SEC NEWS DIGEST Issue 2007-74 April 18, 2007 ENFORCEMENT PROCEEDINGS SEC SUES RECIDIVISTS GERALD AND MARIE LEVINE AND OTHERS FOR FRAUDULENT SCHEME INVOLVING SALE OF SHARES IN NU STAR HOLDINGS, INC., AND OTHER "PINK SHEET" COMPANIES Fraudulent Sales Accomplished Through Boiler Room Operations On April 17, the Commission filed a civil fraud action against Nu Star Holdings, Inc. (Nu Star), seven individuals and four relief defendants. According to the complaint, Nu Star, recidivists Gerald and Marie Levine, along with Alan Copeland, Mary Ann Metz, Darin Metz and Isaac Morley, engaged in a fraudulent scheme to sell shares of Nu Star and other "Pink Sheet" companies to innocent investors. The complaint alleges that from late 2003 through 2005, certain of the defendants established "boiler rooms" in Barcelona, Spain and Santa Ana, California to sell shares of the relevant companies primarily to overseas investors. The complaint also states that defendants Gerald and Marie Levine and Bruce Rothenberg sold Nu Star stock to several investors in western New York. The complaint alleges that the defendants' fraudulent conduct resulted in sales of securities of at least $4 million, and that four entities controlled by the Levines and the Metzes, Wire to Wire, Inc., Public Highway, Inc., the 1975 Trust and Global Environmental Systems, Inc., received proceeds from the fraudulent stock sales. The complaint states that to induce investors to buy shares of Nu Star, the defendants artificially inflated its share price through numerous, small-volume purchases of its stock, and then offered Nu Star's shares to the public at a purported "discount" to the "market" price. The complaint further alleges that the defendants made false statements about Nu Star by issuing a fabricated "independent" research report recommending that investors buy Nu Star, preparing company reports that far overstated its prospects, and failing to disclose that commissions for boiler room sales of Nu Star and other companies were as high as 70 percent of the purchase price of the stocks. In addition to the anti-fraud violations charges, the Commission's complaint charges Gerald and Marie Levine, Mary Ann Metz and Isaac Morley with selling shares of Nu Star without complying with the registration provisions of the federal securities laws, and Gerald and Marie Levine and Bruce Rothenberg with acting as unregistered brokers in selling shares of Nu Star. The Commission seeks permanent injunctions, disgorgement with prejudgment interest, civil money penalties and penny stock bars against each individual defendant. Additionally, the Commission seeks officer and director bars against Gerald and Marie Levine, Alan Copeland, Mary Ann Metz, Darin Metz and Isaac Morley. Finally, the Commission seeks disgorgement with prejudgment interest from the four relief defendants. Details of the prior securities fraud verdict returned against Gerald and Marie Levine on Oct. 16, 2003, are at http://www.sec.gov/litigation/litreleases/lr18420.htm. [SEC v. Nu Star Holdings, Inc. et al., Civil Action No. 2:07-cv-00506-LDG-RJJ (D. Nev.)] (LR-20077) FINAL JUDGMENTS OF PERMANENT INJUNCTION ENTERED AGAINST DEFENDANTS PAUL A. SPREADBURY, CONCORDE AMERICA, INC. AND HARTLEY LORD The Commission announced that on Feb. 9, 2007 and Feb. 12, 2007, Chief Judge William J. Zloch, U.S. District Judge for the Southern District of Florida entered Final Judgments of Permanent Injunction and