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SEC NEWS DIGEST
Issue 2007-163 August 23, 2007
COMMISSION ANNOUNCEMENTS
SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN SEVEN COMPANIES
FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
The Commission announced the temporary suspension of trading of the
securities of the following issuers, commencing at 9:30 a.m. EDT on
Aug. 23, 2007, and terminating at 11:59 p.m. EDT on Sept. 6, 2007:
* Environmental Safeguards, Inc. (ELSF)
* Garden Botanika, Inc. (GBOTQ)
* Northwestern Steel & Wire Co. (NWSW)
* Paul Harris Stores, Inc. (PAUHQ)
* Ultra Motorcycle Co.
* UStel, Inc. (USTL)
* Yarc Systems Corp. (YARCQ)
The Commission temporarily suspended trading in the securities of
these seven companies due to a lack of current and accurate
information about the companies because they have not filed periodic
reports with the Commission in over two years. This order was entered
pursuant to Section 12(k) of the Securities Exchange Act of 1934
(Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective
purchasers that they should carefully consider the foregoing
information along with all other currently available information and
any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to
Exchange Act Rule 15c2-11, at the termination of the trading
suspensions, no quotation may be entered relating to the securities of
the subject companies unless and until the broker or dealer has
strictly complied with all of the provisions of the rule. If any
broker or dealer is uncertain as to what is required by the rule, it
should refrain from entering quotations relating to the securities of
these companies that have been subject to a trading suspension until
such time as it has familiarized itself with the rule and is certain
that all of its provisions have been met. Any broker or dealer with
questions regarding the rule should contact the staff of the
Securities and Exchange Commission in Washington, DC at (202) 551-
5720. If any broker or dealer enters any quotation which is in
violation of the rule, the Commission will consider the need for
prompt enforcement action.
If any broker, dealer or other person has any information which may
relate to this matter, they should immediately communicate it to the
Delinquent Filings Branch of the Division of Enforcement at (202) 551-
5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-56308)
ENFORCEMENT PROCEEDINGS
COMMISSION ORDERS HEARINGS ON REGISTRATION REVOCATION AGAINST EIGHT
DELINQUENT COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
On August 23, the Commission instituted public administrative
proceedings against the following eight companies to determine whether
the registration of each class of their securities should be revoked
or suspended for a period not exceeding twelve months for failure to
file required periodic reports:
* Environmental Safeguards, Inc. (ELSF)
* Garden Botanika, Inc. (GBOTQ)
* Jay Jacobs, Inc.
* Northwestern Steel & Wire Co. (NWSW)
* Paul Harris Stores, Inc. (PAUHQ)
* Ultra Motorcycle Co.
* UStel, Inc. (USTL)
* Yarc Systems Corp. (YARCQ)
In this Order, the Division of Enforcement (Division) alleges that the
eight issuers are delinquent in their required periodic filings with
the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j),
a hearing will be scheduled before an Administrative Law Judge. At the
hearing, the judge will hear evidence from the Division and the
respondents to determine whether the allegations of the Division
contained in the Order, which the Division alleges constitute failures
to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13
thereunder, are true. The judge in the proceeding will then determine
whether the registrations pursuant to Exchange Act Section 12 of the
securities of these respondents should be revoked, or in the
alternative, suspended for a period not exceeding twelve months. The
Commission ordered that the Administrative Law Judge in this
proceeding issue an initial decision not later than 120 days from the
date of service of the order instituting proceedings. (Rel. 34-56309)
IN THE MATTER OF JONATHAN CARMAN
On August 23, 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 Jonathan
Carman. In the Order the Division of Enforcement (Division) alleges
that Carman was enjoined from future violations of Sections 5(a), 5(c)
and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a)
of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder,
ordered to disgorge $2,191,188.15 together with prejudgment interest
in the amount $252,391.44 and to pay a civil penalty of $100,000.00.
The Division also alleges that the Commission's complaint in the civil
action in which the injunction was entered alleged that from at least
September 2004 until February 16, 2006 Carman sold Carolina
Development Company stock through numerous private placement
offerings, misappropriated investor funds, falsely stated to investors
that their funds were invested, and otherwise engaged in a variety of
conduct that operated as a fraud and deceit on investors. The
complaint also alleged that Carman participated in the unregistered
sales of Carolina Development Company securities. The complaint
further alleged that Carman was not associated with a registered
broker or dealer at the time of the fraudulent sales of Carolina
Development Company stock.
In the instant proceeding, a hearing will be scheduled before an
administrative law judge to determine whether the allegations
contained in the Order are true, to provide Carman an opportunity to
dispute these allegations, and to determine what sanctions, if any,
are appropriate. The Order directs the administrative law judge to
issue an initial decision within 210 days after the Order has been
served on Carman. (Rel. 34-56312; File No. 3-12736)
IN THE MATTER OF FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT,
INC., NEIL C. FOLGER AND DAVID M. BROWN
On August 23, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings, Making Findings, and
Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to
Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of
1940 (Order) against Folger Nolan Fleming Douglas Capital Management,
Inc. (Folger Nolan Capital Management), an investment adviser
registered with the Commission and headquartered in Washington, DC,
Neil C. Folger of Bethesda, MD, and David M. Brown, of Vienna, VA
(collectively, Respondents). Folger and Brown are Senior Vice
Presidents and Portfolio Managers at Folger Nolan Capital Management.
