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SEC NEWS DIGEST
Issue 2008-14 January 22, 2008
ENFORCEMENT PROCEEDINGS
INITIAL DECISION IN THE MATTER OF C.R. WILLIAMS, INC., AND CHARLES
RUSSELL WILLIAMS II
An Administrative Law Judge has issued an Initial Decision in the
matter of C.R. Williams, Inc., and Charles Russell Williams II,
which finds there are no genuine issues of material fact concerning
the allegations in the Order Instituting Administrative and Cease-and-
Desist Proceedings issued by the Securities and Exchange Commission on
Sept. 26, 2007.
The Initial Decision finds that Charles Russell Williams II (Williams)
was registered with the Commission as an investment adviser from 1983
to April 1996, and Williams controls C.R. Williams, Inc. (CRW), an
investment adviser registered with the Commission since 1995.
Williams and CRW admit that CRW has not made and kept required books
and records from at least June 2003 through February 2006; that CRW
did not timely file its annual reports for the years ended Dec. 31,
2005 and 2006; and that CRW is ineligible for registration as an
investment adviser with the Commission, but has failed to file the
required form for withdrawal.
The Initial Decision finds that: (1) the Commission's staff issued
deficiency letters to Williams as the result of staff examinations of
Williams' books and records in 1985 and 1994; (2) in 1996, the
Commission accepted Williams' Offer of Settlement and entered an order
that: (a) censured Williams; (b) ordered him to cease and desist from
committing or causing any violation, and any future violation, of
Section 204 of the Investment Advisers Act of 1940 (Advisers Act) and
a number of Advisers Act Rules thereunder; (c) imposed a $5,000 civil
penalty on him; and (d) ordered him to take certain measures,
including reviewing his compliance policies and procedures, and "to
adopt, implement and maintain new written policies and procedures . .
. designed reasonably to prevent and detect violations of the federal
securities laws." See Charles Russell Williams, 61 SEC Docket 0901,
0903 (Feb. 14, 1996).
The Initial Decision revokes the registration of CRW, orders Williams
and CRW to cease and desist from violating specific provisions of the
Advisers Act and specific Rules thereunder, bars Williams from
association with an investment adviser, and orders CRW and Williams
to, jointly and severally, pay a civil money penalty of $10,000.
(Initial Decision No. 342; File No. 3-12834)
COURT ENTERS TEMPORARY RESTRAINING ORDER AND GRANTS OTHER EMERGENCY
RELIEF AGAINST RECIDIVISTS GERALD AND MARIE LEVINE TO HALT ONGOING
SECURITIES FRAUD, ALSO SCHEDULES CONTEMPT HEARING
The Commission announced that on Jan. 17, 2008, the Honorable Henry H.
Kennedy, Jr., U.S. District Judge for the District of Columbia,
entered a temporary restraining order and granted other emergency
relief against recidivists Gerald H. and Marie A. Levine (the
Levines), and ordered them to appear on Feb. 20, 2008, to determine
whether the court should enter a preliminary injunction against them
for engaging in ongoing securities fraud. The Court also ordered the
Levines to show cause why they should not be held in civil contempt of
court for violating the terms of a prior securities fraud judgment
against them. The Court decreed that, should the Levines fail to
comply with the order or fail to appear at the February 20 hearing,
they could be subject to a warrant for their arrest.
The Court issued its order in response to the Commission's motion
contending that the Levines are in contempt for failing to pay more
than $445,000 in disgorgement and prejudgment interest as required by
the final judgment of securities fraud entered against them on June 6,
2007 (June 6th judgment), and for committing new acts of securities
fraud in violation of that judgment's antifraud injunction. As part of
its order, the Court also froze the Levines' assets, ordered them to
account for and repatriate investor funds, and appointed a temporary
receiver for various companies controlled by the Levines, among other
things.
The Court found that the Commission had made a prima facie case of
securities law violations by the Levines. In its motion, the
Commission contends that the Levines are involved in the ongoing
fraudulent sale of the shares of several thinly-capitalized issuers
traded in the grey market. Shares traded in the grey market have no
active market makers. These issuers are Avitech LifeSciences, Inc.,
Biomaxx Systems, Inc., Evolution Global Capital Partners, Inc., Green
Machine Development Corp., and Xiiva Holdings, Inc. The Commission has
previously suspended trading in each of these stocks in separate
administrative actions. (Links to the suspension orders are listed
below.) The Commission alleges that the Levines have misappropriated
over $1.4 million of investor funds, using four alter-ego companies to
perpetrate the securities fraud. Those alter-ego companies are Wire to
Wire, Inc., The Delaware Escrow Company, Euro Escrow, and Public
Highway, Inc. (the alter-ego companies). The Commission also contends
that innocent investors are being told materially false and misleading
statements about these issuers. For example, the Commission alleges
that investors have been told that Avitech would soon be offering a
cure for HIV/AIDS, that Evolution is developing properties with
several prominent building companies, and that Green Machine owns
mining concessions in Africa that are about to be purchased by a
prominent mining company. The Commission contends that all of these
statements are false. The Commission also contends that, in connection
with these ongoing fraudulent sales, the Levines have failed to
disclose several materially misleading facts to investors, including
the Levines' involvement in the sale of these securities, that a
judgment of securities fraud has already been entered against them,
and that they are defendants in yet another civil enforcement action
accusing them of securities fraud. Specifically, as to this last
point, on April 17, 2007, the Commission sued the Levines for
securities fraud in the action entitled SEC v. Gerald Harold Levine,
et al., 2:07-CV-00506 LDG/RJJ (Nu Star case), currently pending in
U.S. District Court for the District of Nevada.
