SEC NEWS DIGEST Issue 2007-129 July 6, 2007 RULES AND RELATED MATTERS SMALLER REPORTING COMPANY REGULATORY RELIEF AND SIMPLIFICATION On July 5, the Commission issued a release, approved at an open meeting on May 23, 2007, proposing amendments that would provide regulatory relief and simplification in preparing annual, periodic, and current reports and registration statements for companies that qualify for the Commission's scaled disclosure requirements for smaller reporting companies; increase the number of smaller reporting companies that qualify for the Commission's scaled disclosure requirements; maintain the current scaled disclosure requirements in Regulation S-B, but integrate them into Regulation S-K; and eliminate the Commission's "SB" forms. The comment period for the proposed amendments will close 60 days after publication in the Federal Register. (Rels. 33-8819; 34-56013; 39-2447; File No. S7 15 07) ENFORCEMENT PROCEEDINGS IN THE MATTER OF TIMOTHY O'CONNELL On July 5, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 Making Findings and Imposing Remedial Sanctions against Timothy J. O'Connell. The Order finds that from Aug. 4, 1997, through Feb. 16, 2005, Merrill Lynch, Pierce, Fenner, & Smith, Inc., a registered broker-dealer and investment adviser, employed O'Connell as a registered representative in its Garden City, N.Y. O'Connell has had a Series 7 license since July 1995. For a portion of the time in which he engaged in the conduct underlying the indictment described below, O'Connell was a registered representative associated with a broker- dealer and investment adviser registered with the Commission. O'Connell, 42 years old, is a resident of Carle Place, N.Y. The Order further finds that on May 10, 2007, a jury convicted O'Connell of making false statements under Title 18, U.S.C. Chapter 47, Sections 1001(a)(1) and 1001(a)(2), a felony, and for witness tampering under Title 18, U.S.C. Sections 1512(b)(1), 1512(b)(2)(A) and 1512(b)(3), a felony. USA v. Mahaffy, et al., 1:05-cr-00613 (ILG) (E.D.N.Y.). The counts of the indictment in the case in which O'Connell was convicted alleged, inter alia, that (a) O'Connell knowingly and willfully concealed material facts and made a materially false, fictitious and fraudulent statement and representation in a matter within the jurisdiction of the executive branch of the Government of the United States, to wit, the United States Postal Inspection Service, in that O'Connell falsely stated that he never provided anyone with access to Merrill's Squawk Boxes; and (b) O'Connell knowingly, intentionally and corruptly persuaded and engaged in misleading conduct toward Jane Doe, with intent to influence and prevent the testimony of Jane Doe in an official proceeding, to wit, the Grand Jury Investigation, to cause and induce Jane Doe to withhold testimony from an official proceeding, to wit, the Grand Jury Investigation, and to hinder, delay and prevent the communication to a law enforcement officer of the United States, to wit, a United States Postal Inspector, of information relating to the commission and possible commission of the federal offenses charged in the indictment. Based on the above, the Order bars O'Connell from association with any broker, dealer, or investment adviser. O'Connell consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rels. 34-56018; IA-2615; File No. 3-12676) COMMISSION REVOKES REGISTRATION OF SECURITIES OF UPSIDE DEVELOPMENT, INC. (n/k/a AMOROCORP) FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On July 6, the Commission revoked the registration of each class of registered securities of Upside Development, Inc., n/k/a Amorocorp (AORO), for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the order, except as to jurisdiction, which it admitted, AORO consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to AORO finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of AORO's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against AORO in In the Matter of Laminaire Corp. (n/k/a Cavico Corp.), et al., Administrative Proceeding File No. 12658. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information contact Gregory G. Faragasso, Assistant Director, (202) 551-4734, or Neil J. Welch, Jr., Branch Chief, (202) 551-4731, SEC Division of Enforcement. See also the Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Laminaire Corp. (n/k/a Cavico Corp.), et al., Administrative Proceeding File No. 12658, Exchange Act Release No. 55901 (June 13, 2007). (Rel. 34-56019; File No. 3-12658) IN THE MATTER OF GEOFFREY GISH On July 6, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Geoffrey A. Gish. The Order finds that from February 2004 through May 2006, Gish misrepresented and omitted material facts in connection with the offer and sale of securities in three different programs, Lexington International Fund, LLC a/k/a Lexington International Fund, Inc.; Zamindari Capital, LLC; and Oxford Adams Capital, LLC. Further, in connection with the offer and sale of these securities, the Order finds that Gish misrepresented, among other things, that these programs historically generated returns ranging between 44% to over 100% per year, and had minimal risk of loss. Gish misappropriated investor funds for his own personal use and operated the programs as a Ponzi scheme, with funds commingled and withdrawals to investors funded by new investor money. Gish also sold unregistered securities. On June 14, 2007, a final judgment was entered by consent against Gish, enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled SEC v. Geoffrey A. Gish, et al., Civil Action File Number 1:06-CV-1171, in the United States District Court for the Northern District of Georgia. Based on the above, the Order bars Gish from association with any investment adviser. Gish consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. IA-2616; File No. 3-12677) IN THE MATTER OF HAIDAR CAPITAL MANAGEMENT, LLC, HAIDAR CAPITAL ADVISORS, LLC AND SAID HAIDAR On July 6, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing a Cease-and-Desist Order, and Imposing Remedial Sanctions, Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e) and (f) of the Advisers Act, and Sections 9(b) and (d) of the Investment Company Act against Haidar Capital Management, LLC, Haidar Capital Advisors, LLC (collectively Haidar Advisors) and their managing member and sole stockholder, Said N. Haidar. The Order finds that Haidar Advisors and Haidar engaged in deceptive tactics, such as using multiple accounts, utilizing broker-dealers who used multiple registered representative numbers and purchasing variable annuities, to hide Haidar Advisors' identities from mutual funds, and otherwise facilitate their market timing strategies. From April 2001 to September 2003, Haidar Advisors traded an average of approximately $143 million in U.S. mutual funds and annuities through a market timing strategy that Haidar Advisors' traders executed. Haidar Advisors earned in excess of $3.3 million in management and advisory fees from its market timing trading. Based on the above, the Order finds that Haidar Advisors and Haidar willfully violated Section 17(a)(3) of the Securities Act of 1933. The Order requires them to cease and desist from committing or causing any violations and any future violations of Section 17(a)(3) of the Securities Act. The Order further directs Haidar Advisors and Haidar, jointly and severally, to pay disgorgement of $3,300,000, pre-judgment interest of $1,180,000, and a civil penalty of $100,000. The Order also censures Haidar Advisors and requires them to comply with certain undertaking specified in the Order, including the retention of independent compliance consultant. Haidar Advisors and Haidar consented to the entry of the Order without admitting or denying the findings in the Order. (Rels. 33-8820; IA-2617; IC-27883; File No. 3- 12678) SEC FILES AMENDED COMPLAINT