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SEC NEWS DIGEST
Issue 2007-172 September 6, 2007
COMMISSION ANNOUNCEMENTS
SEC SENIORS SUMMIT TO TACKLE IDENTIFYING, STOPPING INVESTMENT SCAMS
AGAINST SENIOR CITIZENS
Agency Has Recently Brought Charges in More Than 40 Frauds Against
Older Investors
The Securities and Exchange Commission and three other organizations
today announced the panelists and agenda for an upcoming Seniors
Summit at the SEC to combat investment fraud and abusive sales
practices against older Americans.
The second annual Seniors Summit will help older Americans identify
and avoid common scams, better assess "free lunch" investment seminar
invitations and other sales practices, and better protect themselves
from the social persuasion tactics used by fraudsters. The SEC will
host the event on Sept. 10 with the North American Securities
Administrators Association (NASAA), the Financial Industry Regulatory
Authority (FINRA), and AARP.
A panel led by the SEC's Division of Enforcement at this year's summit
will highlight cooperation among regulators and law enforcement to
identify and stop investment scams against seniors. Already, the SEC
has brought more than 40 enforcement actions in the past two years
against frauds targeting retirees and other older investors.
"We need to do everything we can to ensure that seniors are well-
educated about investment choices, and that they're treated fairly and
appropriately by brokers, investment advisers, and others in the
securities industry," said SEC Chairman Christopher Cox. "Avoiding
scams requires a combination of information and common sense. Being
aware of the latest fraud tactics and understanding how common
investment products work can help seniors and investors of all ages
keep their money safe."
The Seniors Summit also will include the release of findings from an
examination of securities firms offering "free lunch" investment
seminars aimed at senior citizens. Other panel discussions will focus
on investor education and the need for securities firms to improve
their sales practices for older investors.
Finally, AARP will lead a lunch and learn program for seniors on the
devious social persuasion tactics used by con-artists against senior
citizens. Among the most common is "phantom fixation," where the
fraudster dangles a prize, such as a sum of money or a vacation, to
tantalize the victim. Another is "social consensus," in which the con-
artist convinces a victim that peers, neighbors, and other respected
members of a community are all making this particular investment. The
"scarcity" tactic exaggerates a false time-sensitive situation,
pressuring victims to act fast on an investment before it's too late.
The "reciprocity" principle of social interaction involves a small
favor for the victim (such as a free lunch) and relies on human nature
to induce the victim to return the favor in kind by buying the
investment.
Senior investors and other members of the public are invited to attend
the SEC's Seniors Summit. Registration information and other
information materials are available at:
http://www.sec.gov/spotlight/seniors/seniors_summit.htm or by calling
(800) 732-0330. The event also will be webcast live on the SEC Web
site at www.sec.gov.
SENIORS SUMMIT AGENDA
9:00-10:00 Registration
10:00-10:10 Opening Remarks: SEC Chairman Christopher Cox
10:10-10:25 Overview
Joseph Borg President, North American Securities Administrators
Association (NASAA)
Chris Hansen Group Executive Officer for State and National
Initiatives, AARP
Mary Schapiro Chairman and CEO, Financial Industry Regulatory
Authority (FINRA)
10:25-10:50 Panel 1 "Free Lunch" Investment Seminars: Examination
Sweep Findings, Implications
Moderator: Lori Richards, Director, SEC Office of Compliance
Inspections and Examinations
Panelists:
* SEC Commissioner Kathleen Casey
* Bob Errico, Executive Vice President, Office of Member
Regulation, FINRA
* David Massey, Deputy Securities Administrator North
Carolina Securities Division; Chair, NASAA Enforcement
Section
10:50-10:55 Fraud victim video
10:55-11:20 Panel 2 Investor Education: Innovations in Reaching
Seniors
Moderator: Kristin Kaepplein, Director, SEC Office of Investor
Education and Advocacy
Panelists:
* SEC Commissioner Paul Atkins
* John Gannon, Senior Vice President, Office of Investor
Education, FINRA
* Jean Setzfand, Director, Financial Security Outreach &
Service, AARP
* Karen Tyler, North Dakota Securities Commissioner, NASAA
President-Elect
11:20-11:35 Break
11:35-11:55 Panel 3 Identifying and Stopping Common Scams
Moderator: Linda Thomsen, Director, SEC Division of Enforcement
Panelists:
* SEC Commissioner Roel Campos
* Steve Luparello, Senior Executive Vice President,
Regulation, FINRA
* Patricia D. Struck, Administrator, Division of Securities,
Wisconsin Department of Financial Institutions, NASAA Past
President
* George Gaberlavage, Director, Policy Research &
Development, Consumer Issues, AARP
11:55-12:00 Fraud victim video
12:00-12:20 Panel 4 Improving Sales Practices
Moderator: Erik Sirri, Director, SEC Division of Market
Regulation
Panelists:
* SEC Commissioner Annette Nazareth
* Bryan Lantagne, Director, Massachusetts Securities
Division
* Elisse Walter, Senior Executive Vice President, Office of
Regulatory Policy and Programs, FINRA
* Ryan Wilson, Senior Policy Advisor, Public Policy
Institute -Consumer Issues, AARP
12:20-12:25 Closing Remarks: SEC Chairman Christopher Cox
12:30-1:30 Box Lunch and Learn for Senior Citizens (pre-registration
required) "The Weapons of Fraud: The Psychology Behind the Scams" Doug
Shadel, State Director, AARP Washington (Press Rel. 2007-175)
ENFORCEMENT PROCEEDINGS
SEC CHARGES PENSION CONSULTING FIRM, YANNI PARTNERS, INC., AND ITS
PRESIDENT, THERESA A. SCOTTI, WITH MISLEADING PENSION FUND CLIENTS
CONCERNING CONFLICTS OF INTEREST
On September 5 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 Yanni Partners, Inc. (Yanni) and Theresa A.
Scotti (Scotti). The Order finds that Yanni, a registered investment
adviser and pension consultant located in Pittsburgh, Pennsylvania,
provides investment advice to pension plans, profit sharing plans,
endowment funds, and other large institutional clients. From at least
January 2002 through May 2005, Yanni breached its duty to its clients
and prospective clients by misrepresenting and omitting to disclose
material information about certain potential financial conflicts of
interest.
The Order also finds that Yanni's clients included private and public
pension funds which were represented by board members or other persons
who themselves owed fiduciary duties to the funds and their
beneficiaries. These clients came to Yanni seeking advice in
developing appropriate investment strategies and in selecting money
managers to invest the funds entrusted to their care. While Yanni's
principal business was investment consulting, it also sold
subscription services to some of the same money managers it was
recommending to its clients. These sales, which generated
approximately $600,000 of gross revenues annually, created a potential
conflict of interest, which Yanni should have disclosed to its clients
and prospective clients. However, Scotti provided them with marketing
materials and other documents which, as a result of their negligence,
contained materially misleading statements and omissions about these
potential conflicts of interest. As a result of such misconduct, the
Order finds that Yanni and Scotti willfully violated the anti-fraud
provisions under Section 206(2) of the Investment Advisers Act of 1940
(Advisers Act).