In his order, Judge Kennedy did the following, among other things:
temporarily restrained the Levines from further acts in violation of
the antifraud injunction contained in the June 6th judgment, as well
as from any activities in any way related to the purchase or sale of
any penny stock, any stock traded in the grey market, or any stock
quoted on the Pink Sheets, LLC, without prior leave of the Court;
froze the Levines' assets, whether in their own names or in the names
of the alter-ego companies; ordered the Levines to account for their
assets and stock transactions, whether in their own names or in the
names of the alter-ego companies; ordered the repatriation of all
funds moved offshore by the Levines or their alter-ego companies;
ordered expedited discovery and the preservation of evidence; and
appointed a temporary receiver for the alter-ego companies. The Court
ordered the receiver to: take immediate possession of all assets held
by the alter-ego companies; take immediate possession of, and change
the locks on, all offices used by the alter-ego companies; enter the
home of the Levines to remove all assets of, and computers used by,
the alter-ego companies; receive all mail of the alter-ego companies;
investigate the manner in which the alter-ego companies conducted
business; and institute legal proceedings on behalf of the investors
of Avitech, Biomaxx, Evolution, Green Machine and Xiiva who sent funds
to the alter-ego companies. Judge Kennedy's order also set the date
for a hearing on the preliminary injunction and finding of contempt
sought by the Commission, for Feb. 20, 2008.
For further information concerning this action and its underlying
action against the Levines, please see the following:
LR-20124 (May 22,2007),
http://www.sec.gov/litigation/litreleases/2007/lr20124.htm;
LR-18420 (Oct. 21, 2003),
http://www.sec.gov/litigation/litreleases/lr18420.htm;
LR-17139 (Sept. 19, 2001),
http://www.sec.gov/litigation/litreleases/lr17139.htm; and
LR-16299 (Sept. 28, 1999),
http://www.sec.gov/litigation/litreleases/lr16299.htm.
For further information concerning the ongoing Nu Star case against
the Levines, please see the following:
LR-20077 (April 18, 2007),
http://www.sec.gov/litigation/litreleases/2007/lr20077.htm.
For further information concerning the trading suspensions, please see
the following:
Release No. 34-56965 (Xiiva Holdings, Inc., Dec. 14, 2007),
http://www.sec.gov/litigation/suspensions/2007/34-56965.pdf; Release
No. 34-56964 (Avitech LifeSciences, Inc., Dec. 14, 2007),
http://www.sec.gov/litigation/suspensions/2007/34-56964.pdf; Release
No. 34-56963 (Green Machine Development Corp., Dec. 14, 2007),
http://www.sec.gov/litigation/suspensions/2007/34-56963.pdf; Release
No. 34-56500 (Evolution Global Capital Partners, Inc., Sept. 24,
2007), http://www.sec.gov/litigation/suspensions/2007/34-56500.pdf;
and Release No. 34-56499 (Biomaxx Systems, Inc., Sept. 24, 2007),
http://www.sec.gov/litigation/suspensions/2007/34-56499.pdf. [SEC v.
Gerald H. Levine and Marie A. Levine, Civil Action No. 99 CIV 02568
(D.D.C.)] (LR-20433)
BAY AREA FORMER BOARD MEMBER TO PAY $3 MILLION TO RESOLVE SEC INSIDER
TRADING CHARGES
The Commission today filed insider trading charges against a former
director of San Francisco-based company OrthoClear Holdings, Inc., who
unlawfully netted nearly $1.5 million by trading on confidential
company information. Without admitting or denying the allegations,
Saiyed Atiq Raza, 58, of Palo Alto, California, agreed to a settlement
under which he will pay nearly $3 million in disgorgement and
penalties, be barred from serving as an officer or director of a
public company for five years and be permanently enjoined from future
violations of the federal securities laws.
According to the Commission, Saiyed Atiq Raza was informed in
confidence by OrthoClear's CEO that the company had reached a
settlement of long-running litigation that would significantly benefit
its primary competitor in the transparent teeth-aligner market, Santa
Clara-based Align Technology. Rather than maintain the confidentiality
of the information, Raza used it for his own benefit by buying Align
securities before the settlement agreement became public.
The Commission's complaint, filed in the U.S. District Court for the
Northern District of California, alleges that OrthoClear (a private
company) and Align (a public company) were engaged in contentious
litigation. In September 2006, OrthoClear's CEO contacted Raza and
other board members to seek their approval of a highly-confidential
settlement under which OrthoClear would cease competing against Align
in the transparent teeth-aligner market. According to the complaint,
two days later Raza began making large purchases of Align call options
(securities that would increase in value if Align's stock price rose)
and common stock. Indeed, Raza's option purchases represented nearly
half of the Align option trading volume for September 22. When the
OrthoClear settlement was publicly announced several days later, the
price of Align stock shot up 48% and Raza made an immediate unlawful
profit of $1,450,900.
Raza is charged with violating Section 10(b) of the Securities
Exchange Act of 1934 and Rule 10b-5 thereunder.
Without admitting or denying the Commission's allegations, Raza has
agreed to pay a total of $2,977,842, including $1,450,900 in
disgorgement of his trading profits, $76,042 in prejudgment interest
and a civil penalty of $1,450,900. Raza has also agreed to a five-year
officer and director bar and permanent injunction against future
violations of the antifraud provisions of the federal securities laws.