Other Relief against Defendants Paul A. Spreadbury, Concorde America, Inc. and Hartley Lord, respectively. The Final Judgments, which were entered with the consents of the Defendants, enjoin them from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Final Judgments against Spreadbury and Lord permanently enjoin them from participating in a penny stock offering. In addition, Lord is enjoined from acting as an officer or director of a public company. The Court also ordered disgorgement, prejudgment interest and civil penalties against each of the defendants in amounts to be determined by the Court upon the Commission's motion. The Commission commenced this action by filing its complaint on Feb. 14, 2005, against Spreadbury, Concorde and Lord, among others. [SEC v. Concorde America, Inc., et al., Civil Action No. 05-80128-CIV-ZLOCH (S.D. Fla.)] (LR-20078) SEC CHARGES FORMER GENERAL COUNSEL OF AMKOR TECHNOLOGY, INC. WITH INSIDER TRADING The Commission today filed a civil injunctive action against Kevin J. Heron of Phoenixville, Pennsylvania, the former general counsel, corporate secretary, and chief insider trading compliance officer of Amkor Technology, Inc. The Commission's complaint alleges that from October 2003 through June 2004, Heron engaged in a pattern of insider trading by trading in Amkor securities prior to five Amkor public announcements relating to financial results and company business transactions. During this period, Heron executed more than fifty illegal trades in Amkor stock and options on the basis of material, nonpublic information that Heron had learned as a result of his position as general counsel. Heron executed nearly all of these illegal trades while he and other company employees were subject to company blackout periods that prohibited them from trading in Amkor stock. Even though Heron was the person at Amkor who was responsible for administering these blackout periods, Heron routinely violated Amkor's blackout periods by trading on inside information. Heron's trading yielded profits, and losses avoided, totaling approximately $290,000. Heron was terminated from his positions at Amkor in September 2005. Heron is charged with violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5, which are the general antifraud provisions of the federal securities laws. The Commission is seeking injunctive relief, disgorgement, and money penalties against Heron, as well as an order prohibiting Heron from serving as an officer or director of a public company. [SEC v. Kevin J. Heron,USDC, Eastern District of Pennsylvania, Civil Action No. 07-cv-01542-HB] (LR-20079) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Amex-2007-32) filed by the American Stock Exchange to shorten the minimum required time periods required between tape indications and openings or reopenings has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 23. (Rel. 34-55636) A proposed rule change (SR-CBOE-2007-35) filed by the Chicago Board Options Exchange to increase the class quoting limit in several option classes has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 23. (Rel. 34-55637) A proposed rule change (SR-BSE-2007-15) filed by the Boston Stock Exchange to amend the existing BeX fee schedule has become effective under Section 19(b)(3)(A) of the Act. Publication is expected in the Federal Register during the week of April 23. (Rel. 34-55639) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NASD-2003-141) filed