Without admitting or denying the Commission's findings, the
Respondents consented to the issuance of the Order, which provides for
the relief set forth below.
The Commission's Order finds that, between Jan. 1, 2002 and April 1,
2004, Folger Nolan Capital Management was a division within Folger
Nolan Fleming Douglas, Incorporated (Folger Nolan), a dually
registered broker-dealer and investment adviser. During this time
period, the general practice of registered representatives associated
with Folger Nolan's broker-dealer was to refer existing customers
seeking investment advisory services to Folger Nolan's registered
investment adviser. Folger Nolan entered into agreements with these
advisory clients to send their trades through Folger Nolan's broker-
dealer, and charged these referred clients commission rates that
averaged more than twice that of advisory clients who were not
referred.
The Order further finds that Folger Nolan did not disclose to clients
other custody and execution options such as using a lower cost
discount broker, or the firm's potential conflict of interest in
receiving referrals from registered representatives, specifically that
the investment adviser might be reluctant to recommend a lower cost
broker-dealer to avoid jeopardizing the flow of future referrals. By
failing to make these disclosures, and by failing to seek to obtain
best execution, Folger Nolan breached its fiduciary duty to its
clients and caused them to pay excess commissions of at least
$213,528.
The Order also finds that Folger Nolan failed to make and keep
required records of agreements with certain of its advisory clients
evidencing their selection of Folger Nolan's brokerage unit for
custody and trade execution. Respondents Folger and Brown were
responsible for making and keeping the agreements.
Based on the above, the Order finds that Folger Nolan Capital
Management willfully violated Sections 206(2) and 204 of the
Investment Advisers Act of 1940 (Advisers Act) and Rule 204-2(a)(10)
thereunder, and that Folger and Brown willfully aided and abetted and
caused the firm's books and records violations of Section 204 of the
Advisers Act and Rule 204-2(a)(10) thereunder. The Order censures the
Respondents, and requires them to cease and desist from committing or
causing any violations and any future violations of the cited
provisions. The Order requires Folger Nolan Capital Management to pay
disgorgement and prejudgment interest in the amount of $244,921 and a
civil penalty in the amount of $100,000. The Order also requires the
Respondents to comply with certain undertakings. (Rel. IA-2639; File
No. 3-12737)
SEC FILES ACTION TO HALT $25 MILLION FRAUDULENT SCHEME PREYING UPON
RETIREMENT SAVINGS OF SENIOR CITIZENS
Continuing its crackdown on financial fraud against senior citizens,
the Securities and Exchange Commission today filed an emergency action
to shut down a $25 million Ponzi scheme that victimized hundreds of
senior and other investors nationwide who bought fractional ownership
interests in life insurance policies.
The SEC asked the federal district court in Sacramento, Calif., to
grant the SEC's request for an order temporarily prohibiting further
sales of the products, freezing the assets, and appointing a receiver
to take control of operations in order to manage and preserve
remaining investor funds.
The Commission alleges that Donald Neuhaus of Redding, Calif., his
daughter Kimberley Snowden, and their company Secure Investment
Services, Inc., orchestrated the Ponzi scheme that falsely promised
safe, secure and profitable interests in life insurance policies known
as "viaticals" while failing to disclose the dire financial condition
of the investment venture. Many of the investors were elderly and
invested their retirement savings. The Commission also alleges the
father-daughter fraudsters pocketed $700,000 for their personal use
while the scam was on the verge of collapse.
According to the Commission's complaint, Neuhaus and Snowden sold
shares of life insurance policies, calling them "bonded life
settlements." They persuaded investors to buy the securities by
representing that their money would be used to purchase and pay the
necessary premiums on the life insurance policies. They promised
returns up to 125 percent when the person insured by the policy died.
The Commission's complaint alleges that Neuhaus and Snowden instead
used investors' money for their own personal use and to cover the
premiums on other insurance policies owned by other groups of
investors. Their conduct constituted a Ponzi scheme in which every new
investor was being defrauded to provide the cash needed to conceal the
misrepresentations to an earlier group of investors. They failed to
inform investors that the enterprise was on the brink of collapse, and
that investors risked losing everything if life insurance policies
expired due to lack of payment.
The Commission further alleges that Neuhaus and Snowden misled
investors by providing them with life expectancy estimates supposedly
certified by a physician who was, in reality, a convicted felon
falsely holding himself out as a physician. They falsely claimed that
the investments were protected by bonding companies. But these were,
in fact, unlicensed overseas firms with no assurance of actually
repaying investors.