The Commission acknowledges the assistance of the Chicago Board of
Options Exchange (CBOE) in this matter. [SEC v. Saiyed Atiq Raza, Case
No. CV 08-0375 (N.D. Cal.)] (LR-20434)
INVESTMENT COMPANY ACT RELEASES
THE TIGERS REVENUE TRUST AND VTL ASSOCIATES, LLC.
A notice has been issued giving interested persons until Feb. 12,
2008, to request a hearing on an application filed by the TIGERS
Revenue Trust and VTL Associates, LLC for an order to permit (a)
series of registered open-end management investment companies whose
portfolios will consist of the securities of domestic equity
securities indices to issue shares that can be redeemed only in large
aggregations, (b) secondary market transactions in shares of the
series to occur at negotiated prices, (c) dealers to sell the series'
shares to purchasers in the secondary market unaccompanied by a
prospectus when prospectus delivery is not required by the Securities
Act of 1933, (d) certain affiliated persons of the series to deposit
securities into, and receive securities from, the series, and (e)
certain registered management investment companies and unit investment
trusts outside of the same group of investment companies as the series
to acquire shares of the series. (Rel. IC-28123 - January 18)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-ISE-2007-110)
submitted by the International Securities Exchange to expand and make
permanent the $1 Strike Program. Publication is expected in the
Federal Register during the week of January 21. (Rel. 34-57169)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change filed by the Boston Stock Exchange extending
the iShares® Russell 2000® Index Fund (IWM) option pilot program (SR-
BSE-2008 03) has become immediately 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 21. (Rel.
34-57173)
A proposed rule change filed by NYSE Arca extending the pilot program
for expanded position limits for options on the iShares® Russell 2000®
Index Fund (SR-NYSEArca-2008-07) has become immediately 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 21. (Rel. 34-57174)
JOINT INDUSTRY PLAN RELEASES
AMENDMENT TO THE PROPOSED NATIONAL MARKET SYSTEM PLAN
The Commission published notice of Amendment No. 1 to the proposed
National Market Systems Plan for the selection and reservation of
securities symbols, submitted under Rule 608 of the Securities
Exchange Act of 1934 by the American Stock Exchange, Chicago Board
Options Exchange, International Securities Exchange, New York Stock
Exchange, and NYSE Arca. Publication is expected in the Federal
Register during the week of January 21. (Rel. 34-57171)
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-3 AspenBio Pharma, Inc., 1585 S. PERRY STREET, CASTLE ROCK, CO, 80104,
(303) 794-2000 - 2,591,310 ($1,933,173.00) Equity, (File 333-148733 -
Jan. 18) (BR. 01C)
N-2 Solar Capital Ltd., 500 PARK AVENUE, 5TH FLOOR, NEW YORK, NY, 10022,
(212) 993-1670 - 0 ($300,000,000.00) Equity, (File 333-148734 -
Jan. 18) (BR. 18)
SB-2 Jasper Ventures Inc., 69 ROSS STREET # 638, MOOSE JAW, A9, S6H 2M0,
416 981 7838 - 1,160,000 ($116,000.00) Equity, (File 333-148735 -
Jan. 18) (BR. 04)
S-8 CIRTRAN CORP, 4125 SOUTH 6000 WEST, WEST VALLEY CITY, UT, 84128,
8019635112 - 60,000,000 ($900,000.00) Equity, (File 333-148737 -
Jan. 18) (BR. 03B)
SB-2 SPICY PICKLE FRANCHISING INC, 90 MADISON ST #700, DENVER, CO, 80206,
303-297-1902 - 13,218,750 ($18,691,313.00) Equity, (File 333-148738 -
Jan. 18) (BR. 05B)
SB-2 Your Event, Inc., 7065 W. ANN RD., SUITE 130-110, LAS VEGAS, NV, 89130,
