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SEC NEWS DIGEST
Issue 2007-243 December 19, 2007
COMMISSION ANNOUNCEMENTS
SEC SUSPENDS TRADING IN THE STOCK OF SCORE ONE, INC. AND PHYSICAL
PROPERTY HOLDINGS, INC.
On December 19, as part of its Anti-Spam Initiative, the Commission
ordered the temporary suspension of trading in the securities of Score
One, Inc. (Score One) and Physical Property Holdings, Inc. (Physical
Property) pursuant to Section 12(k) of the Exchange Act, commencing at
9:30 a.m. EST on Dec. 19, 2007, and terminating at 11:59 p.m. EST on
Jan. 3, 2008. The securities of Score One and Physical Property are
dually quoted on the Over-the-Counter Bulletin Board and the Pink
Sheets under the symbols SREA and PPYH, respectively.
The Commission ordered these trading suspensions because of questions
that have arisen regarding the adequacy and accuracy of the companies'
press releases and other publicly-disseminated information concerning
the companies' assets, current business operations, current financial
condition, the issuance of the companies' securities, and transactions
in the companies' stock by insiders, consultants, and other
individuals and entities.
The Commission cautions brokers, dealers, shareholders, and
prospective purchasers that they should carefully consider the
foregoing information along with all other currently available
information and any information subsequently issued by Score One and
Physical Property.
Further, brokers and dealers should be alert to the fact that,
pursuant to Rule 15c2-11 under the Exchange Act, at the termination of
the trading suspensions, no quotation may be entered unless and until
they have strictly complied with all of the provisions of the rule. If
any broker or dealer has any questions as to whether or not it has
complied with the rule, it should not enter any quotation but
immediately contact the staff in the Division of Trading and Markets,
Office of Interpretation and Guidance, at (202) 551-5760. If any
broker or dealer is uncertain as to what is required by Rule 15c2-11,
it should refrain from entering quotations relating to Score One's and
Physical Property's securities until such time as it has familiarized
itself with the rule and is certain that all of its provisions have
been met. If any broker or dealer enters any quotation that is in
violation of the rule, the Commission will consider the need for
prompt enforcement action.
The Commission acknowledges the assistance of the Hong Kong Securities
and Futures Commission.
The SEC's Office of Investor Education and Assistance has information
for investors and members of the general public on topics directly
related to this action by the SEC. See
http://www.sec.gov/investor/35tradingsuspensions.htm for a compilation
of helpful links.
Any broker, dealer or other person with information relating to this
matter is invited to e-mail the Securities and Exchange Commission at
35suspensions@sec.gov. (Rel. 34-56988)
2008 PCAOB BUDGET AND ACCOUNTING SUPPORT FEE
The Commission voted to approve the budget of the Public Company
Accounting Oversight Board under Section 109 of the Sarbanes-Oxley Act
of 2002. (Rels. 33-8873; 34-56986)
NOTICE OF MEETING OF SEC ADVISORY COMMITTEE ON IMPROVEMENTS TO
FINANCIAL REPORTING
The Securities and Exchange Commission Advisory Committee on
Improvements to Financial Reporting is providing notice that it will
hold a public meeting on Friday, Jan. 11, 2008, in the Multipurpose
Room, Room L-006, at the Commission's main offices, 100 F Street, NE,
Washington, DC, beginning at 9:30 a.m. The meeting will be open to the
public. The meeting will be webcast on the Commission's Web site at
www.sec.gov. The public is invited to submit written statements for
the meeting.
The agenda for the meeting includes: (1) discussion and deliberation
of a Committee progress report with concrete proposals and conceptual
approaches based on the Committee's work to date in the areas of
substantive complexity, standard setting, audit process and compliance
and delivery of financial information; (2) a decision to use the
Committee progress report as the basis for a report to be published
for public comment; and (3) a discussion of next steps and planning
for the next meeting. (Rels. 33-8874; 34-56989; File No. 265-24)
RULES AND RELATED MATTERS
SMALLER REPORTING COMPANY REGULATORY RELIEF AND SIMPLIFICATION
The Commission issued Release No. 33-8876 adopting amendments to its
disclosure and reporting requirements under the Securities Act of 1933
and the Securities Exchange Act of 1934 to expand the number of
companies that qualify for its scaled disclosure requirements for
smaller reporting companies. Companies that have less than $75 million
in public equity float will qualify for the scaled disclosure
requirements under the amendments. Companies without a calculable
public equity float will qualify if their revenues were below $50
million in the previous year. To streamline and simplify regulation,
the amendments move the scaled disclosure requirements from Regulation
S B into Regulation S-K.
For further information, please contact Kevin M. O'Neill, Special
Counsel or Johanna Vega Losert, Attorney Advisor, Office of Small
Business Policy, Division of Corporation Finance, at (202) 551-3460.
(Rels. 33-8876; 34-56994; 39-2451; File No. S7-15-07)
REVISIONS TO THE ELIGIBILITY REQUIREMENTS FOR PRIMARY SECURITIES
OFFERINGS ON FORMS S-3 AND F-3
The Commission issued a release adopting amendments to the eligibility
requirements of Form S-3 and Form F-3 of the Securities Act of 1933 to
allow companies that do not meet the current public float requirements
of the forms to nevertheless register primary offerings of their
securities, subject to certain restrictions, including the amount of
securities those companies may sell pursuant to the expanded
eligibility standard in any one-year period. (Rel. 33-8878; File No.
S7-10-07)
ENFORCEMENT PROCEEDINGS
COMMISSION DECLARES INITIAL DECISION AS TO ORBIT BRANDS CORP. FINAL
The Commission has declared final an initial decision of an
administrative law judge revoking the registration of all classes of
the registered securities of Orbit Brands Corp. The law judge found
that Orbit violated Section 13(a) of the Securities Exchange Act of
1934 and Exchange Act Rules 13a-1 and 13a-13 by failing to file annual
or quarterly reports for any period after Dec. 31, 2004. The law judge
stated that both existing and prospective shareholders are harmed by
the continuing lack of current, reliable, and audited financial
information and that, given Orbit's financial difficulties, a cure of
its deficiencies seemed unlikely. (Rel. 34-56978 Finality Order; File
No. 3-12706)
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
SEC ISSUES NOTICE OF PROPOSED DISTRIBUTION PLAN AND OPPORTUNITY FOR
COMMENT
The Commission announced that it has given notice, pursuant to Rule
1103 of the Securities and Exchange Commission's Rules on Fair Fund
and Disgorgement Plans, 17 C.F.R. § 201.1103, that the Division of
Enforcement has (i) filed with the Commission a proposed plan
(Distribution Plan) for the distribution of monies placed into a Fair
Fund established with respect to the Respondents and (ii) submitted a
Notice of Proposed Distribution Plan and Opportunity for Comment.