by the National Association of Securities Dealers to adopt NASD IM-2440-2 to NASD Rule 2440 to provide additional mark-up policy for transactions in debt securities, except municipal securities. Publication is expected in the Federal Register during the week of April 23. (Rel. 34-55638) 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-8 UNIVERSAL DETECTION TECHNOLOGY, 9300 WILSHIRE BOULEVARD, SUITE 308, BEVERLY HILLS, CA, 90212, 3102483655 - 75,000,000 ($405,000.00) Equity, (File 333-142158 - Apr. 17) (BR. 10C) SB-2 VOICE MOBILITY INTERNATIONAL INC, 4190 LOUGHEED HWY., SUITE 100, BURNABY, A1, V5C 6A8, 6044820000 - 10,396,500 ($333.73) Equity, (File 333-142159 - Apr. 17) (BR. 11A) S-8 PROXYMED INC /FT LAUDERDALE/, 1854 SHACKLEFORD COURT, SUITE 200, NORCROSS, GA, 30093, 7708069918 - 570,132 ($1,778,811.84) Equity, (File 333-142160 - Apr. 17) (BR. 03A) S-8 PROXYMED INC /FT LAUDERDALE/, 1854 SHACKLEFORD COURT, SUITE 200, NORCROSS, GA, 30093, 7708069918 - 315,250 ($983,580.00) Equity, (File 333-142161 - Apr. 17) (BR. 03A) F-1 Qiao Xing Mobile Communication Co., Ltd., 10TH FLR. CEC BUILDING, 6 ZHONGGUANCUN SOUTH STREET, BEIJING, F4, 100086, (86-10) 6250 1728 - 19,166,667 ($249,166,671.00) Equity, (File 333-142162 - Apr. 17) (BR. ) S-1 PowerShares DB Multi-Sector Commodity Trust, C/O DB COMMODITY SERVICES LLC, 60 WALL STREET, NEW YORK, NY, 10005, (212) 250-5883 - 0 ($1,020,800,000.00) Other, (File 333-142163 - Apr. 17) (BR. 08B) SB-2 ODYNE CORP, 89 CABOT COURT, SUITE L, HAUPPAUGE, NY, 11788, 631-750-1010 - 13,760,820 ($20,318,851.30) Equity, (File 333-142164 - Apr. 17) (BR. 11A) F-6 Australis Aquaculture Ltd, LEVEL 18 CENTRAL PARK, 152-158 ST GEORGE'S TERRACE PERTH, WEST AUSTRAILIA, C3, 00000, 011 618 9288 4540 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-142165 - Apr. 17) (BR. ) F-3ASR Gol Intelligent Airlines Inc., RUA TAMOIOS 246, JARDIM AEROPORTO, S?O PAULO, D5, 04630-000, 55 11 5033-4226 - 2,470,794 ($72,097,769.00) ADRs/ADSs, (File 333-142166 - Apr. 17) (BR. 05B) S-8 RAVEN MOON ENTERTAINMENT INC, 2005 TREE FORK LANE, STE 101, LONGWOOD, FL, 32750, 407-774-4462 - 1,000,000,000 ($100,000.00) Equity, (File 333-142167 - Apr. 17) (BR. 05C) S-8 SILICON GRAPHICS INC, 1500 CRITTENDEN LANE, MOUNTAIN VIEW, CA, 94043, 6509601980 - 46,358 ($1,402,793.08) Equity, (File 333-142169 - Apr. 17) (BR. 03A) F-6 Iberdrola, S.A., 34944151411 - 200,000,000 ($10,000,000.00) ADRs/ADSs, (File 333-142170 - Apr. 17) (BR. ) S-1 MASIMO CORP, 2852 KELVIN AVE, STE 100, IRVINE, CA, 92614, 7142509688 - 0 ($150,000,000.00) Equity, (File 333-142171 - Apr. 17) (BR. 10) S-4 Hexion U.S. Finance Corp., 180 EAST BROAD STREET, COLUMBUS, OH, 43215, (614) 225-4000 - 0 ($825,000,000.00) Non-Convertible Debt, (File 333-142173 - Apr. 17) (BR. 06B) S-1 Stallion Oilfield Services, Inc., 410 ROBERTS STREET, HOUSTON, TX, 77003, 713.275.4197 - 0 ($400,000,000.00) Equity, (File 333-142174 - Apr. 17) (BR. 04A) S-8 HEWLETT PACKARD CO, 3000 HANOVER ST, MS 1050, PALO ALTO, CA, 94304, 6508571501 - 0 ($940,880.00) Equity, (File 333-142175 - Apr. 17) (BR. 03C) S-1 VELOCITY EXPRESS CORP, ONE MORNINGSIDE DRIVE NORTH, BUILDING B SUITE 300, WESTPORT, X1, 06880, 203-349-4160 - 4,878,506 ($5,951,777.00) Equity, (File 333-142176 - Apr. 17) (BR. 05C) F-6 Acorn International, Inc., 12/F, XINYIN BUILDING, 888 YI SHAN ROAD, SHANGHAI, F4, 200233, 8621-5464-4600 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-142177 - Apr. 17) (BR. 02) S-11 HIGHWOODS