877-871-4552 - 5,800,000 ($29,000.00) Equity, (File 333-148739 -
Jan. 18) (BR. 02)
S-8 ZIPREALTY INC, 2000 POWELL STREET, SUITE 1555, EMERYVILLE, CA, 94608,
510-735-2600 - 0 ($4,983,422.67) Equity, (File 333-148740 - Jan. 18)
(BR. 08B)
S-1 Mistral Acquisition CO, 650 FIFTH AVENUE, 31ST FLOOR, NEW YORK, NY,
10019, (212) 335-4998 - 0 ($374,250,100.00) Other, (File 333-148741 -
Jan. 18) (BR. 07)
S-8 Data Call Technologies, 600 KENRICK, SUITE B-12, HOUSTON, TX, 77060,
866-219-2025 - 1,175,000 ($82,250.00) Equity, (File 333-148742 -
Jan. 18) (BR. 03B)
S-3 ENER1 INC, 500 WEST CYPRESS CREEK ROAD, SUITE 100, FORT LAUDERDALE, FL,
33309, (954) 556-4020 - 0 ($48,564,000.00) Equity, (File 333-148743 -
Jan. 18) (BR. 10A)
S-1 BCSB Bancorp Inc., 4111 E. JOPPA ROAD, BALTIMORE, MD, 21236,
410-256-5000 - 0 ($48,563,770.00) Equity, (File 333-148745 - Jan. 18)
(BR. 07B)
S-1 IMAGEWARE SYSTEMS INC, 10883 THORNMINT RD, 619-673-8600, SAN DIEGO, CA,
92127, 6196738600 - 0 ($456,215.54) Equity, (File 333-148746 - Jan. 18)
(BR. 03C)
F-3 TOWER SEMICONDUCTOR LTD, RAMAT GAVRIEL, P O BOX 619,
MIGDAL HAEMEK 23105, L3, 97246506611 - 0 ($30,000,000.00) Equity,
(File 333-148747 - Jan. 18) (BR. 10C)
S-3 OSIRIS THERAPEUTICS, INC., 7015 ALBERT EINSTEIN DRIVE, COLUMBIA, MD,
21046, 443-545-1819 - 0 ($29,051,223.00) Equity, (File 333-148750 -
Jan. 18) (BR. 01A)
S-3 IA GLOBAL INC, 101 CALIFORNIA STREET, SUITE 2450, SAN FRANCISCO, CA,
94111, 415-946-8828 - 7,870,355 ($1,888,885.00) Equity,
(File 333-148751 - Jan. 18) (BR. 11B)
S-8 WSB Holdings Inc, 4201 MITCHELLVILLE ROAD, SUITE 200, BOWIE, MD, 20716,
301-352-3120 - 0 ($2,523,366.25) Equity, (File 333-148753 - Jan. 18)
(BR. 07)
S-8 XTL BIOPHARMACEUTICALS LTD, 711 EXECUTIVE BOULEVARD, SUITE Q,
VALLEY COTTAGE, NY, 10989, 972-8-930-4440 -
9,250,000 ($3,330,000.00) Equity, (File 333-148754 - Jan. 18) (BR. 01C)
S-1 SemGroup Energy Partners, L.P., TWO WARREN PLACE,
6120 SOUTH YALE AVENUE, SUITE 700, TULSA, OK, 74136, (918) 524-8100 -
0 ($188,784,000.00) Equity, (File 333-148755 - Jan. 18) (BR. 04B)
S-3 PREMIER EXHIBITIONS, INC., 3340 PEACHTREE ROAD NE, SUITE 2250, ATLANTA,
GA, 30326, 404-842-2600 - 360,000 ($2,196,000.00) Equity,
(File 333-148756 - Jan. 18) (BR. 05B)
S-3 TITAN PHARMACEUTICALS INC, 400 OYSTER POINT BLVD, SUITE 505,
SAN FRANCISCO, CA, 94080, 4152444990 -
19,950,000 ($32,119,500.00) Equity, (File 333-148757 - Jan. 18)
(BR. 01C)
S-3 METABOLIX, INC., 21 ERIE ST., CAMBRIDGE, MA, 02139, 617-492-0505 -
0 ($100,000,000.00) Equity, (File 333-148758 - Jan. 18) (BR. 06C)
S-1 Allied Nevada Gold Corp, SUITE 5, 7961 SHAFFER PARKWAY, LITTLETON, CO,
80127, 720-981-1185 - 0 ($50,000,000.00) Equity, (File 333-148760 -
Jan. 18) (BR. 04A)
F-6 BUSINESS OBJECTS S.A., 4089536000 -
20,000,000 ($1,000,000.00) ADRs/ADSs, (File 333-148761 - Jan. 18)
(BR. 03B)
S-1 XSUNX INC, 65 ENTERPRISE, ALISO VIEJO, CA, 92656, 949 330 8060 -
0 ($26,514,250.00) Equity, (File 333-148762 - Jan. 18) (BR. 06B)
S-8 HOME BANCSHARES INC, 719 HARKRIDER, CONWAY, AR, 72032, 501-328-4657 -
0 ($5,991,000.00) Equity, (File 333-148763 - Jan. 18) (BR. 07B)
S-8 PIPEX PHARMACEUTICALS, INC., 3985 RESEARCH PARK DRIVE, ANN ARBOR, MI,
48108, 734-332-7800 - 4,000,000 ($20,600,000.00) Equity,
(File 333-148764 - Jan. 18) (BR. 01C)
S-3 Ardea Biosciences, Inc./DE, 2131 PALOMAR ROAD, SUITE 300, CARLSBAD, CA,
92011, 760-602-8422 - 0 ($27,520,750.00) Equity, (File 333-148765 -
Jan. 18) (BR. 01A)
S-8 SOLOMON TECHNOLOGIES INC, 1224 MILL STREET, BUILDING B, EAST BERLIN,