On Sept. 6, 2007, 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 and Detwiler, Mitchell, Fenton & Graves, Inc., 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, each for failure to
reasonably supervise registered representative Bradford C. Bleidt
(collectively, the Orders). Among other things, the Orders directed
the Respondents to pay disgorgement and civil monetary penalties
totaling $550,003, and provided for the settlement funds to be
distributed to certain injured investors pursuant to a plan drawn up
by a Fund Administrator.
The Distribution Plan provides for distribution to eligible investors
their share of the disgorgement and civil penalties paid by
Respondents pursuant to the Orders. The Distribution Plan describes
the procedures by which the Fund Administrator will determine the
eligible recipients and the amount to be paid to each eligible
recipient. A copy of the Distribution Plan may be obtained by visiting
www.sec.gov, or by submitting a written request to Michele T. Perillo,
United States Securities and Exchange Commission, 33 Arch Street, 23rd
Floor, Boston, MA 02110-1424. All persons who desire to comment on the
Distribution Plan may submit their comments, in writing, no later than
Jan. 17, 2008 (i) by sending a letter to the Office of the Secretary,
United States Securities and Exchange Commission, 100 F Street, N.E.,
Washington, DC 20549-1090; (ii) by using the Commission's Internet
comment form (www.sec.gov/litigation/admin.shtml); or (iii) by sending
an e-mail to rule-comments@sec.gov. Comments submitted by e-mail or
via the Commission's website should include the Administrative
Proceeding File Number (3-12749) in the subject line. Comments
received will be publicly available. Commenters should only submit
information that they wish to make publicly available. (Rel. 34-56981;
File Nos. 3-12749; 3-12750; 3-12751)
IN THE MATTER OF MONEYMAX FINANCIAL SOLUTIONS, INC. AND TODD A. MARTIN
On December 19, 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
Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of
the Securities Exchange Act of 1934 (Order) against MoneyMax Financial
Solutions, Inc. (MoneyMax) and Todd A. Martin. The Order finds that in
late 2005 MoneyMax and Martin sold securities that were not exempt
from registration with the Commission and for which no registration
statement was in effect. The Order also finds that MoneyMax and Martin
sold these securities while not registered with the Commission as
brokers or dealers or affiliated with registered brokers or dealers.
The Order finds that as a result of this conduct, MoneyMax and Martin
willfully violated Sections 5(a) and 5(c) of the Securities Act of
1933 (Securities Act) and Section 15(a) of the Securities Exchange Act
of 1934 (Exchange Act).
Based on the above, MoneyMax and Martin are ordered to cease and
desist from committing or causing any violations and any future
violations of Sections 5(a) and 5(c) of the Securities Act and Section
15(a) of the Exchange Act. MoneyMax and Martin are also barred from
association with any broker or dealer with the right to reapply after
three (3) years. The Order does not impose a monetary penalty on
MoneyMax or Martin based on their sworn financial statements. MoneyMax
and Martin consented to the issuance of the Order without admitting or
denying any of the findings in the Order, except they admitted the
Commission's jurisdiction over them and the subject matter of the
proceedings. (Rels. 33-8875; 34-56990; File No. 3-12908)
FINAL JUDGMENTS OF PERMANENT INJUNCTION ENTERED AGAINST DEFENDANTS
ANDREW KLINE AND THOMAS HEYSEK
The Commission announced that on July 6, 2007, and July 19, 2007, the
U.S. District Court for the Southern District of Florida entered Final
Judgments of Permanent Injunction and Other Relief against Defendants
Andrew Kline and Thomas Heysek, respectively. The Final Judgment,
against Kline was entered with his consent and enjoins him from
violations of Section 10(b) and Rule 10b-5 of the Securities Exchange
Act of 1934. It also permanently enjoins Kline from participating in a
penny stock offering. The Court granted summary judgment in favor of
the Commission and against Thomas Heysek permanently enjoining him
from violation of Section 10(b) and Rule 10b-5 of the Exchange Act.
The Court also permanently enjoins Heysek from participating in a
penny stock offering. The Final Judgment against Kline orders him to
pay disgorgement in the amount of $21,000, prejudgment interest of
$2,968.00, but waives the disgorgement and prejudgment interest and
does not impose a civil penalty based on Kline's financial statement
and other information submitted to the Commission. Additionally, the
Court ordered Heysek to pay disgorgement in the amount of $56,000 plus
prejudgment interest in the amount of $7,916.32.
The Commission commenced this action by filing its complaint on Feb.
14, 2005, against Kline and Heysek, among others. [SEC v. Concorde
America, Inc., et al., Civil Action No. 05-80128-CIV-ZLOCH (S.D.
Fla.)] (LR-20404)
SEC FILES SETTLED ACTION AGAINST FORMER REFCO SENIOR EXECUTIVE FOR
ROLE IN COMPANY'S DISCLOSURE FRAUD
The Commission today announced that it filed a settled civil
injunctive action in the U.S. District Court for the Southern District
of New York against Santo C. Maggio, a former senior executive of
Refco Inc. and its corporate predecessor, Refco Group Ltd. (together,
Refco). The Commission's complaint alleges that, from at least 1998 to
October 2005, Phillip R. Bennett, Refco's chairman and chief executive
officer, implemented a fraudulent scheme that periodically concealed
hundreds of millions of dollars of related party receivables owed to
Refco by Refco Group Holdings, Inc., a non-Refco entity that Bennett
controlled. The Commission's complaint alleges that Maggio played a
significant role in carrying out this scheme. The complaint also
alleges that Maggio participated in certain practices that inflated
Refco's reported revenue and income. As a result, the complaint
alleges, Maggio violated Section 17(a) of the Securities Act of 1933
(Securities Act), Sections 10(b) and 13(b)(5) of the Securities
Exchange Act of 1934 (Exchange Act), and Exchange Act Rules 10b-5,
13b2-1, and 13b2 2(a), and aided and abetted violations of Sections
13(b)(2)(A) and 15(d) of the Exchange Act and Exchange Act Rules 15d-2
and 15d-13.
