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SEC NEWS DIGEST
Issue 2007-230 November 30, 2007
ENFORCEMENT PROCEEDINGS
DELINQUENT FILERS STOCK REGISTRATION REVOKED
The registrations of the stock of Inetvisionz, Inc., Intelilabs.com,
Inc., Pacific Engineering Systems, Inc., and Rampart General, Inc.
have been revoked. None had filed any annual or quarterly reports with
the Securities and Exchange Commission for six or more years. Thus,
each violated a crucial provision of the federal securities laws that
requires public corporations to publicly disclose current, accurate
financial information so that investors may make informed decisions.
The revocations were ordered in an administrative proceeding before an
administrative law judge. (Rel. 34-56869; File No. 3-12886)
COMMISSION ORDERS HEARINGS ON REGISTRATION SUSPENSION OR REVOCATION
AGAINST FIVE COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS
Today the Commission instituted public administrative proceedings to
determine whether to revoke or suspend for a period not exceeding
twelve months the registration of each class of the securities of five
companies for failure to make required periodic filings with the
Commission:
* e4L, Inc.
* Luminex Lighting, Inc.
* MD Healthshares Corp.
* Royal Holiday Mobile Estates, Inc.
* Sales Strategies, Inc.
In this Order, the Division of Enforcement (Division) alleges that the
five issuers are delinquent in their required periodic filings with
the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j),
a hearing will be scheduled before an Administrative Law Judge. At the
hearing, the judge will hear evidence from the Division and the
respondents to determine whether the allegations of the Division
contained in the Order, which the Division alleges constitute failures
to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13
thereunder, are true. The judge in the proceeding will then determine
whether the registrations pursuant to Exchange Act Section 12 of the
securities of these respondents should be revoked, or in the
alternative, suspended for a period not exceeding twelve months. The
Commission ordered that the Administrative Law Judge in this
proceeding issue an initial decision not later than 120 days from the
date of service of the order instituting proceedings. (Rel. 34-56872;
File No. 3-12895)
COMMISSION CHARGES NEW JERSEY COMPANY AND RECIDIVIST WITH FRAUDULENT
OFFERING SCHEME
The Commission announced that today it filed a complaint in the
Southern District of New York charging Great American Technologies,
Inc. (Great American) and Vincent Sette, the company's Vice President
of Sales and Marketing, with violating the antifraud provisions of the
securities laws by conducting a fraudulent offering of stock that
raised over $2.3 million from more than 100 investors.
The complaint named the following defendants:
* Great American, based in Newark, New Jersey, offers, among
other products, a service called "MailCall"
that purportedly allows users to hear readouts of e-mails
and web pages over the telephone.
* Sette, age 48, is a resident of New Jersey, and is Great
American's Senior Executive Vice President of Marketing
and Sales. Sette controlled Great American and ran the
company's daily operations. Sette is a recidivist securities
law violator.
The complaint alleged the following. Between approximately May 2002
and February 2007, Great American and Sette sold unregistered common
stock valued at more than $2.3 million to over 100 investors.
Throughout the course of this stock offering, Great American and Sette
made numerous materially misleading statements, and failed to disclose
material information, to investors to induce them to purchase shares
of Great American. For example, Sette told investors that Great
American's MailCall system was capable of handling thousands of users,
when, in fact, the system could not handle more than approximately 48
users simultaneously. Sette told investors that Great American had
signed contracts with various entities to market and/or use the
MailCall service, when, in fact, Great American had not entered into
any such contracts. Sette made completely baseless revenue projections
when he told investors that Great American would generate millions of
dollars in revenue in its first years of operations. Sette also told
investors that Great American would soon be conducting an IPO and its
shares would increase in value, when in fact, Great American, had not
taken any significant steps to conduct an IPO.
The Commission's complaint alleges that the defendants violated
Sections 5(a) and 5(c) of the Securities Act of 1933 and Section 17(a)
of the Securities Act and Section 10(b) of the Securities Exchange Act
of 1934 and Rule 10b-5 thereunder. The Commission is seeking permanent
injunctions, civil penalties, and disgorgement from Great American and
Sette, and is also seeking an officer and director bar against Sette.