ADDING FRAUD CHARGES AGAINST GLOBAL ONLINE DIRECT INC, BRYANT BEHRMANN, AND LARRY "BUCK" E. HUNTER The Commission announced today that it has amended its previously filed complaint in the United States District Court for the Northern District of Georgia to add fraud charges against Global Online Direct, Inc., a Nevada corporation headquartered in Union, Ore., and its principals, Bryant E. Behrmann, of Las Vegas, Nev., and Larry "Buck" E. Hunter, of La Grande, Ore. The amended complaint, which was filed on July 3, 2007, charges that, since at least October 2005, Global, Behrmann and Hunter have orchestrated a massive Ponzi scheme and conducted an unregistered offering of securities through Global's "Secured Profit Inventory Program" (SPIP). Global, Behrmann and Hunter solicited investors to "loan" Global funds for a term of one year in exchange for promised daily interest payments. Depending on the amount invested, Global promised effective annual returns of more than 1,800%. Global purported to generate revenue sufficient to pay investors their promised returns by pooling investor proceeds to purchase distressed inventory, which Global then claimed to resell through various online auction websites, including Ebay and Yahoo! Auctions, as well as through flea markets, street sales and retail storefronts. From October 2005 through March 2007, Global raised approximately $45 million from more than 9,000 investors. The amended complaint further alleges that Global, Behrmann and Hunter failed to disclose to investors that Global's purported business model was wholly incapable of generating the returns promised to investors, and that the vast majority of the returns paid to existing investors were in fact the proceeds invested by later investors - the key hallmark of a Ponzi scheme. Global, Behrmann, and Hunter also failed to disclose other material information to investors, including that as of March 2007, Global was more than $30 million in arrears in honoring investor withdrawal requests and owed investors approximately $265 million - an amount more than $250 million in excess of all assets of Global; even though they had promised investors that their investments were "secured and backed by actual product inventories," they had taken no steps to secure or tie any individual investment to any actual product inventory, and the total value of the inventory was only a tiny fraction of the investments purportedly secured; Global maintained no effective bookkeeping or accounting systems, and thus were completely incapable of tracking or identifying the amounts invested by investors, the returns paid to investors, the cost of inventory purchased, and the proceeds generated through inventory sales; and state cease-and-desist and injunctive orders for prior violations of securities laws had been entered against Global by the states of Pennsylvania and South Dakota, against Behrmann by the states of North Dakota, Pennsylvania and South Dakota, and against Hunter by the states of Idaho, Illinois, Minnesota, North Dakota, Oregon, Pennsylvania, South Dakota and Washington. Additionally, while representing to investors that Behrmann was an attorney and a former judge, the defendants failed to disclose that his law license had been suspended since 1999 for professional misconduct and that the Idaho Supreme Court had found Behrmann to have engaged in "conduct involving dishonesty, fraud, deceit or misrepresentation in course of his practice of law." The amended complaint further alleges that Global, Behrmann and Hunter violated the securities registration provisions of Sections 5(a) and (c) of the Securities Act of 1933 and the antifraud provisions of Section 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. The amended complaint seeks preliminary and permanent injunctions, an accounting, an asset freeze, disgorgement of ill-gotten gains, prejudgment interest and civil penalties against Global, Behrmann and Hunter. The