SEC NEWS DIGEST Issue 2007-69 April 11, 2007 ENFORCEMENT PROCEEDINGS IN THE MATTER OF CHRISTIAN NIGRO On April 10, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Christian Nigro (Nigro). In the Order, the Division of Enforcement alleges that on May 24, 2005, Nigro pled guilty to one count of conspiracy to commit securities fraud before the United States District Court for the District of New Jersey, United States v. Christian Nigro, 06 Cr. 38 (D.N.J.). The Order further alleges that the sole count of the criminal information to which Nigro pled guilty alleged, among other things, that Nigro, while employed at Valley Forge Securities, Inc. (Valley Forge), a broker-dealer registered with the Commission, participated in a scheme to manipulate the price of Select Media Communications, Inc. and to receive undisclosed, excessive commissions from the sales of stocks while employed at Valley Forge. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Nigro an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against Nigro are appropriate and in the public interest pursuant to the Securities Exchange Act of 1934. The Commission directed that an administrative law judge issue an initial decision in this matter within 210 days from the date of service of the Order Instituting Proceedings. (Rel. 34-55607; File No. 3-12613) IN THE MATTER OF PARK FINANCIAL GROUP, INC. AND GORDON C. CANTLEY On April 11, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Order) against Winter Park, Florida-based Park Financial Group, Inc. (Park) and its principal, Gordon C. Cantley (Cantley). The Order alleges that from February 2002 to July 2003, Park and Cantley aided and abetted and caused a pump- and-dump scheme involving the securities of Spear & Jackson, Inc. and failed to file Suspicious Activity Reports (SARs) reporting suspicious transactions, in violation of the firm's record-keeping obligations. The Commission has already obtained injunctive relief against Dennis P. Crowley (Crowley), the former chief executive officer of Spear & Jackson, for violations of the antifraud, registration and reporting provisions of the federal securities laws in connection with his role in the pump-and-dump scheme. Pursuant to a settlement, the court ordered Crowley to pay disgorgement and civil penalties in excess of $6 million and imposed an officer and director bar, a penny stock bar and a Form S-8 stock bar that prohibits Crowley from owning or receiving S-8 issued securities. Crowley did not admit or deny the Commission's allegations against him. The Order alleges that during the relevant time period, Park, a registered broker-dealer with a disciplinary history, and Cantley executed numerous trades in Spear & Jackson stock for three companies located in the British Virgin Islands (BVI Companies), which Crowley secretly controlled, despite obvious red flags. Specifically, on several occasions, Crowley gave Park and Cantley sell orders for the BVI Companies' accounts. Park and Cantley filled these orders even though each of these foreign-based accounts, which were rare for Park, required the written approval of at least two authorized individuals before any transaction