The Commission acknowledges the assistance of the U.S. Attorney's
Office for the Southern District of New York and the U.S. Postal
Inspection Service. [SEC v. Great American Technologies, Inc. and
Vincent Setteducate a/k/a Vincent Sette, Civil Action No. 07-CV-10694
(S.D.N.Y.)] (LR-20375)
SEC OBTAINS EMERGENCY RELIEF AGAINST INVESTMENT ADVISER FIRM AND ITS
OWNER FOR FRAUD
The Commission announced that on November 29, it filed a civil action
in the U.S. District Court for the Western District of Michigan
charging Daniel N. Jones and Azure Bay Management, LLC (Azure Bay)
with fraudulent conduct.
The Commission's complaint alleges that Jones, a resident of Battle
Creek, Michigan, and Azure Bay, his unregistered investment adviser,
defrauded their private hedge fund client, The Addington Fund LP
(Addington or the Fund). According to the complaint, Jones, portfolio
manager and President of Addington, hid from Addington substantial
losses which occurred sometime in 2005. For nearly two years, Jones
prepared and disseminated false statements and performance reports for
Addington's investors. Jones hid the true performance of the Fund.
Instead of having a value of $2.1 million, as Jones told investors,
the Fund only has approximately $200,000 remaining. Despite these
losses, the Fund's general partner, Azure Bay, through Jones,
continued to take excessive fees of at least $135,000 based on the
Fund's false performance.
In an order dated November 29, the Honorable Judge Robert James Jonker
entered a temporary restraining order against Jones and Azure Bay from
violating antifraud provision of the Securities Act of 1933 [Section
17(a)] and the Investment Advisers Act [Sections 206(1) and (2)]. The
order, among other things, also freezes assets of Jones, Azure Bay,
and Addington until further order of the court.
The Commission wishes to thank the Federal Bureau of Investigation in
Kalamazoo, Michigan for its assistance in this matter. [SEC v. Daniel
N. Jones and Azure Bay Management, LLC, Case No. 07-CV-1198, W.D.
Mich.] (LR-20376)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change (SR-NYSE-2007-53), as
modified by Amendment Nos. 1 and 2 thereto, submitted by the New York
Stock Exchange to amend NYSE Rule 342.13 (Acceptability of
Supervisors). Publication is expected in the Federal Register during
the week of Dec. 3, 2007. (Rel. 34-56854)
The Commission approved a proposed rule change as modified by
Amendment No. 1 thereto (SR-CBOE-2006-90) submitted by the Chicago
Board Options Exchange to list and trade Delayed Start Option Series.
Publication is expected in the Federal Register during the week of
Dec. 3, 2007. (Rel. 34-56855)
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 Harvard Holdings International, Inc., 7453 WOODRUFF WAY,
STONE MOUNTAIN, GA, 30087, 352-361-1659 -