The Commission's complaint charges the defendants with securities
fraud under Section 17(a) of the Securities Act of 1933 and Section
10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder, and with conducting an unregistered offering under
Sections 5(a) and 5(c) of the Securities Act. The complaint seeks
temporary, preliminary, and permanent injunctions, disgorgement of
ill-gotten gains, civil penalties against each defendant, and an
accounting. [SEC v. Secure Investment Services, Inc., American
Financial Services, Inc., Lyndon Group, Inc., Donald F. Neuhaus, and
Kimberly A. Snowden, Case No. 2:07-CV-01724-LEW-CMK, E.D. Cal.] (LR-
20252)
INVESTMENT COMPANY ACT RELEASES
HARTFORD LIFE INSURANCE COMPANY, ET AL.
A notice has been issued giving interested persons until Sept. 17,
2007, to request a hearing on an application filed by Hartford Life
Insurance Company (Hartford), Hartford Life Insurance Company Separate
Account DC-I, Hartford Life Insurance Company Separate Account Two,
Hartford Life Insurance Company Separate Account Eleven, and Hartford
Securities Distribution Company, Inc. (collectively, Applicants).
Applicants seek an order under Section 11(a) of the Investment Company
Act approving the terms of proposed offers of exchange of certain
contracts or interests in unregistered separate accounts for new
contracts or interests in registered separate accounts offer by
Hartford. (Rel. IC-27933 - August 22)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NYSEArca-2007-82) filed by NYSE Arca to
amend fees for the entry of mid-point passive liquidity or primary
sweep orders 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 August 27. (Rel. 34-56295)
A proposed rule change (SR-BSE-2007-42) filed by the Boston Stock
Exchange relating to exchange fees and charges 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 August 27. (Rel. 34-56299)
A proposed rule changes (SR-NYSEArca-2007-63 and SR-NYSEArca-2007-64)
filed by NYSE Arca relating to amendments to certain rules in light of
amendments to Rule 10a-1 under the Securities Exchange Act of 1934 and
Regulation SHO have become immediately effective under Section
19(b)(3)(A). Publication is expected in the Federal Register during
the week of August 27. (Rel. 34-56300)
PROPOSED RULE CHANGES
The National Association of Securities Dealers (n/k/a Financial
Industry Regulatory Authority, Inc.) has filed a proposed rule change
(SR-NASD-2007-041) to amend the minimum price-improvement standards
set forth in NASD IM 2110-2, Trading Ahead of Customer Limit Order.
Publication is expected in the Federal Register during the week of
August 27. (Rel. 34-56297)
The Fixed Income Clearing Corporation filed a proposed rule change
(SR-FICC-2007-08) that would allow FICC to resume interbank clearing
for the GCF Repo service. Publication is expected in the Federal
Register during the week of August 27. (Rel. 34-56303)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<publicinfo@sec.gov>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
SB-2 XTOL Energy Inc., 595 HOWE STREET, SUITE 600, VANCOUVER, A1, V6C 2T5,
604-662-3910 - 14,701,500 ($6,615,675.00) Equity, (File 333-145616 -
Aug. 22) (BR. 04C)