CT, 06023, 860-828-2060 - 1,250,000 ($287,500.00) Equity,
(File 333-148766 - Jan. 18) (BR. 10C)
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
--------------------------------------------------------------------------------------------------------
1ST INDEPENDENCE FINANCIAL GROUP, INC DE 8.01,9.01 01/18/08
1st Pacific Bancorp CA 5.02,8.01,9.01 01/17/08
ABX Holdings, Inc. DE 2.04 01/18/08
ACTIGA CORP NV 1.01,1.02,2.01,3.02,5.01,5.02, 01/14/08
5.06,9.01
ADOLOR CORP 7.01,9.01 01/18/08
ALCOA INC PA 5.02,9.01 01/17/08
Aldabra 2 Acquisition Corp. DE 8.01,9.01 01/18/08
ALFACELL CORP DE 1.01,8.01,9.01 01/14/08
AMACORE GROUP, INC. DE 1.01,3.02,3.03,5.03,9.01 01/14/08
AMBAC FINANCIAL GROUP INC DE 8.01,9.01 01/17/08
AMCOL INTERNATIONAL CORP DE 2.02,9.01 01/18/08
AMCON DISTRIBUTING CO DE 2.02,9.01 12/31/07
AMERICAN AIRLINES INC DE 5.02 01/18/08
AMERICAN EXPRESS RECEIVABLES FINANCIN DE 8.01,9.01 01/18/08
AMERIGROUP CORP 1.01,5.02 01/16/08
AMERIRESOURCE TECHNOLOGIES INC DE 1.01,9.01 01/18/08
AMPHENOL CORP /DE/ DE 8.01,9.01 01/18/08
AMR CORP DE 5.02 01/18/08
ANADARKO PETROLEUM CORP DE 8.01,9.01 01/17/08
ANNAPOLIS BANCORP INC MD 8.01,9.01 01/18/08
APPLETON PAPERS INC/WI 8.01,9.01 01/17/08
ARABIAN AMERICAN DEVELOPMENT CO DE 5.02,9.01 01/15/08
ARADIGM CORP CA 1.02 01/14/08
ARROWHEAD RESEARCH CORP DE 5.02,9.01 01/14/08
ARROWHEAD RESEARCH CORP DE 1.01,9.01 01/14/08
ARTFEST INTERNATIONAL INC DE 2.01,5.01,5.02,9.01 12/28/07 AMEND
ASCENDIA BRANDS, INC. DE 7.01,9.01 01/17/08
Asia Automotive Acquisition Corp. DE 9.01 11/05/07
ASPEN EXPLORATION CORP DE 5.02 01/16/08
AZZ INC TX 8.01,9.01 01/18/08
BALLANTYNE OF OMAHA INC DE 2.01,7.01,9.01 10/12/07 AMEND
BANCFIRST CORP /OK/ OK 2.02,9.01 01/17/08
Bank of New York Mellon CORP 2.02,9.01 01/17/08
BEAZER HOMES USA INC DE 5.02,9.01 01/18/08
BEDMINSTER NATIONAL CORP DE 1.01,9.01 01/14/08
Beijing Logistic, Inc. NV 5.02 11/21/07 AMEND
BEIJING MED PHARM CORP 8.01,9.01 01/17/08
Beneficial Mutual Bancorp Inc X1 5.02 01/17/08
BioFuel Energy Corp. 5.02,8.01,9.01 01/16/08
BIOSANTE PHARMACEUTICALS INC DE 5.02 01/15/08
BLACK HILLS CORP /SD/ SD 5.02,9.01 01/16/08
BNC BANCORP NC 8.01,9.01 01/18/08
BORDERS GROUP INC MI 5.02,5.03,9.01 01/17/08
BROOKLINE BANCORP INC DE 2.02 01/17/08
BUCKEYE PARTNERS L P DE 2.01,7.01,9.01 01/18/08
CabelTel International Corp NV 1.01 01/15/08
CABOT OIL & GAS CORP DE 8.01 01/16/08
CALLAWAY GOLF CO DE 2.02,9.01 01/16/08
CALLAWAY GOLF CO DE 5.02,9.01 01/14/08
CANARGO ENERGY CORP DE 7.01,9.01 01/14/08
CANO PETROLEUM, INC 8.01 01/18/08
CAPITAL RESOURCE ALLIANCE, INC. CO 8.01,9.01 01/18/08
CAPTARIS INC WA 2.02,9.01 01/14/08
CASTSM STEP-UP TRUST III DE 8.01,9.01 01/15/08
CELL THERAPEUTICS INC WA 7.01,8.01,9.01 01/14/08
CENTILLIUM COMMUNICATIONS INC DE 1.01,9.01 01/15/08
CENTRAL FEDERAL CORP DE 8.01,9.01 01/18/08
CERTO GROUP CORP. DE 1.01,2.01,2.04,2.05,9.01 12/03/07
CHEVIOT FINANCIAL CORP 5.02,8.01,9.01 01/15/08
China Display Technologies, Inc. DE 1.01,5.02,9.01 12/17/07 AMEND
CHINA FUND INC MD 7.01,9.01 12/01/07
CHINA GREEN MATERIAL TECHNOLOGIES, IN NV 8.01 01/11/08 AMEND
CITIGROUP INC DE 8.01,9.01 01/18/08
Citigroup Mortgage Loan Trust 2007-AR 6.02 10/01/07
CITIZENS COMMUNICATIONS CO DE 7.01,9.01 01/18/08
Citizens Community Bancorp Inc. MD 8.01 01/18/08
CODORUS VALLEY BANCORP INC PA 2.02,9.01 01/17/08
Coleman Cable, Inc. DE 8.01,9.01 01/17/08
COMMERCE BANCORP INC /NJ/ NJ 8.01 01/14/08
COMMUNICATE COM INC NV 1.01,5.02,9.01 01/18/08
COMMUNITY BANK SYSTEM INC DE 2.02,9.01 01/17/08
COMSTOCK INDUSTRIES INC FL 4.01,4.02 03/01/05