Based on the above, the Order: (i) censures Yanni and Scotti; (ii)
orders them to cease and desist from committing or causing any
violations and any future violations of Section 206(2) of the Advisers
Act; (iii) imposes a $175,000 civil money penalty against Yanni; and
(iv) imposes a $40,000 civil money penalty against Scotti. Yanni and
Scotti consented to the issuance of the Order without admitting or
denying any of the findings therein. (Rel. IA-2642; File No. 3-12746)
IN THE MATTER OF MARIA GIESIGE
On September 5, the Commission issued an Order Instituting
Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A
of the Securities Act of 1933, Sections 15(b) and 21C of the
Securities Exchange Act of 1934, and Sections 203(f) and 203(k) of the
Investment Advisers Act of 1940 and Notice of Hearing (Order) against
Maria Giesige. In the Order, the Division of Enforcement (Division)
alleges that Giesige, a registered representative and a state-
registered investment adviser, fraudulently made approximately $1.5
million of unregistered sales of Carolina Development Company
securities between October 2005 and January 2006. The Division further
alleges, among other things, that Giesige told investors and advisory
clients that: (1) they could sell the restricted stock they received
in the offering within weeks or months of their purchases; (2)
Carolina would be conducting an initial public offering of its shares
within a short period at a price of $9 a share and that the price
would rise to $18 a share in aftermarket trading; and (3) an audit had
been performed on Carolina's financial statements despite knowing one
had not been completed. The Division further alleges that Giesige did
not seek approval to sell Carolina stock from Investors Capital
Corporation, the broker-dealer with which she was associated, prior to
selling the stock to investors. The Division further alleges that
Giesige willfully violated Sections 5(a), 5(c) and 17(a) of the
Securities Act, Sections 10(b) and 15(a) of the Exchange Act and Rule
10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act.
A hearing will be scheduled before an administrative law judge to
determine whether the allegations contained in the Order are true, to
provide Giesige 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 300
days after service of the Order. (Rels. 33-8839; 34-56356; IA-2643;
File No. 3-12747)
IN THE MATTER OF 800AMERICA.COM, INC.
On September 6, the Commission issued an Order Instituting
Administrative Proceedings, Making Findings and Revoking Registration
of Securities Pursuant to Section 12(j) of the Securities Exchange Act
of 1934, against 800America.com, Inc. (800America). The Order finds
that 800America has failed to comply with Section 13(a) of the
Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder
in that it has not filed any periodic reports for any fiscal period
subsequent to Nov. 25, 2002.
Based on the above, the Order revokes the registration of 800America's
securities. 800America consented to the issuance of the Order without
admitting or denying any of the findings. (Rel. 34-56358; File No. 3-
12748)
SEC REVOKES REGISTRATION OF SECURITIES OF UNITED SPECIALTIES, INC.
(n/k/a WATERCOLOR HOLDINGS, INC.) FOR FAILURE TO MAKE REQUIRED
PERIODIC FILINGS
On September 6, the Commission revoked the registration of each class
of registered securities of United Specialties, Inc. (n/k/a WaterColor
Holdings, Inc.) (United Specialties) 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, United Specialties 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 United Specialties, Inc. (n/k/a WaterColor Holdings, Inc.)
finding that it had failed to comply with Section 13(a) of the
Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and
13a-13 thereunder and revoking the registration of each class of
United Specialties's securities pursuant to Section 12(j) of the
Exchange Act. This order settled the charges brought against United
Specialties in the Matter of American Pad & Paper Co., et al.,
Administrative Proceeding File No. 3-12705.
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 see Order Instituting Administrative
Proceedings and Notice of Hearing Pursuant to Section 12(j) of the
Securities Exchange Act of 1934, In the Matter of American Pad & Paper
Co., et al., Administrative Proceeding File No. 3-12705, Exchange Act
Release No. 56111 (July 20, 2007). (Rel. 34-56359; File No. 3-12705)
IN THE MATTER OF COMMONWEALTH EQUITY SERVICES, LLP d/b/a COMMONWEALTH
FINANCIAL NETWORK
IN THE MATTER OF DETWILER, MITCHELL, FENTON & GRAVES, INC.
IN THE MATTER OF JAMES X. MCCARTY
On September 6, the Commission issued Orders Instituting
Administrative Proceedings, Making Findings, and Imposing Remedial
Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of
1934 against Commonwealth Equity Services, LLP d/b/a Commonwealth
Financial Network (Commonwealth) and Detwiler, Mitchell, Fenton &
Graves, Inc. (DMFG), and an Order Instituting Administrative
Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant
to Section 15(b) of the Securities Exchange Act of 1934 and Section
203(f) of the Investment Advisers Act of 1940 against James X. McCarty
(McCarty), each for failure to reasonably supervise registered
representative Bradford C. Bleidt (Bleidt). Commonwealth, DMFG and
McCarty consented to the issuance of the Orders without admitting or
denying the Orders' findings.
The Commission's Order against Commonwealth found that from January
1991 to October 2001, while Bleidt was a Commonwealth registered
representative, he misappropriated over $12 million from approximately
34 of Commonwealth's customers. The Commission's Order against
Commonwealth further found that Commonwealth failed to have reasonable
supervisory procedures to respond to red flags related to Bleidt's
outside business activities and reasonable supervisory procedures for
the review of incoming mail.
The Commission's Order against DMFG found that from October 2001 to
February 2004, while Bleidt was a DMFG registered representative, he
misappropriated over $9 million from approximately 25 of DMFG's
customers and approximately another $5 million from approximately 43
additional victims who did not have brokerage accounts at DMFG. The
Commission's Order against DMFG further found that DMFG failed to
implement its existing supervisory procedures to review outside
business activities and its existing supervisory procedures for the
review of incoming mail.
The Commission's Order against McCarty found that from at least 1994
until November 2004, while McCarty was Bleidt's immediate supervisor,
Bleidt misappropriated over $31 million from more than 100 victims.
The Commission's Order against McCarty further found that McCarty
failed to respond to red flags regarding Bleidt's financial situation,
failed to follow written procedures at DMFG regarding opening and
review of incoming mail, and failed to follow written procedures at
Commonwealth and DMFG regarding annual audits of registered
representatives.
Based on the above, the Commission ordered that Commonwealth and DMFG
be censured and that McCarty be barred from acting in a supervisory
capacity with any broker, dealer, or investment adviser. In addition,
the Orders impose a $250,000 penalty against both Commonwealth and
DMFG and a $50,000 penalty against McCarty. The Commission also
ordered each of Commonwealth, DMFG, and McCarty to pay disgorgement of
one dollar. The amounts of disgorgement and penalties shall be paid
into a single Fair Fund created pursuant to Section 308(a) of the
Sarbanes-Oxley Act of 2002 for potential distribution to investors.
Both Bleidt and his independent advisory firm, Allocation Plus Asset
Management, Inc., were enjoined from future violations of Section
10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections
206(1) and 206(2) of the Advisers Act, in the civil action entitled
Securities and Exchange Commission v. Bradford C. Bleidt, et al.,
Civil Action Number 104-12415-NG, in the District of Massachusetts.