litigation remains pending as to all parties. [SEC v. Global Online Direct, Inc., Bryant E. Behrmann, and Larry "Buck" E. Hunter, Civil Action No 1:07-CV-0767, N.D. Ga., filed April 5, 2007] (LR- 20183) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASD-2007-046) filed by NASD to allow NASD members to use the NASD/Nasdaq Trade Reporting Facility to process transaction fees charged by one member to another member has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of July 9. (Rel. 34-56007) A proposed rule change filed by the International Securities Exchange relating to fee changes (SR-ISE-2007-51) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 9. (Rel. No. 34-56009) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change, as modified by Amendment No. 1 thereto, filed by the National Stock Exchange (SR-NSX- 2007-07) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to market data revenue credits for transactions executed through NSX BLADE. Publication is expected in the Federal Register during the week of July 9. (Rel. 34-56008) 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: . S-3 ISTA PHARMACEUTICALS INC, 15295 ALTON PARKWAY, IRVINE, CA, 92618, 949-788-6000 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-144344 - Jul. 5) (BR. 01A) S-3 ISTA PHARMACEUTICALS INC, 15295 ALTON PARKWAY, IRVINE, CA, 92618, 949-788-6000 - 5,250,000 ($39,060,000.00) Equity, (File 333-144345 - Jul. 5) (BR. 01A) S-4 ASBURY AUTOMOTIVE GROUP INC, 622 THIRD AVENUE, 37TH FLOOR, NEW YORK, NY, 10017, 2128852500 - 0 ($150,000,000.00) Other, (File 333-144346 - Jul. 5) (BR. 02B) SB-2 ONE EARTH ENERGY LLC, 1306 WEST 8TH ST, GIBSON CITY, IL, 60936, 217-784-4284 - 0 ($24,610,000.00) Equity, (File 333-144347 - Jul. 5) (BR. 06A) S-1 United States 12 Month Oil Fund, LP, 1320 HARBOR BAY PARKWAY, SUITE 145, ALAMEDA, CA, 94502, (415) 584-1927 - 1,000,000 ($50,000,000.00) Equity, (File 333-144348 - Jul. 5) (BR. 08) S-3 KMG CHEMICALS INC, 10611 HARWIN, SUITE 402, HOUSTON, TX, 77036, 7139889252 - 0 ($27,370,000.00) Equity, (File 333-144349 - Jul. 5) (BR. 06C) S-8 EAGLE BROADBAND INC, 101 COURAGEOUS DRIVE, LEAGUE CITY, TX, 77573, 2815386000 - 2,500,000 ($225,000.00) Equity, (File 333-144350 - Jul. 5) (BR. 11C) SB-2 Benda Pharmaceutical, Inc., 65 NORWOOD AVENUE, UPPER MONTCLAIR, NJ, 07043, 9737831117 - 0 ($112,083,858.00) Equity, (File 333-144351 - Jul. 5) (BR. 01C) S-8 CHINA EXPERT TECHNOLOGY, INC., RM 2611-13 GREAT EAGLE CENTRE, 23 HARBOUR ROAD, WANCHAI, K3, 00000, 852 2802 1555 - 618,040 ($3,838,436.59) Equity, (File 333-144353 - Jul. 5) (BR. 09A) S-8 TURNER VALLEY OIL & GAS INC, 3131 S W FREEWAY, HOUSTON, TX, 77098, 9492489561 - 5,000,000 ($400,000.00) Equity, (File 333-144354 - Jul. 5) (BR. 04C) S-8 Tyco Electronics Ltd., 90 PITTS BAY ROAD, 2ND FL, PEMBROKE, D0, HM08, (441) 298-9732 - 0 ($1,281,900,467.00) Equity, (File 333-144355 - Jul. 5) (BR. 10) S-8 ASML HOLDING NV, DE RUN 6501, DR VELDHOVEN, P7, 5504, 31402683000 - 0 ($16,875,076.79) Equity, (File 333-144356 - Jul. 5) (BR. 10A) S-1 CLEARWIRE CORP, 4400 CARILLON POINT, KIRKLAND, WA, 98033, 425-216-7600 - 14,531,138 ($358,773,797.22) Equity, (File 333-144357 - Jul. 5) (BR. 11B) S-8 ADZONE RESEARCH INC, 4062-80 GRUMMAN BLVD, SUITE 201, CALVERTON, NY, 11933, 631-369-1100 - 47,000,000 ($329,000.00) Equity, (File 333-144358 - Jul. 5) (BR. 06C) S-8 CARDIOGENESIS CORP /CA, 11 MUSICK, IRVINE, CA, 92618, 9494201800 - 1,650,000 ($478,500.00) Equity, (File 333-144359 - Jul. 5) (BR. 10A) S-8 MARSHALL & ILSLEY CORP/WI/, ATTN: OFFICE OF THE GENERAL COUNSEL, 770 NORTH WATER STREET, MILWAUKEE, WI, 53202, 4147657801 - 200,000 ($5,264,013.44) Equity, (File 333-144360 - Jul. 5) (BR. 07A) SB-2 STALLION GROUP, 604 - 700 WEST PENDER STREET, VANCOUVER, A1, V6C 1G8, (604) 760-6468 - 22,831,496 ($15,525,417.28) Equity, (File 333-144361 - Jul. 5) (BR. 04A) S-3 Cougar Biotechnology, Inc., 10990 WILSHIRE BLVD., SUITE 1200, LOS ANGELES, CA, 90024, 310 943 8040 - 0 ($93,039,779.55) Equity, (File 