PROPERTIES INC, 3100 SMOKETREE CT, STE 600, RALEIGH, NC, 27604, 9198724924 - 4,139,943 ($167,170,898.34) Equity, (File 333-142178 - Apr. 17) (BR. 08B) S-8 TREY RESOURCES INC, 750 RT 34, MATANAN, NJ, 07747, 730 441 7700 - 70,950,000 ($148,995.00) Equity, (File 333-142179 - Apr. 17) (BR. 08C) S-3ASR DELTA PETROLEUM CORP/CO, 370 SEVENTEENTH STREET, SUITE 4300, DENVER, CO, 80202, 3032939133 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-142180 - Apr. 17) (BR. 04A) 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 ------------------------------------------------------------------------------------------------------- ACCESS WORLDWIDE COMMUNICATIONS INC DE 2.02,7.01,9.01 04/16/07 ACCREDITED HOME LENDERS HOLDING CO DE 4.01,8.01,9.01 04/09/07 AMEND Accredited Mortgage Loan REIT Trust MD 4.01 04/09/07 AMEND ADOLOR CORP 1.01,9.01 04/12/07 ADTRAN INC DE 2.02,9.01 04/16/07 ADUROMED INDUSTRIES, INC. DE 5.03,9.01 04/16/07 AFFIRMATIVE INSURANCE HOLDINGS INC DE 9.01 01/31/07 AMEND AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 1.01,8.01,9.01 04/17/07 AFP IMAGING CORP NY 1.01,3.02 04/12/07 ALL AMERICAN SEMICONDUCTOR INC DE 1.01,2.02,8.01,9.01 04/15/07 ALLEGHENY ENERGY, INC MD 1.01,8.01,9.01 04/13/07 Alternative Loan Trust 2007-11T1 DE 9.01 03/30/07 Alternative Loan Trust 2007-8CB DE 9.01 03/29/07 Alternative Loan Trust 2007-9T1 DE 9.01 03/30/07 Alternative Loan Trust 2007-OA7 8.01,9.01 03/30/07 AMBASE CORP DE 8.01 04/17/07 AMERICAN GREETINGS CORP OH 2.02,7.01,9.01 04/17/07 AMERICAN REAL ESTATE PARTNERS L P DE 1.01,2.03,3.02,8.01,9.01 04/16/07 Amish Naturals, Inc. 1.01,9.01 04/11/07 APOLLO INVESTMENT CORP MD 8.01,9.01 04/16/07 ARADIGM CORP CA 4.01,9.01 04/12/07 ARISTOTLE CORP DE 7.01,9.01 03/09/07 ARTS WAY MANUFACTURING CO INC DE 9.01 02/28/07 ASCENDANT SOLUTIONS INC DE 2.02 04/16/07 AURIGA LABORATORIES, INC. DE 7.01,9.01 04/17/07 AVANT IMMUNOTHERAPEUTICS INC DE 5.02 04/17/07 AVID TECHNOLOGY INC DE 5.02,9.01 04/16/07 AVISTA CORP WA 1.01 04/16/07 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 04/17/07 BANK OF NEW YORK CO INC NY 8.01 04/17/07 BANKRATE INC FL 4.01,9.01 04/12/07 BEACH FIRST NATIONAL BANCSHARES INC SC 2.02,9.01 04/17/07 Bella Trading Company, Inc. CO 1.01,2.03,9.01 04/12/07 BIOJECT MEDICAL TECHNOLOGIES INC OR 5.02,9.01 12/07/06 BlackRock Kelso Capital CORP DE 1.01,9.01 04/16/07 BLUEFLY INC DE 1.01,9.01 04/11/07 CACI INTERNATIONAL INC /DE/ DE 5.02 04/17/07 CALLAWAY GOLF CO /CA DE 2.02,9.01 04/16/07 CAMERON INTERNATIONAL CORP DE 1.01,9.01 04/12/07 CAPITAL BANCORP INC TN 2.02,8.01,9.01 04/17/07 Cardiac Science CORP 8.01 04/13/07 CATALINA MARKETING CORP/DE DE 8.01,9.01 04/17/07 CATUITY INC DE 8.01 04/17/07 Cell Power Technologies Inc 5.02 04/11/07 CHATTEM INC TN 1.01,8.01,9.01 04/11/07 CHEESECAKE FACTORY INC DE 8.01,9.01 04/17/07 CHEROKEE INC DE 2.02,9.01 04/16/07 CHESAPEAKE ENERGY CORP OK 8.01,9.01 04/13/07 CHINA BAK BATTERY INC NV 4.01,9.01 03/28/07 AMEND CHINA FUND INC MD 7.01,9.01 03/01/07 CHINA SKY ONE MEDICAL, INC. NV 4.01,9.01 04/12/07 China Stationery & Office Supply, Inc DE 5.02 04/16/07 CHIQUITA BRANDS INTERNATIONAL INC NJ 5.02,9.01 04/15/07 CHL Mortgage Pass-Through Trust 2007- DE 9.01 03/30/07 CHL Mortgage Pass-Through Trust 2007- 8.01,9.01 03/30/07 CIT FUNDING CO, LLC 8.01,9.01 04/17/07 CITIGROUP INC DE 8.01,9.01 04/13/07 CITIGROUP MORTGAGE LOAN TRUST 2007-AM 2.01,9.01 02/15/07 CITIZENS FINANCIAL CORP /KY/ KY 4.02 04/17/07 AMEND CITIZENS FINANCIAL CORP/DE/ DE 5.02 04/17/07 