For more information see Litigation Release No. 18972 (Nov. 16, 2004),
18993A (Dec. 15, 2004), 19488 (Dec. 7, 2005), and 20120A (May 23,
2007). (Rel. 34-56362, File No. 3-12749; Rel. 34-56363, File No. 3-
12750; Rels. 34-56364, IA-2644, File No. 3-12751; Press Press Rel.
2007-174)
IN THE MATTER OF DEAN A. NICHOLS (CPA)
On September 6, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Rule 102(e) of the Commission's
Rules of Practice, Making Findings, and Imposing Remedial Sanctions
(Order) against Dean A. Nichols (Nichols), a certified public
accountant who formerly served as a senior manager at a subsidiary of
Performance Food Group Company (PFG), a large public company. The
Order finds that, on July 24, 2007, a Final Judgment was entered
against Nichols in a civil action filed by the Commission against
Nichols in the United States District Court for the District of New
Jersey. The Final Judgment permanently enjoins Nichols from future
violations of Sections 10(b) and 13(b)(5) of the Securities Exchange
Act of 1934 (Exchange Act) and Rules 10b-5 and 13b2-1 thereunder, and
from aiding and abetting violations of Sections 13(a) and 13(b)(2)(A)
of the Exchange Act and Rules 12b-20 and 13a-13 thereunder. Nichols
was also ordered to pay a $25,000 civil money penalty in the civil
action.
Based on the above, the Order suspends Nichols from appearing or
practicing before the Commission as an accountant. Nichols consented
to the entry of the Order without admitting or denying the findings.
The Commission filed its civil action against Nichols in February
2004, alleging that, during 2000 and 2001, Nichols engaged in a
fraudulent course of conduct in which he made numerous improper
accounting journal entries on the books of AFI Foodservice
Distributor, Inc., a subsidiary of PFG. Nichols' conduct caused PFG to
overstate its income by a total of $3.8 million in the company's Forms
10-Q filed with the Commission for the second and third quarters of
2000, and for the first and third quarters of 2001.
For further information, please see Litigation Release Numbers 18578
and 20217. (Rel. 34-56366; AAE Rel. 2675; File No. 3-12752)
SEC CHARGES REPEAT FRAUDSTER, PENNY STOCK TRADER, FOR ROLES IN SPAM-
FUELED PUMP-AND-DUMP SCHEMES
The Commission today announced a settled civil action against Mesa,
Arizona-based recidivist Michael Saquella, a.k.a., Michael Paloma, 47,
and Scottsdale, Arizona-based trader Lawrence Kaplan, 63, alleging an
elaborate market manipulation scheme that involved unlawfully taking
public seven microcap companies, inflating their share prices, and
dumping millions of shares into the public market.
The Commission's complaint, filed in U.S. District Court for the
Eastern District of Virginia, alleges that, over the past four years,
Paloma repeatedly passed himself off to principals of private, cash-
strapped companies as a legitimate financier, persuading company
principals to issue to Paloma-affiliated entities large controlling
blocks of stock, which were then resold in unlawful public offerings.
In each case, according to the complaint, Paloma would surreptitiously
gain control of a company's shares by convincing management to issue
large blocks of stock to one or more entities he controlled. These
issuances, purportedly made under federal registration exemptions to
"accredited investors," were part of a plan to circumvent the
registration requirements of the federal securities laws. In
furtherance of this plan, Paloma obtained bogus opinions of counsel
that permitted transfer agents to issue share certificates to his
entities free of legends restricting resale. In fact, the entities
Paloma controlled were not bona fide accredited investors, but merely
conduits through which he and Kaplan effected unregistered public
distributions of stock.
The Commission further alleges that, once his entities acquired the
"free-trading" shares, Paloma then coordinated manipulative public
trading--carried out, in part, by Kaplan--which artificially inflated
the value of each issuer's stock. With the appearance of an active
trading market established, Paloma coordinated the dissemination of
millions of false and/or misleading blast fax and spam e-mails touting
the companies' shares. Ultimately, Paloma and Kaplan dumped stock of
the microcap issuers into the public market at the artificially
inflated prices, realizing profits of some $2,155,000 and $677,000,
respectively.
After Paloma and Kaplan liquidated their holdings of each company's
stock, they ceased trading in the stock and the market for the shares
collapsed. The Commission alleges that Paloma and Kaplan carried out
versions of this scheme using the shares of Courtside Products, Inc.,
Latin Heat Entertainment, Inc., Xtreme Technologies, Inc., PokerBook
Gaming Corp., Commanche Properties, Inc., TKO Holdings Ltd. and Motion
DNA Corp.
In the Commission's action, Paloma has consented to the entry of a
final judgment (1) permanently enjoining him from violating Sections
5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b)
of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; (2)
imposing a penny stock bar against him; and (3) directing that he
disgorge $2,155,034 in unlawful profits, plus prejudgment interest of
$364,265. Kaplan has consented to the entry of a final judgment (1)
permanently enjoining him from violating 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; (2) imposing a penny stock bar
against him; and (3) directing that he disgorge $677,632 in unlawful
profits, plus prejudgment interest of $121,127.
In August 2002, Paloma was ordered to pay disgorgement and a civil
penalty, and was enjoined by the United States District Court for the
District of Columbia from violating the registration and antifraud
provisions of the federal securities laws in a Commission civil suit.
The civil action alleged that he orchestrated a stock manipulation
scheme involving false claims that Paloma-controlled Desert Winds
Entertainment had signed a $25 million contract with Warner Bros.
Television.
In a related criminal action, the U.S. Department of Justice announced
today that Paloma and Kaplan have pleaded guilty in federal court in
Alexandria, Virginia for their participation in stock manipulation
schemes. On Aug. 20, 2007, Paloma pleaded guilty to a criminal
information charging him with one count of conspiracy to commit
securities fraud and one count of electronic mail fraud. On July 25,
2007, Kaplan pleaded guilty to a criminal information charging him
with one count of conspiracy to commit securities fraud. Each of these
charges carries a maximum sentence of five years in prison. The
written plea agreements and supporting documentation for both
defendants were unsealed yesterday. These guilty pleas resulted from
an investigation by the Federal Bureau of Investigation, the U.S.
Attorney's Office for the Eastern District of Virginia and the United
States Postal Inspection Service. [SEC v. Michael Paloma, et al., Civ.
Action No. 1:02CV00645 (D.D.C.)] (LR-20269)
SEC CHARGES TELECOM COMPANY CO-FOUNDER WITH INSIDER TRADING
The Commission today filed insider trading charges against Chauncey
Shey, a co-founder and former officer and director of UTStarcom, Inc.,
an Alameda, Calif.-based telecommunications company. The Commission
alleges that Shey learned from a UTStarcom executive with whom he
maintains a relationship of trust and confidence that the company was
going to pre-announce that it had missed earnings guidance for the
quarter. Shortly after talking with the UTStarcom executive, Shey and
his wife began liquidating their UTStarcom holdings, avoiding over
$420,000 in potential losses when, days later, the public disclosure
of the disappointing financial results caused the stock price to
plummet.