S-4 PLAINS EXPLORATION & PRODUCTION CO, 700 MILAM STREET, SUITE 3100,
HOUSTON, TX, 77002, 8322396000 - 0 ($1,461,862,380.00) Equity,
(File 333-145617 - Aug. 22) (BR. 04A)
S-8 CTI INDUSTRIES CORP, 22160 N PEPPER RD, BARRINGTON, IL, 60010,
150,000 ($637,500.00) Equity, (File 333-145618 - Aug. 22) (BR. 06C)
S-3ASR COVENTRY HEALTH CARE INC, 6705 ROCKLEDGE DRIVE, SUITE 900, BETHESDA,
MD, 20817, 3015810600 - 0 ($0.00) Non-Convertible Debt,
(File 333-145619 - Aug. 22) (BR. 01A)
SB-2 PURDEN LAKE RESOURCE CORP., 23 MECHANIC STREET, RED BANK, NJ, 07701,
732 899 2832 - 2,500,000 ($50,000.00) Equity, (File 333-145620 -
Aug. 22) (BR. 04)
S-8 OURPETS CO, 1300 EAST ST, FAIRPORT HARBOR, OH, 44077, 4403546500 -
1,340,000 ($847,925.00) Equity, (File 333-145622 - Aug. 22) (BR. 06B)
S-8 WatchIt Technologies Inc., 1 TOWN SQUARE BOULEVARD, SUITE 347,
ASHEVILLE, NC, 28803, 828-681-8105 - 4,000,000 ($120,000.00) Equity,
(File 333-145623 - Aug. 22) (BR. 02)
S-1 Tremisis Energy Acquisition CORP II, 11622 MONICA STREET, HOUSTON, TX,
77024, 917-892-1442 - 0 ($152,950,000.00) Equity, (File 333-145625 -
Aug. 22) (BR. 09)
S-8 BIOCRYST PHARMACEUTICALS INC, 2190 PARKWAY LAKE DR, BIRMINGHAM, AL,
35244, 2054444600 - 0 ($13,279,200.00) Equity, (File 333-145627 -
Aug. 22) (BR. 01C)
S-4 YADKIN VALLEY FINANCIAL CORP, 209 NORTH BRIDGE STREET, P. O. BOX 888,
ELKIN, NC, 28621, (336) 526-6300 - 0 ($19,296,261.00) Equity,
(File 333-145628 - Aug. 22) (BR. 07)
S-4 DYNEGY HOLDINGS INC, 1000 LOUISIANA, SUITE 5800, HOUSTON, TX, 77002,
7133677600 - 0 ($1,650,000,000.00) Non-Convertible Debt,
(File 333-145631 - Aug. 22) (BR. 02C)
S-8 LOCAL.COM, ONE TECHNOLOGY DRIVE, BUILDING G, IRVINE, CA, 92618,
(949) 784-0800 - 0 ($4,930,000.00) Equity, (File 333-145633 - Aug. 22)
(BR. 08C)
S-3 IMMUNICON CORP, 3401 MASONS MILL RD, SUITE 100, HUNTINGTON VALLEY, PA,
19006, 215 830 0777 X121 -
0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-145634 -
Aug. 22) (BR. 10B)
S-8 IRIS INTERNATIONAL INC, 9162 ETON AVE, CHATSWORTH, CA, 91311,
8187091244 - 1,750,000 ($28,315,000.00) Equity, (File 333-145635 -
Aug. 22) (BR. 10B)
S-8 VIRTUSA CORP, 2000 WEST PARK DRIVE, WESTBOROUGH, MA, 01581,
508-389-7202 - 0 ($22,681,172.00) Equity, (File 333-145636 - Aug. 22)
(BR. 03A)
S-8 TRIDENT MICROSYSTEMS INC, 3408 GARRETT DRIVE, SANTA CLARA, CA,
95054-2803, 4087648808 - 4,350,000 ($62,988,000.00) Equity,
(File 333-145637 - Aug. 22) (BR. 10C)
S-3 BIOCRYST PHARMACEUTICALS INC, 2190 PARKWAY LAKE DR, BIRMINGHAM, AL,
35244, 2054444600 - 0 ($81,888,400.00) Equity, (File 333-145638 -
Aug. 22) (BR. 01C)
S-4 Energy XXI Gulf Coast, Inc., 1021 MAIN STREET, SUITE 2626, HOUSTON, TX,
77002, 713-351-3000 - 0 ($750,000,000.00) Equity, (File 333-145639 -
Aug. 22) (BR. )
S-8 COMMUNICATE COM INC, 600-1100 MELVILLE ST, VANCOUVER BC V6E 4A6, A1,
89502, 6046892944 - 5,000,000 ($9,150,000.00) Equity,
(File 333-145640 - Aug. 22) (BR. 08B)
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:
<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
-------------------------------------------------------------------------------------------------------
5 G WIRELESS COMMUNICATIONS INC NV 3.02,8.01 05/30/07
ABATIX CORP DE 3.01,7.01,9.01 08/21/07