CONSOLIDATED GRAPHICS INC /TX/ TX 5.02,7.01,9.01 01/14/08
CORTS TRUST II FOR FORD NOTES DE 8.01,9.01 01/16/08
CRDENTIA CORP DE 1.01,2.03,9.01 01/15/08
CRESCENT FINANCIAL CORP NC 2.02 01/18/08
CRITICAL THERAPEUTICS INC DE 1.01,1.02,9.01 01/16/08
Crocs, Inc. 5.02 01/16/08
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 01/18/08
CWALT INC DE 9.01 01/18/08
DEARBORN BANCORP INC /MI/ MI 2.02,9.01 01/15/08
DISTRIBUTED ENERGY SYSTEMS CORP DE 1.02,9.01 01/16/08
DREW INDUSTRIES INC DE 5.02,9.01 01/17/08
DRI CORP NC 5.02,9.01 01/14/08
DUSA PHARMACEUTICALS INC NJ 8.01 01/18/08
DYADIC INTERNATIONAL INC DE 3.01,8.01,9.01 01/14/08
EBIX INC DE 4.01,9.01 11/14/07
ECO2 PLASTICS INC DE 5.02 01/15/08
Education Management LLC DE 8.01 01/16/07
Elite Artz, Inc NV 5.02 01/15/08
EMPIRE RESORTS INC DE 5.02 01/16/08
Energy Transfer Partners, L.P. DE 3.03,5.03,9.01 01/17/08
EQUITY LIFESTYLE PROPERTIES INC MD 8.01 01/18/08
EVEREST RE GROUP LTD D0 2.02,9.01 12/31/07
FAMOUS DAVES OF AMERICA INC MN 5.02,9.01 12/31/07
FIDELITY SOUTHERN CORP GA 2.02,9.01 01/17/08
FIRST CHARTER CORP /NC/ NC 8.01,9.01 01/18/08
FIRST COMMUNITY CORP /SC/ SC 2.02,8.01,9.01 01/16/08
FIRST FINANCIAL SERVICE CORP KY 5.02,9.01 01/18/08
FIRST M&F CORP/MS MS 2.02,7.01,9.01 01/18/08
FIRST OTTAWA BANCSHARES INC DE 5.02 01/14/08
FOREST LABORATORIES INC DE 2.02,9.01 12/31/07
FRANKFORT TOWER INDUSTRIES INC DE 8.01,9.01 01/17/08
FRIEDMAN BILLINGS RAMSEY GROUP INC VA 8.01 01/18/08
FULTON FINANCIAL CORP PA 5.02,9.01 01/18/08
FUSHI INTERNATIONAL INC NV 5.03,8.01 01/15/08
GALAXY ENERGY CORP CO 2.03,9.01 01/15/08
GATEWAY FINANCIAL HOLDINGS INC NC 7.01,9.01 01/16/08
GENAERA CORP DE 8.01,9.01 01/17/08
GENERAL ELECTRIC CO NY 8.01 01/18/08
GENERAL ELECTRIC CO NY 2.02,7.01 01/18/08
GENERAL GROWTH PROPERTIES INC DE 8.01,9.01 01/17/08
GENESIS MICROCHIP INC /DE DE 5.01 01/17/08
GENVEC INC DE 5.02,9.01 01/16/08
Geovax Labs, Inc. IL 1.01,9.01 01/16/08
GLATFELTER P H CO PA 2.03 01/15/08
GLOBALSCAPE INC DE 7.01,9.01 01/15/08
GOLDLEAF FINANCIAL SOLUTIONS INC. TN 1.01,2.01,2.03,3.02,9.01 01/17/08
Grande Communications Holdings, Inc. DE 8.01,9.01 01/18/08
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 12/31/07
GREEN BANKSHARES, INC. TN 5.02 01/14/08
Greenville Federal Financial CORP 2.02,8.01,9.01 01/18/08
GREER BANCSHARES INC SC 2.02,9.01 01/17/08
GTC BIOTHERAPEUTICS INC MA 3.01 01/17/08
HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 1.01,9.01 01/15/08
HARTFORD LIFE INSURANCE CO CT 9.01 01/18/08
HARTFORD LIFE INSURANCE CO CT 9.01 01/18/08
HARVEY ELECTRONICS INC NY 5.02 01/14/08
HAWAIIAN HOLDINGS INC DE 8.01 01/18/08
Heritage Financial Group DC 2.02,8.01,9.01 01/15/08
HOME BANCSHARES INC 5.02 01/18/08
HOME BANCSHARES INC 8.01 01/18/08
HOME DEPOT INC DE 5.02,9.01 01/18/08
HOOPER HOLMES INC NY 5.03,9.01 10/30/07
HUGOTON ROYALTY TRUST TX 2.02,9.01 01/18/08
HYDROGEN POWER INC DE 8.01 01/14/08
HYPERCOM CORP DE 1.01,2.03,9.01 01/15/08
IMMEDIATEK INC NV 5.02,9.01 01/15/08
Industrial Enterprises of America, In NV 1.01,3.01,3.02 01/16/08
INFORM WORLDWIDE HOLDINGS INC FL 1.01 01/17/08
InterDigital, Inc. PA 5.02 01/14/08
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02,8.01 01/17/08
INTERNATIONAL STAR INC NV 5.02 01/15/08
INTERNET ACQUISITION GROUP INC 4.01 01/17/08
Invesco Ltd. D0 4.01,9.01 01/17/08
IPC HOLDINGS LTD 1.02 01/14/08
ITC Holdings Corp. MI 8.01,9.01 01/14/08
Jade Art Group Inc. NV 8.01,9.01 01/18/08
JONES APPAREL GROUP INC PA 5.02 01/14/08
Juniper Content Corp DE 8.01,9.01 01/18/08
KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 01/18/08
