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SEC NEWS DIGEST
Issue 2007-226 November 26, 2007
COMMISSION ANNOUNCEMENTS
ELIZABETH �G. �OSTERMAN �NAMED �ASSOCIATE �DIRECTOR IN THE DIVISION OF
INVESTMENT MANAGEMENT
The �Securities and Exchange Commission announced today that Elizabeth
G. ��Osterman ��has ��been ��named ��Associate ��Director of Exemptive
Applications ��and �Special �Projects �in �the �agency's �Division �of
Investment Management.
Ms. �Osterman �will �oversee �the �Investment �Company �Act �exemptive
applications �process �that fosters mutual fund innovations to provide
additional �choice �and �opportunity �for fund investors. Ms. Osterman
also �will �oversee �a �new �office �in �the �Division �of �Investment
Management dedicated to special projects.
Andrew �J. Donohue, Director of the Division of Investment Management,
said, �"Liz �is a highly regarded attorney and a well-respected leader
in �the �Division �of Investment Management. Liz has a passion for her
work. �I �have �appreciated �having �the �benefit of her analysis on a
variety �of �complex �issues. �The �Division's �Offices �of Investment
Company �Regulation �have made significant recent strides in improving
efficiency, �reporting �an �84 �percent �increase �in �the �number �of
exemptive �applications noticed in FY 2007 versus FY 2006. Under Liz's
strong �leadership �as �Associate �Director, �I �expect �this positive
momentum �to continue for the ultimate benefit of America's investors.
In �addition, �Liz's �insights �will �be invaluable as the Division of
Investment �Management �launches �a �new �office �to �conduct in-depth
special projects."
Ms. �Osterman �said, �"I �am �looking forward to leading the exemptive
applications �offices. �I �have �great �respect for the staff of those
offices �and am excited about having the opportunity to work with them
directly. �I am also looking forward to working with Buddy Donohue and
other �senior �staff �in launching the Division's new Special Projects
Office."
Ms. ��Osterman �has �served �as �Assistant �Chief �Counsel, �Financial
Institutions �in �the �Division �of �Investment Management's Office of
Chief �Counsel �since �2000. �From �1997 �to �2000, �Ms. �Osterman was
Assistant �Director �in �the Division's Office of Enforcement Liaison.
From �1994 �to 1997, Ms. Osterman was Assistant Director in the Office
of �Investment �Company �Regulation. �She �joined that Office in 1991,
becoming �a �Branch �Chief �of �the �Office in 1992. Prior to entering
public �service at the SEC, Ms. Osterman was an associate with Piper &
Marbury in Baltimore, Md.
Ms. �Osterman earned a J.D., cum laude, in 1986 from the University of
Baltimore �School �of �Law, �where �she was Business Editor of the Law
Review. �Ms. �Osterman �received �her �B.A. �in German from Swarthmore
College in 1977. (Press Rel. 2007-242)
ENFORCEMENT PROCEEDINGS
SEC v. ERIC R. MAJORS AND JOSHUA N. WOLCOTT
The �Commission �announced today that it filed charges against Eric R.
Majors �of �South �Africa �and �Joshua N. Wolcott of Denver, Colorado,
stemming �from �the �fraudulent �offering �and sale of more than eight
million �shares �of �unregistered �stock �in �Maximum �Dynamics, �Inc.
(Maximum).
The Commission's civil injunctive complaint alleges that from December
2002 �through February 2005, chief executive officer Majors and former
chief �financial �officer Wolcott issued millions of Maximum shares in
the �names �of �alleged �consultants �in Mexico using false consulting
contracts �and �false �Form S-8 registration statements. The complaint
further �alleges �that �Majors �and �Wolcott �deposited �the shares in
brokerage accounts that they controlled and used the proceeds from the
sale �of �the �shares to secretly pay themselves, Maximum, and others.
The �complaint �also �alleges �that �Majors �and �Wolcott fraudulently
certified �Maximum's �periodic �reports �with the Commission under the
Sarbanes-Oxley Act of 2002.