ABOVENET INC DE 8.01 08/22/07
Aces Wired Inc TX 5.02 08/16/07
Activeworlds Corp DE 1.01 08/16/07
ADA-ES INC CO 8.01 08/22/07
AIR BROOK AIRPORT EXPRESS INC NJ 1.01,2.03,3.02,5.03,9.01 08/16/07
AJS BANCORP INC DE 1.01,8.01 08/21/07
Akeena Solar, Inc. DE 2.02,9.01 08/09/07
Aleris International, Inc. DE 7.01,9.01 08/21/07
ALLIANCE ONE INTERNATIONAL, INC. VA 5.02,5.03,8.01,9.01 08/22/07
AMERICAN BANCORP OF NEW JERSEY INC NJ 5.02,5.03,9.01 08/21/07
American Community Newspapers Inc. DE 7.01,9.01 08/22/07
American Community Newspapers Inc. DE 9.01 07/02/07 AMEND
AMERICAN DG ENERGY INC DE 2.02,9.01 08/22/07
American Lorain CORP DE 8.01,9.01 08/22/07
AMERICAN WOODMARK CORP VA 2.02,9.01 07/31/07
ANALYSTS INTERNATIONAL CORP 5.02 08/16/07
APAC CUSTOMER SERVICE INC IL 5.03,9.01 08/20/07
Arlington Tankers Ltd. D0 5.02 08/17/07
ASIA GLOBAL HOLDINGS CORP. NV 2.03 08/15/07
Atomic Guppy Inc NV 1.01,9.01 08/17/07
Aurora Oil & Gas CORP UT 2.03,5.03,9.01 08/16/07
AVATECH SOLUTIONS INC DE 5.02,7.01,9.01 08/16/07
AVIATION UPGRADE TECHNOLOGIES INC 1.01,1.02,2.01,5.01,5.02,9.01 08/16/07
Axxent Media CORP NV 8.01,9.01 08/17/07
BA Credit Card Funding, LLC DE 8.01,9.01 08/22/07
BALLY TOTAL FITNESS HOLDING CORP DE 7.01,9.01 08/21/07
Battle Mountain Gold Exploration Corp 3.02 08/21/07
BERMAN CENTER, INC. DE 1.01,2.03,3.02,8.01,9.01 08/16/07
BION ENVIRONMENTAL TECHNOLOGIES INC CO 8.01,9.01 08/18/07
BIRNER DENTAL MANAGEMENT SERVICES INC CO 1.01,9.01 08/17/07
BladeLogic, Inc. DE 2.02,9.01 08/22/07
BLUE COAT SYSTEMS INC DE 2.02,8.01,9.01 08/16/07
BlueLinx Holdings Inc. DE 7.01,9.01 08/22/07
BODISEN BIOTECH, INC DE 4.01,9.01 08/18/07
BOLT TECHNOLOGY CORP CT 2.02,5.02,9.01 08/22/07
BON TON STORES INC PA 8.01,9.01 08/22/07
BOOKS A MILLION INC DE 2.02 08/04/07
BOSTON COMMUNICATIONS GROUP INC MA 3.01,9.01 08/16/07
BRAINTECH INC NV 3.02 08/08/07
BRITTON & KOONTZ CAPITAL CORP MS 8.01,9.01 08/21/07
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,9.01 08/22/07
Brooklyn Federal Bancorp, Inc. X1 8.01,9.01 08/21/07
BRUSH ENGINEERED MATERIALS INC 7.01,9.01 08/22/07
BUILDING MATERIALS CORP OF AMERICA DE 2.02,8.01 08/22/07
BUTLER INTERNATIONAL INC /MD/ MD 1.01,9.01 08/14/07
CABCO SERIES 2004-1 TRUST (GOLDMAN SA 8.01,9.01 08/15/07
CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 08/15/07
CanAm Uranium Corp NV 4.01 08/17/07
CANEUM INC NV 1.01 08/22/07
CAREER EDUCATION CORP DE 5.02,9.01 08/21/07
CDEX INC NV 5.02,7.01,9.01 08/17/07
CELL THERAPEUTICS INC WA 3.03,5.03,9.01 08/20/07
Celsia Technologies, Inc. NV 3.02,5.02,8.01 08/17/07
CENTURYTEL INC LA 8.01,9.01 08/21/07
CHARMING SHOPPES INC PA 2.02,9.01 08/22/07
CHDT CORP FL 7.01,9.01 08/22/07
CIRCOR INTERNATIONAL INC DE 5.02,9.01 08/22/07
CITY HOLDING CO WV 8.01,9.01 08/22/07
COAST FINANCIAL HOLDINGS INC 1.01,9.01 08/17/07
COLONIAL BANCGROUP INC DE 7.01,9.01 08/22/07
COMMUNICATE COM INC NV 5.03 08/22/07
Con-way Inc. DE 7.01 08/22/07
Connected Media Technologies, Inc. 1.01,3.02,5.02,9.01 07/30/07
CRANE CO /DE/ DE 5.02 08/21/07
CWHEQ Revolving Home Equity Loan Trus 7.01,9.01 08/15/07
DATARAM CORP NJ 2.02,8.01,9.01 08/22/07
DELPHI CORP DE 1.01,8.01,9.01 08/16/07
DigiCurve, Inc. NV 1.01,9.01 08/19/07
DNB FINANCIAL CORP /PA/ PA 8.01,9.01 08/22/07