333-144362 - Jul. 5) (BR. 01A) S-1 GULFSTREAM INTERNATIONAL GROUP INC, 3201 GRIFFIN ROAD, 4TH FLOOR, FORT LAUDERDALE, FL, 33312, 954-985-1500 - 0 ($14,950,000.00) Equity, (File 333-144363 - Jul. 5) (BR. ) S-4 AMERICAN PACIFIC CORP, 3770 HOWARD HUGHES PKWY STE 300, LAS VEGAS, NV, 89109, 7027352200 - 0 ($110,000,000.00) Non-Convertible Debt, (File 333-144364 - Jul. 5) (BR. 06C) S-3 AMERICAN MOLD GUARD INC, 9272 JERONIMO ROAD, SUITE 122, IRVINE, CA, 92618, 9494586653 - 692,310 ($1,280,773.50) Equity, 461,540 ($166,154.40) Other, (File 333-144365 - Jul. 5) (BR. 08C) 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 Pacific Bancorp CA 1.01,2.01,2.03,5.02,9.01 06/28/07 ABX AIR INC 7.01,9.01 06/28/07 ACACIA AUTOMOTIVE INC TX 3.02 06/25/07 ACCREDITED HOME LENDERS HOLDING CO DE 1.01,2.03 06/28/07 Accredited Mortgage Loan REIT Trust MD 1.01,2.03 07/05/07 ACT TELECONFERENCING INC CO 1.01,2.03,5.02 06/28/07 ACUITY BRANDS INC DE 8.01,9.01 06/29/07 ACURA PHARMACEUTICALS, INC NY 1.01,9.01 06/28/07 ADVENT SOFTWARE INC /DE/ DE 5.02,9.01 06/29/07 AFP IMAGING CORP NY 2.01,9.01 04/19/07 AMEND AIRTRAN HOLDINGS INC NV 7.01,8.01 07/05/07 Aleris International, Inc. DE 2.02,9.01 07/05/07 ALGODYNE ETHANOL ENERGY CORP. NV 5.02 05/22/07 ALICO INC FL 7.01,9.01 07/05/07 ALLSTATE LIFE GLOBAL FUNDING DE 9.01 06/28/07 ALLSTATE LIFE INSURANCE CO 9.01 06/28/07 Alpha Natural Resources, Inc. DE 1.01,9.01 06/28/07 ALPHARMA INC DE 5.02 06/28/07 Alternative Loan Trust 2007-AL1 DE 8.01,9.01 06/19/07 AMERICAN AIRLINES INC DE 1.01 07/05/07 AMERICAN ENERGY PRODUCTION INC 2.02,7.01,9.01 07/05/07 AMERICAN MORTGAGE ACCEPTANCE CO MA 1.01,9.01 06/29/07 AMERICAN PACIFIC CORP DE 8.01,9.01 07/05/07 AMERICAN URANIUM CORP NV 1.01,3.02,9.01 06/15/07 AMERICREDIT CORP TX 1.01,2.03,9.01 06/28/07 AMERIGON INC MI 8.01,9.01 07/03/07 AMERIGROUP CORP 1.01 07/05/07 AMR CORP DE 1.01 07/05/07 Amtrust Financial Services, Inc. DE 1.01,5.05 07/02/07 ANGIODYNAMICS INC DE 8.01,9.01 07/05/07 APACHE CORP DE 5.02 07/02/07 APOLLO GROUP INC AZ 5.02 06/27/07 AMEND APPLIED DIGITAL SOLUTIONS INC MO 1.01,1.02,9.01 06/28/07 ARCH CHEMICALS INC VA 5.02 07/05/07 ARGENTEX MINING CORP NV 3.02 07/04/07 ASBURY AUTOMOTIVE GROUP INC DE 5.02 06/28/07 ASIA PAYMENT SYSTEMS INC NV 4.01,9.01 06/05/07 AMEND ASPEN TECHNOLOGY INC /DE/ DE 1.01 06/28/07 ASSURANT INC 8.01,9.01 07/05/07 ATLAS AIR WORLDWIDE HOLDINGS INC DE 1.01,7.01,9.01 06/28/07 ATS MEDICAL INC MN 1.01,1.02,2.01,5.02,9.01 06/28/07 AURORA GOLD CORP DE 3.02,9.01 07/03/07 AUTOBYTEL INC DE 1.01,9.01 06/29/07 AVANIR PHARMACEUTICALS CA 1.01,5.02 07/01/07 BALTIMORE GAS & ELECTRIC CO MD 1.01,8.01,9.01 06/29/07 BANCINSURANCE CORP OH 8.01,9.01 07/05/07 BANK OF FLORIDA CORP FL 2.01,7.01,9.01 04/24/07 AMEND Bank of New York Mellon CORP 3.03,9.01 07/02/07 BARRETT BUSINESS SERVICES INC MD 7.01,9.01 07/03/07 BCSB BANKCORP INC 4.02 07/03/07 BIOJECT MEDICAL TECHNOLOGIES INC OR 5.02,9.01 07/02/07 BKF CAPITAL GROUP INC DE 5.02,9.01 07/01/07 BOSTON CAPITAL TAX CREDIT FUND IV LP DE 8.01 03/31/07 BOSTON CAPITAL TAX CREDIT FUND V LP 8.01 03/31/07 BOSTON CAPITAL TAX CREDIT FUND V LP 8.01 03/31/07 BOSTON CAPITAL TAX CREDIT FUND V LP 8.01 03/31/07 BRAINSTORM CELL THERAPEUTICS INC 1.01,3.02,5.02,9.01 07/02/07 C-COR INC PA 8.01,9.01 06/29/07 CALGON CARBON CORPORATION DE 8.01 07/05/07 CAMPBELL FUND TRUST MD 3.02 07/01/07 CanAm Uranium Corp NV 4.02 06/25/07 CANARGO ENERGY CORP DE 7.01,9.01 07/04/07 CARDTRONICS INC DE 8.01 07/05/07 CARTOON ACQUISITION, INC. DE 2.02,8.01,9.01 09/08/06 AMEND CASPIAN SERVICES INC NV 1.01,9.01 06/28/07 CATCHER HOLDINGS, INC 1.01,3.02,9.01 06/28/07 CBOT HOLDINGS INC DE 8.01,9.01 07/03/07 CENTERLINE HOLDING CO DE 1.01,9.01 06/29/07 CERAGENIX PHARMACEUTICALS, INC. DE 8.01,9.01 06/29/07 CHILDRENS PLACE RETAIL STORES INC 1.01,2.03 06/28/07 CHINA WORLD TRADE CORP NV 1.01 06/29/07 CHINAWE COM INC CA 4.01,9.01 06/29/07 CIGMA METALS CORP FL 8.01,9.01 07/03/07 CINCINNATI FINANCIAL CORP OH 1.01,2.03,9.01 06/30/07 CIT GROUP INC DE 