CITIZENS SOUTH BANKING CORP DE 2.02,9.01 04/16/07 CLARKE AMERICAN CORP. DE 2.02 04/17/07 CMS ENERGY CORP MI 1.01,9.01 04/12/07 CN BANCORP INC MD 8.01,9.01 04/16/07 COACH INDUSTRIES GROUP INC NV 5.02 04/16/07 COCA COLA CO DE 2.02,9.01 04/17/07 COFFEE HOLDING CO INC NV 8.01,9.01 04/13/07 COGNEX CORP MA 5.02 04/17/07 COGNEX CORP MA 2.02,9.01 04/17/07 Coley Pharmaceutical Group, Inc. DE 1.01,9.01 04/11/07 COMERICA INC /NEW/ DE 2.02,7.01,9.01 04/17/07 COMMUNITY BANCORP /VT VT 8.01,9.01 04/16/07 COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01,9.01 03/31/07 Con-way Inc. DE 2.02,9.01 03/31/06 CONSTELLATION BRANDS, INC. DE 7.01,9.01 04/17/07 COREL CORP A6 9.01 04/17/07 COVAD COMMUNICATIONS GROUP INC DE 5.02,9.01 04/11/07 CREDENCE SYSTEMS CORP DE 5.02,9.01 04/13/07 CSX CORP VA 2.02,9.01 04/17/07 CURAGEN CORP DE 5.02 04/13/07 CYTORI THERAPEUTICS, INC. DE 3.02 04/12/07 DDS TECHNOLOGIES USA INC NV 3.01,8.01 04/12/07 DEFENSE INDUSTRIES INTERNATIONAL INC NV 8.01,9.01 04/17/07 DEL LABORATORIES INC DE 4.02 04/17/07 DELTA & PINE LAND CO DE 5.04,9.01 04/17/07 DENDRITE INTERNATIONAL INC NJ 8.01,9.01 04/16/07 DEVCON INTERNATIONAL CORP FL 1.01,9.01 04/13/07 DG FastChannel, Inc DE 1.01,9.01 04/16/07 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 04/16/07 Digital Realty Trust, Inc. MD 7.01 04/16/07 DOW JONES & CO INC DE 2.02,9.01 04/17/07 DSA FINANCIAL CORP 2.02,9.01 04/13/07 EATON LABORATORIES INC NV 8.01 04/12/07 Eddie Bauer Holdings, Inc. DE 8.01,9.01 04/17/07 EL CAPITAN PRECIOUS METALS INC NV 1.01,5.02 04/12/07 EMC CORP MA 2.02,9.01 04/17/07 ENCORE ACQUISITION CO DE 2.01,9.01 04/11/07 ENCYSIVE PHARMACEUTICALS INC DE 8.01 04/16/07 ENER1 INC FL 1.01,3.02,5.02 04/14/07 ENTERGY CORP /DE/ DE 2.02,9.01 04/16/07 ENTERPRISE BANCORP INC /MA/ MA 2.02,8.01,9.01 04/17/07 ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,9.01 04/17/07 ENTREMED INC DE 5.02,8.01,9.01 04/16/07 EQUITY LIFESTYLE PROPERTIES INC MD 2.02,9.01 04/16/07 EQUITY ONE, INC. 1.01,8.01,9.01 04/11/07 ERESEARCHTECHNOLOGY INC /DE/ DE 8.01 04/17/07 ERF Wireless, Inc. NV 8.01,9.01 04/17/07 ERIE INDEMNITY CO PA 5.02,9.01 04/17/07 EVERGREEN SOLAR INC DE 1.01,2.02,3.02,7.01,9.01 04/17/07 EXCELSIOR LASALLE PROPERTY FUND INC 5.02 04/13/07 EXCELSIOR PRIVATE EQUITY FUND II INC MD 5.02 04/13/07 EXCELSIOR VENTURE PARTNERS III LLC DE 5.02 04/13/07 EXPRESS SYSTEMS CORP 1.01,2.01,3.02,5.01,5.02,5.06, 04/10/07 8.01,9.01 FARMERS CAPITAL BANK CORP KY 2.02,9.01 04/16/07 Federal Home Loan Bank of Atlanta X1 2.03 04/11/07 Federal Home Loan Bank of Boston X1 2.03 04/11/07 Federal Home Loan Bank of Chicago X1 2.03 04/11/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/11/07 Federal Home Loan Bank of Dallas 2.03 04/11/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/11/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/11/07 Federal Home Loan Bank of New York X1 2.03,9.01 04/11/07 Federal Home Loan Bank of New York X1 5.02 04/17/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/11/07 Federal Home Loan Bank of San Francis X1 2.03 04/11/07 Federal Home Loan Bank of Seattle 2.03 04/16/07 Federal Home Loan Bank of Topeka 2.03 04/11/07 FIELDSTONE INVESTMENT CORP 8.01,9.01 04/17/07 FIRST COMMUNITY BANK CORP OF AMERICA FL 2.02,9.01 04/12/07 FIRST DEFIANCE FINANCIAL CORP OH 2.02,9.01 04/16/07 FIRST INDIANA CORP IN 2.02,9.01 04/17/07 FIRST PLACE FINANCIAL CORP /DE/ DE 2.02,7.01,9.01 04/17/07 FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 04/17/07 FIRST UNITED