The Commission's complaint alleges that, as a result of their conduct,
Majors �and �Wolcott �violated, �and unless enjoined, will continue to
violate, �Sections �5(a), �5(c), �and �17(a) of the Securities Act and
10(b), �13(d), �and 16(a) of the Exchange Act and Rules 10b-5, 13a-14,
13d-2, �16a-2, �and �16a-3 �thereunder and aided and abetted Maximum's
violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-
1, �and �13a-13 �thereunder. �[SEC �v. �Eric �R. �Majors and Joshua N.
Wolcott, Civil Action No. 1:07-cv-2414-WYD (D. Colo.)] (LR-20368)
FEDERAL �COURT �ENTERS �FINAL JUDGMENT AGAINST MICHAEL J. PIETRZAK AND
MAURICE �W. �FURLONG, �OFFICERS �AND DIRECTORS OF HEXAGON CONSOLIDATED
COMPANIES OF AMERICA, INC.
The �Commission announced today that on November 19 the Honorable John
F. �Grady, �United �States District Judge for the Northern District of
Illinois, �entered �Final �Judgment �against �Michael �J. Pietrzak and
Maurice �W. �Furlong, for their role in defrauding the shareholders of
Hexagon ��Consolidated ��Companies ��of ��America, ��Inc. ��(HCCA), by
fraudulently �inflating �the value of claimed company assets, while at
the �same �time selling their own HCCA stock into the marketplace. The
final ��judgment �against �Pietrzak �and �Furlong �includes �permanent
injunctions, �disgorgement, �prejudgment �interest, �civil �penalties,
officer and director bars and penny stock bars. Pietrzak is the former
CFO �and �general �counsel �to �HCCA. �Furlong �is �the former CEO and
President �of �the �company. The final judgment follows a lengthy jury
trial �which �resulted �in �an �Aug. �3, �2007, �verdict �against �the
defendants, �and �in �favor �of �the �Commission on every count in the
Commission's complaint.
The �final judgment permanently enjoins Pietrzak and Furlong from: (i)
future �violations of the antifraud provisions of 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; (ii) future violations of
aiding �and �abetting in the filing of false periodic reports with the
Commission in violation of Section 13(a) of the Exchange Act and Rules
12b-20, �13a-1, �13a-11, �13a-13 �thereunder; �(iii) future aiding and
abetting �violations �involving internal accounting controls and books
and �records �in �violation of Sections 13(b)(2)(A) and 13(b)(2)(B) of
the �Exchange �Act; �and �(iv) �future violations involving failure to
implement ��internal �accounting �controls �in �violation �of �Section
13(b)(5) �of �the �Exchange �Act and Rule 13b2-1 thereunder. The final
judgment �also �permanently �enjoins Furlong from future violations of
stock ownership reporting provisions of Sections 16(a) of the Exchange
Act and Rules 16a-2 and 16a-3 thereunder.
As �to �other �relief, �the final judgment also orders Pietrzak to pay
disgorgement �in the amount of $1,282,205, representing gross proceeds
he �received �from sales of his HCCA stock, during the period that the
accounting fraud was ongoing, along with pre-judgment interest thereon
in �the �amount �of �$884,317 �for a total of $2,166,522. The judgment
orders �Furlong �to �pay �disgorgement �in �the �amount of $3,375,662,
representing �gross proceeds he received from sales of his HCCA stock,
during �the �period �that the accounting fraud was ongoing, along with
pre-judgment �interest thereon in the amount of $2,612,888 for a total
of �$5,988,550. Civil penalties were imposed against the defendants in
the �amounts �of �the �respective �ordered �disgorgement against them,
however the judgment provides that the civil penalties shall be deemed
paid �to �the �extent �that �disgorgement is paid. All payments in the
final �judgment �are �due within 30 days of the entry of the judgment.