5,200,000 ($2,600,000.00) Equity, (File 333-147691 - Nov. 29) (BR. 05C)
SB-2 RED REEF LABORATORIES INTERNATIONAL INC, 450 FAIRWAY DRIVE SUITE 103,
DEERFIELD BEACH, FL, 33441, 954-725-9475 -
224,604,546 ($2,246,045.00) Equity, (File 333-147692 - Nov. 29)
(BR. 06B)
SB-2 GOLDEN PHOENIX MINERALS INC /MN/, 1675 E. PRATER WAY,, SUITE 102,
SPARKS, NV, 89434, 7758534919 - 0 ($1,974,456.00) Equity,
(File 333-147693 - Nov. 29) (BR. 04C)
S-3ASR WILMINGTON TRUST CORP, RODNEY SQUARE NORTH, 1100 NORTH MARKET ST,
WILMINGTON, DE, 19890-0001, 3026518378 - 0 ($0.00) Other,
(File 333-147694 - Nov. 29) (BR. 07C)
S-8 CYIOS CORP, 1300 PENNSYLVANIA AVE NW, SUITE 700, WASHINGTON, DC, 20004,
202-204-3006 - 3,500,000 ($455,000.00) Equity, (File 333-147695 -
Nov. 29) (BR. 02B)
S-8 DealerAdvance, Inc., 16801 ADDISON ROAD, SUITE 310, ADDISON, TX, 75001,
214-866-0606 - 14,000,000 ($1,400,000.00) Equity, (File 333-147699 -
Nov. 29) (BR. 03C)
S-3 ALLIED DEFENSE GROUP INC, 8000 TOWERS CRESCENT DR, SUITE 260, VIENNA,
VA, 22182, 7038475268 - 0 ($22,702,364.00) Equity, (File 333-147700 -
Nov. 29) (BR. 06C)
S-8 North Penn Bancorp Inc, 216 ADAMS AVENUE, SCRANTON, PA, 18503,
(570)344-6113 - 41,075 ($355,299.00) Equity, (File 333-147701 -
Nov. 29) (BR. 07)
S-8 China Nepstar Chain Drugstore Ltd.,
6TH FLOOR, TOWER B, XINNENGYUAN BUILDING,
NANHAI ROAD, NANSHAN DISTRICT, SHENZHEN, F4, 518054, 86-755-26433366 -
17,354,000 ($77,965,350.00) ADRs/ADSs, (File 333-147702 - Nov. 29)
(BR. 01B)
S-8 International Consolidated Companies, Inc., 2100 19TH STREET, SARASOTA,
FL, 34234, 9413300336 - 1,500,000 ($810,000.00) Equity,
(File 333-147703 - Nov. 29) (BR. 06B)
S-8 IElement CORP, 17194 PRESTON ROAD, SUITE 102 PMB 341, DALLAS, TX,
75248, 214-254-3425 - 57,953,180 ($202,836.00) Equity,
(File 333-147704 - Nov. 29) (BR. 02B)
S-8 MEDICIS PHARMACEUTICAL CORP, 8125 NORTH HAYDEN ROAD, SCOTTSDALE, AZ,
85258, 2125992000 - 200,000 ($5,156,000.00) Equity, (File 333-147705 -
Nov. 29) (BR. 01B)
S-1 OPTIMER PHARMACEUTICALS INC, 10110 SORRENTO VALLEY ROAD, SUITE C,
SAN DIEGO, CA, 92121, 8589090736 - 0 ($33,948,000.00) Equity,
(File 333-147706 - Nov. 29) (BR. 01)
SB-2 INTERNATIONAL SILVER INC, 8040 SOUTH KOLB ROAD, TUCSON, AZ, 85706,
1520 889 2040 - 2,123,000 ($2,653,750.00) Equity, (File 333-147712 -
Nov. 29) (BR. 04)
SB-2 Platinum Research Organization, Inc., 2777 STEMMONS FRWY, STE. 1440,
DALLAS, TX, 75207, 214-271-9503 - 0 ($13,612,500.00) Equity,
(File 333-147713 - Nov. 29) (BR. 11B)
S-8 Argo Group International Holdings, Ltd., 110 PITTS BAY ROAD, PEMBROKE,
D0, HM 08, 4412965858 - 0 ($46,157,080.08) Equity, (File 333-147714 -
Nov. 29) (BR. 01B)
S-3ASR Nuance Communications, Inc., 1 WAYSIDE ROAD, BURLINGTON, MA, 01803,
781-565-5000 - 0 ($0.00) Equity, (File 333-147715 - Nov. 29) (BR. 03C)
SB-2 Jin Jie Corp., 6100 NEIL RD., SUITE 500, RENO, NV, 89511,