Without admitting or denying the allegations in the Commission's
complaint, Maggio has consented to the entry of a proposed final
judgment that would enjoin him from violating those provisions. The
proposed final judgment also would prohibit Maggio from serving as an
officer or director of a public company.
Maggio also agreed to settle proposed administrative proceedings
against him pursuant to Section 15(b)(6) of the Exchange Act and
Section 203(f) of the Investment Advisers Act of 1940, to be based on
the entry of the proposed injunction, that would bar him from
association with any broker, dealer, or investment adviser. [SEC v.
Santo C. Maggio, Civil Action No. 07 CV 11388, USDC, SDNY] (LR-20405;
AAE Rel. 2758)
SEC v. EDWARD P. MAY AND E-M MANAGEMENT CO. LLC
The Commission announced that on December 18 the Honorable John
Feikens of the U.S. District Court for the Eastern District of
Michigan issued a partial final judgment and order for permanent
injunction and other relief against Edward P. May (May) and E-M
Management Company LLC (E-M), in connection with an alleged $250
million offering fraud that allegedly involved phony Las Vegas casino
and resort telecommunication deals and may have involved as many as
1,200 investors, many of whom are senior citizens. May and E-M
consented to the Order without admitting or denying the allegations of
the SEC's complaint. The Court's Order permanently enjoins May and E-M
from violating Sections 5 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. The Order further indicates that the Court will determine
the specific amounts, if any, of disgorgement and civil penalties
against May and E-M at a separate hearing upon notice and motion by
the SEC.
The SEC's civil injunctive complaint that was filed on Nov. 20, 2007,
alleged that May, through E-M, raised as much as $250 million between
1998 and July 2007 from investors living in such states as Michigan,
California, Florida, Illinois, New York, Ohio and New Jersey.
According to the allegations of the complaint, May and E-M sold
securities in the form of interests in limited liability companies
(LLCs), and told investors that these LLCs had been contracted to
install and provide telecommunications equipment and services to such
major hotel chains and casinos as Hilton, MGM Grand, Motel 6,
Tropicana and Sheraton. The complaint goes on to allege that May and
E-M, both orally and in writing, promised returns in the form of
monthly payments to investors for a period as long as 12 to 14 years,
and "guaranteed" that investors, at a minimum, would receive the
promised payments for approximately the first 20 to 24 months after
they invested.
The SEC's complaint further alleged that, in reality, the LLCs did not
have any telecommunication contracts with the establishments
identified in offering materials provided by May and E-M. To further
their alleged scheme, May and E-M provided some investors with copies
of fictitious contracts with various hotels and casinos. Some of which
allegedly included the names of purported hotel executives who did not
exist. The SEC's complaint alleged that the defendants' conduct
violated antifraud and registration provisions of the federal
securities laws. Investors with questions or information about this
matter may call the Chicago Regional Office's telephone line dedicated
to this case at (312) 353-0626. [SEC v. Edward P. May and E-M
Management Co. LLC, Civil Action No. 2:07-CV-14594 (E.D. Mich.)
(Feikens, J.)] (LR-20406)
SEC CHARGES BERMUDA FINANCIERS SCOTT LINES AND BRIAN LINES, LOM
(HOLDINGS) LTD. AND FIVE LOM SUBSIDIARIES IN TWO FRAUDULENT STOCK
MANIPULATIONS; SEC ALSO CHARGES ANTHONY WILE, WAYNE WILE, ROBERT
CHAPMAN, W. TODD PEEVER AND P. JAMES CURTIS WITH MARKET MANIPULATION
The Commission today filed a civil injunctive action in the U.S.
District Court for the Southern District of New York against brothers
Scott Lines and Brian Lines, along with Lines Overseas Management
Ltd., LOM (Holdings) Ltd., LOM Capital Ltd., LOM Securities (Bermuda)
Ltd., LOM Securities (Cayman) Ltd., and LOM Securities (Bahamas) Ltd.
(the entities collectively, "LOM"), a Bermuda-based group of financial
services firms that includes several broker-dealers, for participating
in two fraudulent schemes to manipulate the stock prices of microcap
companies Sedona Software Solutions, Inc. and SHEP Technologies, Inc.
The Complaint also alleges that defendants Anthony Wile, Wayne Wile,
Todd Peever, James Curtis, and Robert Chapman engaged in market
manipulation. The Commission also filed settled civil injunctive
actions against John Cooper, Ian Park, Lawrence Isen, and Sedona.
In the actions filed today, the Commission makes the following
allegations in the complaints:
The Sedona Manipulation Scheme
Defendant Anthony Wile, a stock promoter, issued deceptive press
releases and other promotional materials and created a website, in
early 2003, to create the misleading impression that Renaissance
Mining Corporation ("Renaissance") had acquired certain gold mines and
was a leading gold producer. Defendant Park, former CEO of
Renaissance, participated in the preparation of Renaissance's false
and misleading press releases and website. In early January 2003,
using LOM-controlled nominees, the Lines brothers secretly acquired
over ninety-nine percent of Sedona's outstanding shares from defendant
Cooper, the then-CEO of Sedona, and a group of Sedona shareholders.
The Lines brothers failed to file with the Commission reports of their
beneficial ownership of Sedona stock. Wile and the Lines brothers then
arranged to take Renaissance public by merging it with Sedona, a
publicly-traded shell company. The Lines brothers and LOM Capital
agreed to raise $6 million on behalf of Renaissance in a purportedly
private placement, in order to enable Renaissance to acquire and
reactivate the mines that Wile falsely claimed Renaissance owned. In
soliciting investments for that placement, defendant Scott Lines made
numerous false and misleading statements to LOM brokerage customers,
including a U.S. customer.