Finally the judgment bars Pietrzak and Furlong from ever again serving
as �an �officer �or �director �of a public company, and bars them from
offering or selling penny stocks.
The �jury �verdict, �upon �which the final judgment is based, included
findings �on a wide-range of securities law violations, including that
material �misrepresentations �were �made �by �HCCA in filings with the
Commission, �and �that �Pietrzak �and �Furlong �engaged �in protracted
efforts �to �fraudulently �increase �the �stock price and value of the
company ��by, ��among ��other ��means, ��filing ��false and misleading
registration �statements �and �periodic �and �current �reports, and by
issuing �false press releases and a letter to shareholders. During the
same �time, �Pietrzak and Furlong sold millions of their own shares of
HCCA �stock, �fraudulently �receiving �the �amounts �that the judgment
ordered �them �to �disgorge. The verdict also concluded that from 1996
through �2000, �HCCA, �through �the �efforts �of Pietrzak and Furlong,
reported �to �the public that it was an entity with substantial assets
when, �in �fact, �it �was �virtually �worthless. A former codefendant,
assayer �Donald �E. �Jordan passed away during the litigation, and has
now �been �dismissed �from �the �case. [SEC v. Michael J. Pietrzak and
Maurice �W. �Furlong, �Civil �Action File No. 1:03-CV-1507-Judge Grady
(N.D. Ill.)] (LR-20369; AAE Rel. 2751)
JURY �RULES �IN �SEC'S �FAVOR, FINDS FORMER CHAIRMAN/CEO OF CHANCELLOR
CORPORATION LIABLE FOR SECURITIES FRAUD
The �Commission announced that a federal court jury returned a verdict
on �November �16 �in �the �SEC's favor on all securities fraud charges
against �Brian �M. Adley, who was the former chairman, chief executive
officer �and �controlling �shareholder �of �Chancellor �Corporation, a
defunct Boston-based transportation equipment-leasing company.
Adley �was �accused �of orchestrating a scheme to inflate Chancellor's
reported �assets, �revenue and profits, and to pay unwarranted fees to
entities ��that �he �controlled �by �using �fabricated �documents �and
fraudulent accounting from1998 through 2000. The jury verdict followed
a three-week trial in Boston before the Honorable Patti B. Saris, U.S.
District Court Judge for the District of Massachusetts.
The �Commission's �complaint �alleged �that Adley caused Chancellor to
file �false �financial �statements �in �1999 and 2000 by directing the
wholesale �fabrication �of �corporate �documents, instructing that the
fabricated ���documents �be �given �to �the �company's �auditors, �and
coordinating the filing of false financial statements with the SEC.
The �jury �found �Adley liable for violating the antifraud and record-
keeping �provisions �of �the federal securities laws, for making false
statements ��to ��its ��accountants, ��and ��for ��aiding and abetting
Chancellor's �reporting and recordkeeping provisions of the securities
laws. �The district court will determine the appropriate sanctions and
remedies at a later date.
The �Commission �had �previously �settled �with �10 �other defendants:
Chancellor �Corporation; �the �former �President �and �Chief Operating
Officer; �the �former �acting �Chief �Financial �Officer; �the �former
treasurer; ��two �former �Chancellor �directors �and �audit �committee
members; �Chancellor's �outside auditing firm and three members of its
audit team.
For �further �information, �please �see �Litigation Release Nos. 18104
(April �24, �2003), �19177 �(April 11, 2005) and 20177 (July 2, 2007).
[SEC �v. �Chancellor �Corporation, et al., 03-CV-10762-PBS (D. Mass.)]
(LR-20370; AAE Rel. 2752)
SEC �CHARGES TWO FORMER GLOBETEL EXECUTIVES WITH CREATING $119 MILLION
IN FALSE INVOICES
The �Commission �today announced it has filed securities fraud charges
against �Joseph J. Monterosso and Luis E. Vargas, former executives at
GlobeTel ��Communications ��Corp. ��of ��Fort ��Lauderdale, ��Fla. The
Commission's �complaint, �filed in the Southern District of Florida on
Nov. 21, 2007, alleges that Monterosso and Vargas created $119 million
in �fake invoices and caused GlobeTel to overstate its revenue for two
years.