(702) 553-3083 - 900,000 ($54,000.00) Equity, (File 333-147716 -
Nov. 29) (BR. )
S-3 Akeena Solar, Inc., 605 UNIVERSITY AVENUE, LOS GATOS, CA, 95032,
408-395-7774 - 4,755,217 ($23,776,085.00) Equity, (File 333-147717 -
Nov. 29) (BR. 02A)
S-8 VirtualScopics, Inc., 350 LINDEN OAKS, ROCHESTER, NY, 14625,
585-249-6231 - 2,850,000 ($3,291,750.00) Equity, (File 333-147718 -
Nov. 29) (BR. 10C)
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 11/28/07 AMEND
AB WATLEY GROUP INC DE 8.01,9.01 11/28/07
ACCO BRANDS CORP DE 5.02,8.01,9.01 11/24/07
ACCURIDE CORP DE 1.01,2.03,9.01 11/29/07
ADVANCE AUTO PARTS INC DE 7.01,9.01 11/29/07
ADVANTA CORP DE 8.01,9.01 11/27/07
AEROPOSTALE INC 7.01,9.01 11/28/07
ALDILA INC DE 1.01,7.01,9.01 11/27/07
ALLEGRO BIODIESEL CORP DE 1.01,9.01 11/23/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/29/07
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/29/07
ALLIANCE FINANCIAL CORP /NY/ NY 5.03,9.01 11/27/07
ALPHARX INC DE 3.02 11/29/07
AMERICAN AIRLINES INC DE 8.01 11/29/07
AMERICAN WOODMARK CORP VA 8.01,9.01 10/31/07
Ameris Bancorp GA 8.01 11/29/07
AMERITYRE CORP NV 7.01 11/29/07
AMH Holdings, Inc. DE 5.02 11/26/07
AMPAL-AMERICAN ISRAEL CORP NY 8.01,9.01 11/29/07
AMR CORP DE 8.01 11/29/07
AMSCAN HOLDINGS INC DE 2.02,9.01 11/29/07
ANALOGIC CORP MA 5.02,9.01 11/23/07
ANALYSTS INTERNATIONAL CORP 5.02 11/13/07 AMEND
ANAREN INC NY 5.02,9.01 11/26/07
Apple REIT Eight, Inc. VA 2.02,9.01 11/29/07
ARGON ST, Inc. DE 2.02,9.01 11/29/07
ASIAN DRAGON GROUP INC. NV 1.01,1.02,3.02,5.02,8.01,9.01 06/06/07 AMEND
ASSOCIATED MATERIALS INC DE 5.02 11/26/07
ATHENAHEALTH INC DE 1.01,9.01 11/28/07
AUDIOVOX CORP DE 5.03,9.01 11/28/07
Aviza Technology, Inc. DE 2.02,9.01 11/29/07
Banc of America Mortgage 2007-4 Trust DE 9.01 11/29/07
Bank of Marin Bancorp CA 8.01,9.01 11/28/07
Behringer Harvard Opportunity REIT I, MD 7.01,9.01 11/29/07
BEST BUY CO INC MN 5.02 11/27/07
BIG SKY INDUSTRIES I INC FL 5.02,5.03 11/28/07
BIONOVO INC DE 5.02 11/26/07
Boardwalk Pipeline Partners, LP DE 1.01,2.03,9.01 11/29/07
BON TON STORES INC PA 2.02,9.01 11/29/07
BRADLEY PHARMACEUTICALS INC DE 8.01,9.01 11/28/07
BRIGHTPOINT INC IN 5.02 11/25/07
BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,8.01,9.01 11/29/07
BROWN FORMAN CORP DE 7.01,9.01 11/28/07
BROWN FORMAN CORP DE 2.02,9.01 11/29/07
CAB-TIVE ADVERTISING, INC. NV 1.01,8.01,9.01 11/27/07
CALLON PETROLEUM CO DE 7.01,9.01 11/29/07
CAMDEN NATIONAL CORP ME 8.01,9.01 11/29/07
CARBIZ INC A6 2.01,9.01 10/01/07 AMEND
CARRIER ACCESS CORP DE 8.01,9.01 11/29/07
CASCADE BANCORP OR 5.03,9.01 11/28/07
CATALYST SEMICONDUCTOR INC DE 2.02,9.01 11/29/07
CATCHER HOLDINGS, INC 8.01,9.01 11/28/07
CB RICHARD ELLIS GROUP INC DE 8.01,9.01 11/28/07
CD 2007-CD5 Mortgage Trust DE 8.01 11/29/07
CENTENARY INTERNATIONAL CORP NV 3.02 11/29/07
CF Industries Holdings, Inc. DE 8.01 11/28/07
Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 11/29/07
CHESAPEAKE ENERGY CORP OK 3.02,5.03,9.01 11/28/07
China Direct, Inc DE 7.01,9.01 11/29/07
China Precision Steel, Inc. CO 4.01,9.01 10/17/07 AMEND
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.01 11/26/07
CHS INC MN 8.01,9.01 11/29/07
CIRTRAN CORP NV 5.02,9.01 11/26/07
CITIZENS INC CO 9.01 11/29/07
CITIZENS INC CO 1.01,9.01 11/28/07
CMS Bancorp, Inc. DE 8.01 11/29/07
COLOMBIA GOLDFIELDS LTD 8.01,9.01 11/29/07
COMSTOCK RESOURCES INC NV 1.01,9.01 11/26/07
CONNS INC DE 2.02,9.01 11/29/07
CONSECO INC DE 7.01,9.01 11/28/07
CONTANGO OIL & GAS CO DE 1.01,9.01 11/26/07
COSTAR GROUP INC 1.01,2.03 11/29/07
CROSSTEX ENERGY INC DE 7.01,9.01 11/28/07
CROSSTEX ENERGY LP DE 7.01,9.01 11/28/07
CROWN MEDIA HOLDINGS INC DE 8.01,9.01 11/29/07
DARLING INTERNATIONAL INC DE 5.02,9.01 11/27/07
DAYBREAK OIL & GAS INC WA 3.02 11/28/07
DEL GLOBAL TECHNOLOGIES CORP NY 8.01,9.01 11/28/07
DEL MONTE FOODS CO DE 2.02,7.01,9.01 11/29/07
dELiAs, Inc. DE 2.02,9.01 11/29/07
DELL INC DE 2.02,9.01 11/29/07
DELTA AIR LINES INC /DE/ DE 5.02 11/28/07
DELTEK, INC DE 2.02,9.01 11/29/07
DIGITAL ALLY INC 8.01,9.01 11/29/07
Digital Realty Trust, Inc. MD 8.01,9.01 11/29/07
Discover Financial Services DE 8.01,9.01 11/29/07
Dresser-Rand Group Inc. DE 7.01,9.01 11/29/07
DRI CORP NC 7.01,9.01 11/29/07
DUPONT FABROS TECHNOLOGY, INC. MD 7.01,9.01 11/29/07
DYNEX CAPITAL INC VA 8.01,9.01 11/28/07
EESTech, Inc. 1.01 10/22/07
EGAIN COMMUNICATIONS CORP DE 5.02 11/27/07
Employers Holdings, Inc. NV 7.01,9.01 11/29/07
ENBRIDGE ENERGY PARTNERS LP DE 8.01,9.01 11/29/07
ENCYSIVE PHARMACEUTICALS INC DE 1.02,5.02 11/28/07
Endeavor Energy CORP NV 1.01,9.01 11/21/07 AMEND
Endeavor Uranium, Inc. NV 8.01,9.01 11/16/07
ENDEAVOUR INTERNATIONAL CORP NV 5.02,9.01 11/29/07
EnerSys DE 7.01,9.01 11/29/07
Enterprise Acquisition Corp. DE 8.01,9.01 11/29/07
Ever-Glory International Group, Inc. FL 5.03,9.01 11/20/07
EVERGREENBANCORP INC WA 9.01 11/27/07
FASTFUNDS FINANCIAL CORP NV 2.04 11/23/07
Federal Home Loan Bank of Atlanta X1 2.03 11/26/07
Federal Home Loan Bank of Boston X1 2.03 11/26/07
Federal Home Loan Bank of Chicago X1 2.03 11/26/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/26/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/27/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/26/07
Federal Home Loan Bank of New York X1 2.03,9.01 11/26/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/26/07
Federal Home Loan Bank of San Francis X1 2.03 11/26/07
Federal Home Loan Bank of Seattle 2.03 11/28/07
Federal Home Loan Bank of Topeka 2.03 11/26/07
Fieldstone Mortgage Investment Trust, MD 1.03 11/23/07
FIFTH THIRD BANCORP OH 7.01,9.01 11/29/07
FINANCIAL INSTITUTIONS INC NY 8.01,9.01 11/28/07
FINISH LINE INC /IN/ IN 8.01 11/29/07
FIRST CONSULTING GROUP INC DE 8.01 11/27/07