could occur, and Crowley was not an authorized signatory. Moreover, Park and Cantley executed Crowley's trades knowing that he was the chief executive officer of Spear & Jackson; the BVI Companies' accounts traded exclusively in Spear & Jackson stock, often buying and selling shares on a daily basis; the BVI Companies were transferring large amounts of Spear & Jackson stock to a stock promoter, which was actively promoting Spear & Jackson; and Spear & Jackson's stock price was sharply increasing. During the relevant time period, Park and Cantley executed more than 200 trades in Spear & Jackson stock for the BVI Companies' accounts, which generated approximately $2.5 million in proceeds. The Order also alleges that Park failed to report suspicious transactions in Spear & Jackson stock by filing SARs with the Financial Crimes Enforcement Network as required by regulations implementing the Bank Secrecy Act, as amended by the USA Patriot Act, which became effective Dec. 31, 2002. This is the first Commission enforcement action alleging violations due to a broker-dealer's failure to file a SAR. The proceedings instituted today will determine whether Park and Cantley should be ordered to cease and desist from committing or causing violations of and any future violations of Sections 10(b) and 17(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 17a-8 thereunder. Additionally, the instituted proceedings will determine what, if any, remedial action is appropriate in the public interest against Park pursuant to Section 15(b)(4) of the Exchange Act and against Cantley pursuant to Section 15(b)(6) of the Exchange Act including, but not limited to, disgorgement and civil penalties. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondents an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order Instituting Proceedings. (Rel. 34-55614; File No. 3-12614; Press Rel. 2007-64) ADDITIONS AND CORRECTIONS A heading entitled "NOTICE OF PROPOSED DISTRIBUTION OF $375 MILLION FAIR FUND FOR THE BENEFIT OF FANNIE MAE INVESTORS" in the April 9th issue of the Digest should have read as follows: "NOTICE OF PROPOSED DISTRIBUTION OF $357 MILLION FAIR FUND FOR THE BENEFIT OF FANNIE MAE INVESTORS". SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission issued notice of a proposed rule change (SR-NYSE-2004- 56), as modified by Amendment Nos. 2 and 3 and granted accelerated approval to the proposed rule change, as amended, submitted by the New York Stock Exchange (n/k/a New York Stock Exchange LLC) relating to amendments to NYSE Rule 611. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55593) PROPOSED RULE CHANGES A proposed rule change (SR-NYSE-2005-48) and Amendments No. 1, 2, 3, and 4 thereto have been filed by the New York Stock Exchange to amend Rule 619 pertaining to subpoenas for the production of documents and appearances of witnesses. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55594) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2007-27) and Amendment Nos. 1 and 2 thereto to adopt generic listing standards for Index-Linked Securities. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-55600) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Amex-2007-33) filed by the American Stock Exchange relating to the extension of the allocation and performance evaluation procedures for securities admitted to dealings on an unlisted basis 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 April 16. (Rel. 34-55602) 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: . In most cases, this information is also available on the Commission's website: . F-10 GREAT BASIN GOLD LTD, SUITE 1020, 800 WEST PENDER STREET, VANCOUVER, A1, V6C 2V6, 604-684-6365 - 0 ($45,000,000.00) Equity, (File 333-141985 - Apr. 10) (BR. 04A) S-8 SYMANTEC CORP, 20330 STEVENS CREEK BLVD, CUPERTINO, CA, 95014, 4082539600 - 3,196,500 ($33,818,330.70) Equity, (File 333-141986 - Apr. 10) (BR. 03C) S-1 FBR CAPITAL MARKETS CORP, 1001 NINETEETH ST NORTH, ARLINGTON, VA, 22209, 703-312-9500 - 0 ($243,225,000.00) Equity, (File 333-141987 - Apr. 10) (BR. 06C) S-8 NOMURA HOLDINGS INC, 9-1 NIHONBASHI 1-CHOME, CHUO-KU 103-8645, TOKYO JAPAN, M0, 00000, 2,032,000 ($20,320.00) Equity, (File 333-141988 - Apr. 10) (BR. 06C) S-8 ULTRA CLEAN HOLDINGS INC, 0 ($6,541,929.00) Equity, (File 333-141989 - Apr. 10) (BR. 10C) F-3 eFuture Information Technology Inc., BLOCK A BUILDING NO. 10, NO. 1 DISHENG NORTH STREET, BDA, BEIJING, F4, 100176, 01051650998 - 0 ($22,781,844.00) Non-Convertible Debt, (File 333-141990 - Apr. 10) (BR. 03B) SB-2 DNAPRINT GENOMICS INC, 1621 W. UNIVERSITY PARKWAY, SARASOTA, FL, 34243, 9413663400 - 150,000,000 ($1,500,000.00) Equity, (File 333-141991 - Apr. 10) (BR. 01A) SB-2 MINISTRY PARTNERS INVESTMENT CORP, 955 WEST IMPERIAL HIGHWAY, P.O. BOX 1299, BREA, CA, 92821, (714) 671-5720 - 75,000,000 ($75,000,000.00) Non-Convertible Debt, (File 333-141992 - Apr. 10) (BR. 11B) SB-2 GD Conference Center, Inc, 2265 SOUTH BEVERLY GLEN BOULEVARD, #502, LOS ANGELES, CA, 90064, 805-680-5379 - 19 ($19.00) Equity, (File 333-141993 - Apr. 10) (BR. 08) SB-2 PLASTINUM CORP, 245 PARK AVENUE, NEW YORK, NY, 10167, 212 792 4030 - 34,298,477 ($8,574,620.00) Equity, (File 333-141994 - Apr. 10) (BR. 04A) F-3ASR AMVESCAP PLC/LONDON/, 30 FINSBURY SQUARE, LONDON EC2A 1AG, ENGLAND, X0, EC2A 1AG, 442076380731 - 0 ($0.00) Debt, (File 333-141995 - Apr. 10) (BR. 06C) S-3 ES Bancshares, Inc., 68 NORTH PLANK ROAD, NEWBURGH, NY, 12550, (866) 646-0003 - 0 ($5,200,000.00) Equity, (File 333-141996 - Apr. 10) (BR. 07A) S-3 ACCURIDE CORP, ACCURIDE, 7140 OFFICE CIRCLE, EVANSVILLE, IN, 47715, 8129625000 - 0 ($171,749,342.00) Equity, (File 333-141997 - Apr. 10) (BR. 05A) S-8 RAYMOND JAMES FINANCIAL INC, 880 CARILLON PKWY, P O BOX 12749, ST PETERSBURG, FL, 33716, 727-567-1000 - 2,000,000 ($59,760,000.00) Equity, (File 333-141998 - Apr. 10) (BR. 06A) S-8 RAYMOND JAMES FINANCIAL INC, 880 CARILLON PKWY, P O BOX 12749, ST PETERSBURG, FL, 33716, 727-567-1000 - 3,000,000 ($89,640,000.00) Equity, (File 333-141999 - Apr. 10) (BR. 06A) S-8 RAYMOND JAMES FINANCIAL INC, 880 CARILLON PKWY, P O BOX 12749, ST PETERSBURG, FL, 33716, 727-567-1000 - 2,000,000 ($59,760,000.00) Equity, (File 333-142000 - Apr. 10) (BR. 06A) S-8 AVISTAR COMMUNICATIONS CORP, 555 TWIN DOLPHINS, STE 360, REDWOOD SHORES, CA, 94065, 6506102900 - 0 ($7,124,628.00) Equity, (File 333-142001 - Apr. 10) (BR. 03C) SB-2 MultiCell Technologies, Inc., 701 GEORGE WASHINGTON HIGHWAY, LINCOLN, RI, 02865, (401)333-0610 - 12,000,000 ($1,920,000.00) Equity, (File 333-142002 - Apr. 10) (BR. 10B) S-1 NEW WORLD RESTAURANT GROUP INC, 1687 COLE BOULEVARD, GOLDEN, CO, 80401, 3035688000 - 0 ($125,000,000.00) Equity, (File 333-142004 - Apr. 10) (BR. 05B) S-8 SIMTEK CORP, 4250 BUCKINGHAM DR 100, COLORADO SPRINGS, CO, 80907, 7195319444 - 810,000 ($3,482,798.76) Equity, (File 333-142005 - Apr. 10) (BR. 10C) S-8 SIRF TECHNOLOGY HOLDINGS INC, 217 DEVCON DRIVE, SAN JOSE, CA, 95112, 408-467-0410 - 0 ($71,602,774.00) Equity, (File 333-142006 - Apr. 10) (BR. 10C) S-8 METROPCS COMMUNICATIONS INC, 0 ($993,064,680.00) Equity, (File 333-142007 - Apr. 10) (BR. 11C) SB-2 AMERICAN DG ENERGY INC, 45 FIRST AVENUE, WALTHAM, MA, 02451, 781-622-1120 - 0 ($27,867,732.00) Equity, (File 333-142008 - Apr. 10) (BR. 02A) S-1 EAGLE BROADBAND INC, 101 COURAGEOUS DRIVE, LEAGUE CITY, TX, 77573, 2815386000 - 2,800,000 ($518,000.00) Equity, (File 333-142009 - Apr. 10) (BR. 11C) S-8 UGI CORP /PA/, 460 N GULPH RD, P O BOX 858, KING OF PRUSSIA, PA, 19406, 6103371000 - 0 ($215,360,000.00) Equity, (File 333-142010 - Apr. 10) (BR. 02B) S-4 PACIFICORP /OR/, 825 N.E. MULTNOMAH, SUITE 2000, PORTLAND, OR, 97232, 5038135000 - 0 ($350,000,000.00) Debt, (File 333-142011 - Apr. 10) (BR. 02B) S-4 IDEARC INC., 2200 WEST AIRFIELD DRIVE, DFW AIRPORT, TX, 75261, (972) 453-7000 - 2,850,000,000 ($2,850,000,000.00) Non-Convertible Debt, (File 333-142012 - Apr. 10) (BR. 05A) S-3 ALTAIR NANOTECHNOLOGIES INC, 204 EDISON WAY, N/A, RENO, NV, 89502, (775) 858-3744 - 895,523 ($2,776,122.00) Equity, (File 333-142013 - Apr. 10) (BR. 06C) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- 1ST CENTENNIAL BANCORP CA 2.02,9.01 04/09/07 1st Pacific Bancorp CA 5.02,9.01 04/05/07 99 CENTS ONLY STORES CA 2.02,9.01 04/09/07 ACCREDITED HOME LENDERS HOLDING CO DE 4.01,9.01 03/27/07 AMEND ACE Securities Corp. Home Equity Loan DE 2.01,9.01 03/15/07 ACE Securities Corp. Home Equity Loan DE 2.01,9.01 03/08/07 ADOLOR CORP 8.01,9.01 04/09/07 ADVANCE DISPLAY TECHNOLOGIES INC CO 1.01,3.02,9.01 04/04/07 ADVANCED MAGNETICS INC DE 5.02,9.01 04/05/07 Agfeed Industries, Inc NV 3.02 04/06/07 AIRTRAN HOLDINGS INC NV 7.01,9.01 04/10/07 ALLIANCE BANCORP INC OF PENNSYLVANIA X1 4.01,9.01 04/09/07 Alternative Construction Company, Inc FL 5.02,9.01 04/10/07 AMERICA FIRST TAX EXEMPT INVESTORS LP DE 8.01,9.01 04/03/07 AMERICAN AIRLINES INC DE 7.01 04/10/07 AMERICAN ELECTRIC POWER CO INC NY 7.01 04/10/07 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 2.02,9.01 04/10/07 American Railcar Industries, Inc./DE DE 5.02,9.01 04/04/07 AMERICAN SKIING CO /ME DE 2.01,9.01 04/04/07 AMERICANA PUBLISHING INC CO 1.01,3.02,9.01 04/02/07 AMR CORP DE 7.01 04/10/07 Anpath Group, Inc. 7.01 04/10/07 ARBOR REALTY TRUST INC MD 8.01,9.01 04/10/07 ARRAY BIOPHARMA INC DE 8.01,9.01 04/10/07 ARTES MEDICAL INC 1.01 04/06/07 ASSURANCEAMERICA CORP NV 2.02,8.01,9.01 04/04/07 ATARI INC DE 5.02,7.01,9.01 04/04/07 AURIGA LABORATORIES, INC. DE 7.01,9.01 04/10/07 AUTODESK INC DE 3.01,9.01 04/04/07 AZZ INC TX 2.02,8.01,9.01 04/10/07 BAKER MICHAEL CORP PA 8.01,9.01 03/30/07 