The �complaint �alleges that Monterosso and Vargas created hundreds of
false �invoices that made it appear that GlobeTel's three wholly-owned
subsidiaries, ��Centerline �Communications, �LLC �(Centerline), �Volta
Communications, ��LLC ��(Volta), ��and ��Lonestar �Communications, LLC
(Lonestar) �bought �and �sold �telecom �"minutes" with other wholesale
telecom �companies. �In �reality, there were no transactions under the
program �that �GlobeTel �executives described as the "off-net" revenue
program. �Two �of �GlobeTel's �subsidiaries �- �Volta �and �Lonestar -
actually �did �no business. The third subsidiary, Centerline, reported
millions �of �dollars �in �business �with Monterosso's and Vargas' own
private company, Carrier Services Inc. (CSI), which did not occur.
The �Commission alleges that Monterosso and Vargas created hundreds of
false invoices from technical data they obtained from their friends in
the �telecom �industry. �Those �invoices - and the technical data that
Monterosso �and �Vargas �provided �to �the company's auditors - caused
GlobeTel to report $119 million in false revenue. This so-called "off-
net" �revenue �accounted �for �approximately 80 percent of the revenue
GlobeTel �reported �between �the �third quarter of 2004 and the second
quarter �of �2006 �- �four �out of every five dollars that the company
reported.
The �complaint alleges that Monterosso and Vargas received hundreds of
thousands �of �dollars �in �payments �from �GlobeTel - including about
$300,000 �in �cash �that �Vargas withdrew from CSI's bank accounts and
gave to Monterosso.
GlobeTel �has not filed a quarterly or annual statement for any period
after the second quarter of 2006. On May 8 and June 29, 2007, GlobeTel
filed �Forms �8-K �announcing �that it will restate its financials for
2004 �through 2006 to eliminate about $120 million in revenue. On Nov.
2, �2007, �the �company filed a restated Form 10-KSB for 2004 in which
the company reduced its annual revenue by $17.68 million.
In �its �complaint, �the Commission alleges that Monterosso and Vargas
violated �Section 17(a) of the Securities Act of 1933 (Securities Act)
and �Sections �10(b) �of the Securities Exchange Act of 1934 (Exchange
Act) �and Rule 10b-5, 13b2-1 and 13b2-2 thereunder and that they aided
and �abetted �violations �of Sections 10(b), 13(a), and 13(b)(2)(A) of
the ���Exchange �Act �and �Rules �10b-5, �12b-20, �13a-1, �and �13a-13
thereunder. �The �Commission seeks permanent injunctions, disgorgement
with �prejudgment �interest �and �civil penalties. The Commission also
seeks �to �bar �permanently �Monterosso �and �Vargas from acting as an
officer or director of a public company.
The Commission's investigation continues. [SEC v. Joseph J. Monterosso
and �Luis E. Vargas, Civil Action No. 07-61693 (S.D. Fla.)] [LR-20371;
AAE Rel. 2753)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A �proposed �rule �change �filed �by the Financial Industry Regulatory
Authority �to delay implementation of certain rule changes approved in
SR-NASD-2005-146 ���(SR-FINRA-2007-023) �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
November 26. (Rel. 34-56822)
A �proposed �rule �change �filed �by �the �Philadelphia Stock Exchange
relating �to �the trading sessions for selected ETFs (SR-Phlx-2007-87)
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 November 26. (Rel. 34-56828)
SECURITIES ACT REGISTRATIONS
The �following �registration �statements �have been filed with the SEC
under �the Securities Act of 1933. The reported information appears as
follows: �Form, �Name, �Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities ��being �offered; �Name �of �the �managing �underwriter �or
depositor �(if �applicable); �File �number �and �date �filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's ����Public �Reference �Branch �at �100 �F �Street, �N.E.,
Washington, �D.C. �20549-1090 �or at the following e-mail box address:
publicinfo@sec.gov. �In most cases, this information is also available
on the Commission's website: www.sec.gov.