The Commission's complaint, filed in the U.S. District Court for the
Northern District of California, alleges that in addition to his
relationship with the UTStarcom executive, Shey also managed a venture
capital fund owned in part by UTStarcom, and thus was privy to certain
confidential information about the company. In late September 2005,
UTStarcom failed to finalize a significant deal and the company was
preparing to pre-announce to the market that it would not be able to
meet its earnings guidance for the quarter. According to the
Commission, Shey spoke to the UTStarcom executive by phone the weekend
before the public announcement. Shortly after that conversation, Shey
contacted his broker and began the process of liquidating his
extensive UTStarcom stock holdings.
According to the complaint, just minutes after the market opened on
Monday, October 3, Shey began selling his UTStarcom stock, and Shey's
wife began selling UTStarcom stock in accounts of her family members.
Shey sold more than 600,000 shares over the following days, making his
final sale less than an hour before UTStarcom announced the revenue
shortfall on October 6. Following that announcement, the company's
stock price fell by more than 26 percent.
The Commission's complaint alleges that Shey violated Section 17(a) of
the Securities Act of 1933, Section 10(b) of the Securities Exchange
Act of 1934 and Rule 10b-5 thereunder by making the illegal stock
sales before the announcement and avoiding losses of more than
$420,000. Without admitting or denying the allegations, Shey agreed to
disgorge $420,226.60 plus prejudgment interest of $31,909.96, to pay a
civil penalty of $420,226.60, and to an order enjoining him from
future violations of the securities laws. [SEC v. Chauncey Shey, Case
No. C-07-4605 SI. (N.D. Cal.)] (LR-20270)
INVESTMENT COMPANY ACT RELEASES
FINANCIAL INVESTORS VARIABLE INSURANCE TRUST, ET AL.
A notice has been issued giving interested persons until September 26
to request a hearing on the application filed by Financial Investors
Variable Insurance Trust (Trust) and ALPS Advisers, Inc. (the
Investment Adviser) (collectively, the Applicants). Applicants request
an order pursuant to Section 6(c) of the Investment Company Act of
1940, as amended, (the 1940 Act) exempting them from the provisions of
Sections 9(a), 13(a), 15(a) and 15(b) of the Act and Rules 6e-2(b)(15)
and 6e-3(T)(b)(15) thereunder, to the extent necessary to permit
shares of the Trust and shares of any other investment company or
portfolio that is designed to fund insurance products and for which
the Investment Adviser or any of its affiliates, may serve in the
future as investment manager, investment adviser, subadviser,
administrator, principal underwriter, or sponsor (collectively,
Insurance Funds) to be sold to and held by: (a) separate accounts
funding variable annuity contracts and variable life insurance
policies issued by both affiliated life insurance companies and
unaffiliated life insurance companies; (b) trustees of qualified group
pension and group retirement plans outside of the separate account
context; (c) separate accounts that are not registered as investment
companies under Section 3(c) of the 1940 Act; (d) any adviser to an
Insurance Fund for the purpose of providing seed capital to an
Insurance Fund; and (e) any other account of a participating insurance
company permitted to hold shares of an Insurance Fund. (Rel. IC-27965
- September 4)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE
The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2007-
058) under Section 19(b)(3)(A) of the Securities Exchange Act. The
proposed rule change, which became effective upon filing, will allow
Nasdaq members to process (i) step-outs and (ii) transferals of Rule
7002 Sales Fees and similar fees of other self-regulatory
organizations (SROs) and will establish fees for these services.
Publication is expected in the Federal Register during the week of
September 10. (Rel. 34-56345)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission granted accelerated approval to a proposed rule change
(SR-CBOE-2007-79) as modified by Amendment No. 1 thereto submitted by
the Chicago Board Options Exchange to eliminate position and exercise
limits for options on the Russell 2000 Index, and to specify that
certain reduced-value options on broad-based security indexes have no
position and exercise limits. Publication is expected in the Federal
Register during the week of September 10. (Rel. 34-56350)
The Commission granted accelerated approval to a proposed rule change
(SR-Amex-2007-81) as modified by Amendment No. 1 thereto submitted by
the American Stock Exchange to eliminate position and exercise limits
for options on the Russell 2000 Index, and to specify that certain
reduced-value options on broad-based security indexes have no position