KINGLAKE RESOURCES INC. NV 1.01,2.01,3.02,5.01,5.02,5.06, 01/18/08
9.01
Kraton Polymers LLC DE 5.02,9.01 01/18/08
KRONOS WORLDWIDE INC 1.01,9.01 01/14/08
LABRANCHE & CO INC DE 2.02,9.01 01/18/08
LEGG MASON INC MD 1.01,2.02,2.03,3.02,9.01 01/14/08
LENNAR CORP /NEW/ DE 5.02,9.01 01/16/08
LEXINGTON ENERGYSERVICES INC. NV 5.02 01/15/08
LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 01/16/08
LIME ENERGY CO. DE 8.01,9.01 01/16/08
LITTLE SIOUX CORN PROCESSORS LLC 2.02,5.02,7.01,9.01 01/14/08
MARKETAXESS HOLDINGS INC 5.02,9.01 01/15/08
MARSH & MCLENNAN COMPANIES, INC. DE 5.02,9.01 01/16/08
MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 01/16/08
MATTHEWS INTERNATIONAL CORP PA 5.02 01/18/08
MCCLATCHY CO DE 9.01 01/18/08
MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 01/18/08
MDI, INC. DE 9.01 01/18/08 AMEND
MEDIA GENERAL INC VA 8.01,9.01 01/18/08
MEDICIS PHARMACEUTICAL CORP DE 8.01 01/18/08
MEDTRONIC INC MN 9.01 11/02/07 AMEND
MERIDIAN BIOSCIENCE INC OH 8.01 01/18/08
Meritage Homes CORP MD 2.02,9.01 01/17/08
MESA ROYALTY TRUST/TX TX 2.02,9.01 01/18/08
Metaswarm Inc. CA 1.01,5.03,9.01 01/14/08
METHODE ELECTRONICS INC DE 5.02 01/15/08
METRO ONE TELECOMMUNICATIONS INC OR 5.02,7.01,9.01 01/17/08
MFB CORP IN 9.01 12/31/07
MHI Hospitality CORP MD 1.01,5.02,9.01 01/14/08
MIDCAROLINA FINANCIAL CORP NC 8.01,9.01 01/18/08
MISCOR GROUP, LTD. 1.01,2.03,9.01 01/14/08
MOBILEPRO CORP DE 1.02,8.01,9.01 01/14/08
MOLINA HEALTHCARE INC DE 1.01 01/01/08
Momentive Performance Materials Inc. DE 2.04 01/18/07
MQ ASSOCIATES INC 1.01,3.03,8.01,9.01 01/15/08
NATURADE INC DE 8.01 01/15/08
NCO Group, Inc. 7.01,9.01 01/18/08
NEOMAGIC CORP DE 3.01,7.01,9.01 01/14/08
NEXTPHASE WIRELESS, INC. NV 8.01 01/15/08
NORTH AMERICAN NATURAL GAS INC WA 1.01,9.01 01/15/08
NORTH AMERICAN SCIENTIFIC INC 1.01,3.01,9.01 01/14/08
NUCLEAR SOLUTIONS INC NV 7.01,9.01 01/18/08
NYSE Euronext DE 1.01,8.01,9.01 01/17/08
Oculus Innovative Sciences, Inc. CA 5.02,7.01,9.01 01/16/08
ODYSSEY MARINE EXPLORATION INC NV 5.02,9.01 01/16/08
OIL STATES INTERNATIONAL, INC DE 8.01,9.01 01/18/08
Omniture, Inc. DE 2.01,9.01 01/17/08
ONEOK Partners LP DE 5.02,9.01 01/18/08
OPEN ENERGY CORP NV 5.02,7.01,9.01 01/15/08
ORACLE CORP 1.01,8.01,9.01 01/16/08
ORAMED PHARMACEUTICALS INC. NV 5.02 01/17/08
PALL CORP NY 5.03,9.01 01/17/08
PALL CORP NY 5.02 01/17/08 AMEND
PALMETTO BANCSHARES INC SC 5.02 01/15/08
PARKE BANCORP, INC. NJ 2.02,9.01 01/18/08
PECO II INC OH 5.02,9.01 01/16/08
PENNICHUCK CORP NH 8.01,9.01 01/17/08
PENTAIR INC MN 5.02,9.01 01/15/08
PERFORMANCE FOOD GROUP CO TN 1.01,7.01,9.01 01/18/08
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 01/18/08
PETROQUEST ENERGY INC DE 8.01,9.01 01/18/08
PFGI CAPITAL CORP MD 5.02,9.01 01/18/08
PFGI CAPITAL CORP MD 2.02,8.01,9.01 01/18/08
PHOTOWORKS INC /WA WA 5.01,8.01,9.01 01/15/08
PINNACLE DATA SYSTEMS INC OH 4.01,9.01 01/16/08
PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 01/17/08
Platinum Research Organization, Inc. DE 5.02,8.01,9.01 01/15/08
PLUMAS BANCORP CA 2.02,9.01 01/18/08
PREMIER EXHIBITIONS, INC. 8.01 01/18/08
PRINCIPAL LIFE INCOME FUNDINGS TRUST 8.01,9.01 04/02/07 AMEND
PRINCIPAL LIFE INCOME FUNDINGS TRUST 8.01,9.01 10/01/07 AMEND
Profile Bancorp Inc X1 8.01,9.01 01/18/08
PURE CYCLE CORP DE 8.01,9.01 01/17/08
QUEST DIAGNOSTICS INC DE 2.02,9.01 01/17/08
QUICK MED TECHNOLOGIES INC NV 5.02 01/18/08
REALOGY CORP DE 2.02,5.02,9.01 01/17/08
RED ROBIN GOURMET BURGERS INC DE 8.01,9.01 01/17/08
REDWOOD TRUST INC MD 5.02,9.01 01/16/08