S-8 BECTON DICKINSON & CO, ONE BECTON DR, FRANKLIN LAKES, NJ, 07417-1880,
2018476800 - 5,500,000 ($458,535,000.00) Equity, (File 333-147594 -
Nov. 23) (BR. 10A)
S-3 Elixir Gaming Technologies, Inc., 1120 N. TOWN CENTER DRIVE, SUITE 260,
LAS VEGAS, NV, 89144, 7027337195 - 0 ($12,187,500.00) Equity,
(File 333-147595 - Nov. 23) (BR. 06C)
S-3 Elixir Gaming Technologies, Inc., 1120 N. TOWN CENTER DRIVE, SUITE 260,
LAS VEGAS, NV, 89144, 7027337195 - 0 ($82,036,635.00) Equity,
(File 333-147596 - Nov. 23) (BR. 06C)
S-4 Omniture, Inc., ATTN: SHAWN LINDQUIST, 550 EAST TIMPANOGOS CIRCLE,
OREM, UT, 84097, 801-722-7000 - 0 ($343,267,701.00) Equity,
(File 333-147597 - Nov. 23) (BR. 03C)
S-3 HALLMARK FINANCIAL SERVICES INC, 777 MAIN STREET, SUITE 1000,
FORT WORTH, TX, 76102, 8173481600 - 0 ($155,750.00) Equity,
(File 333-147598 - Nov. 23) (BR. 01A)
S-8 HEADWATERS INC, 10653 SOUTH RIVERFRONT PARKWAY, SUITE 300,
SOUTH JORDAN, UT, 84095, 8019849400 - 750,000 ($9,202,500.00) Equity,
(File 333-147599 - Nov. 23) (BR. 06A)
S-B QUEENSLAND TREASURY CORP, LEVEL 14 61 MARY STREET, GPO BOX 1096,
BRISBANE QUEENSLAND, C3, 4001, 61738424600 -
0 ($10,000,000,000.00) Non-Convertible Debt, (File 333-147600 -
Nov. 23) (BR. DN)
F-1 VanceInfo Technologies Inc., 3/F, BUILDING 8,
ZHONGGUANCUN SOFTWARE PARK, HAIDIAN DIST, BEIJING, F4, 100094,
(86-10) 8282-5266 - 0 ($120,000,000.00) Equity, (File 333-147601 -
Nov. 23) (BR. )
F-6 VanceInfo Technologies Inc., 3/F, BUILDING 8,
ZHONGGUANCUN SOFTWARE PARK, HAIDIAN DIST, BEIJING, F4, 100094,
(86-10) 8282-5266 - 0 ($5,000,000.00) ADRs/ADSs, (File 333-147602 -
Nov. 23) (BR. )
S-8 China Direct, Inc, 5301 N FEDERAL HIGHWAY, SUITE 120, BOCA RATON, FL,
33487, 561-989-9171 - 3,575,000 ($18,562,500.00) Equity,
(File 333-147603 - Nov. 23) (BR. 08B)
S-3ASR REDWOOD TRUST INC, ONE BELVEDERE PLACE, SUITE 300, MILL VALLEY, CA,
94941, (415) 380-2317 - 0 ($0.00) Debt, 0 ($0.00) Equity,
(File 333-147604 - Nov. 23) (BR. 08C)
S-3 CYTRX CORP, 11726 SAN VICENTE BOULEVARD, SUITE 650, LOS ANGELES, CA,
90049, 310-826-5648 - 0 ($100,000,000.00) Equity, (File 333-147605 -
Nov. 23) (BR. 01A)
S-8 Buckingham Exploration Inc., #502 - 1978 VINE STREET, VANCOUVER, A1,
V6K 4S1, (604)7370203 - 4,000,000 ($4,200,000.00) Equity,
(File 333-147606 - Nov. 23) (BR. 04)
S-8 OMNIVISION TECHNOLOGIES INC, 930 THOMPSON PL, SUNNYVALE, CA, 94085,
4087333030 - 0 ($115,380,000.00) Equity, (File 333-147607 - Nov. 23)