DRI CORP NC 7.01,9.01 08/22/07
Eagle Hospitality Properties Trust, I MD 5.01,9.01 08/15/07
EATON VANCE CORP MD 9.01 08/22/07
EAU TECHNOLOGIES, INC. DE 1.01,9.01 08/16/07
EMISPHERE TECHNOLOGIES INC DE 8.01,9.01 08/22/07
ENERGROUP TECHNOLOGIES CORP 5.02,5.03,8.01,9.01 08/22/07
ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 06/30/07
ENTHRUST FINANCIAL SERVICES INC DE 1.01,2.01,3.02,3.03,4.01,5.01, 07/10/07 AMEND
5.02,5.06,9.01
EQUITY INNS INC TN 8.01,9.01 08/22/07
ES Bancshares, Inc. MD 5.02,9.01 08/20/07
EVANS BANCORP INC NY 7.01,9.01 08/21/07
ExlService Holdings, Inc. DE 7.01 08/22/07
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 7.01 08/21/07
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 08/22/07
FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02 08/16/07
FelCor Lodging LP DE 1.01,9.01 08/16/07
FIELDPOINT PETROLEUM CORP CO 7.01,8.01,9.01 08/21/07
FIRST BANCORP /PR/ PR 8.01,9.01 08/20/07
FIRST CAPITAL INC IN 5.03,9.01 08/20/07
FIRST NATIONAL COMMUNITY BANCORP INC PA 8.01,9.01 08/22/07
FIRST PULASKI NATIONAL CORP TN 8.01 08/17/07
FLUSHING FINANCIAL CORP DE 8.01,9.01 08/21/07
FORTUNE BRANDS INC DE 5.02,5.03,9.01 08/20/07
FRANKFORT TOWER INDUSTRIES INC DE 8.01,9.01 08/21/07
FX ENERGY INC NV 8.01,9.01 08/22/07
GANDER MOUNTAIN CO MN 2.02,9.01 08/22/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 08/17/07
GREATER BAY BANCORP CA 8.01 08/21/07
GRYPHON GOLD CORP NV 7.01,9.01 08/21/07
H&R BLOCK INC MO 1.01,2.03,9.01 08/16/07
HAIGHTS CROSS COMMUNICATIONS INC DE 1.01,5.02,9.01 08/16/07
HANCOCK HOLDING CO MS 8.01,9.01 08/21/07
HAPC, Inc. DE 7.01,8.01,9.01 08/22/07
HARRIS CORP /DE/ DE 9.01 06/15/07 AMEND
HEALTHCARE PROVIDERS DIRECT INC. NV 1.01,2.03,3.02,9.01 08/16/07
HEALTHCARE PROVIDERS DIRECT INC. NV 1.01,2.03,3.02,9.01 07/31/07 AMEND
HENRY JACK & ASSOCIATES INC DE 2.02,9.01 08/21/07
Highland Distressed Opportunities, In 7.01,9.01 08/22/07
HOT TOPIC INC /CA/ CA 2.02,9.01 08/22/07
HYDROMER INC NJ 8.01 08/21/07
I2 TELECOM INTERNATIONAL INC WA 2.02,4.02,9.01 08/21/07
ICAGEN INC DE 5.02,9.01 08/21/07
IMMTECH PHARMACEUTICALS, INC. DE 1.01 08/17/07
IMMUCOR INC GA 5.02,5.03,9.01 08/16/07
INDUSTRIAL DISTRIBUTION GROUP INC DE 8.01 08/22/07
INFOUSA INC DE 8.01,9.01 08/10/07
Ingen Technologies, Inc. 1.01 08/01/07
INNOTRAC CORP GA 2.02,9.01 08/21/07
Intellect Neurosciences, Inc. 8.01 08/22/07
INTERNAP NETWORK SERVICES CORP DE 5.02,8.01,9.01 08/21/07
INTERNATIONAL BARRIER TECHNOLOGY INC/ 7.01,9.01 08/16/07
INTERNATIONAL ISOTOPES INC TX 1.01,8.01,9.01 08/14/07
INTERNATIONAL PAPER CO /NEW/ NY 1.01,9.01 08/16/07
INTUIT INC DE 2.02,5.02,9.01 08/22/07
J P MORGAN CHASE & CO DE 9.01 08/20/07
JANUS CAPITAL GROUP INC DE 7.01 08/22/07
JDS UNIPHASE CORP /CA/ DE 2.02,9.01 08/22/07
Juma Technology Corp. 1.01,2.03,3.02,9.01 08/16/07
KB HOME DE 1.01,8.01,9.01 08/17/07
Kesselring Holding Corporation. 5.02 08/16/07
KINDER MORGAN ENERGY PARTNERS L P DE 8.01,9.01 08/21/07
KODIAK ENERGY, INC. DE 9.01 08/21/07
LANCASTER COLONY CORP OH 8.01,9.01 08/22/07
LANCASTER COLONY CORP OH 8.01,9.01 08/22/07 AMEND
Legacy Bancorp, Inc. DE 7.01,9.01 08/22/07
LEHMAN BROTHERS HOLDINGS INC DE 8.01,9.01 08/22/07
LIGAND PHARMACEUTICALS INC DE 5.02,9.01 08/22/07