BENACQUISTA GALLERIES INC NV 1.01,9.01 04/06/07 BENACQUISTA GALLERIES INC NV 1.01,9.01 04/10/07 BENIHANA INC DE 2.02,9.01 04/10/07 BERRY PLASTICS HOLDING CORP DE 2.03,5.02,8.01,9.01 04/03/07 BI-OPTIC VENTURES INC 1.01,7.01,9.01 04/03/06 BILL BARRETT CORP 5.02 02/20/07 AMEND Bio-Matrix Scientific Group, Inc. DE 3.02 04/04/07 BIOSPHERE MEDICAL INC DE 5.02 04/05/07 BIOVERIS CORP DE 1.01,3.03,5.02,9.01 04/04/07 BJS WHOLESALE CLUB INC DE 5.02 04/04/07 BOSTON COMMUNICATIONS GROUP INC MA 3.01,9.01 04/04/07 BROOKFIELD HOMES CORP DE 2.02,9.01 04/05/07 BUCA INC /MN MN 2.02,9.01 04/10/07 CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 04/10/07 CATCHER HOLDINGS, INC 1.01,3.02,9.01 04/04/07 CATCHER HOLDINGS, INC 1.01,5.02 02/19/07 AMEND CENTER FINANCIAL CORP CA 5.02 04/09/07 CHEVRON CORP DE 2.02 04/10/07 CHINA IVY SCHOOL, INC. NV 2.02,7.01,9.01 04/09/07 AMEND CINTEL CORP NV 4.01,9.01 04/06/07 CIRCUIT RESEARCH LABS INC AZ 8.01,9.01 04/10/07 CITIGROUP MORTGAGE LOAN TRUST 2007-WF 9.01 03/12/07 CLEVELAND CLIFFS INC OH 5.02,9.01 04/04/07 Coleman Cable, Inc. DE 5.02 04/05/07 Compass Diversified Trust DE 8.01,9.01 04/05/07 COMPOSITE TECHNOLOGY CORP NV 1.01,1.02,5.02,9.01 04/04/07 CONGOLEUM CORP DE 1.01,9.01 04/04/07 CONSTELLATION ENERGY GROUP INC MD 5.03,8.01,9.01 04/10/07 CORN PRODUCTS INTERNATIONAL INC DE 1.01,9.01 04/04/07 CRAWFORD & CO GA 2.02,9.01 04/10/07 CRDENTIA CORP DE 1.01,1.02,3.02,9.01 04/04/07 CSB BANCORP INC /OH OH 5.02 04/05/07 CUMMINS INC IN 8.01,9.01 04/10/07 DENDREON CORP DE 8.01 04/10/07 DENNYS CORP DE 2.02,9.01 04/10/07 Digital Realty Trust, Inc. MD 8.01,9.01 04/04/07 Digital Realty Trust, Inc. MD 7.01,9.01 04/09/07 DIRT MOTOR SPORTS, INC. DE 2.03,9.01 04/10/07 DOTRONIX INC WI 8.01,9.01 04/10/07 DREAMS INC UT 8.01,9.01 04/09/07 E-Z-EM, Inc. DE 2.02,7.01,9.01 04/10/07 Echo Healthcare Acquisition Corp. DE 8.01,9.01 03/15/07 EDGAR ONLINE INC DE 1.01,3.02,5.02,9.01 04/09/07 ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,8.01,9.01 04/10/07 EMC INSURANCE GROUP INC IA 7.01 04/10/07 EMCORE CORP NJ 1.01,2.03,2.04,3.03,8.01,9.01 04/03/07 EMERSON ELECTRIC CO MO 5.02,9.01 04/04/07 EMPIRE FINANCIAL HOLDING CO FL 8.01,9.01 04/05/07 EMPIRE PETROLEUM CORP DE 1.01,9.01 04/10/07 ENBRIDGE ENERGY PARTNERS LP DE 1.01,9.01 04/04/07 ENDO PHARMACEUTICALS HOLDINGS INC DE 5.02,9.01 04/09/07 Energy Transfer Partners, L.P. DE 2.02,7.01,9.01 04/10/07 Energy Transfer Partners, L.P. DE 7.01,9.01 04/10/07 ENGLOBAL CORP NV 5.02,9.01 04/03/07 ENTRADE INC PA 2.03,8.01,9.01 04/09/07 ENVIROKARE TECH INC NV 7.01,9.01 04/10/07 EPICEPT CORP 2.02,8.01,9.01 04/10/07 ERIE INDEMNITY CO PA 8.01,9.01 04/10/07 ESCHELON TELECOM INC 8.01,9.01 04/09/07 ETRIALS WORLDWIDE INC. 5.02 03/30/07 AMEND Evercore Partners Inc. DE 2.01,3.02 12/19/06 AMEND EVERGREEN SOLAR INC DE 1.01,2.03,5.02,9.01 04/06/07 EXPLORATION DRILLING INTERNATIONAL IN NV 3.02,9.01 04/02/07 FAIRPOINT COMMUNICATIONS INC DE 2.01,8.01,9.01 04/10/07 Federal Home Loan Bank of Atlanta X1 2.03 04/04/07 Federal Home Loan Bank of Boston X1 2.03 04/04/07 Federal Home Loan Bank of Chicago X1 2.03 04/04/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/04/07 Federal Home Loan Bank of Dallas 2.03 