROVIDENT COMMUNITY BANCSHARES, INC. 2.02,9.01 01/15/08
QUEPASA CORP NV 1.01,9.01 01/09/08
REGAL ENTERTAINMENT GROUP DE 1.01,8.01,9.01 01/14/08
REGENT TECHNOLOGIES INC CO 1.01 12/31/07
REGIS CORP MN 2.02,9.01 01/11/08
RESOURCING SOLUTIONS GROUP INC NV 1.02 01/14/08
ROO GROUP INC DE 5.02,9.01 01/09/08
RUBIOS RESTAURANTS INC DE 7.01,9.01 01/15/08
SEA CONTAINERS LTD /NY/ 8.01,9.01 01/11/08
SemGroup Energy Partners, L.P. DE 1.01,5.02,7.01,9.01 01/14/08
SENTRA CONSULTING CORP 1.02,3.02 01/09/08
SEVERN BANCORP INC MD 2.02,9.01 01/15/08
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 8.01,9.01 01/14/08
Shiner International, Inc. NV 7.01,9.01 01/14/08
SHUFFLE MASTER INC MN 2.02,9.01 01/10/08
SHUFFLE MASTER INC MN 8.01,9.01 01/10/08
SHUFFLE MASTER INC MN 8.01,9.01 01/14/08
SI Financial Group, Inc. X1 8.01,9.01 01/14/08
SILVERADO GOLD MINES LTD A1 3.02 01/08/08
SILVERLEAF RESORTS INC 7.01,9.01 01/14/08
SIMULATIONS PLUS INC 8.01,9.01 01/14/08
SIRVA INC DE 1.01,9.01 01/09/08
Smooth Global (China) Holdings, Inc. NV 5.02 01/08/08
SOFTECH INC MA 2.02,9.01 01/15/08
SOUTHERN COPPER CORP/ DE 8.01 01/14/08
SOUTHERN FIRST BANCSHARES INC SC 2.02,9.01 01/15/07
SRA INTERNATIONAL INC DE 5.02,9.01 01/09/08
STATE STREET CORP MA 2.02,9.01 01/14/08
STUDENT LOAN CORP DE 2.02 01/08/08
SUFFOLK BANCORP NY 2.02 01/15/08
SUMTOTAL SYSTEMS INC DE 2.02,9.01 01/15/08
Susser Holdings CORP DE 2.02,7.01,9.01 01/11/08
SUSSEX BANCORP NJ 5.02,8.01,9.01 01/10/08
Symmetry Medical Inc. DE 5.02 01/14/08
SYNIVERSE HOLDINGS INC DE 2.02,9.01 01/15/08
SYNIVERSE HOLDINGS INC DE 5.02,7.01,9.01 01/11/08
Synutra International, Inc. DE 9.01 07/15/05 AMEND
TAMM Oil & Gas Corp. NV 2.01,9.01 01/10/08
TECHNOLOGY SOLUTIONS COMPANY DE 2.02,9.01 01/15/08
TEMECULA VALLEY BANCORP INC CA 1.01,9.01 01/15/08
THERAVANCE INC DE 8.01,9.01 01/15/08
THERAVANCE INC DE 7.01 01/15/08
THOMAS & BETTS CORP TN 8.01,9.01 01/15/08 AMEND
THQ INC DE 1.01 01/09/08
TIDELANDS OIL & GAS CORP/WA NV 1.01,2.01,9.01 01/09/08
Toro Ventures Inc. NV 8.01 01/11/08
TRACTOR SUPPLY CO /DE/ DE 5.02 01/15/08
TRI-ISTHMUS GROUP, INC. DE 2.01,9.01 10/30/07 AMEND
TRUSTCO BANK CORP N Y NY 2.02,9.01 01/15/08
TUESDAY MORNING CORP/DE DE 5.02,9.01 01/15/08
TUTOGEN MEDICAL INC FL 8.01,9.01 01/14/08
TUTOGEN MEDICAL INC FL 8.01,9.01 01/14/08
TXCO Resources Inc DE 5.02,9.01 01/11/08
UMB FINANCIAL CORP MO 7.01,9.01 01/14/08
UNITED PARCEL SERVICE INC DE 8.01,9.01 01/10/08
UNITED WISCONSIN GRAIN PRODUCERS LLC WI 2.02,9.01 01/15/08
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 01/14/08
US BANCORP \DE\ DE 2.02,9.01 01/15/08
VASCO DATA SECURITY INTERNATIONAL INC DE 5.02,9.01 01/09/08
VENTAS INC DE 7.01,9.01 01/15/08
VIGNETTE CORP DE 2.02,9.01 01/10/08
VIRAGE LOGIC CORP CA 5.02 01/11/08
VISICU INC DE 8.01 01/14/08
VISTACARE, INC. DE 1.01,7.01,9.01 01/15/08
VNUS MEDICAL TECHNOLOGIES INC 8.01,9.01 01/15/08
WEGENER CORP DE 2.02,9.01 01/14/08
WESTWOOD ONE INC /DE/ DE 1.01,9.01 01/11/08
WFN CREDIT CO LLC DE 8.01,9.01 01/15/08
WHITING PETROLEUM CORP DE 5.02 01/14/08
WHITNEY INFORMATION NETWORK INC CO 8.01 01/09/08
WILLIAM LYON HOMES DE 5.02 12/17/07
WILLIAMS COMPANIES INC DE 8.01,9.01 01/14/08
WILLIAMS SONOMA INC CA 7.01,9.01 01/15/08
WRIGLEY WM JR CO DE 5.02,9.01 01/15/08
WVS FINANCIAL CORP PA 2.02,9.01 01/15/08
XENOPORT INC DE 8.01 01/15/08
XFONE INC NV 8.01 01/10/08
http://www.sec.gov/news/digest/2008/dig011608.htm
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