In mid-January 2003, defendant Anthony Wile primed the market for
Sedona and Renaissance shares by orchestrating touting by defendant
Robert J. Chapman, a purportedly "independent" newsletter writer who
secretly owned Renaissance shares, and other investment newsletter
writers. Chapman issued at least one report touting the merger and
telling the public that shares of Sedona, which had last traded at
three cents per share, would open on January 21 at around $10 per
share.
On the morning of January 21, defendants Brian Lines, Scott Lines,
Anthony Wile, and Wayne Wile orchestrated a manipulative stock trade
on the open market to create an artificially inflated market for
Sedona shares. Between January 21 and January 27, Brian and Scott
Lines sold or caused the sale of 159,000 Sedona shares on the open
market at between $8.95 and $9.40 per share, reaping illegal proceeds
of approximately $1.5 million. These sales, which were made without a
registration statement in effect, were largely executed through Lines
Overseas Management's account at a U.S. broker-dealer with the
assistance of defendant Ryan Leeds, then a registered representative
at that firm. Leeds, by selling the Lines brothers' stock without
making a reasonable inquiry regarding the source of the shares, and
Cooper, through his unregistered sale of the Sedona stock to the Lines
brothers, both violated the securities registration provisions.
The Sedona scheme collapsed on January 29, 2003, when the Commission
suspended trading in Sedona's stock because of questions concerning
the accuracy and completeness of public information about Sedona and
Renaissance. After the Commission's trading suspension, defendants
Brian and Scott Lines ordered LOM staff to backdate and falsify
internal records to create the false impression that the Sedona stock
was owned by the nominees.
The SHEP Manipulation Scheme
I In 2002 and 2003, defendants Brian Lines, Scott Lines, Peever,
Curtis, and certain LOM entities engaged in a similar scheme to
secretly obtain control of a publicly traded shell company, Inside
Holdings, Inc. (IHI), again through the use of LOM nominees. This
scheme involved merging IHI with a private company, paying touters to
promote the stock, and later selling stock into the ensuing demand.
During the first half of 2003, the Lines brothers, Peever, and Curtis
sold over three million SHEP shares into this demand, generating about
$4.3 million in illegal proceeds. Isen, one of the paid SHEP touters,
published bullish reports on SHEP in his OTC Journal newsletter,
without disclosing that he was selling almost all of the 100,000 SHEP
shares he received as compensation for his touting. As part of the
scheme, the Lines brothers, Peever, and Curtis failed to file required
reports of their beneficial ownership of IHI and SHEP stock, and
defendant Brian Lines caused several false reports to be filed with
the Commission to conceal that he, Scott Lines, Peever, and Curtis
owned substantial positions in, and had been selling, SHEP stock.
Defendant Leeds also sold SHEP stock for defendants Brian and Scott
Lines in violation of the securities registration provisions.
In the litigated matter, the Complaint charges Scott Lines, Brian
Lines, the LOM entities, Anthony Wile, Wayne Wile, Peever, Curtis, and
Chapman with fraud for their roles in the Sedona and/or SHEP
manipulations. Specifically, each, except LOM Holdings, Ltd. and
Chapman, is charged with having violated Section 17(a) of the
Securities Act of 1933 (Securities Act) and Section 10(b) of the
Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5
thereunder. Defendants LOM Holdings, Ltd. and Chapman are charged with
fraud for violating Exchange Act Section 10(b) and Rule 10b-5
thereunder. Defendants Scott Lines, Brian Lines, Anthony Wile, Peever,
Curtis, Leeds, and the LOM entities, except LOM Holdings, are also
charged with violating Section 5 of the Securities Act, the securities
registration provisions of the federal securities laws. Scott Lines
and LOM Securities (Bermuda) Ltd. are also charged with illegally
operating as unregistered broker-dealers in the U.S., in violation of
Section 15(a) of the Exchange Act. Defendants Scott Lines, Brian
Lines, Lines Overseas Management Ltd., Peever, and Curtis are charged
with violating and/or aiding and abetting violations of Sections 13(d)
and/or 16(a) of the Exchange Act and/or Rules 13d-1, 13d-2, and 16a-3
thereunder, the beneficial ownership reporting provisions. In
addition, Brian and Scott Lines are charged with aiding and abetting
Sedona's violation of Section 13(a) of the Exchange Act and Rule 13a-
11 thereunder for failing to disclose their acquisition of control
over the Sedona shell. The Complaint seeks permanent injunctions
against future violations of the federal securities laws by the
defendants, as well as disgorgement and civil penalties. The Complaint
also seeks permanent penny stock bars against Scott Lines, Brian
Lines, the LOM entities, Anthony Wile, Wayne Wile, Chapman, Peever,
and Curtis, and seeks a permanent officer-and-director bar against
Anthony Wile.
Separately, Sedona, Ian Park, John Cooper, and Lawrence Isen have
consented to the entry of final judgments against them, without
admitting or denying the allegations in the SEC's complaints in those
actions. Sedona has consented to the entry of a permanent injunction
against future violations of Section 13(a) of the Exchange Act and
Rule 13a-11 thereunder, which are issuer reporting provisions of the
federal securities laws. Cooper has consented to the entry of a
permanent injunction against future violations of Section 5 of the
Securities Act, the securities registration provisions, and Sections
13(d) and 16(a) of the Exchange Act and Rules 13d-2 and 16a-3
thereunder, the beneficial ownership reporting provisions of the
federal securities laws, and aiding and abetting violations of the
issuer reporting provisions, and to pay a $30,000 civil penalty. Park
has consented to the entry of a permanent injunction against future
violations of Sections 5 and 17(a) of the Securities Act and Section
10(b) of the Exchange Act and Rule 10b-5 thereunder, to pay a $30,000
civil penalty, and to be barred for five years from serving as an
officer or director of a public company. Isen has consented to the
entry of a permanent injunction against future violations of
Securities Act Sections 17(a)(2) and 17(a)(3), which are antifraud
provisions, and Securities Act Section 5, to pay disgorgement of
$133,595 and a $40,000 civil penalty, and to certain undertakings. The
proposed relief in the settled actions is subject to court approval.