and exercise limits. Publication is expected in the Federal Register
during the week of September 10. (Rel. 34-56351)
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 Jupiter Containers, Inc., 12580 SW DOUGLAS ST., PORTLAND, OR, 97225,
925-420-6315 - 1,500,000 ($75,000.00) Equity, (File 333-145874 -
Sep. 5) (BR. 05C)
S-1 Danvers Bancorp, Inc., ONE CONANT STREET, DANVERS, MA, 01923,
978.777.2200 - 0 ($178,425,000.00) Equity, (File 333-145875 - Sep. 5)
(BR. 07)
SB-2 Descanso Agency, Inc., 4203 GENESEE STE. 103 #510, SAN DIEGO, CA,
92117, 775-352-4084 - 5,500,000 ($22,000.00) Equity, (File 333-145876 -
Sep. 5) (BR. 05A)
SB-2 China Biologic Products, Inc., NO.14 EAST HUSHAN ROAD,
TAI'AN CITY, SHANDONG, F4, 271000, 86-538-620-3897 -
6,064,000 ($16,555,770.00) Equity, (File 333-145877 - Sep. 5) (BR. 01)
S-3ASR ROHM & HAAS CO, 100 INDEPENDENCE MALL WEST, PHILADELPHIA, PA, 19106,
2155923000 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-145878 -
Sep. 5) (BR. 06A)
SB-2 Siga Resources Inc., 8 NAIRAL ROAD, RAIWAI, SUVA, H8, GPOBOX697,
011-331-3255 - 576,000 ($28,800.00) Equity, (File 333-145879 - Sep. 5)
(BR. 04)
S-1 Rubicon Technology, Inc., 9931 FRANKLIN AVENUE, FRANKLIN PARK, IL,
60131, (847) 295-7000 - 0 ($100,000,000.00) Equity, (File 333-145880 -
Sep. 5) (BR. 10C)
SB-2 Modigene Inc., 8000 TOWERS CRESCENT DRIVE,, SUITE 1300, VIENNA,, VA,
22182, (866) 644-7811 - 8,666,672 ($14,040,008.00) Equity,
(File 333-145881 - Sep. 5) (BR. 01C)
SB-2 Fresca Worldwide Trading CORP, 7337 OSWEGO ROAD, LIVERPOOL, NY, 13090,
3157039017 - 0 ($30,000.00) Equity, (File 333-145882 - Sep. 5) (BR. 11)
S-8 GOLD CREST MINES INC, 601 WEST MAIN AVE SUITE 1012, SPOKANE, WA, 99201,
509-462-0315 - 12,000,000 ($5,880,000.00) Equity, (File 333-145883 -
Sep. 5) (BR. 04A)
SB-2 Emo Capital Corp., 6881-B WEST CHARLESTON BLVD., LAS VEGAS, NV, 89117,
135 215 03777 - 5,000,000 ($50,000.00) Equity, (File 333-145884 -
Sep. 5) (BR. 05)
S-3ASR EXCO RESOURCES INC, 12377 MERIT DR, SUITE 1700, DALLAS, TX, 75251,
2143682084 - 0 ($1,882,550,000.00) Equity, (File 333-145885 - Sep. 5)
(BR. 04C)
S-8 HARTMARX CORP/DE, 101 N WACKER DR, 23RD FLOOR, CHICAGO, IL, 60606,
3123726300 - 750,000 ($5,190,000.00) Equity, (File 333-145886 - Sep. 5)
(BR. 02C)
S-8 SUN RIVER ENERGY, INC, 10200 W 44TH AVE, #210 E, WHEAT RIDGE, CO,
80033, 303940 2090 - 350,000 ($525,000.00) Equity, (File 333-145887 -
Sep. 5) (BR. 09)
S-3 BAKER HUGHES INC, 2929 ALLEN PARKWAY, SUITE 2100, HOUSTON, TX,
77019-2118, 7134398600 -
0 ($2,000,000,000.00) Unallocated (Universal) Shelf, (File 333-145888 -
Sep. 5) (BR. 04A)
S-8 ANADYS PHARMACEUTICALS INC, 3115 MERRYFIELD ROW, SAN DIEGO, CA, 92121,
8585303600 - 0 ($3,886,234.00) Equity, (File 333-145889 - Sep. 5)
(BR. 01C)
S-8 PUREDEPTH, INC., 255 SHORELINE DRIVE, SUITE 610, REDWOOD CITY, CA,
94065, (650) 632 0804 - 8,500,000 ($11,135,000.00) Equity,
(File 333-145890 - Sep. 5) (BR. 10C)
S-8 CADENCE DESIGN SYSTEMS INC, 2655 SEELY ROAD BLDG 5, SAN JOSE, CA,
95134, 4089431234 - 182,965 ($212,239.40) Equity, (File 333-145891 -
Sep. 5) (BR. 03C)
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
-------------------------------------------------------------------------------------------------------
AAR CORP DE 1.01,9.01 08/31/07
ACCENTIA BIOPHARMACEUTICALS INC 1.01,2.03,3.02,9.01 08/29/07
ADA-ES INC CO 7.01,9.01 09/05/07
ADC TELECOMMUNICATIONS INC MN 2.02,7.01,9.01 09/05/07
ADVENTRX PHARMACEUTICALS INC DE 7.01,9.01 09/05/07
AeroGrow International, Inc. NV 3.02,9.01 06/30/07
AeroVironment Inc DE 2.02,9.01 09/05/07
AIRSPAN NETWORKS INC WA 8.01,9.01 09/04/07
ALESCO FINANCIAL INC 2.04 09/04/07
ALLEGHENY ENERGY, INC MD 8.01,9.01 09/05/07
Allegiant Travel CO NV 8.01 08/13/07
ALLIANCE LAUNDRY SYSTEMS LLC 8.01 09/05/07
Allis Chalmers Energy Inc. DE 7.01,9.01 09/05/07
Allmarine Consultants CORP NV 1.01,1.02,2.01,3.02,5.01,5.02, 08/29/07
5.03,8.01,9.01
ALTERA CORP DE 1.01,2.03,7.01,8.01,9.01 08/31/07
AMB FINANCIAL CORP DE 5.02,9.01 09/01/07
AMCOMP INC /FL DE 8.01,9.01 08/31/07
AMEDISYS INC DE 7.01,9.01 09/01/07
AMERCO /NV/ NV 8.01 08/20/07
AMERIANA BANCORP IN 8.01,9.01 08/31/07
AMERICAN INTERNATIONAL INDUSTRIES INC NV 8.01,9.01 08/31/07
AMERICAN TOWER CORP /MA/ DE 8.01,9.01 09/05/07
AMERICAN URANIUM CORP NV 1.01,3.02,9.01 08/20/07
AMERICAN URANIUM CORP NV 3.02,9.01 09/04/07
AMERITYRE CORP NV 1.01,5.02 09/04/07
AMETEK INC/ DE 2.03,9.01 08/30/07
Amtrust Financial Services, Inc. DE 7.01,9.01 09/05/07
ANADIGICS INC DE 8.01 09/05/07
ANGELICA CORP /NEW/ MO 2.02,9.01 09/04/07
ANTIGENICS INC /DE/ DE 8.01,9.01 08/31/07
APAC CUSTOMER SERVICE INC IL 8.01,9.01 08/30/07
APARTMENT INVESTMENT & MANAGEMENT CO MD 1.01,9.01 08/31/07
APOLLO GROUP INC AZ 8.01,9.01 09/04/07
APPLEBEES INTERNATIONAL INC DE 7.01,9.01 09/04/07
APPLIED DIGITAL SOLUTIONS INC MO 8.01,9.01 09/05/07
APPLIX INC /MA/ MA 1.01,5.03,8.01,9.01 09/05/07
ARGONAUT GROUP INC DE 7.01 09/04/07
AROTECH CORP DE 8.01,9.01 09/05/07