ETHANOL LLC 1.01,5.02 04/11/07 FOUNTAIN POWERBOAT INDUSTRIES INC 5.02 04/11/07 FOUR OAKS FINCORP INC NC 8.01,9.01 04/16/07 FPB BANCORP INC FL 3.01 04/12/07 FREMONT GENERAL CORP NV 5.02,9.01 04/11/07 FULTON FINANCIAL CORP PA 2.02,9.01 04/17/07 GATEWAY ENERGY CORP/NE DE 1.01,9.01 04/13/07 AMEND GEN PROBE INC DE 1.01,5.02 04/16/07 GENIUS PRODUCTS INC DE 2.02,4.02 04/12/07 GENIUS PRODUCTS INC DE 7.01,9.01 04/17/07 GMAC LLC DE 5.02,9.01 04/17/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 04/13/07 GRAYSON BANKSHARES INC VA 2.02,9.01 04/10/07 GREEN MOUNTAIN POWER CORP VT 5.02,5.03,9.01 04/12/07 GREENS WORLDWIDE INC AZ 8.01,9.01 04/12/07 GREENVILLE FIRST BANCSHARES INC SC 2.02,9.01 04/17/07 GSR Trust 2007-HEL1 DE 8.01,9.01 04/17/07 GSR Trust 2007-HEL1 DE 9.01 04/17/07 GSR Trust 2007-HEL1 DE 9.01 04/17/07 GTX INC /DE/ DE 8.01,9.01 04/17/07 GUARANTY FEDERAL BANCSHARES INC DE 2.02,8.01,9.01 04/16/07 HABER INC DE 8.01,9.01 04/16/07 HAIGHTS CROSS COMMUNICATIONS INC DE 8.01 04/17/07 HANMI FINANCIAL CORP DE 5.02,9.01 04/11/07 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,1.02,2.03,9.01 04/04/07 Heelys, Inc. DE 5.02,9.01 04/11/07 HEXION SPECIALTY CHEMICALS, INC. NJ 9.01 01/31/07 AMEND HINES REAL ESTATE INVESTMENT TRUST IN 2.01,9.01 02/26/06 AMEND Home Equity Asset Trust 2007-2 DE 8.01,9.01 04/17/07 HUNT J B TRANSPORT SERVICES INC AR 2.02,9.01 04/16/07 ICU MEDICAL INC/DE DE 8.01,9.01 04/17/07 IDAHO GENERAL MINES INC ID 9.01 01/30/07 AMEND IMAX CORP A6 1.01,3.03,9.01 04/16/07 INDEVUS PHARMACEUTICALS INC DE 1.01,2.01,9.01 04/17/07 INLAND REAL ESTATE CORP MD 8.01,9.01 04/17/07 Innophos Holdings, Inc. 2.03 04/16/07 INNOVEX INC MN 2.02,9.01 04/16/07 Intcomex, Inc. DE 2.02,9.01 04/16/07 INTEGRA BANK CORP IN 2.02,9.01 04/17/07 INTEL CORP DE 2.02,7.01 04/17/07 INTELLIGROUP INC NJ 4.01,9.01 04/12/07 INTERDIGITAL COMMUNICATIONS CORP PA 5.02,9.01 04/13/07 INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 04/17/07 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 9.01 04/17/07 INTERNATIONAL TELECOMMUNICATIONS, INC NV 4.01,5.02,5.03 11/02/06 INTERWOVEN INC CA 2.02,9.01 04/17/07 INVESTORS FINANCIAL SERVICES CORP DE 2.02,9.01 04/17/07 IRWIN FINANCIAL CORP IN 7.01,9.01 04/17/07 J C PENNEY CO INC DE 7.01,9.01 04/17/07 J P MORGAN CHASE & CO DE 9.01 04/13/07 JACLYN INC DE 1.02,8.01,9.01 04/16/07 JEFFERIES GROUP INC /DE/ DE 2.02,9.01 04/17/07 John Deere Owner Trust 2007 DE 9.01 04/13/07 JOHNSON & JOHNSON NJ 2.02,9.01 04/17/07 KEITHLEY INSTRUMENTS INC OH 2.02 04/12/07 KEY ENERGY SERVICES INC MD 5.02,9.01 04/13/07 KEYCORP /NEW/ OH 2.02,9.01 04/17/07 KODIAK ENERGY, INC. DE 8.01 04/13/07 KOMAG INC /DE/ DE 8.01 04/13/07 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 04/17/07 LANDMARK LAND CO INC/DE DE 1.01,9.01 04/13/07 LANNETT CO INC DE 8.01,9.01 04/12/07 LAS VEGAS SANDS CORP NV 7.01 04/17/07 LAZARE KAPLAN INTERNATIONAL INC DE 5.03,9.01 04/11/07 LECG CORP DE 1.01,8.01,9.01 04/11/07 Legacy Bancorp, Inc. DE 7.01,9.01 04/12/07 Liberty Global, Inc. 7.01 04/17/07 Liberty Global, Inc. 2.03,9.01 04/12/07 LIFECORE BIOMEDICAL INC MN 2.02,9.01 04/17/07 LINEAR TECHNOLOGY CORP /CA/ DE 8.01,9.01 04/17/07 LINEAR TECHNOLOGY CORP /CA/ DE 8.01,9.01 04/17/07 Linens Holding Co. DE 5.02 04/11/07 LONGS DRUG STORES CORP MD 4.01,9.01 04/17/07 M&T BANK CORP NY 2.02,9.01 04/17/07 MACATAWA BANK CORP MI 2.02,9.01 04/17/07 MAGIC COMMUNICATIONS INC DE 1.01,2.01,5.02,9.01 04/12/07 MAINE & MARITIMES CORP ME 8.01 04/17/07 MARINE GROWTH