[SEC v. Brian N. Lines, Scott G.S. Lines, LOM (Holdings) Ltd., Lines
Overseas Management Ltd., LOM Capital Ltd., LOM Securities (Bermuda)
Ltd., LOM Securities (Cayman) Ltd., LOM Securities (Bahamas) Ltd.,
Anthony W. Wile, Wayne E. Wile, Robert J. Chapman, William Todd
Peever, Phillip James Curtis, and Ryan G. Leeds, 07 Civ. 11387
(S.D.N.Y. filed Dec. 19, 2007); SEC v. Ian G. Park, 07 Civ. 11389
(S.D.N.Y. filed Dec. 19, 2007); SEC v. Lawrence D. Isen, 07 Civ. 11386
(S.D.N.Y. filed Dec. 19, 2007); SEC v. Sedona Software Solutions, Inc.
and John E. Cooper, 1:07-CV-02269 (D.D.C.)] (LR-20407)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGE
The New York Stock Exchange filed a proposed rule change (SR-NYSE-
2007-98), as modified by Amendment No. 1 thereto, to reduce from six
months to three months the period for which a company's average global
market capitalization must exceed the levels established by the
Exchange's pure valuation/revenue test. Publication is expected in the
Federal Register during the week of December 24. (Rel. 34-56976)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change (SR-CBOE-2007-148) filed by the Chicago Board
Options Exchange to amend its equity options obvious error rule has
become effective pursuant to Section 19(b)(3)(A) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of December 24. (Rel. 34-56977)
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 Disaboom, Inc., 7730 E. BELLEVIEW AVENUE, SUITE A-306,
GREENWOOD VILLAGE, CO, 80111, 720-407-6530 -
13,815,133 ($19,612,489.00) Equity, (File 333-148122 - Dec. 18)
(BR. 03A)
S-1 GlassHouse Technologies Inc, 200 CROSSING BLVD, FRAMINGHAM, MA, 01702,
508-879-5729 - 0 ($100,000,000.00) Equity, (File 333-148123 - Dec. 18)
(BR. 03)
S-8 EUROSEAS LTD., AETHRION CENTER, 40 AG., KONSTANTINOU STREET, 151 24,
MAROUSSI, J3, 00000, 011 30 210 6105110 -
7,596,000 ($600,000.00) Equity, (File 333-148124 - Dec. 18) (BR. 05A)
S-8 China Sunergy Co., Ltd., NO.123 FOCHENG WEST ROAD, NANJING, F4, 211100,
(8625)5276 6890 - 0 ($3,750,338.00) ADRs/ADSs, (File 333-148125 -
Dec. 18) (BR. 10A)
SB-2 TRANS WORLD CORP, 545 FIFTH AVE, STE 940, NEW YORK, NY, 10017,
2129833355 - 0 ($4,220,000.00) Equity, (File 333-148126 - Dec. 18)
(BR. 05C)
S-8 CENTRUE FINANCIAL CORP, 122 W MADISON STREET, --, OTTAWA, IL, 61350,
815-431-2815 - 0 ($2,250,320.00) Equity, 0 ($2,200,000.00) Other,
(File 333-148127 - Dec. 18) (BR. 07A)
SB-2 Village Street Publications INC, 1265 AVACADO BLVD, SUITE 104,
EL CAJON, CA, 92020, 619-334-8421 - 4,000,000 ($1,000,000.00) Equity,
(File 333-148128 - Dec. 18) (BR. 05)
S-8 Travelstar, Inc., 95 ARGONAUT ST., ALISO VIEGO, CA, 92656,
949-837-8101 - 5,000,000 ($1,350,000.00) Equity, (File 333-148129 -
Dec. 18) (BR. 05B)
S-8 NOVADEL PHARMA INC, 25 MINNEAKONING ROAD, FLEMINGTON, NJ, 08822,
908-782-3431 - 0 ($10,181,578.00) Equity, (File 333-148130 - Dec. 18)
(BR. 01B)
S-3D INVESTORS REAL ESTATE TRUST, 12 MAIN ST S, PO BOX 1988, MINOT, ND,
58702-1988, 701-837-4738 - 0 ($38,850,019.54) Equity,
(File 333-148131 - Dec. 18) (BR. 08B)
S-8 RIGEL PHARMACEUTICALS INC, 1180 VETERANS BOULEVARD,
SOUTH SAN FRANCISCO, CA, 94080, 0 ($28,395,226.00) Equity,
(File 333-148132 - Dec. 18) (BR. 01B)
S-3ASR LINN ENERGY, LLC, 600 TRAVIS, SUITE 5100, HOUSTON, TX, 77002,
281-605-4100 - 0 ($1,137,665,033.00) Equity, (File 333-148134 -
Dec. 18) (BR. 04A)
S-3 CASH SYSTEMS INC, 7350 DEAN MARTIN DRIVE, SUITE 309, LAS VEGAS, NV,
89139, 7029877169 - 0 ($3,436,400.00) Equity, (File 333-148135 -
Dec. 18) (BR. 07C)
S-3 KANSAS CITY POWER & LIGHT CO, 1201 WALNUT, PO BOX 418679, KANSAS CITY,
MO, 64106-2124, 816-556-2200 - 900,000,000 ($900,000,000.00) Debt,
(File 333-148136 - Dec. 18) (BR. 02B)
S-3ASR ADC TELECOMMUNICATIONS INC, 13625 TECHNOLOGY DRIVE, EDEN PRAIRIE, MN,
55344, 9529388080 - 0 ($0.00) Debt Convertible into Equity,
(File 333-148137 - Dec. 18) (BR. 11B)
S-3 Basin Water, Inc., 8731 PRESTIGE COURT, RANCHO CUCAMONGA, CA, 91730,
(909) 481-6800 - 0 ($3,475,222.00) Equity, (File 333-148138 - Dec. 18)