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 09/05/07
Audio Stocks, Inc. DE 1.01 08/24/07 AMEND
Aultra Gold Inc. NV 1.02,9.01 06/25/07
AURA SYSTEMS INC DE 8.01,9.01 09/04/07
AURIGA LABORATORIES, INC. DE 8.01,9.01 09/04/07
B2Digital, Inc. DE 9.01 03/13/07 AMEND
BAB, INC. DE 8.01,9.01 09/05/07
Basin Water, Inc. DE 2.01,9.01 08/31/07
BCSB BANKCORP INC 4.02 08/28/07 AMEND
BJ SERVICES CO DE 1.01,2.03,9.01 08/30/07
BLACK HILLS CORP /SD/ SD 8.01,9.01 09/05/07
Boardwalk Pipeline Partners, LP DE 7.01 09/05/07
BOSTON COMMUNICATIONS GROUP INC MA 3.01,3.02,5.01,8.01 08/30/07
Bridgeline Software, Inc. DE 1.01,2.01,7.01,9.01 08/31/07
BRYN MAWR BANK CORP PA 5.02,9.01 08/29/07
CALLON PETROLEUM CO DE 1.01,9.01 08/31/07
CALLWAVE INC 1.01,5.02,9.01 09/05/07
Calumet Specialty Products Partners, DE 1.01,2.03,9.01 08/30/07
Camelot Entertainment Group, Inc. DE 5.02 08/31/07
CANYON RESOURCES CORP DE 8.01,9.01 09/05/07
CAPITAL GOLD CORP NV 5.02,8.01,9.01 08/29/07
CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 09/04/07
CAPSTONE TURBINE CORP DE 1.01 09/04/07
CARDIODYNAMICS INTERNATIONAL CORP CA 1.01,1.02,2.01,9.01 08/31/07
CARGO CONNECTION LOGISTICS HOLDING, I FL 1.01,9.01 09/05/07
CARRIAGE SERVICES INC DE 5.02,9.01 08/27/07
CASEYS GENERAL STORES INC IA 2.02,9.01 09/05/07
CATCHER HOLDINGS, INC 1.01,5.02,9.01 08/29/07
CAVALIER HOMES INC DE 2.05,7.01,9.01 08/29/07
CB RICHARD ELLIS REALTY TRUST 1.01,2.01,2.03,9.01 08/29/07
CBRL GROUP INC TN 7.01,9.01 09/05/07
CBS CORP DE 8.01 09/05/07
CENTERLINE HOLDING CO DE 1.01,9.01 08/29/07
Central Iowa Energy, LLC IA 1.01 08/29/07
CHAMPPS ENTERTAINMENT INC DE 2.02,9.01 09/04/07
Chaparral Steel CO DE 8.01 09/03/07
Chemtura CORP DE 8.01,9.01 09/05/07
CHESAPEAKE ENERGY CORP OK 7.01,9.01 09/04/07
CHILDRENS PLACE RETAIL STORES INC 1.01 08/29/07
CHINA RUITAI INTERNATIONAL HOLDINGS C DE 1.01,5.02,9.01 08/29/07
CHINA SHEN ZHOU MINING & RESOURCES, I NV 7.01,9.01 09/05/07
CHINACAST EDUCATION CORP DE 8.01 09/05/07
Citi Trends Inc 2.02,7.01,9.01 08/29/07
Citicorp Mortgage Securities Trust, S DE 6.02 09/01/07
Citicorp Mortgage Securities Trust, S DE 6.02 09/01/07
Citicorp Mortgage Securities Trust, S DE 6.02 09/01/07
CITIZENS HOLDING CO /MS/ MS 7.01,9.01 09/05/07
Clearpoint Business Resources, Inc DE 1.01 08/30/07
CMALT (CitiMortgage Alternative Loan DE 6.02 09/01/07
CMALT (CitiMortgage Alternative Loan DE 6.02 09/01/07
CNET NETWORKS INC DE 8.01 09/04/07
COAST DISTRIBUTION SYSTEM INC DE 7.01,9.01 09/05/07
COGNOS INC CA 1.01,8.01,9.01 09/05/07
COLLECTORS UNIVERSE INC DE 7.01,9.01 09/04/07
COMMERCIAL METALS CO DE 5.02,9.01 08/30/07
COMPUTER SCIENCES CORP NV 1.01,1.02 06/25/07
CONEXANT SYSTEMS INC DE 5.02,9.01 09/05/07
CONSECO INC DE 7.01,9.01 09/05/07
CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 09/04/07
COOPERATIVE BANKSHARES INC NC 8.01,9.01 08/31/07
CROGHAN BANCSHARES INC OH 1.01,1.02,5.02,9.01 08/29/07
CSK AUTO CORP DE 5.03,9.01 09/04/07
Customer Acquisition Network Holdings DE 1.01,2.01,3.02,5.01,5.02,9.01 08/28/07 AMEND
CYBERLUX CORP NV 8.01,9.01 09/05/07
CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.01,9.01 08/29/07
CYTOGEN CORP DE 1.01 08/30/07
DALRADA FINANCIAL CORP DE 7.01,9.01 09/04/07
DCP Midstream Partners, LP DE 1.01,2.01,2.03,3.02,7.01,9.01 08/29/07
DEBT RESOLVE INC DE 3.02,9.01 09/05/07
DELPHI CORP DE 8.01,9.01 08/31/07
DELPHI CORP DE 8.01,9.01 09/05/07
DEVON ENERGY CORP/DE DE 1.01,5.02,9.01 08/29/07
DEXCOM INC 5.02,9.01 09/04/07
DIGITAL ANGEL CORP DE 8.01,9.01 09/05/07
DIGITAL RIVER INC /DE DE 8.01,9.01 08/31/07
Dorman Products, Inc. PA 8.01,9.01 09/05/07
DSW Inc. OH 2.02,9.01 09/05/07
DYNEGY INC. DE 1.01,2.03,7.01,9.01 09/05/07
Echo Healthcare Acquisition Corp. DE 8.01,9.01 09/05/07
EINSTEIN NOAH RESTAURANT GROUP INC DE 8.01 09/01/07
ELCOM INTERNATIONAL INC DE 4.01 08/30/07
EMERSON RADIO CORP DE 5.02,9.01 08/30/07
Employers Holdings, Inc. NV 7.01,9.01 09/05/07
ENTERPRISE PRODUCTS PARTNERS L P DE 1.01,2.03,9.01 09/04/07
ENVIROKARE TECH INC NV 4.01,9.01 08/27/07 AMEND
ENVIRONMENTAL POWER CORP DE 1.01 08/31/07
EPIC ENERGY RESOURCES, INC. CO 1.01,9.01 08/06/07
EPOD International Inc 4.01,4.02,9.01 09/05/07 AMEND
ETHAN ALLEN INTERIORS INC DE 7.01,9.01 09/05/07
Ever-Glory International Group, Inc. FL 9.01 08/27/07 AMEND
EXCO RESOURCES INC TX 3.03,5.02,8.01,9.01 08/30/07
EYI INDUSTRIES INC. 1.01,1.02,8.01 08/20/07
Federal Home Loan Bank of Boston X1 8.01,9.01 08/30/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/29/07
Federal Home Loan Bank of Seattle 2.03 09/05/07
Federal Home Loan Bank of Topeka 2.03 08/30/07
FIRST METROPLEX CAPITAL INC 1.01,1.02,5.02,9.01 08/30/07
Flagstone Reinsurance Holdings Ltd 5.02,9.01 09/05/07
FOREST OIL CORP NY 7.01,9.01 09/05/07
Fox Chase Bancorp Inc X1 8.01,9.01 09/04/07
FX ENERGY INC NV 8.01,9.01 09/05/07
GAMETECH INTERNATIONAL INC DE 7.01,9.01 09/05/07
GATEWAY INC DE 1.01,2.06,8.01,9.01 09/04/07
GATEWAYS TO SPACE INC DE 2.01,5.01 07/15/07