LIGHTSCAPE TECHNOLOGIES INC. NV 1.01,3.02,9.01 07/10/07
Lightstone Value Plus Real Estate Inv MD 8.01 06/29/07
LIVEDEAL INC NV 2.01,9.01 06/06/07 AMEND
LOGIC DEVICES INC CA 5.02 08/20/07
LSI CORP DE 1.01,8.01 08/20/07
LUMERA CORP 5.02 08/20/07
LUMINENT MORTGAGE CAPITAL INC 1.01,3.02,7.01,8.01,9.01 08/16/07
Macquarie Infrastructure CO LLC DE 2.01,2.03 08/17/07
MADISON GAS & ELECTRIC CO WI 5.02 08/21/07
MAGNETEK, INC. DE 2.02 08/22/07
MAINSOURCE FINANCIAL GROUP IN 7.01,9.01 08/22/07
MANATRON INC MI 1.01,9.01 08/20/07
MANNATECH INC TX 5.02,9.01 08/21/07
MARKWEST ENERGY PARTNERS L P 7.01,9.01 08/22/07
MATERIAL TECHNOLOGIES INC /CA/ DE 5.02 08/22/07 AMEND
MENS WEARHOUSE INC TX 2.02,8.01,9.01 08/22/07
MERRILL LYNCH & CO INC DE 8.01,9.01 08/22/07
MET PRO CORP PA 2.02,7.01,9.01 08/20/07
METRETEK TECHNOLOGIES INC DE 3.01,5.03,9.01 08/22/07
MGE ENERGY INC WI 5.02 08/21/07
MGM MIRAGE DE 7.01,9.01 08/22/07
MICROSEMI CORP DE 7.01,8.01,9.01 08/08/07
MILLER PETROLEUM INC TN 3.01,9.01 08/15/07
MOBILEPRO CORP DE 8.01 08/16/07
MONEYGRAM INTERNATIONAL INC 1.01,8.01 08/16/07
MONROE BANCORP IN 5.02,5.03,9.01 08/16/07
MONTANA ACQUISITION CORP DE 4.01,8.01,9.01 08/10/07
MOVIE GALLERY INC DE 8.01,9.01 08/20/07
Myriad Entertainment & Resorts, Inc. 1.01,9.01 08/16/07
NABI BIOPHARMACEUTICALS DE 5.02 08/16/07
NATHANIEL ENERGY CORP NV 7.01,8.01,9.01 08/21/07
NATIONAL MEDICAL HEALTH CARD SYSTEMS DE 5.02 08/17/07
NATIONAL PENN BANCSHARES INC PA 7.01,8.01,9.01 08/22/07
NATIONAL RV HOLDINGS INC DE 5.02,9.01 08/17/07
NETBANK INC GA 5.02,8.01 08/16/07
NEUROCRINE BIOSCIENCES INC CA 8.01,9.01 08/21/07
NGP Capital Resources CO MD 7.01,9.01 08/22/07
NORDSTROM INC WA 8.01,9.01 08/16/07
NYMEX HOLDINGS INC DE 7.01,9.01 08/22/07
OCTILLION CORP 7.01,9.01 08/16/07
ON SEMICONDUCTOR CORP DE 5.02,9.01 08/16/07
Oncologix Tech Inc. NV 8.01 08/18/07
OPLINK COMMUNICATIONS INC DE 5.02 08/16/07
optionsXpress Holdings, Inc. DE 5.02,9.01 08/22/07
Orchids Paper Products CO /DE DE 5.02,9.01 08/20/07
Organic To Go Food CORP DE 2.02,9.01 08/15/07
ORION HEALTHCORP INC DE 1.02,9.01 08/21/07
PAINCARE HOLDINGS INC CT 3.01,9.01 08/16/07
Panglobal Brands Inc. DE 5.02 08/21/07
PAREXEL INTERNATIONAL CORP MA 8.01 08/15/07
PARTNERS TRUST FINANCIAL GROUP INC 7.01 08/22/07
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 08/21/07
PFIZER INC DE 5.02,9.01 08/22/07
PHILLIPS VAN HEUSEN CORP /DE/ DE 2.02,9.01 08/22/07
PHYTOLABS, INC. MN 5.05 08/20/07
Pinnacle Gas Resources, Inc. DE 5.02 08/22/07
PLAINS ALL AMERICAN PIPELINE LP DE 5.03,9.01 08/16/07
PLANETOUT INC DE 5.02 08/17/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/17/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/17/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/17/07
ProLink Holdings Corp. DE 1.01,2.02,2.03,3.02 08/17/07
PUBLIC MEDIA WORKS INC 1.01,3.02,9.01 08/16/07
QUEST SOFTWARE INC CA 3.01,9.01 08/16/07
QUESTCOR PHARMACEUTICALS INC CA 5.02 08/16/07
RAINIER PACIFIC FINANCIAL GROUP INC WA 8.01,9.01 08/22/07
RAMBUS INC DE 3.01,9.01 08/17/07
REGIS CORP MN 2.02,9.01 08/22/07
RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 08/21/07
ROSS STORES INC DE 2.02,9.01 08/22/07
S Y BANCORP INC KY 8.01,9.01 08/21/07
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 08/21/07