(BR. 02)
S-8 POWERWAVE TECHNOLOGIES INC, 1801 E. ST. ANDREW PLACE, SANTA ANA, CA,
92705, 7144661000 - 539,652 ($2,228,762.76) Equity, (File 333-148139 -
Dec. 18) (BR. 11B)
S-8 Cord Blood America, Inc., 9000 W. SUNSET BLVD., SUITE 400,
WEST HOLLYWOOD, CA, 90069, 310-432-4090 -
8,000,000 ($320,000.00) Equity, (File 333-148140 - Dec. 18) (BR. 09A)
S-8 SANTARUS INC, 10590 W OCEAN AIR DR, STE 200, SAN DIEGO, CA, 92130,
8583145700 - 3,000,000 ($7,560,000.00) Equity, (File 333-148141 -
Dec. 18) (BR. 01A)
S-3 Cal Dive International, Inc., 400 N. SAM HOUSTON PARKWAY E, SUITE 1000,
HOUSTON, TX, 77060, 281-618-0400 - 61,506,691 ($789,745,912.44) Equity,
(File 333-148142 - Dec. 18) (BR. 04C)
SB-2 UNITY WIRELESS CORP, 1800337664 - 81,566,308 ($2,446,989.24) Equity,
(File 333-148143 - Dec. 18) (BR. 11A)
S-8 Duff & Phelps Corp, 55 EAST 52ND STREET, NEW YORK, NY, 10055,
(212) 871-2000 - 0 ($111,322,267.00) Equity, (File 333-148144 -
Dec. 18) (BR. 07)
S-8 UNITED PAN AM FINANCIAL CORP, 9492241917 -
750,000 ($3,967,500.00) Equity, (File 333-148145 - Dec. 18) (BR. 07C)
S-3 MARTIN MIDSTREAM PARTNERS LP, 4200 STONE ROAD, KILGORE, TX, 75662,
9039836200 - 0 ($400,000,000.00) Other, (File 333-148146 - Dec. 18)
(BR. 04B)
S-8 WESBANCO INC, 1 BANK PLAZA, WHEELING, WV, 26003, 3042349000 -
16,391 ($69,973.18) Equity, (File 333-148147 - Dec. 18) (BR. 07A)
S-8 AMERICAN INTERNATIONAL GROUP INC, 70 PINE ST, NEW YORK, NY, 10270,
2127707000 - 0 ($7,538,400,000.00) Equity, (File 333-148148 - Dec. 18)
(BR. 01B)
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
--------------------------------------------------------------------------------------------------------
Acadia Resources Inc. NV 9.01 11/28/07 AMEND
ADVANCED MEDICAL OPTICS INC DE 2.05 12/12/07
AEROSONIC CORP /DE/ DE 8.01,9.01 12/18/07
AFTERMARKET TECHNOLOGY CORP DE 5.02 12/12/07
AGL RESOURCES INC GA 5.04,9.01 12/18/07
Aleris International, Inc. DE 5.02 12/12/07
ALIGN TECHNOLOGY INC DE 5.02,5.03,9.01 12/14/07
ALLIANT ENERGY CORP WI 5.02,9.01 12/12/07
ALLSTATE CORP DE 7.01,9.01 12/18/07
ALNYLAM PHARMACEUTICALS, INC. 5.02 12/12/07
ALPHARMA INC DE 7.01,9.01 12/18/07
AMEN PROPERTIES INC DE 1.01,2.01,3.02,5.03,9.01 12/17/07
AMEREN CORP MO 5.02,9.01 12/14/07
AMERICAN FINANCIAL GROUP INC OH 8.01,9.01 12/17/07
AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 12/18/07
AMERICAN NATIONAL BANKSHARES INC VA 5.03 12/18/07
AMERICAN VANGUARD CORP DE 8.01,9.01 12/17/07
AMERISTAR CASINOS INC NV 5.02 12/15/07
Amish Naturals, Inc. NV 1.01,2.01,9.01 10/05/07 AMEND
ANTS SOFTWARE INC DE 7.01 12/18/07
APP Pharmaceuticals, Inc. DE 3.01 12/13/07
Apple REIT Eight, Inc. VA 1.01,2.01,9.01 12/14/07
Apple REIT Seven, Inc. VA 9.01 10/04/07 AMEND
ATHEROGENICS INC GA 8.01,9.01 12/18/07
AURIGA LABORATORIES, INC. DE 5.02,9.01 12/14/07
AVISTAR COMMUNICATIONS CORP DE 1.01,9.01 12/17/07
AWARE INC /MA/ MA 1.01,5.02,9.01 12/17/07
AXT INC DE 1.01,1.02,9.01 12/12/07
BANKUNITED FINANCIAL CORP FL 5.03,9.01 12/13/07
BANNER CORP WA 5.03,9.01 12/13/07
BASIC ENERGY SERVICES INC 5.03,9.01 12/17/07
BASSETT FURNITURE INDUSTRIES INC VA 5.02 12/12/07
BEA SYSTEMS INC DE 5.02,9.01 12/12/07
BEST BUY CO INC MN 2.02,9.01 12/18/07
BioMed Realty Trust Inc MD 5.02,9.01 12/12/07
BIOMIMETIC THERAPEUTICS, INC. DE 1.01,8.01,9.01 12/13/07
BJs RESTAURANTS INC CA 8.01,9.01 12/12/07
BJS WHOLESALE CLUB INC DE 5.03,9.01 12/13/07
BLONDER TONGUE LABORATORIES INC DE 7.01,9.01 12/14/07
BLUEFIRE ETHANOL FUELS INC NV 1.01,3.02,9.01 12/14/07
BLYTH INC DE 5.02,9.01 12/13/07
BNCCORP INC DE 5.03,9.01 12/13/07
BOE FINANCIAL SERVICES OF VIRGINIA IN VA 1.01,9.01 12/13/07
BOISE CASCADE HOLDINGS, L.L.C. DE 5.02,9.01 12/12/07
BRIDGE BANCORP INC NY 5.03,8.01,9.01 12/17/07
BRIGHAM EXPLORATION CO DE 5.02,9.01 12/13/07
BUILDING MATERIALS HOLDING CORP DE 1.01,9.01 12/17/07
CALIPER LIFE SCIENCES INC DE 1.01 12/18/07
CARDIODYNAMICS INTERNATIONAL CORP CA 5.03,9.01 12/15/07
CASTLE A M & CO MD 5.02 12/13/07
CENTENE CORP 5.02,9.01 12/12/07
Centro NP LLC MD 1.01,9.01 12/16/07