(BR. 10B)
S-3 NAVISITE INC, 400 MINUTEMAN RD, ANDOVER, MA, 01810, 9786828300 -
3,540,203 ($28,533,377.53) Equity, (File 333-147608 - Nov. 23) (BR. 02B)
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
--------------------------------------------------------------------------------------------------------
2-Track Global, Inc. 3.02 11/22/07
Aleris International, Inc. DE 1.01,9.01 11/19/07
AMERICAN ENERGY PRODUCTION INC 5.02,9.01 11/21/07
AMERICAN RIVER BANKSHARES CA 8.01,9.01 11/23/07
ANALYTICAL SURVEYS INC CO 1.01,9.01 11/20/07
Aspreva Pharmaceuticals CORP A1 8.01,9.01 11/23/07
Atomic Guppy Inc NV 5.02,9.01 11/20/07
BIOPURE CORP DE 5.02 11/17/07
BofI Holding, Inc. DE 1.01 11/20/07
CANARGO ENERGY CORP DE 7.01,9.01 11/19/07
CENTRAL VALLEY COMMUNITY BANCORP CA 8.01,9.01 11/20/07
CH2M HILL COMPANIES LTD OR 2.01,9.01 09/07/07 AMEND
COLONIAL COMMERCIAL CORP NY 9.01 09/10/07 AMEND
COLORADO GOLDFIELDS INC. NV 3.02 11/20/07
COLUMBUS VENTURES INC. NV 4.01,9.01 10/19/07 AMEND
CONTINENTAL FUELS, INC. NV 5.02 11/23/07
Covidien Ltd. D0 5.02,7.01,9.01 11/19/07
Covidien Ltd. D0 2.06 11/16/07
Dresser-Rand Group Inc. DE 7.01,9.01 11/23/07
DYNEGY INC. DE 7.01,9.01 11/21/07
ENCYSIVE PHARMACEUTICALS INC DE 8.01 11/19/07
ENTREMED INC DE 5.02 11/16/07
FEDDERS CORP /DE DE 5.02,8.01,9.01 10/31/07
Federal Home Loan Bank of Atlanta X1 2.03 11/19/07
Federal Home Loan Bank of Chicago X1 2.03 11/19/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/19/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/19/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/19/07
Federal Home Loan Bank of San Francis X1 2.03 11/19/07
Federal Home Loan Bank of Seattle 2.03 11/23/07
Federal Home Loan Bank of Topeka 2.03 11/19/07
FIRST FINANCIAL CORP /IN/ IN 8.01,9.01 11/21/07
FOX PETROLEUM INC. NV 1.01,9.01 11/16/07
FUSION TELECOMMUNICATIONS INTERNATION 1.01,3.02,9.01 11/16/07
General Moly, Inc ID 1.01,3.02,8.01,9.01 11/19/07
GRYPHON GOLD CORP NV 7.01,9.01 11/22/07
H&R BLOCK INC MO 1.01,1.02,2.03 11/16/07
HEMIS CORP NV 1.01 11/16/07
ICONIX BRAND GROUP, INC. DE 8.01 11/20/07
INTERNATIONAL IMAGING SYSTEMS INC 5.03,9.01 11/15/07
INVERNESS MEDICAL INNOVATIONS INC DE 3.02,8.01 10/24/07 AMEND
INVESTOOLS INC DE 7.01,9.01 11/21/07
ION NETWORKS INC DE 8.01 11/23/07
Isilon Systems, Inc. DE 3.01,9.01 11/21/07
K-Care Nutritional Products Inc. 1.01,9.01 11/20/07