FIRST FINANCIAL HOLDINGS INC /DE/ DE 4.01,9.01 11/26/07
First Financial Northwest, Inc. WA 2.06,5.02,9.01 11/28/07
FIRST KEYSTONE CORP PA 5.03 11/29/07
FIRST PACTRUST BANCORP INC MD 5.03 11/27/07
FIRST SECURITY GROUP INC/TN TN 8.01 11/28/07
FOSSIL INC DE 5.02 11/26/07
FOUR OAKS FINCORP INC NC 8.01 11/29/07
FRANKLIN TOWERS ENTERPRISES INC 8.01,9.01 11/28/07
FREDS INC TN 2.02,8.01 11/29/07
GATEWAY FINANCIAL HOLDINGS INC NC 8.01 11/28/07
GENESCO INC TN 2.02,9.01 11/29/07
Geovax Labs, Inc. IL 1.01,3.02,9.01 11/14/07
GERBER SCIENTIFIC INC CT 2.02,9.01 11/29/07
GLOBAL ENERGY INC NV 1.01,9.01 11/21/07
Global Logistics Acquisition CORP DE 8.01,9.01 11/07/07
GLOBAL TRAFFIC NETWORK, INC. DE 5.02,9.01 11/26/07
GOODRICH CORP NY 7.01,9.01 11/29/07
GRANITE CITY FOOD & BREWERY LTD MN 5.02,9.01 11/29/07
GRYPHON GOLD CORP NV 3.02,7.01,9.01 11/28/07
GYMBOREE CORP DE 1.01,8.01,9.01 11/26/07
H&R BLOCK INC MO 2.03 11/23/07
HARLEYSVILLE GROUP INC DE 8.01,9.01 11/26/07
HAROLDS STORES INC OK 2.02,9.01 11/27/07
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 11/28/07
HCC INSURANCE HOLDINGS INC/DE/ DE 5.02 11/28/07
HEALTH MANAGEMENT ASSOCIATES INC DE 8.01 11/26/07 AMEND
HEINZ H J CO PA 2.02,9.01 11/29/07
HERITAGE BANKSHARES INC /VA VA 8.01,9.01 11/28/07
HERITAGE FINANCIAL CORP /WA/ WA 5.03,9.01 11/29/07
HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 5.02 11/07/07
HOUSTON AMERICAN ENERGY CORP DE 5.03,9.01 11/26/07
IAS ENERGY, INC. OR 1.01,9.01 11/26/07
ICP Solar Technologies Inc. 7.01,9.01 11/29/07
IDENIX PHARMACEUTICALS INC 5.02 11/23/07
Industrial Enterprises of America, In NV 5.02 11/25/07
INDUSTRIAL MINERALS INC DE 8.01,9.01 11/22/07
IndyMac INDA Mortgage Loan Trust 2007 9.01 11/29/07
InfoLogix Inc 5.02 11/27/07
INNOVATIVE CARD TECHNOLOGIES INC DE 1.01,9.01 11/19/07
INPHONIC INC 4.01,9.01 11/27/07 AMEND
INSPIRE PHARMACEUTICALS INC DE 8.01,9.01 11/28/07
INTELSAT LTD 8.01 11/29/07
INTER PARFUMS INC DE 7.01 11/28/07
International Coal Group, Inc. DE 7.01,9.01 11/29/07
INTRAOP MEDICAL CORP 5.02,8.01 11/23/07
INVENDA CORP DE 5.02,9.01 11/23/07
iPCS, INC DE 8.01,9.01 11/29/07
ITC Holdings Corp. MI 5.02 11/27/07
J CREW GROUP INC DE 2.02,9.01 11/29/07
J P MORGAN CHASE & CO DE 9.01 11/29/07
JACKSONVILLE BANCORP INC IL 5.03,9.01 11/27/07
JACLYN INC DE 5.03,9.01 11/28/07
Jayhawk Energy, Inc. CO 4.01 11/29/07
JDA SOFTWARE GROUP INC DE 1.01,8.01,9.01 11/07/07
JMAR TECHNOLOGIES INC DE 5.02 11/02/07
JOHNSON & JOHNSON NJ 2.06,8.01 11/29/07
JPMMT 2007-A6 DE 8.01,9.01 11/29/07
K-FED BANCORP 8.01,9.01 11/27/07
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 11/29/07
KREISLER MANUFACTURING CORP DE 5.02 11/26/07
LASERCARD CORP DE 5.02 11/28/07
LIBERTY STAR URANIUM & METALS CORP. NV 7.01,9.01 11/28/07
LONGS DRUG STORES CORP MD 7.01,9.01 11/29/07
lululemon athletica inc. DE 2.02,9.01 11/29/07
MADISON GAS & ELECTRIC CO WI 8.01 11/29/07