CHEROKEE INC DE 8.01,9.01 12/18/07
CHEROKEE INTERNATIONAL CORP DE 5.02 12/13/07
CHESAPEAKE CORP /VA/ VA 7.01,9.01 12/18/07
CHESAPEAKE UTILITIES CORP DE 5.03,9.01 12/12/07
CHINA BROADBAND INC 7.01,9.01 12/17/07
China Shuangji Cement Ltd. CA 4.01,9.01 12/18/07
China Shuangji Cement Ltd. CA 4.01,9.01 12/18/07 AMEND
CHOICE HOTELS INTERNATIONAL INC /DE DE 7.01,9.01 12/18/07
CIRCOR INTERNATIONAL INC DE 5.02 12/17/07
CITIZENS FINANCIAL CORP/DE/ DE 5.02,9.01 12/12/07
CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 12/17/07
CNH Equipment Trust 2007-C DE 1.01,9.01 12/13/07
COMMUNICATE COM INC NV 1.01,5.02,9.01 12/18/07
COMPOSITE TECHNOLOGY CORP NV 3.02,5.03,9.01 12/12/07
CONCHO RESOURCES INC DE 1.01,9.01 12/13/07
CONNS INC DE 5.03,9.01 12/18/07
CONSTELLATION BRANDS, INC. DE 7.01,8.01,9.01 12/17/07
CONSTITUTION MINING CORP NV 1.01,9.01 12/12/07
Copano Energy, L.L.C. DE 5.02,9.01 12/12/07
CORNELL COMPANIES INC DE 5.02,9.01 12/13/07
Cornerstone Core Properties REIT, Inc MD 2.01,9.01 10/02/07 AMEND
COSI INC DE 5.02,9.01 12/12/07
Cougar Biotechnology, Inc. 1.01,3.02,9.01 12/14/07
COVENTRY HEALTH CARE INC DE 5.02,9.01 12/12/07
CREDO PETROLEUM CORP CO 8.01,9.01 12/17/07
CROWN MEDIA HOLDINGS INC DE 5.02 12/12/07
CSB BANCORP INC /OH OH 2.02,9.01 12/18/07
CSK AUTO CORP DE 2.02,7.01,9.01 12/18/07
CTS CORP IN 7.01,9.01 12/18/07
CWALT INC DE 9.01 12/18/07
CYCLE COUNTRY ACCESSORIES CORP NV 2.02,9.01 12/17/07
CYTRX CORP DE 5.03,9.01 12/17/07
DAKTRONICS INC /SD/ SD 8.01,9.01 12/18/07
DARDEN RESTAURANTS INC FL 2.02,9.01 12/18/07
DAYBREAK OIL & GAS INC WA 5.02,9.01 12/14/07
DCI USA, INC DE 1.01,9.01 11/28/07
DEBT RESOLVE INC DE 1.01,3.02,9.01 12/13/07
Deerfield Triarc Capital Corp MD 7.01,8.01,9.01 12/18/07
Deerfield Triarc Capital Corp MD 7.01,8.01,9.01 12/18/07
Deja Foods Inc 1.03,3.02 12/14/07
Discover Card Execution Note Trust DE 1.01,9.01 12/18/07
DISTRIBUTED ENERGY SYSTEMS CORP DE 5.02,9.01 12/17/07
Dividend Capital Total Realty Trust I MD 5.02,9.01 12/12/07
Domtar CORP DE 2.05,9.01 12/13/07
DUNE ENERGY INC DE 8.01 12/14/07
DURECT CORP DE 8.01,9.01 12/18/07
ECOLOCAP SOLUTIONS INC. NV 1.01,7.01,9.01 12/18/07
EDO CORP NY 8.01,9.01 12/18/07
Elixir Gaming Technologies, Inc. NV 3.02 12/18/07
ELOYALTY CORP DE 2.02,9.01 12/18/07
Embarq CORP DE 1.01,5.02,7.01,9.01 12/17/07
EMERGENT GROUP INC/NY NV 7.01,8.01,9.01 12/18/07
EMERGING VISION INC NY 8.01 12/13/07
Endeavor Acquisition Corp. DE 2.01,2.02,3.02,3.03,5.02,5.03, 12/12/07
5.06,9.01
ENERGYSOUTH INC AL 5.02,9.01 12/14/07
ENVIRONMENTAL TECTONICS CORP PA 1.01 12/12/07
eTelecare Global Solutions, Inc. 5.02 12/12/07
Ever-Glory International Group, Inc. FL 4.01,9.01 12/12/07
EXELIXIS INC DE 8.01 12/14/07
Exobox Technologies Corp. NV 8.01 12/18/07
EYE CARE CENTERS OF AMERICA INC TX 5.02 12/18/07
EYI INDUSTRIES INC. 1.01 12/05/07
FACTSET RESEARCH SYSTEMS INC DE 2.02,9.01 12/18/07
FBR CAPITAL MARKETS CORP VA 5.02,8.01,9.01 12/12/07
FBR CAPITAL MARKETS CORP VA 5.02,8.01,9.01 12/12/07 AMEND
Federal Home Loan Bank of Atlanta X1 2.03 12/12/07
Federal Home Loan Bank of Boston X1 2.03 12/13/07
Federal Home Loan Bank of Chicago X1 2.03 12/12/07
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/12/07
Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/12/07
Federal Home Loan Bank of New York X1 2.03,9.01 12/12/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/12/07
Federal Home Loan Bank of San Francis X1 2.03 12/12/07
Federal Home Loan Bank of Seattle 2.03 12/17/07
Federal Home Loan Bank of Topeka 2.03 12/14/07
Feldman Mall Properties, Inc. MD 3.02,9.01 12/17/07
FIFTH THIRD BANCORP OH 7.01,9.01 12/18/07
FIRST AMERICAN CORP CA 1.01,9.01 12/13/07
FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 12/14/07
FIRST M&F CORP/MS MS 8.01,9.01 12/18/07
FIRST MARINER BANCORP MD 5.03,9.01 11/27/07
FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02 12/18/07
FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01 12/18/07
FIRST SECURITY GROUP INC/TN TN 4.02,9.01 12/12/07
FIRST SOLAR, INC. DE 5.02,9.01 12/17/07