REGAL ENTERTAINMENT GROUP DE 5.02 01/16/08
REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 01/18/08
Restaurant Acquisition Partners, Inc. DE 4.01,9.01 01/18/08
ROO GROUP INC DE 5.02 01/14/08
RPM INTERNATIONAL INC/DE/ DE 5.02,9.01 01/16/08
SARS CORP. NV 9.01 08/28/07
SCHLUMBERGER LTD /NV/ P8 2.02,9.01 01/18/08
SEAENA INC. 1.01,9.01 01/15/08
SEAGATE TECHNOLOGY E9 8.01,9.01 01/17/08
SEATTLE GENETICS INC /WA DE 1.01,7.01,9.01 01/18/08
SEAWAY VALLEY CAPITAL CORP 2.01,2.03,3.02 11/07/07 AMEND
SECURED DIVERSIFIED INVESTMENT LTD 5.02 01/15/08
SED INTERNATIONAL HOLDINGS INC DE 5.02,9.01 01/15/08
SENOMYX INC DE 5.02 01/15/08
SENSIENT TECHNOLOGIES CORP WI 5.02 01/14/08
SHAW GROUP INC LA 1.01,7.01,9.01 01/14/08
SHEERVISION, INC. DE 1.01,9.01 01/17/08
SILICON STORAGE TECHNOLOGY INC CA 8.01,9.01 01/16/08
SILVERSTAR HOLDINGS LTD B0 2.02,9.01 01/14/08
SM&A DE 8.01,9.01 01/18/08
SMART MOVE, INC. DE 1.01,2.03,3.02,9.01 01/15/08
SOLPOWER CORP NV 5.03,9.01 01/14/08
SOMERSET HILLS BANCORP NJ 5.02 01/01/08
SOUTH SHORE RESOURCES INC. 1.01 01/17/08
SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 01/14/08
SOUTHERN COPPER CORP/ DE 8.01 01/16/08
SPARE BACKUP, INC. DE 3.02,5.03 01/16/08
SPORT CHALET INC DE 2.02,9.01 01/11/08
SPRINT NEXTEL CORP KS 2.05,7.01,9.01 01/16/08
Standard Commerce, Inc. DE 5.03 01/17/08
STONERIDGE INC OH 2.02 01/17/08
STRATTEC SECURITY CORP WI 2.02,9.01 01/17/08
STRUCTURED PRODUCTS CORP TIERS PRI PR DE 8.01,9.01 01/15/08
SUNAIR SERVICES CORP FL 2.02,9.01 01/17/08
SUNLINK HEALTH SYSTEMS INC OH 8.01,9.01 01/16/08
Superior Well Services, INC DE 7.01,9.01 01/18/08
SYNIVERSE HOLDINGS INC DE 2.02,9.01 01/15/08 AMEND
TAMM Oil & Gas Corp. NV 1.01,3.02,9.01 12/27/07 AMEND
TARGACEPT INC 1.01,9.01 01/16/08
TBX RESOURCES INC TX 5.02,9.01 01/14/08
TECHNEST HOLDINGS INC NV 1.01,5.02,9.01 01/14/08
TELOMOLECULAR CORP DE 4.02,9.01 01/17/08
THIRD WAVE TECHNOLOGIES INC /WI DE 5.02 01/14/08
THOMAS & BETTS CORP TN 8.01,9.01 01/16/08
TIFFANY & CO DE 8.01 01/17/08
TORO CO DE 5.02,9.01 01/15/08
TRANS WORLD ENTERTAINMENT CORP NY 8.01,9.01 01/17/08
TRANSBOTICS CORP DE 5.02 01/18/08
TRUE PRODUCT ID, INC. DE 1.01,5.02,9.01 01/18/08
TRUE RELIGION APPAREL INC NV 2.02,9.01 01/17/08
TWC Holding LLC DE 5.02,9.01 01/14/08
TYSON FOODS INC DE 8.01,9.01 01/18/08
UFP TECHNOLOGIES INC DE 1.01,2.01,9.01 01/14/07
UNICORP INC /NEW NV 1.01,9.01 01/16/08
UNION BANKSHARES INC VT 2.02,8.01,9.01 12/27/07
UNION CARBIDE CORP /NEW/ NY 1.01 12/21/07
United Financial Bancorp, Inc. MD 5.03,9.01 01/17/08
VENTURE FINANCIAL GROUP INC WA 8.01,9.01 01/18/08
VERTICAL COMPUTER SYSTEMS INC DE 4.01,8.01 01/17/08
VISCORP, INC. DE 1.01,2.01,3.02,5.01,5.02,5.06 01/18/08
VITAL IMAGES INC MN 5.02 01/17/08
Volcom Inc 1.01,2.01,7.01,9.01 01/15/08
Voyager Learning CO DE 8.01,9.01 01/18/08
WAL MART STORES INC DE 8.01,9.01 01/18/08
Warner Music Group Corp. DE 5.02,9.01 01/16/08
WELLCARE HEALTH PLANS, INC. DE 1.01 01/15/08
WERNER ENTERPRISES INC NE 5.02 01/15/08
WESTAMERICA BANCORPORATION CA 2.02 01/17/08
WILMINGTON TRUST CORP DE 2.02 01/18/08
WIRELESS TELECOM GROUP INC NJ 8.01,9.01 01/17/08
WISCONSIN ELECTRIC POWER CO WI 8.01 01/17/08
WISCONSIN ENERGY CORP WI 7.01,8.01 01/17/08
Wornick CO DE 5.02,9.01 01/14/08
XATA CORP /MN/ MN 5.02,9.01 01/16/08
XO HOLDINGS INC DE 8.01 01/18/08
YOUBET COM INC DE 8.01,9.01 01/17/08
Zealous Trading Group, Inc. NV 4.01 01/18/08
ZILOG INC CA 8.01,9.01 01/18/08
http://www.sec.gov/news/digest/2007/dig012208.htm
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