GENERAL MOTORS CORP DE 8.01 09/05/07
GENERAL STEEL HOLDINGS INC NV 2.01,9.01 09/05/07
GENTA INC DE/ DE 8.01,9.01 09/05/07
GLOBAL AIRCRAFT SOLUTIONS, INC. AZ 1.01,5.02,9.01 09/05/07
Global Cash Access Holdings, Inc. DE 8.01 09/01/07
GOUVERNEUR BANCORP INC DE 2.02,9.01 05/01/07
GOUVERNEUR BANCORP INC DE 2.02,9.01 07/31/07
GYMBOREE CORP DE 7.01 09/05/07
Harbor Acquisition Corp. DE 1.01,9.01 10/17/06 AMEND
HarborView 2007-6 DE 8.01,9.01 09/05/07
Harley-Davidson Motorcycle Trust 2007 NV 8.01,9.01 08/30/07
HARTFORD LIFE INSURANCE CO CT 9.01 09/05/07
Health Fitness Corp /MN/ MN 5.02,8.01,9.01 08/30/07
HEALTH GRADES INC DE 7.01,9.01 09/05/07
Heelys, Inc. DE 5.02,9.01 04/12/07
HERITAGE COMMERCE CORP CA 9.01 06/20/07 AMEND
HOOKER FURNITURE CORP VA 2.02,9.01 09/05/07
Hybrook Resources Corp. NV 8.01 09/04/07
HYDROGEN ENGINE CENTER, INC. NV 9.01 09/05/07
I TRAX INC DE 5.02,9.01 09/01/07
ICAGEN INC DE 8.01,9.01 09/05/07
IMERGENT INC DE 2.02,9.01 09/05/07
IMMUREBOOST, INC. NV 5.02 08/29/07
INDEPENDENT BANK CORP MA 8.01 08/31/07
INFINITY CAPITAL GROUP, INC. NV 1.01,9.01 08/31/07
INFOCUS CORP OR 1.01,9.01 08/30/07
INFORM WORLDWIDE HOLDINGS INC FL 1.01,1.02,9.01 08/28/07
INN OF THE MOUNTAIN GODS RESORTS & CA 5.02,9.01 08/29/07
INPHONIC INC 8.01,9.01 09/03/07
INTERMUNE INC DE 8.01,9.01 08/29/07
INTERNATIONAL BARRIER TECHNOLOGY INC/ 7.01,9.01 08/30/07
International Coal Group, Inc. DE 7.01,9.01 09/05/07
INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,3.02,9.01 08/31/07
INVERNESS MEDICAL INNOVATIONS INC DE 8.01,9.01 09/05/07
INX Inc DE 7.01,9.01 09/05/07
IONATRON, INC. DE 8.01 09/04/07
iPCS, INC DE 8.01,9.01 09/05/07
J CREW GROUP INC DE 2.02,9.01 09/05/07
J P MORGAN CHASE & CO DE 9.01 08/31/07
J.P. Morgan Mortgage Trust 2007-S3 DE 8.01,9.01 09/05/07 AMEND
J2 GLOBAL COMMUNICATIONS INC DE 7.01 09/05/07
KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 5.02,9.01 09/04/07
KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 8.01,9.01 09/05/07
KOMAG INC /DE/ DE 2.01,3.01,3.02,3.03,5.01,5.02, 09/05/07
5.03,8.01
KREISLER MANUFACTURING CORP DE 5.02 08/28/07
KRISPY KREME DOUGHNUTS INC NC 5.03 08/29/07
LAIDLAW INTERNATIONAL INC DE 8.01,9.01 09/04/07
LATTICE SEMICONDUCTOR CORP DE 2.05 08/31/07
Lazy Days R.V. Center, Inc. 7.01 09/05/07
Legacy Bancorp, Inc. DE 7.01,9.01 09/05/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/30/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/30/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 08/31/07
LEINER HEALTH PRODUCTS INC DE 8.01 09/05/07
LIBERTY STAR URANIUM & METALS CORP. NV 1.01,7.01,9.01 08/22/07
LINN ENERGY, LLC DE 1.01,2.01,2.03,3.02,5.03,9.01 08/30/07
LKQ CORP DE 8.01,9.01 09/05/07
LPL Investment Holdings Inc. DE 8.01,9.01 09/05/07
LSI CORP DE 5.02 08/29/07
MAGELLAN PETROLEUM CORP /DE/ DE 2.02,9.01 09/04/07
MAJESCO ENTERTAINMENT CO DE 1.01,3.02,7.01,9.01 08/29/07
MARGO CARIBE INC PR 5.02 08/29/07
MARLIN BUSINESS SERVICES CORP 1.01,9.01 09/05/07
MARSHALL & ILSLEY CORP/WI/ WI 1.01,9.01 08/31/07
MARTEK BIOSCIENCES CORP DE 2.02,9.01 09/05/07
MARTEN TRANSPORT LTD DE 7.01,9.01 09/05/07
MASSEY ENERGY CO DE 7.01,9.01 09/05/07
MASTEC INC FL 7.01,9.01 09/05/07
MAXLIFE FUND CORP. WY 1.01,3.02,9.01 09/05/07
MC SHIPPING INC 8.01,9.01 09/05/07
MDwerks, Inc. DE 1.01,9.01 08/31/07
MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 09/05/07
MEDCO HEALTH SOLUTIONS INC DE 7.01,9.01 09/05/07
MEDIWARE INFORMATION SYSTEMS INC NY 5.02,9.01 09/04/07
MEDIWARE INFORMATION SYSTEMS INC NY 2.02,9.01 09/05/07
Mercantile Bancorp, Inc. DE 1.01,2.03 08/30/07
METALLINE MINING CO NV 4.01,9.01 08/31/07
METLIFE INC DE 7.01,9.01 09/05/07
METRO ONE TELECOMMUNICATIONS INC OR 8.01,9.01 09/04/07
MEXICAN RESTAURANTS INC TX 5.02,9.01 08/30/07
MGIC INVESTMENT CORP WI 1.02,9.01 09/04/07
MILLENNIUM ETHANOL, LLC SD 2.01,3.03,5.01,5.02,9.01 08/29/07
MINDSPEED TECHNOLOGIES, INC DE 1.01 09/04/07
MIRANT CORP DE 5.02 09/03/07
MIV THERAPEUTICS INC NV 8.01 08/31/07
MMA Media Inc. DE 4.01,9.01 07/19/07 AMEND
MOD PAC CORP NY 5.02 08/30/07
Morningstar, Inc. IL 8.01,9.01 09/04/07
MOTIVE INC DE 2.02,9.01 09/05/07
NABI BIOPHARMACEUTICALS DE 7.01,9.01 09/05/07
NATIONAL FINANCIAL PARTNERS CORP 7.01,9.01 09/05/07
NATIONAL FINANCIAL PARTNERS CORP 1.01,7.01,9.01 08/31/07
NATROL INC DE 9.01 09/05/07
NAVIGANT CONSULTING INC DE 5.02 08/31/07
NCI BUILDING SYSTEMS INC DE 2.02,9.01 08/30/07
NEAH POWER SYSTEMS, INC. NV 5.02,7.01,9.01 09/05/07
NESTOR INC DE 8.01,9.01 09/04/07
NeurogesX Inc CA 5.02,9.01 08/30/07
NEW CENTURY EQUITY HOLDINGS CORP DE 5.02 09/05/07
NEWPARK RESOURCES INC DE 7.01,9.01 09/04/07
NexCen Brands, Inc. DE 7.01,9.01 09/05/07
NIKE INC OR 1.01,9.01 08/31/07
North American Insurance Leaders, Inc 8.01,9.01 09/05/07
NOVASTAR FINANCIAL INC MD 2.05,3.03,8.01,9.01 09/04/07
NYSE Euronext DE 5.02,9.01 08/30/07
NYSE Euronext DE 8.01,9.01 09/05/07
OCEANEERING INTERNATIONAL INC DE 7.01 09/05/07
OI CORP OK 7.01,9.01 09/05/07