MASCO CORP /DE/ DE 5.02,9.01 11/28/07
MEDALLION FINANCIAL CORP DE 8.01 11/09/07
MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 11/29/07
MEMRY CORP DE 5.03,9.01 11/29/07
MENTOR GRAPHICS CORP OR 2.02 11/29/07
Mercantile Bancorp, Inc. DE 8.01 11/29/07
MERRILL LYNCH & CO INC DE 8.01,9.01 11/29/07
MGE ENERGY INC WI 8.01 11/29/07
MICHAELS STORES INC DE 2.02,9.01 11/29/07
MID AMERICA APARTMENT COMMUNITIES INC TN 5.03,9.01 11/29/07
MIDWEST BANC HOLDINGS INC DE 8.01,9.01 11/29/07
MINDSPEED TECHNOLOGIES, INC DE 5.02,9.01 11/23/07
Morgan Stanley Capital I Trust 2007-I DE 9.01 11/29/07
MORTGAGEBROKERS.COM HOLDINGS, INC. DE 8.01,9.01 11/29/07
MOVIE STAR INC /NY/ NY 8.01,9.01 11/29/07
Neonode, Inc DE 4.01,9.01 11/20/07 AMEND
Neuro-Hitech, Inc. DE 1.01,3.02,9.01 11/29/07
NEWMARKET CORP VA 1.01 11/28/07
NEXIA HOLDINGS INC NV 3.03,5.03 11/29/07
NICOR INC IL 5.02,5.03,9.01 11/29/07
NNN Healthcare/Office REIT, Inc. MD 2.01,9.01 11/20/07 AMEND
NORTHERN ILLINOIS GAS CO /IL/ /NEW/ IL 5.03,9.01 11/29/07
NOTIFY TECHNOLOGY CORP CA 2.02,9.01 11/29/07
Nuance Communications, Inc. DE 2.01,9.01 11/26/07
Nuance Communications, Inc. DE 8.01,9.01 11/29/07
Nuance Communications, Inc. DE 9.01 09/28/07 AMEND
NUTRACEUTICAL INTERNATIONAL CORP DE 2.02,9.01 11/29/07
OGE ENERGY CORP OK 2.02,8.01 11/29/07
OIL DRI CORP OF AMERICA DE 2.02,9.01 11/28/07
OMNIVISION TECHNOLOGIES INC DE 2.02,9.01 11/29/07
ONEOK Partners LP DE 7.01,9.01 11/29/07
Opexa Therapeutics, Inc. TX 4.02 11/28/07
Opko Health, Inc. DE 1.01,2.01,9.01 11/28/07
ORAMED PHARMACEUTICALS INC. NV 5.05,9.01 11/29/07
ORION HEALTHCORP INC DE 3.01,9.01 11/29/07
OSI PHARMACEUTICALS INC DE 7.01,9.01 11/29/07
Ottawa Savings Bancorp, Inc. X1 8.01,9.01 11/28/07
PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02,7.01,9.01 11/26/07
PARKE BANCORP, INC. NJ 5.02,9.01 11/27/07
PATHMARK STORES INC DE 8.01 11/27/07
PC MALL INC DE 9.01 09/17/07 AMEND
PEERLESS SYSTEMS CORP DE 2.02,9.01 11/29/07
PENINSULA GAMING CORP. DE 8.01 11/28/07
PENN NATIONAL GAMING INC PA 8.01,9.01 11/28/07
People's United Financial, Inc. DE 8.01,9.01 11/28/07
PERKINS & MARIE CALLENDER'S INC DE 2.02,9.01 11/28/07
PHOTOWORKS INC /WA WA 1.01,5.02,9.01 11/28/07
PIPELINE DATA INC 2.02,7.01 09/30/07
PLANKTOS CORP NV 3.01 11/20/07
PREMIER EXHIBITIONS, INC. 5.02,9.01 11/27/07
PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 11/29/07
Protalix BioTherapeutics, Inc. FL 8.01,9.01 11/29/07
PRUDENTIAL FINANCIAL INC NJ 8.01 11/28/07
PSPP HOLDINGS INC NV 1.01,5.02,8.01,9.01 11/29/07 AMEND
QLT INC/BC A1 8.01,9.01 11/28/07
Quantum Ventures Inc. NV 5.02,9.01 11/23/07
RAYMOND JAMES FINANCIAL INC FL 5.02 11/27/07
REGENERON PHARMACEUTICALS INC NY 1.01,3.02,9.01 11/28/07
REUNION INDUSTRIES INC DE 1.03 11/26/07
REX STORES CORP DE 2.02,9.01 11/29/07
ROCKFORD CORP AZ 1.01 11/28/07
SAKS INC TN 5.02 11/26/07