04/05/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/04/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/04/07 Federal Home Loan Bank of New York X1 2.03,9.01 04/04/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/04/07 Federal Home Loan Bank of San Francis X1 2.03 04/04/07 Federal Home Loan Bank of Seattle 2.03 04/10/07 Federal Home Loan Bank of Topeka 2.03 04/05/07 FERMAVIR PHARMACEUTICALS, INC. FL 1.01,9.01 04/10/07 FIRST AMERICAN CORP CA 5.02,9.01 04/06/07 FIRST CASH FINANCIAL SERVICES INC DE 5.02 04/04/07 FIRST POTOMAC REALTY TRUST MD 1.01,9.01 04/04/07 FLORIDA COMMUNITY BANKS INC FL 2.02,9.01 04/10/07 FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 04/10/07 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 04/10/07 FRISCHS RESTAURANTS INC OH 2.02,9.01 04/10/07 FUELCELL ENERGY INC DE 1.01,8.01,9.01 04/10/07 FULLER H B CO MN 5.02 01/26/07 AMEND FURNITURE BRANDS INTERNATIONAL INC DE 5.02 04/10/07 Gales Industries Inc DE 2.02,7.01 04/09/07 GASCO ENERGY INC NV 8.01,9.01 04/09/07 GASCO ENERGY INC NV 8.01,9.01 04/10/07 GENERAL MILLS INC DE 1.01,3.02,8.01,9.01 04/04/07 GeoPharma, Inc. FL 1.01,2.03,3.02,9.01 04/05/07 GEVITY HR INC FL 5.02 04/10/07 GLOBAL BUSINESS SERVICES INC DE 4.01,9.01 02/27/07 AMEND GOLDEN PATRIOT CORP NV 1.01,3.02,5.02,9.01 04/05/07 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 04/10/07 GP STRATEGIES CORP DE 9.01 01/23/07 AMEND GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 04/06/07 Great Lakes Dredge & Dock CORP DE 1.01,8.01,9.01 04/10/07 GREENLEAF FOREST PRODUCTS, INC. NV 4.01 04/10/07 GRIFFIN LAND & NURSERIES INC DE 7.01,9.01 04/09/07 GULF RESOURCES, INC. DE 1.01,2.01,2.03,3.02,9.01 04/04/07 Gulf United Energy, Inc. NV 1.01 04/04/07 HAIN CELESTIAL GROUP INC DE 5.02 04/10/07 HANDHELD ENTERTAINMENT, INC. DE 3.01,9.01 04/10/07 HARRIS & HARRIS GROUP INC /NY/ NY 5.02 04/10/07 HARRIS INTERACTIVE INC DE 7.01,9.01 04/10/07 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 04/04/07 HEALTHTRONICS, INC. GA 1.01,9.01 04/03/07 HEARUSA INC DE 2.02,9.01 01/09/07 HERBALIFE LTD. E9 8.01,9.01 04/10/07 HOKU SCIENTIFIC INC DE 5.02 04/03/07 Holmes Master Issuer 9.01 04/10/07 Holmes Master Issuer 9.01 03/30/07 HORIZON HEALTH CORP /DE/ DE 2.02,9.01 04/09/07 HORTON D R INC /DE/ DE 2.02,9.01 04/10/07 IASIS Healthcare LLC DE 1.01,9.01 04/04/07 IBIS TECHNOLOGY CORP MA 8.01,9.01 04/10/07 IDM PHARMA, INC. DE 5.02 04/06/07 IEC ELECTRONICS CORP DE 8.01,9.01 04/10/07 IMCLONE SYSTEMS INC DE 8.01,9.01 04/10/07 IMMEDIATEK INC NV 5.02 04/06/07 Impac Secured Assets Corp., Mortgage CA 8.01,9.01 03/29/07 IMPSAT FIBER NETWORKS INC DE 2.02,9.01 04/09/07 INHIBITEX, INC. 1.01,9.01 04/10/07 INNOVATIVE CARD TECHNOLOGIES INC DE 8.01 04/10/07 INNOVO GROUP INC DE 2.02,9.01 04/10/07 INTEGRA BANK CORP IN 2.01,8.01,9.01 04/09/07 INTERLINK ELECTRONICS INC DE 2.02,9.01 04/10/07 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 04/10/07 IPC HOLDINGS LTD 5.02 04/09/07 itLinkz Group, Inc. FL 5.02 04/03/07 J P MORGAN CHASE & CO DE 9.01 04/06/07 JAGGED PEAK, INC. NV 7.01,9.01 04/10/07 KAANAPALI LAND LLC 1.01,9.01 04/09/07 KAPSTONE PAPER & PACKAGING CORP DE 5.02,9.01 04/05/07 KATY INDUSTRIES INC DE 3.01,9.01 04/10/07 KAYNE ANDERSON ENERGY