OneBeacon Insurance Group, Ltd. D0 7.01,9.01 09/05/07
OSI SYSTEMS INC CA 2.02,9.01 09/05/07
OZARK ETHANOL LLC 1.01,9.01 08/31/07
PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 09/05/07
PACKETPORT COM NV 8.01 09/04/07
PALM INC DE 7.01 09/04/07
PANERA BREAD CO DE 7.01,9.01 09/05/07
PANHANDLE OIL & GAS INC OK 1.01,9.01 09/04/07
PARKER HANNIFIN CORP OH 5.02,9.01 08/15/07 AMEND
PATCH INTERNATIONAL INC/CN 7.01,9.01 09/05/07
PEMCO AVIATION GROUP INC DE 1.01,9.01 08/29/07
PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 09/05/07
PG&E CORP CA 7.01,9.01 09/05/07
PHARMACYCLICS INC DE 8.01,9.01 09/05/07
PLANET TECHNOLOGIES, INC CA 1.01,8.01,9.01 09/03/07
PLURISTEM LIFE SYSTEMS INC NV 5.02 08/29/07
PRG SCHULTZ INTERNATIONAL INC GA 1.01,9.01 09/04/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/31/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/31/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 08/31/07
PROASSURANCE CORP DE 5.02,7.01,9.01 09/05/07
ProUroCare Medical Inc. 2.03 08/29/07
RADIAN GROUP INC DE 7.01,9.01 09/05/07
READING INTERNATIONAL INC NV 5.02 09/01/07
REALTY INCOME CORP MD 8.01,9.01 08/30/07
REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 09/05/07
REPUBLIC AIRWAYS HOLDINGS INC DE 5.02,9.01 09/05/07
REX ENERGY CORP DE 2.02,9.01 09/05/07
REX STORES CORP DE 2.02,9.01 09/05/07
RG America, Inc. NV 3.01,9.01 08/21/07
RIVAL TECHNOLOGIES INC A1 4.01,5.02,9.01 08/29/07
RPC INC DE 8.01,9.01 09/05/07
SAKS INC TN 8.01,9.01 09/05/07
SALISBURY BANCORP INC CT 8.01,9.01 08/31/07
SALIX PHARMACEUTICALS LTD 8.01,9.01 09/05/07
SALTON INC DE 1.01,5.02,9.01 09/04/07
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 09/05/07
SENIOR OPTICIAN SERVICE INC MN 5.03,8.01,9.01 09/04/07
SEQUA CORP /DE/ DE 8.01,9.01 09/05/07
SILVERSTAR HOLDINGS LTD B0 2.02,5.03,9.01 08/30/07
SIRIUS SATELLITE RADIO INC DE 8.01 09/05/07
SKYSTAR BIO-PHARMACEUTICAL CO NV 7.01,9.01 09/05/07
SMART MOVE, INC. DE 1.01,9.01 08/30/07
SOLAR ENERTECH CORP NV 3.01,9.01 08/21/07
Solera National Bancorp, Inc. DE 7.01,9.01 08/31/07
SOLOMON TECHNOLOGIES INC DE 1.01,2.03,3.02 08/27/07
SOLUTION TECHNOLOGY INTERNATIONAL INC 4.01,9.01 08/03/07 AMEND
SOUTH SHORE RESOURCES INC. 7.01,9.01 09/04/07
SPARTAN MOTORS INC MI 7.01,9.01 09/05/07
SPORT SUPPLY GROUP, INC. DE 2.02,9.01 09/05/07
Springbank Resources, Inc. NV 1.01 08/31/07
STAKTEK HOLDINGS INC DE 1.01,2.01,9.01 08/30/07
STANDARD PARKING CORP DE 5.03,9.01 09/01/07
STARBUCKS CORP WA 8.01 08/30/07
STERLING BANCSHARES INC TX 5.02,9.01 08/31/07
STIFEL FINANCIAL CORP DE 7.01,9.01 09/04/07
STRUCTURED PRODUCTS CORP TIERS PP MI DE 8.01,9.01 08/29/07
SUB SURFACE WASTE MANAGEMENT OF DELAW DE 5.02 09/04/07
SUPERIOR INDUSTRIES INTERNATIONAL INC CA 5.03,9.01 09/01/07
SUTOR TECHNOLOGY 7.01,9.01 09/05/07
SWIFT ENERGY CO 1.01,8.01,9.01 09/04/07
SYCAMORE NETWORKS INC DE 2.02,5.02,9.01 09/05/07
Symmetry Medical Inc. DE 1.01,9.01 08/29/07
TECHNOLOGY RESEARCH CORP FL 8.01 08/30/07
TECHTEAM GLOBAL INC DE 8.01,9.01 08/31/07
TEKOIL & GAS CORP DE 1.01,2.01,3.02,9.01 05/11/07 AMEND
Telanetix,Inc DE 1.01,2.03,3.02,5.03,9.01 08/30/07 AMEND
Tennessee Commerce Bancorp, Inc. TN 7.01,9.01 09/05/07
Thomas Weisel Partners Group, Inc. DE 7.01 09/05/07
THORNBURG MORTGAGE INC MD 5.03,9.01 09/04/07
TIBCO SOFTWARE INC DE 2.02,9.01 09/05/07
TIVO INC DE 5.02 08/30/07
TOREADOR RESOURCES CORP DE 7.01,9.01 09/04/07
Travelport LTD D0 5.02 08/29/07
TRIARC COMPANIES INC DE 5.02,9.01 09/01/07
TVI CORP MD 5.02,5.03,9.01 08/29/07
TYSON FOODS INC DE 7.01,9.01 09/05/07
U S PHYSICAL THERAPY INC /NV NV 9.01 08/27/07 AMEND
UBS Managed Futures LLC (Aspect Serie 3.02 09/01/07
ULTICOM INC NJ 1.01,9.01 08/29/07
US DATAWORKS INC NV 1.01,3.02 08/31/07
USANA HEALTH SCIENCES INC UT 4.01 09/04/07
VALSPAR CORP DE 7.01,9.01 08/31/07
Vantage Energy Services, Inc. DE 1.01,8.01,9.01 08/30/07
VEECO INSTRUMENTS INC DE 7.01,9.01 09/05/07
VENTANA MEDICAL SYSTEMS INC DE 1.01,9.01 09/04/07
VERMONT PURE HOLDINGS LTD/DE DE 1.01 08/29/07
VIAD CORP DE 8.01,9.01 09/04/07
VIEWCAST COM INC DE 1.01,9.01 09/01/07
VIRAGEN INTERNATIONAL INC DE 3.02,5.03,8.01,9.01 09/04/07
VIRTUSA CORP 2.02,9.01 09/05/07
VISTA GOLD CORP 8.01,9.01 09/04/07
VITESSE SEMICONDUCTOR CORP DE 8.01 09/05/07
WABCO Holdings Inc. DE 1.01,5.02,9.01 09/05/07
WESTERN DIGITAL CORP DE 2.01,2.03,8.01,9.01 09/05/07
WILSHIRE ENTERPRISES INC DE 5.02,9.01 09/04/07
WIND ENERGY AMERICA INC. MN 2.01 09/04/07
WINDSTREAM CORP DE 5.02 09/05/07
WINMARK CORP MN 1.01,9.01 08/29/07
WINSONIC DIGITAL MEDIA GROUP LTD NV 1.01,2.03,3.02,9.01 08/31/07
XENOMICS INC FL 1.01,5.05,9.01 08/29/07
XFONE INC NV 8.01,9.01 09/05/07
XM SATELLITE RADIO HOLDINGS INC DE 8.01 09/04/07
YUKON GOLD CORP INC DE 8.01,9.01 09/05/07
ZALE CORP DE 5.03,9.01 08/29/07
ZAREBA SYSTEMS INC MN 1.01,1.02,2.03,9.01 08/29/07
Zumiez Inc 7.01,9.01 09/05/07
http://www.sec.gov/news/digest/2007/dig090607.htm
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