Sally Beauty Holdings, Inc. 2.02,7.01,9.01 11/29/07
SALLY HOLDINGS LLC DE 2.02,7.01,9.01 11/29/07
SCBT FINANCIAL CORP SC 8.01,9.01 11/29/07
SCOTTISH RE GROUP LTD E9 5.02 11/29/07
SEACHANGE INTERNATIONAL INC DE 2.02,9.01 11/29/07
SEARS HOLDINGS CORP DE 2.02,9.01 11/29/07
SEAWAY VALLEY CAPITAL CORP 2.01,2.03,3.02 11/07/07
Shopper's Wallet, Inc. NV 5.03,7.01,9.01 11/29/07
SIMMONS FIRST NATIONAL CORP AR 7.01 11/28/07
SIMMONS FIRST NATIONAL CORP AR 8.01 11/28/07
Skinny Nutritional Corp. 1.01,2.03,3.02,5.02 11/23/07
SMART BALANCE, INC. DE 7.01,9.01 11/29/07
SMITHFIELD FOODS INC VA 2.02,9.01 11/29/07
SONOSITE INC 1.01,3.03,9.01 11/28/07
SPARK NETWORKS INC X0 8.01 11/23/07
Standard Drilling, Inc. 4.02 11/29/07
STANDEX INTERNATIONAL CORP/DE/ DE 5.02 11/29/07
STANFORD MANAGEMENT LTD DE 5.02 11/28/07
STEN CORP MN 1.01,2.03,3.02,9.01 11/23/07
STIFEL FINANCIAL CORP DE 7.01,9.01 11/29/07
STILLWATER MINING CO /DE/ DE 5.02,9.01 11/28/07
STREAMLINE HEALTH SOLUTIONS INC. DE 2.02,9.01 11/26/07
STRUCTURED PRODUCTS CORP TEIRS PP ASS DE 8.01,9.01 11/26/07
SULPHCO INC NV 7.01,9.01 11/28/07
Susser Holdings CORP DE 3.02 11/26/07
TECHNOLOGY RESEARCH CORP FL 5.02,9.01 11/29/07
Telanetix,Inc DE 4.01,9.01 11/27/07
TEMPLE INLAND INC DE 7.01,9.01 11/29/07
TIDEWATER INC DE 8.01,9.01 11/28/07
TORRENT ENERGY CORP CO 7.01,9.01 11/26/07
TRAILER BRIDGE INC 7.01,9.01 11/26/07
TRIDENT MICROSYSTEMS INC DE 3.01,8.01,9.01 11/29/07
TUCOWS INC /PA/ PA 5.03,9.01 11/26/07
TVI CORP MD 1.01,1.02,9.01 11/29/07
UNION BANKSHARES CO/ME ME 7.01,9.01 11/29/07
United Financial Bancorp Inc 9.01 11/27/07
United Financial Bancorp, Inc. MD 9.01 11/27/07
UNITED REFINING CO PA 8.01,9.01 11/29/07
UNIVERSAL HOSPITAL SERVICES INC MN 5.02,9.01 11/29/07
URANIUM ENERGY CORP NV 8.01 11/28/07
URS CORP /NEW/ DE 8.01,9.01 11/29/07
US AIRWAYS GROUP INC DE 5.02,9.01 11/28/07
US BioEnergy CORP 8.01,9.01 11/29/07
US FARMS, INC. NV 1.01 10/02/07
USB HOLDING CO INC DE 8.01,9.01 11/28/07
USChina Channel Inc 5.03 11/29/07
UTILITY INVESTMENT RECOVERY, INC. 5.02 11/29/07
VCG HOLDING CORP CO 9.01 09/14/07 AMEND
VERASUN ENERGY CORP 8.01,9.01 11/29/07
VirtualScopics, Inc. DE 3.03,5.03,9.01 11/27/07
VITAL SIGNS INC NJ 8.01,9.01 11/26/07
Warner Music Group Corp. DE 2.02,7.01,9.01 11/29/07
Wells Fargo Mortgage Backed Securitie DE 9.01 11/29/07
Wells Fargo Mortgage Backed Securitie DE 9.01 11/29/07
WESTFIELD FINANCIAL INC MA 7.01,9.01 11/29/07
WET SEAL INC DE 2.02,9.01 11/29/07
WHITNEY INFORMATION NETWORK INC CO 5.02 11/21/07
WILSHIRE BANCORP INC CA 5.03,9.01 11/29/07
WIRELESS AGE COMMUNICATIONS INC NV 8.01,9.01 11/29/07
WISCONSIN ENERGY CORP WI 8.01 11/29/07
XETA TECHNOLOGIES INC OK 2.02,9.01 11/28/07
ZIOPHARM ONCOLOGY INC 7.01 11/29/07
Zumiez Inc 2.02,9.01 11/29/07
http://www.sec.gov/news/digest/2007/dig113007.htm
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