DEVELOPMENT CO MD 8.01,9.01 04/09/07 KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 04/10/07 KH FUNDING CO MD 5.02 04/10/07 Kreido Biofuels, Inc. NV 1.01,5.02,8.01,9.01 04/02/07 LAIDLAW INTERNATIONAL INC DE 7.01,9.01 04/10/07 LCNB CORP OH 7.01,9.01 04/10/07 LEVI STRAUSS & CO DE 2.02,7.01,9.01 04/10/07 LHC Group, Inc 8.01,9.01 04/04/07 LIQUITEK ENTERPRISES INC NV 8.01 04/09/07 LODGENET ENTERTAINMENT CORP DE 1.01,2.03,3.03,8.01,9.01 04/10/07 LPATH, INC NV 1.01,3.02,5.02,5.03,9.01 04/06/07 LUCAS ENERGY, INC. NV 4.01,9.01 04/04/07 LUNA INNOVATIONS INC 5.02 04/10/07 LUNA INNOVATIONS INC 1.01 04/04/07 MAGUIRE PROPERTIES INC MD 1.01,1.02 04/04/07 MASTERCARD INC DE 8.01,9.01 04/10/07 MASTERCARD INC DE 8.01,9.01 04/10/07 MERIX CORP OR 5.02,9.01 04/04/07 Merrill Lynch Alternative Note Asset DE 8.01,9.01 03/26/07 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 04/02/07 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 04/02/07 MITCHAM INDUSTRIES INC TX 2.02,9.01 04/10/07 MOBILE MINI INC DE 8.01,9.01 04/09/07 MORGAN STANLEY DE 8.01,9.01 04/10/07 MOSAIC CO 2.02,9.01 04/09/07 MOSCOW CABLECOM CORP DE 3.01,8.01,9.01 04/07/07 MOTOROLA INC DE 5.02 04/05/07 MV Oil Trust DE 7.01,9.01 04/09/07 NATIONAL SECURITY GROUP INC DE 7.01,9.01 04/05/07 NCT GROUP, INC. DE 1.01,2.03,3.02 04/04/07 NEOMEDIA TECHNOLOGIES INC DE 1.01,2.01,9.01 04/04/07 NEPTUNE INDUSTRIES, INC. FL 5.02,8.01 04/04/07 Neuralstem, Inc. DE 5.02,8.01,9.01 04/10/07 NEUSTAR INC 2.02,5.02,7.01,9.01 04/04/07 New Oriental Energy & Chemical Corp. DE 5.02,8.01,9.01 04/05/07 NEWTEK BUSINESS SERVICES INC NY 8.01,9.01 04/09/07 NEXT INC/TN DE 2.02,7.01,9.01 04/09/07 North Atlantic Holding Company, Inc. DE 1.01,8.01,9.01 04/04/07 NORTH ATLANTIC TRADING CO INC NY 1.01,8.01,9.01 04/04/07 NORTH STATE BANCORP NC 2.02,9.01 04/10/07 NUCRYST Pharmaceuticals Corp. A0 8.01,9.01 04/10/07 OMNICELL INC /CA/ CA 5.02,9.01 04/04/07 OVERHILL FARMS INC NV 8.01 04/10/07 PACIFIC CMA INC DE 5.02 04/04/07 PENFORD CORP WA 2.02,9.01 04/09/07 PEOPLES BANCORP INC OH 5.02,8.01,9.01 04/10/07 PEP BOYS MANNY MOE & JACK PA 4.01,9.01 04/10/07 PETROLEUM DEVELOPMENT CORP NV 1.01,9.01 03/16/06 AMEND PHARMACOPEIA DRUG DISCOVERY INC DE 8.01,9.01 04/10/07 PLY GEM HOLDINGS INC DE 7.01,9.01 04/10/07 PLY GEM HOLDINGS INC DE 1.01,9.01 04/09/07 PowerShares DB Commodity Index Tracki 5.02 04/09/07 PowerShares DB G10 Currency Harvest F DE 5.02 04/09/07 PowerShares DB Multi-Sector Commodity DE 5.02 04/09/07 PowerShares DB US Dollar Index Trust DE 5.02 04/09/07 PREFERREDPLUS TRUST SERIES MSD-1 DE 8.01,9.01 04/02/07 PRESSTEK INC /DE/ DE 8.01 04/10/07 PRESSTEK INC /DE/ DE 8.01,9.01 04/10/07 PRINCIPAL LIFE INCOME FUNDINGS TRUST 8.01,9.01 04/02/07 Propex Inc. DE 4.01,9.01 04/04/07 PROQUEST CO DE 5.04,9.01 04/10/07 PUBLIC MEDIA WORKS INC 1.01,9.01 04/06/07 QLOGIC CORP DE 8.01,9.01 04/10/07 QNB CORP PA 4.01,9.01 04/10/07 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03,9.01 04/04/07 QUEST RESOURCE CORP NV 5.02,9.01 04/09/07 QUEST RESOURCE CORP NV 5.02,9.01 04/09/07 AMEND REFAC OPTICAL GROUP DE 3.01,9.01 04/09/07 REMINGTON ARMS CO INC/ DE 8.01,9.01 04/04/07 RENOVIS INC DE 1.01,8.01,9.01 04/09/07 REUNION INDUSTRIES INC DE 3.01 04/04/07 RF MICRO