8.01,9.01 07/05/07 CITIGROUP DIVERSIFIED FUTURES FUND LP 3.02 07/01/07 CITIGROUP FAIRFIELD FUTURES FUND LP I 3.02 07/01/07 CKRUSH, INC. DE 1.01,1.02,5.02,9.01 06/28/07 CLAIBORNE LIZ INC DE 5.02,9.01 06/28/07 CLEARWIRE CORP 1.01,2.03,7.01,9.01 07/03/07 CMS ENERGY CORP MI 8.01,9.01 07/03/07 COGNOS INC CA 7.01,9.01 07/05/07 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 1.01 07/03/07 Constellation Energy Partners LLC DE 9.01 04/23/07 AMEND COOPER TIRE & RUBBER CO DE 5.02 06/29/07 COOPERATIVE BANKSHARES INC NC 8.01,9.01 07/02/07 Copano Energy, L.L.C. DE 8.01,9.01 06/29/07 COPART INC CA 1.01 07/02/07 Covidien Ltd. D0 1.01,2.03,5.02,5.03,9.01 06/28/07 CRYOCOR INC DE 5.02 06/28/07 CTS CORP IN 5.02,9.01 06/28/07 CytoCore Inc DE 4.01,9.01 06/29/07 DANA CORP VA 8.01 06/30/07 DATAJUNGLE SOFTWARE INC NV 1.01,3.02 06/28/07 DAVITA INC DE 1.02,9.01 07/02/07 DCP Holding CO OH 3.02 06/28/07 DEEP WELL OIL & GAS INC NV 1.01,3.02,9.01 06/22/07 DELCATH SYSTEMS INC DE 5.02,9.01 07/02/07 DELTA WOODSIDE INDUSTRIES INC /SC/ SC 1.01,9.01 06/28/07 DEPOMED INC CA 1.01,1.02 07/05/07 Deutsche Alt-A Securities Mortgage Lo 1.01,1.02,6.02,9.01 07/05/07 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 07/05/07 DIGITAL ANGEL CORP DE 1.01,1.02,2.01,9.01 06/28/07 Discover Financial Services DE 1.01,3.03,5.02,5.03,8.01,9.01 06/28/07 DISTRIBUTED ENERGY SYSTEMS CORP DE 5.02 06/28/07 DOLLAR FINANCIAL CORP DE 5.02,9.01 06/28/07 DOUBLE EAGLE PETROLEUM CO MD 1.01,3.03,7.01,9.01 07/01/07 Duke Energy CORP DE 1.01,9.01 06/28/07 EARTH BIOFUELS INC DE 1.01,9.01 06/15/07 Education Management LLC DE 1.01,5.02,9.01 06/28/07 EINSTEIN NOAH RESTAURANT GROUP INC DE 1.01,1.02,2.03,9.01 06/28/07 ELANDIA, INC. DE 2.01,2.03,2.04,3.02,5.02,9.01 06/28/07 ELECTRO SCIENTIFIC INDUSTRIES INC OR 5.03,9.01 07/03/07 EMERGING VISION INC NY 1.01,2.01,9.01 06/29/07 ENERGY WEST INC MT 1.01,1.02,2.03,2.04 05/21/07 ENTERPRISE BANCORP INC /MA/ MA 8.01 07/03/07 ENTRUST INC MD 2.02,9.01 07/04/07 EPOCH HOLDING CORP DE 8.01,9.01 07/05/07 EQUITABLE FINANCIAL CORP 5.02 07/03/07 EQUITABLE RESOURCES INC /PA/ PA 1.01 07/03/07 EXPLORATION DRILLING INTERNATIONAL IN NV 3.02 06/28/07 FBR CAPITAL MARKETS CORP 8.01 07/05/07 Federal Home Loan Bank of Atlanta X1 2.03 07/02/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/02/07 Federal Home Loan Bank of Dallas 2.03 06/28/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/03/07 Federal Home Loan Bank of New York X1 2.03,9.01 07/02/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/02/07 Federal Home Loan Bank of San Francis X1 2.03 07/02/07 Federal Home Loan Bank of Seattle 2.03 07/05/07 FGBC Bancshares, Inc. GA 5.02 07/01/07 FIELDSTONE INVESTMENT CORP 1.01 06/28/07 FIRST AVIATION SERVICES INC DE 3.01,7.01,9.01 07/03/07 FIRST AVIATION SERVICES INC DE 9.01 07/03/07 AMEND FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01 07/03/07 FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02,9.01 07/03/07 First Source Data, Inc. NV 1.01,9.01 04/30/07 FIRST STATE BANCORPORATION NM 5.02,9.01 06/29/07 FIRSTCITY FINANCIAL CORP DE 7.01,9.01 07/03/07 Flagstone Reinsurance Holdings Ltd 1.01,2.03,8.01,9.01 06/28/07 FLIGHT SAFETY TECHNOLOGIES INC NV 8.01,9.01 07/05/07 FLOW INTERNATIONAL CORP WA 5.02,9.01 07/03/07 FNB FINANCIAL SERVICES CORP NC 1.01,9.01 06/29/07 FRIEDMAN BILLINGS RAMSEY GROUP INC VA 8.01 07/05/07 FRIENDLY ICE CREAM CORP MA 1.01,3.03,9.01 07/03/07 FUQI INTERNATIONAL, INC. DE 5.02,9.01 06/29/07 FX ENERGY INC NV 1.01,7.01,9.01 07/05/07 GameStop Corp. DE 5.02,8.01,9.01 07/03/07 GENAERA CORP DE 1.02,8.01,9.01 06/29/07 GENERAL MOTORS CORP DE 1.01,9.01 07/05/07 GOLDEN EAGLE INTERNATIONAL INC CO 1.01,1.02,2.02,3.02,9.01 06/27/07 GRAMERCY CAPITAL CORP MD 1.01,8.01,9.01 06/28/07 GRAN TIERRA ENERGY, INC. NV 5.02 06/26/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 06/29/07 GREATBATCH, INC. DE 1.01,1.02 06/29/07 GREATER COMMUNITY BANCORP NJ 1.01,2.03,9.01 07/02/07 GREENE COUNTY BANCORP INC DE 5.02,9.01 06/30/07 GRILL CONCEPTS