VENTURES INC 1.01,9.01 04/11/07 MARINE PRODUCTS CORP DE 8.01,9.01 04/17/07 MARSHALL & ILSLEY CORP/WI/ WI 2.02,9.01 04/17/07 MAX RE CAPITAL LTD 1.01,2.03,7.01,9.01 04/11/07 MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 04/17/07 MedAire, Inc. NV 2.02,8.01,9.01 03/30/07 MEDICAL NUTRITION USA INC NJ 8.01,9.01 04/17/07 MEDTOX SCIENTIFIC INC DE 2.02,9.01 04/17/07 MERRILL LYNCH MUNICIPAL ABS INC NY 9.01 04/02/07 Millstream II Acquisition CORP DE 8.01,9.01 04/17/07 MIRACOR DIAGNOSTICS INC UT 8.01 04/16/07 MONONGAHELA POWER CO /OH/ OH 1.01,9.01 04/13/07 MONROE BANCORP IN 2.02,9.01 04/17/07 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 02/28/07 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 03/30/07 MOVADO GROUP INC NY 1.01 04/11/07 MPHASE TECHNOLOGIES INC NJ 8.01 04/17/07 MTI TECHNOLOGY CORP DE 3.01,9.01 04/11/07 MULTI COLOR CORP OH 1.01 04/13/07 NACCO INDUSTRIES INC DE 7.01,9.01 04/17/07 NARA BANCORP INC DE 5.02,9.01 04/11/07 NATIONAL PENN BANCSHARES INC PA 2.02,7.01 04/17/07 NATIONAL PENN BANCSHARES INC PA 2.02,7.01 04/17/07 NATURAL HEALTH TRENDS CORP DE 8.01,9.01 04/16/07 NAVIGANT CONSULTING INC DE 1.01,9.01 04/16/07 Neenah Paper Inc DE 8.01,9.01 04/16/07 NETLIST INC DE 2.02,9.01 04/16/07 NEW PEOPLES BANKSHARES INC VA 1.01,9.01 04/13/07 Nexxus Lighting, Inc. DE 3.03,5.03,8.01,9.01 04/11/07 NNN Apartment REIT, Inc. MD 1.01,2.03,9.01 04/12/07 NORD RESOURCES CORP DE 1.01,8.01,9.01 04/13/07 NORTHERN TRUST CORP DE 2.02,9.01 04/17/07 NOVASTAR FINANCIAL INC MD 1.01,8.01,9.01 03/29/07 NU HORIZONS ELECTRONICS CORP DE 8.01,9.01 04/16/07 Nuance Communications, Inc. DE 9.01 03/26/07 AMEND Oakmont Acquisition Corp. DE 5.02 04/05/06 AMEND OCCAM NETWORKS INC/DE DE 7.01,9.01 04/17/07 OLD SECOND BANCORP INC DE 8.01 04/17/07 ONYX PHARMACEUTICALS INC DE 5.02 04/13/07 Optionable Inc 1.01,3.02,5.02,8.01,9.01 04/17/07 AMEND ORACLE CORP 2.03 04/11/07 Orange 21 Inc. DE 8.01,9.01 04/16/07 Orange 21 Inc. DE 2.02,9.01 04/17/07 ORTEC INTERNATIONAL INC DE 4.02,8.01 04/17/07 OSI RESTAURANT PARTNERS, INC. DE 2.02,8.01,9.01 04/17/07 PACIFIC CONTINENTAL CORP OR 2.02,9.01 03/31/07 People's United Financial, Inc. DE 7.01,9.01 04/11/07 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 2.02,9.01 04/17/07 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 1.01,9.01 04/16/07 PHARMACOPEIA DRUG DISCOVERY INC DE 8.01,9.01 04/17/07 PIER 1 IMPORTS INC/DE DE 5.02,9.01 04/13/07 PINNACLE BANKSHARES CORP VA 8.01,9.01 04/16/07 PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 04/17/07 POPE & TALBOT INC /DE/ DE 5.02,9.01 04/13/07 PPL CORP PA 7.01,9.01 04/17/07 Prestige Brands Holdings, Inc. 5.02,7.01,9.01 04/12/07 PRO PHARMACEUTICALS INC NV 8.01,9.01 04/17/07 PRO-FAC COOPERATIVE INC 1.01,9.01 04/13/07 PROTECTIVE LIFE INSURANCE CO TN 9.01 04/12/07 ProtoKinetix, Inc. 4.02 04/13/07 ProUroCare Medical Inc. 1.01,8.01,9.01 04/16/07 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 04/17/07 QUAKER CHEMICAL CORP PA 5.02 04/16/07 QUAKER FABRIC CORP /DE/ DE 1.01 04/13/07 QUIKSILVER INC DE 5.02,9.01 04/16/07 RADIANT SYSTEMS INC GA 5.02 04/12/07 RadNet, Inc. NY 4.01 04/05/07 REGAN HOLDING CORP CA 1.01,9.01 04/12/07 REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 04/17/07 REGIS CORP MN 2.02,9.01 04/12/07 RPC INC DE 8.01,9.01 04/17/07 RUBY TUESDAY INC GA 2.02,9.01 03/06/07 S&T BANCORP INC PA 5.02 04/16/07 SAFENET INC DE 1.01 04/11/07 SALTON INC DE 1.01,4.01,9.01 04/13/07 SANDY SPRING BANCORP INC MD 2.02,8.01,9.01 04/17/07 Santa