LAMPERD LESS LETHAL INC NV 7.01 11/20/07
LEAP WIRELESS INTERNATIONAL INC DE 2.03,9.01 11/20/07
LINCOLN GOLD CORP NV 5.03,9.01 11/16/07
MACROVISION CORP DE 1.01,9.01 11/17/07
Mar Ked Mineral Exploration, Inc. NV 5.01,5.02 11/14/07
MASTERCARD INC DE 8.01 11/19/07
MEDICAL SOLUTIONS MANAGEMENT INC. NV 1.01,9.01 11/16/07
MFB CORP IN 9.01 11/21/07
MIDDLEBY CORP DE 1.01,9.01 11/18/07
MIDWEST BANC HOLDINGS INC DE 9.01 10/01/07 AMEND
Millennium India Acquisition CO Inc. DE 7.01,9.01 11/23/07
MobiVentures Inc. NV 1.01,3.02,9.01 11/09/07 AMEND
MONUMENTAL MARKETING INC NV 5.02 11/19/07
MWI Veterinary Supply, Inc. DE 7.01,9.01 11/23/07
NATIONAL COAL CORP FL 1.01,9.01 11/16/07
NAVISTAR INTERNATIONAL CORP DE 8.01 11/21/07
NB&T FINANCIAL GROUP INC OH 5.02,7.01,9.01 11/23/07
NEW PARADIGM PRODUCTIONS INC NV 1.01,2.01,3.02,4.01,5.01,5.02, 11/17/07
5.03,5.06,9.01
NORTH AMERICAN SCIENTIFIC INC 1.01,2.03,9.01 11/20/07
Nugget Resources Inc. NV 4.01 11/21/07
OAK HILL FINANCIAL INC OH 8.01,9.01 11/19/07
Oilsands Quest Inc 1.01,5.03,8.01,9.01 11/18/07
OSIRIS THERAPEUTICS, INC. DE 5.02,9.01 11/16/07
PARTNERS TRUST FINANCIAL GROUP INC 8.01,9.01 11/21/07
PFF BANCORP INC DE 8.01,9.01 11/23/07
PIXELWORKS, INC OR 5.02 11/16/07
PROSPERO MINERALS CORP. NV 2.01,7.01,9.01 11/23/07
QUEST RESOURCE CORP NV 7.01 11/21/07
RAIT Financial Trust MD 5.02 11/16/07
REDWOOD TRUST INC MD 8.01,9.01 11/23/07
RF MICRO DEVICES INC NC 5.02 11/16/07
ROYAL INVEST INTERNATIONAL CORP. DE 1.01,9.01 11/23/07
SBT Bancorp, Inc. CT 8.01 11/21/07
Security Capital Assurance Ltd D0 8.01,9.01 11/23/07
SENORX INC 1.02 11/19/07
SIERRA BANCORP CA 5.02,9.01 11/15/07
Sino Gas International Holdings, Inc. UT 5.02 11/22/07
SMF ENERGY CORP DE 1.01,2.03,9.01 11/19/07
SOUTH FINANCIAL GROUP INC SC 5.02,9.01 11/16/07
STERLING CONSTRUCTION CO INC DE 7.01,9.01 11/21/07
SUMMIT FINANCIAL GROUP INC WV 1.01,8.01,9.01 11/21/07
TLC VISION CORP A6 8.01,9.01 11/21/07
TREX CO INC DE 1.01 11/20/07
UNITED RENTALS INC /DE DE 5.02,8.01,9.01 11/16/07
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02 11/13/07
VALUEVISION MEDIA INC MN 5.02 11/16/07
VOICE MOBILITY INTERNATIONAL INC NV 5.02 11/21/07
WAKO LOGISTICS GROUP INC 7.01,9.01 11/23/07
XERIUM TECHNOLOGIES INC DE 2.03 11/16/07
YADKIN VALLEY FINANCIAL CORP NC 8.01,9.01 11/21/07
http://www.sec.gov/news/digest/2007/dig112607.htm
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