INC DE 2.03 06/28/07 GSI COMMERCE INC DE 1.01,2.03,3.02,8.01,9.01 07/05/07 Guideline, Inc. NY 1.01,5.02,9.01 06/28/07 HANCOCK FABRICS INC DE 5.03,9.01 07/03/07 HANOVER COMPRESSOR CO / DE 8.01,9.01 07/03/07 HAPC, Inc. DE 1.01,9.01 06/29/07 HEALTHSOUTH CORP DE 2.01,9.01 06/29/07 HEALTHWAYS, INC DE 2.02,9.01 07/05/07 HIGHWATER ETHANOL LLC 1.01,9.01 06/28/07 HILTON HOTELS CORP DE 1.01,8.01,9.01 07/03/07 HOLMES FUNDING LTD 9.01 06/28/07 Huntsman CORP DE 8.01,9.01 07/03/07 HUNTSMAN INTERNATIONAL LLC DE 8.01,9.01 07/03/07 HYPERCOM CORP DE 2.05,2.06,5.02,9.01 06/28/07 HYPERDYNAMICS CORP DE 3.02,7.01,8.01,9.01 06/30/07 ICF International, Inc. DE 1.01,2.01,7.01,9.01 06/28/07 ICU MEDICAL INC/DE DE 8.01 07/03/07 IMERGENT INC DE 5.02,9.01 07/03/07 INDEPENDENT BANK CORP MI 5.02 07/01/07 INFOUSA INC DE 1.01,9.01 06/28/07 INNOVA PURE WATER INC /FL/ FL 2.01,5.02 06/29/07 INNOVATIVE CARD TECHNOLOGIES INC DE 8.01 07/03/07 INNUITY, INC. /UT/ UT 5.02 06/28/07 INPHONIC INC 8.01,9.01 07/02/07 INTEGRATED SILICON SOLUTION INC DE 4.01,9.01 06/28/07 INTEGRATED SURGICAL SYSTEMS INC DE 2.01,9.01 06/29/07 Interactive Brokers Group, Inc. DE 1.01,2.02,9.01 06/28/07 INTERACTIVE GAMES INC. NV 5.03,8.01,9.01 06/28/07 INTERDIGITAL COMMUNICATIONS CORP PA 1.01 06/28/07 INTERLEUKIN GENETICS INC DE 5.02,9.01 07/02/07 International Gold Resources, Inc. 3.02 07/03/07 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.01 06/29/07 IPSCO INC 1.01,9.01 07/05/07 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 07/05/07 JUNIPER GROUP INC NY 1.01,2.03,3.02,4.02,8.01,9.01 07/05/07 KAL ENERGY INC DE 5.02,7.01,9.01 06/26/07 KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 5.02 06/29/07 KOREA FUND INC MD 8.01,9.01 07/05/07 LAKES ENTERTAINMENT INC MN 1.01,9.01 06/28/07 LEGG MASON INC MD 8.01 07/05/07 LEHMAN BROTHERS HOLDINGS INC DE 9.01 06/28/07 LHC Group, Inc 8.01,9.01 07/05/07 Lifevantage Corp CO 8.01 06/28/07 Lincolnway Energy, LLC IA 8.01 07/02/07 LML PAYMENT SYSTEMS INC A1 2.01,3.02,7.01,9.01 06/29/07 Macquarie Infrastructure CO LLC DE 8.01 07/03/07 MAGNACHIP SEMICONDUCTOR LLC 1.01,9.01 06/28/07 MAGUIRE PROPERTIES INC MD 2.01,7.01,9.01 06/29/07 MARINE GROWTH VENTURES INC 1.01,9.01 07/03/07 MDC PARTNERS INC A6 5.02,7.01,9.01 06/30/07 MEDIANET GROUP TECHNOLOGIES INC NV 5.02 06/29/07 AMEND MEDICAL STAFFING NETWORK HOLDINGS INC DE 1.01,2.01,2.03,8.01,9.01 07/02/07 MEDIRECT LATINO INC FL 1.01,5.02 07/03/07 MEDQUIST INC NJ 5.02,9.01 07/03/07 MERCK & CO INC NJ 5.02,9.01 06/28/07 METALICO INC 1.01,2.03,9.01 07/03/07 Mezey Howarth Racing Stables, Inc. NV 3.02 07/04/07 MICROISLET INC NV 5.02,7.01,9.01 06/28/07 MICROISLET INC NV 5.02,7.01,9.01 06/25/07 AMEND MICROSOFT CORP WA 7.01,9.01 07/05/07 MILLENNIUM CELL INC DE 3.02 06/28/07 MOBILEMAIL (US) INC. NV 1.01,5.02,9.01 06/28/07 Monogram Biosciences, Inc. DE 8.01 07/05/07 Montagu Resources Corp. NV 5.03,7.01,9.01 07/02/07 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 06/20/07 MOTOROLA INC DE 2.05 06/29/07 MRU HOLDINGS INC DE 2.03 06/28/07 MxEnergy Holdings Inc 5.02 06/29/07 Nascent Wine Company, Inc. 3.02,9.01 06/28/07 NAUTILUS, INC. WA 5.02,8.01 06/29/07 NEPHROS INC DE 5.02,9.01 06/28/07 NEW CENTURY FINANCIAL CORP MD 1.02,2.01,5.02,8.01 06/22/07 nFinanSe Inc. NV 1.01,3.02,5.03,9.01 07/05/07 NORD RESOURCES CORP DE 2.03,8.01,9.01 07/05/07 NORTH PITTSBURGH SYSTEMS INC PA 1.01,3.03,9.01 07/01/07 ODYSSEY HEALTHCARE INC DE 1.01,1.02,9.01 06/29/07 Oilsands Quest Inc 5.02,8.01,9.01 06/28/07 Omni Financial Services, Inc. GA 8.01,9.01 07/02/07 Opteum Inc. MD 1.01,1.02,5.02,8.01,9.01 06/30/07 OPTION CARE INC/DE DE 8.01,9.01 07/02/07 ORASURE TECHNOLOGIES INC DE 1.01,9.01 06/28/07 ORGANITECH USA INC DE 8.01 07/05/07 OTELCO INC. AL 1.01,9.01 06/28/07 PACIFIC STATE BANCORP 1.01,1.02,2.03 06/26/07 PANERA BREAD CO DE 2.02,9.01 07/05/07 PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 07/05/07 PARKER DRILLING CO /DE/ DE 1.01,2.03,3.02,9.01 06/28/07 PATRICK INDUSTRIES INC IN 9.01 05/18/07 AMEND PFF