Monica Media CORP DE 8.01,9.01 04/17/07 SAVANNAH BANCORP INC GA 7.01 04/17/07 SCBT FINANCIAL CORP SC 2.02,9.01 04/17/07 SCHWAB CHARLES CORP DE 2.02,9.01 04/17/07 SCM MICROSYSTEMS INC DE 5.02 04/12/07 SCOLR Pharma, Inc. DE 8.01,9.01 04/17/07 SCOTTS MIRACLE-GRO CO OH 1.01,2.03,9.01 04/11/07 SEAGATE TECHNOLOGY E9 2.02,9.01 04/17/07 SEDONA CORP PA 5.02 04/11/07 Shanghai Yutong Pharma, Inc DE 4.01,9.01 03/22/07 SHAW GROUP INC LA 1.01,9.01 04/16/07 Shire plc 8.01,9.01 04/16/07 SKYE INTERNATIONAL, INC NV 5.02 04/12/07 SLS INTERNATIONAL INC DE 3.01 04/04/07 SOLUTIA INC DE 5.02,9.01 04/11/07 SOMERSET INTERNATIONAL GROUP,INC. DE 3.02 04/02/07 SPAN AMERICA MEDICAL SYSTEMS INC SC 8.01,9.01 04/17/07 SPANISH BROADCASTING SYSTEM INC DE 3.01,9.01 04/11/07 Spectra Energy Corp. DE 5.02,9.01 04/11/07 Spectre Technology CORP NV 5.02 04/15/07 STANLEY FURNITURE CO INC. DE 2.02,2.03,9.01 04/17/07 STATE STREET CORP MA 2.02,9.01 04/17/07 STATER BROS HOLDINGS INC DE 1.01,2.03,9.01 04/16/07 STILLWATER MINING CO /DE/ DE 7.01,9.01 04/16/07 Sugar Creek Financial Corp X1 5.02 04/13/07 SUMMIT ENVIRONMENTAL CORP INC TX 5.02 04/12/07 SUN BANCORP INC /NJ/ NJ 5.02,9.01 04/17/07 SUNTRUST BANKS INC GA 2.02,7.01,9.01 04/17/07 SUNTRUST BANKS INC GA 5.03,7.01,9.01 04/17/07 SVB FINANCIAL GROUP 2.02,5.02,9.01 04/17/07 SYCAMORE NETWORKS INC DE 3.01,9.01 04/16/07 Syngas International Corp. NV 5.02 04/17/07 Syzygy Entertainment Ltd OH 9.01 02/16/07 AMEND TD AMERITRADE HOLDING CORP DE 2.02,9.01 04/17/07 TETRA TECH INC DE 8.01,9.01 04/16/07 THAXTON GROUP INC SC 1.03,5.01,5.02,8.01,9.01 04/09/07 TILDEN ASSOCIATES INC DE 4.01,9.01 04/02/07 TIME WARNER CABLE INC. DE 1.02 04/13/07 TIME WARNER INC DE 1.02 04/13/07 TORTOISE CAPITAL RESOURCES CORP 5.02 04/13/07 TRANSACTION SYSTEMS ARCHITECTS INC DE 8.01 04/13/07 TRANSMERIDIAN EXPLORATION INC DE 8.01,9.01 04/16/07 TRIMAX CORP NV 1.02,5.02 04/17/07 TRIMERIS INC DE 2.02,8.01,9.01 04/17/07 TRIZETTO GROUP INC DE 1.01,2.03,3.02,9.01 04/11/07 TRUSTCO BANK CORP N Y NY 2.02,9.01 03/31/07 TRUSTCO BANK CORP N Y NY 8.01,9.01 04/17/07 TRUSTMARK CORP MS 2.02,9.01 04/17/07 ULTICOM INC NJ 8.01 04/17/07 UNITED BANCORP INC /MI/ MI 2.02,8.01,9.01 04/17/07 UNITED COMMUNITY BANKS INC GA 2.02,9.01 04/17/07 UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 04/17/07 UNIVERSAL TRAVEL GROUP NV 1.01,2.01,9.01 04/10/07 AMEND URANERZ ENERGY CORP. NV 8.01,9.01 04/11/07 US BANCORP \DE\ DE 2.02,9.01 04/17/07 Valera Pharmaceuticals Inc 5.01,5.02,9.01 04/17/07 Veri-Tek International, Corp. MI 1.01,2.03 04/11/07 Veri-Tek International, Corp. MI 2.02,9.01 04/13/07 VIRAGEN INC DE 1.01,3.02,5.03,9.01 04/12/07 VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 04/17/07 Visiphor CORP A1 7.01,9.01 04/12/07 VISUALANT INC NV 8.01 04/16/07 VIVUS INC CA 5.02 04/16/07 WASHINGTON MUTUAL, INC WA 2.02,9.01 04/17/07 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.02,7.01,9.01 04/17/07 WATERFORD GAMING LLC DE 8.01 04/17/07 WEGENER CORP DE 2.02,9.01 04/16/07 WELLS FARGO & CO/MN DE 2.02,9.01 04/17/07 WESTSPHERE ASSET CORP INC CO 4.02 04/16/07 AMEND WINMARK CORP MN 5.02 04/16/07 WIZZARD SOFTWARE CORP /CO CO 2.01,3.02,7.01 04/03/07 WORLD FINANCIAL NETWORK CREDIT CARD M DE 8.01,9.01 04/16/07 WORLDGATE COMMUNICATIONS INC DE 3.01,9.01 04/11/07 WORLDWATER & POWER CORP DE 1.01,9.01 04/12/07 WPCS INTERNATIONAL INC DE 1.01,2.03,9.01 04/10/07 AMEND WSB Financial Group, Inc. WA 5.02,9.01 04/16/07 X RITE INC MI 1.02 04/11/07 YAHOO INC DE 2.02,9.01 04/17/07