SANTA FE ENERGY TRUST TX 7.01 08/17/07
SAPIENT CORP DE 5.02 08/16/07
SELIGMAN SELECT MUNICIPAL FUND INC MD 7.01,9.01 08/22/07
SENTO CORP UT 1.01,2.05,3.01,3.02,3.03,5.01, 07/28/07
5.02,5.03,9.01
SHUMATE INDUSTRIES INC DE 1.01,9.01 08/17/07
SIGN MEDIA SYSTEMS INC 5.02 08/14/07
Silver Dragon Resources Inc. DE 5.02 08/22/07
SILVERLEAF RESORTS INC 7.01,9.01 08/20/07
SIMEX TECHNOLOGIES INC DE 8.01,9.01 08/13/07
SIPEX CORP DE 5.02,9.01 08/22/07
SKYTERRA COMMUNICATIONS INC DE 5.02,8.01,9.01 08/20/07
SL GREEN REALTY CORP MD 2.01,9.01 08/01/07 AMEND
SMART ONLINE INC 8.01 08/22/07
Solar Power, Inc. NV 2.01,9.01 12/29/06 AMEND
Solar Thin Films, Inc. DE 5.02 08/20/07
SOUTH JERSEY INDUSTRIES INC NJ 7.01 08/22/07
SOUTHERN IOWA BIOENERGY LLC 1.01 08/16/07
SOVEREIGN BANCORP INC PA 5.02,9.01 08/22/07
SPARK NETWORKS INC X0 5.02,8.01,9.01 08/20/07
STANCORP FINANCIAL GROUP INC OR 8.01,9.01 08/21/07
State Auto Financial CORP OH 4.01,9.01 08/16/07
STEAK & SHAKE CO IN 5.02 08/17/07 AMEND
STINGER SYSTEMS, INC 5.02 08/17/07
STONE ENERGY CORP DE 8.01 08/16/07
STRATEGIC HOTELS & RESORTS, INC 1.01,9.01 08/16/07
SUMMIT FINANCIAL GROUP INC WV 4.02,7.01,9.01 08/16/07
SUNTRUST BANKS INC GA 5.02,7.01,9.01 08/16/07
SUPERCONDUCTOR TECHNOLOGIES INC DE 1.01,9.01 08/17/07
SUSQUEHANNA BANCSHARES INC PA 5.02 08/20/07
SYNOPSYS INC DE 2.02,9.01 08/22/07
TACTICAL AIR DEFENSE SERVICES, INC. NV 1.01,5.02,9.01 08/17/07
TALBOTS INC DE 2.02,9.01 08/22/07
TANDY BRANDS ACCESSORIES INC DE 2.02,8.01,9.01 08/22/07
TARGET RECEIVABLES CORP MN 8.01,9.01 08/22/07
TARGET RECEIVABLES CORP MN 8.01,9.01 08/22/07
TECH DATA CORP FL 2.02,9.01 08/22/07
TELKONET INC 9.01 05/25/07 AMEND
THINKENGINE NETWORKS, INC. 3.01,9.01 08/20/07
TIDALWAVE HOLDINGS INC FL 5.01,5.02,8.01,9.01 08/21/07
TIDALWAVE HOLDINGS INC FL 5.01,5.02,8.01,9.01 08/21/07 AMEND
TITAN MOTORCYCLE CO OF AMERICA INC NV 1.01 08/20/07
TOLL BROTHERS INC DE 2.02,9.01 08/22/07
TRANS WORLD CORP NV 3.02,9.01 08/22/07
Transnational Automotive Group, Inc. NV 1.01,3.02 08/15/07
TRI-CONTINENTAL CORP MD 7.01,9.01 08/22/07
TRINITY INDUSTRIES INC DE 7.01,9.01 08/22/07
TWEEN BRANDS, INC. DE 2.02,9.01 08/22/07
UMB FINANCIAL CORP MO 8.01 08/20/07
UNIFI INC NY 2.05,5.02,9.01 08/22/07
UNION NATIONAL FINANCIAL CORP / PA PA 8.01 08/22/07
UNIVERSAL PROPERTY DEVELOPMENT & ACQU NV 1.01,2.01,3.02,9.01 08/17/07
VALSPAR CORP DE 5.02,7.01,9.01 08/21/07
VCG HOLDING CORP CO 5.02 08/17/07
Verigy Ltd. U0 2.02,9.01 08/22/07
Vestin Realty Mortgage II, Inc 8.01,9.01 08/20/07 AMEND
VINEYARD NATIONAL BANCORP CA 8.01,9.01 08/21/07
VITESSE SEMICONDUCTOR CORP DE 5.02,9.01 08/16/07
VUBOTICS INC NV 5.02,9.01 08/22/07
WAVE WIRELESS CORP DE 5.03,8.01,9.01 08/21/07
WELLS FARGO & CO/MN DE 9.01 08/22/07
WUHAN GENERAL GROUP (CHINA), INC NV 2.02,9.01 08/21/07
XFONE INC NV 1.01,9.01 08/22/07
XTO ENERGY INC DE 8.01,9.01 08/22/07
YRC WORLDWIDE INC DE 1.01,1.02,2.03,5.02,9.01 08/17/07
YRC WORLDWIDE INC DE 5.02,9.01 08/17/07 AMEND
YTB International, Inc. NY 1.01,9.01 08/17/07
ZILA INC DE 5.02,5.03,9.01 08/16/07
Zumiez Inc 2.02,9.01 08/22/07
ZYMOGENETICS INC WA 8.01 08/22/07
http://www.sec.gov/news/digest/2007/dig082307.htm
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