DEVICES INC NC 1.01,2.03,3.02,9.01 04/04/07 RICHARDSON ELECTRONICS LTD/DE DE 7.01 04/05/07 ROADHOUSE GRILL INC FL 1.01,2.03,8.01,9.01 04/06/07 ROCKWELL AUTOMATION INC DE 8.01 04/10/07 Rosetta Resources Inc. DE 7.01,9.01 04/10/07 ROYAL GOLD INC DE 8.01,9.01 04/10/07 SANGUINE CORP NV 3.02,8.01,9.01 04/04/07 SBT Bancorp, Inc. CT 8.01,9.01 04/09/07 SCHOOL SPECIALTY INC WI 5.02 12/07/06 AMEND SCHWAB CHARLES CORP DE 5.02 04/09/07 SEAGATE TECHNOLOGY E9 2.02,9.01 04/09/07 SEALY CORP DE 2.02,9.01 04/04/07 Security Capital Assurance Ltd D0 1.01,3.02,9.01 04/05/07 Select Notes Trust LT 2004-1 DE 8.01,9.01 04/02/07 SEPRACOR INC /DE/ DE 8.01 04/05/07 SERVICE CORPORATION INTERNATIONAL TX 1.01,2.03,8.01,9.01 04/09/07 SHARPS COMPLIANCE CORP DE 5.02,9.01 04/09/07 SHAW GROUP INC LA 2.02,9.01 04/04/07 ShengdaTech, Inc. 7.01,9.01 04/10/07 Shire plc 8.01,9.01 04/10/07 SILICON GRAPHICS INC DE 5.02,9.01 04/09/07 Sinoenergy CORP NV 2.02,9.01 04/10/07 Skinny Nutritional Corp. 1.01,2.03 04/04/07 SoftBrands, Inc. DE 2.02,9.01 04/10/07 Specialty Underwriting & Residential DE 8.01,9.01 03/26/07 STEAKHOUSE PARTNERS INC DE 5.02 04/06/07 STEN CORP MN 1.01,2.03,9.01 04/05/07 STEWART ENTERPRISES INC LA 5.02 04/05/07 Storm Cat Energy CORP 5.02,9.01 04/09/07 STREAMLINE HEALTH SOLUTIONS INC. DE 8.01 04/09/07 STRUCTURED PROD CORP TIERS CORP BND-B DE 8.01,9.01 04/02/07 STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 04/02/07 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 04/02/07 SUFFOLK BANCORP NY 2.02 04/10/07 SUNWIN INTERNATIONAL NEUTRACEUTICALS, 8.01,9.01 04/09/07 SUPERIOR ENERGY SERVICES INC DE 8.01,9.01 04/09/07 SYNERGY BRANDS INC DE 2.03,9.01 04/05/07 Tank Sports, Inc. CA 1.01,2.01,3.02,9.01 01/30/07 AMEND Tarpon Industries, Inc. MI 3.02 04/06/07 TECUMSEH PRODUCTS CO MI 1.01,3.02,3.03,5.02,7.01,9.01 04/09/07 TEJON RANCH CO DE 8.01,9.01 04/10/07 TETRIDYN SOLUTIONS INC NV 5.02 04/09/07 TJX COMPANIES INC /DE/ DE 1.01,9.01 04/09/07 TNS INC 5.02,9.01 04/09/07 TORTUGA MEXICAN IMPORTS INC NV 5.03,9.01 04/09/07 TRICO MARINE SERVICES INC DE 1.01,3.03,5.03,8.01,9.01 04/09/07 TRIMERIS INC DE 5.02 04/04/07 TURBODYNE TECHNOLOGIES, INC NV 5.02 04/06/07 TVIA INC DE 4.02,9.01 04/09/07 U S GOLD CORP CO 7.01,8.01,9.01 04/10/07 UIL HOLDINGS CORP CT 7.01,9.01 04/10/07 UNIT CORP DE 1.01,9.01 04/09/07 UNITED COMMUNITY BANKS INC GA 7.01,9.01 04/10/07 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 5.02 04/10/07 USANA HEALTH SCIENCES INC UT 8.01,9.01 04/10/07 VERTICAL BRANDING, INC. DE 8.01,9.01 04/04/07 VIACELL INC 5.02 04/04/07 WaMu Asset Acceptance Corp. DE 9.01 04/10/07 WaMu Mortgage Pass-Through Certificat DE 9.01 03/26/07 WATAIRE INTERNATIONAL, INC. WA 3.02,9.01 04/06/07 WIFIMED HOLDINGS COMPANY, INC. NV 3.02,7.01,9.01 03/09/07 WINMARK CORP MN 1.01,9.01 04/05/07 WORLD ENERGY SOLUTIONS, INC. FL 8.01 04/10/07 WQN, Inc. 8.01,9.01 04/10/07 WRIGLEY WM JR CO DE 8.01 04/10/07 XANSER CORP DE 7.01 04/10/07 XCEL ENERGY INC MN 2.02,9.01 04/10/07 XECHEM INTERNATIONAL INC DE 1.01,3.02,5.02,9.01 04/04/07 XM SATELLITE RADIO HOLDINGS INC DE 5.02,9.01 04/10/07 YELLOWCAKE MINING INC. 1.01,9.01 04/05/07 ZEROS & ONES INC NV 1.01,8.01,9.01 03/26/07 ZEROS & ONES INC NV 8.01,9.01 04/02/07