BANCORP INC DE 1.01,2.03,9.01 06/26/07 AMEND PHYTOLABS, INC. MN 8.01 06/27/07 POMEROY IT SOLUTIONS INC DE 1.02,5.02,8.01,9.01 07/03/07 PRECISION OPTICS CORPORATION INC MA 5.02 06/28/07 PREMIERE GLOBAL SERVICES, INC. GA 5.02 06/29/07 PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01,3.03 07/03/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 06/29/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 06/29/07 PRINCIPAL LIFE INSURANCE CO IA 9.01 06/29/07 PROSPECT ENERGY CORP MD 8.01,9.01 07/05/07 QSGI INC. DE 8.01,9.01 06/29/07 QUEST RESOURCE CORP NV 7.01 07/05/07 RadNet, Inc. NY 7.01,9.01 07/05/07 RBC LIFE SCIENCES, INC. DE 5.02 06/30/07 ReAble Therapeutics Finance LLC DE 1.01,2.01 07/02/07 READING INTERNATIONAL INC NV 1.01,9.01 06/28/07 REFLECT SCIENTIFIC INC UT 1.01,9.01 06/29/07 REGIS CORP MN 5.02,9.01 06/28/07 RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 07/02/07 RENAISSANCE CAPITAL GROWTH & INCOME F TX 5.03,8.01,9.01 06/30/07 ROYALTECH CORP. DE 3.02 06/30/07 RUBICON FINANCIAL INC DE 1.01,9.01 06/28/07 SALOMON SMITH BARNEY AAA ENERGY FUND 3.02 07/01/07 SALOMON SMITH BARNEY ORION FUTURES FU 3.02 07/01/07 SAVVIS, Inc. DE 1.01,1.02,2.01,9.01 06/29/07 SECURED DIGITAL APPLICATIONS INC DE 5.03,8.01,9.01 07/02/07 SELECT COMFORT CORP 1.01 06/28/07 SENDTEC, INC. 4.01,9.01 06/28/07 Seneca Gaming Corp XX 8.01,9.01 07/02/07 SENETEK PLC /ENG/ 7.01,9.01 07/02/07 SERENA SOFTWARE INC DE 4.02,7.01 07/05/07 SES SOLAR INC. 8.01 07/02/07 SK3 Group, Inc. DE 7.01,9.01 06/28/07 SL GREEN REALTY CORP MD 1.01,1.02,2.03,8.01,9.01 06/28/07 SM&A DE 1.02,5.02 07/02/07 AMEND Smartec Holdings Inc. NV 4.01,9.01 07/01/07 SMITH BARNEY BRISTOL ENERGY FUND LP 3.02 07/01/07 SMITH BARNEY POTOMAC FUTURES FUND LP 3.02 07/01/07 SMITH BARNEY TIDEWATER FUTURES FUND L 3.02 07/01/07 SMITH BARNEY WARRINGTON FUND L P 3.02 07/01/07 SMITH BARNEY WESTPORT FUTURES FUND LP 3.02 07/01/07 SONOSITE INC 8.01,9.01 07/05/07 SONOSITE INC 2.02,9.01 07/05/07 STANDEX INTERNATIONAL CORP/DE/ DE 5.02,9.01 06/30/07 STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 1.01,2.03,9.01 06/29/07 STIFEL FINANCIAL CORP DE 1.01,2.03,9.01 06/29/07 SUBJEX CORP MN 4.01 07/05/07 SUNOCO INC PA 5.02,9.01 07/03/07 SUNRISE ENERGY RESOURCES INC DE 5.02 07/02/07 SUPERIOR BANCORP DE 7.01,9.01 07/05/07 Surge Global Energy, Inc. 2.01,9.01 06/28/07 SYMANTEC CORP DE 5.02 06/29/07 Syncfeed, Inc. NV 4.01,9.01 07/01/07 TALBOTS INC DE 5.02,7.01,9.01 06/28/07 TERABEAM, INC. DE 7.01,9.01 06/30/07 TISSERA INC WA 1.01,3.02,9.01 06/26/07 Transnational Automotive Group, Inc. NV 1.01,3.02,9.01 07/03/07 TRI-S SECURITY CORP GA 5.02 06/29/07 TRIARC COMPANIES INC DE 5.02,5.03,9.01 06/29/07 Tyco Electronics Ltd. D0 1.01,2.03,5.02,5.03,9.01 06/28/07 U S ENERGY SYSTEMS INC DE 5.02,9.01 07/01/07 UAL CORP /DE/ DE 8.01 07/03/07 UBS Managed Futures LLC (Aspect Serie 3.02 07/01/07 UNIVERSAL COMPRESSION HOLDINGS INC DE 8.01,9.01 07/03/07 URON INC MN 1.01,2.03,3.02 07/02/07 US AIRWAYS GROUP INC DE 2.02,9.01 07/05/07 US AIRWAYS GROUP INC DE 7.01,9.01 07/05/07 US ENERGY CORP WY 8.01 06/28/07 Utah Uranium Corp. NV 5.06 06/01/07 VERIDIGM, INC. DE 4.01 07/02/07 VERINT SYSTEMS INC 5.02,8.01,9.01 06/28/07 Vortec Electronics, Inc. 4.01,9.01 07/01/07 VYYO INC DE 1.01,5.02,9.01 07/03/07 WASHINGTON REAL ESTATE INVESTMENT TRU MD 1.01,3.03,7.01,9.01 07/03/07 WATSCO INC FL 8.01,9.01 07/05/07 WAVE WIRELESS CORP DE 1.01,1.03,3.02,5.01,5.02,5.03, 06/28/07 9.01 WESTERN GOLDFIELDS INC ID 7.01,9.01 07/02/07 WHISPERING OAKS INTERNATIONAL INC A1 1.01,9.01 06/29/07 Whos Your Daddy Inc NV 1.01,2.02,9.01 07/05/07 Winning Edge International, Inc. DE 1.01,9.01 07/03/07 WIRELESS AGE COMMUNICATIONS INC NV 1.01,3.02,5.02,8.01,9.01 06/29/07 WIRELESS AGE COMMUNICATIONS INC NV 1.01,3.02,5.02,8.01,9.01 06/29/07 AMEND WIZZARD SOFTWARE CORP /CO CO 9.01 04/03/07 AMEND World Energy Solutions, Inc. DE 1.01,9.01 07/05/07 WORLD HEART CORP A6 5.02,8.01,9.01 06/28/07 WYNN RESORTS LTD 5.02,9.01 07/03/07 XILINX INC DE 5.02,9.01 07/02/07