FORGENT NETWORKS INC DE 9.01 12/17/07
FOUR OAKS FINCORP INC NC 8.01 12/17/07
FREEDOM FINANCIAL HOLDINGS INC MD 1.02,5.02 12/17/07
FreightCar America, Inc. DE 2.05,2.06,8.01,9.01 12/18/07
FRIEDMAN INDUSTRIES INC TX 4.01,9.01 12/13/07
FSI INTERNATIONAL INC MN 2.02,9.01 12/18/07
GALAXY ENERGY CORP CO 2.03,9.01 12/14/07
GAMEZNFLIX INC NV 5.02,5.03,9.01 12/11/07
GD Conference Center, Inc DE 2.01,5.02 12/17/07
GEMINI EXPLORATIONS, INC. NV 4.02 12/07/07
GENCOR INDUSTRIES INC DE 2.02,9.01 12/18/07
GENCOR INDUSTRIES INC DE 5.03 12/13/07
GENE LOGIC INC DE 1.01,2.01,9.01 12/12/07
General Moly, Inc ID 8.01,9.01 12/18/07
Global Brands Acquisition Corp. DE 8.01,9.01 12/12/07
GLOBAL GREEN SOLUTIONS INC. 7.01,9.01 12/18/07
Golden West Brewing Company, Inc. CA 2.03,9.01 12/11/07
GOLDMAN SACHS GROUP INC/ DE 2.02,8.01,9.01 12/18/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 12/14/07
GRANT PRIDECO INC DE 1.01,8.01,9.01 12/16/07 AMEND
GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.01,3.02,9.01 12/12/07
GreenHunter Energy, Inc. DE 5.02,9.01 12/12/07
GRILL CONCEPTS INC DE 5.03,9.01 12/12/07
Grubb & Ellis Healthcare REIT, Inc. MD 1.01,2.03,7.01,9.01 12/12/07
GRYPHON GOLD CORP NV 3.02,7.01,9.01 12/14/07
GTX INC /DE/ DE 3.02,9.01 12/18/07
HALLIBURTON CO DE 5.02 12/12/07
HANOVER INSURANCE GROUP, INC. DE 3.03 12/17/07
HARVEST NATURAL RESOURCES, INC. DE 8.01 12/13/07
HECLA MINING CO/DE/ DE 8.01,9.01 12/18/07
HELMERICH & PAYNE INC DE 1.01,9.01 12/17/07
HEMCURE INC NV 1.01,9.01 12/12/07
HI/FN INC DE 5.02 12/13/07
Highland Distressed Opportunities, In 7.01,9.01 12/18/07
Hilltop Holdings Inc. MD 8.01,9.01 12/14/07
HSW International, Inc. DE 1.01,1.02,5.02,5.03,8.01,9.01 12/13/07
HUSKER AG LLC NE 2.03,8.01,9.01 12/12/07
IBIS TECHNOLOGY CORP MA 5.02,9.01 12/04/07 AMEND
IBT BANCORP INC PA 1.01,7.01,9.01 12/17/07
ICAD INC DE 7.01 12/14/07
IMPLANT SCIENCES CORP MA 5.03 12/12/07
INSPIRE PHARMACEUTICALS INC DE 2.03 12/18/07
INSPIRE PHARMACEUTICALS INC DE 5.03,9.01 12/18/07
INTEGRATED ELECTRICAL SERVICES INC DE 5.02 12/18/07
INTERNAP NETWORK SERVICES CORP DE 5.02 12/13/07
International Fight League, Inc. DE 1.01,5.02,9.01 12/17/07
ION GEOPHYSICAL CORP DE 7.01 12/18/07
IPG PHOTONICS CORP DE 8.01 12/03/07
ITT CORP IN 5.02,9.01 12/18/07
J P MORGAN CHASE & CO DE 9.01 12/14/07
JACOBS FINANCIAL GROUP, INC. DE 1.01,9.01 12/14/07
JAVELIN PHARMACEUTICALS, INC DE 5.03,9.01 12/17/07
JOURNAL REGISTER CO DE 5.02 12/13/07
K TRON INTERNATIONAL INC NJ 5.03,9.01 12/17/07
KBR, INC. DE 8.01,9.01 12/17/07
KEMET CORP DE 8.01,9.01 12/13/07
KNBT BANCORP INC PA 8.01,9.01 12/17/07
Kraton Polymers LLC DE 1.01,1.02 12/18/07
KUSHNER LOCKE CO CA 8.01,9.01 12/14/07
LAM RESEARCH CORP DE 5.03,9.01 12/12/07
LANDEC CORP \CA\ CA 5.03,9.01 12/17/07
LASALLE HOTEL PROPERTIES MD 5.02 12/17/07
LCC INTERNATIONAL INC DE 4.01 12/12/07 AMEND
Legacy Bancorp, Inc. DE 8.01,9.01 12/18/07
LEGGETT & PLATT INC MO 5.02,9.01 12/17/07
LENNOX INTERNATIONAL INC DE 1.01,9.01 12/13/07
LIGHTPATH TECHNOLOGIES INC DE 8.01,9.01 12/18/07
LIME ENERGY CO. DE 1.01,9.01 12/17/07
LIXTE BIOTECHNOLOGY HOLDINGS, INC. 3.02,8.01,9.01 12/12/07
LTV CORP DE 8.01,9.01 12/18/07
MACATAWA BANK CORP MI 2.06,9.01 12/17/07
MACROVISION CORP DE 1.01,3.02,9.01 11/17/07 AMEND
Macy's, Inc. DE 5.02,9.01 12/12/07
MANAS PETROLEUM CORP 1.01 12/18/07
MAPLE MOUNTAIN EXPLORATIONS INC. NV 1.01,2.01,3.02,5.01,5.02,5.03, 12/12/07
9.01
MARTIN MIDSTREAM PARTNERS LP DE 8.01,9.01 12/18/07
MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 12/18/07
MATRITECH INC/DE/ DE 1.01,1.02,2.01,2.05,3.01,3.03, 12/12/07
5.02,5.03,9.01
MAX & ERMAS RESTAURANTS INC DE 3.01,9.01 12/13/07
MAXUS REALTY TRUST INC. 8.01 12/12/07
MB FINANCIAL INC /MD MD 5.02,9.01 12/14/07
MEDASSETS INC 8.01,9.01 12/18/07
MEDecision, Inc. PA 1.01,9.01 12/12/07
MERCER INTERNATIONAL INC. WA 7.01,9.01 12/18/07
MERCK & CO INC NJ 5.02,9.01 12/18/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 10/31/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 11/30/07
Morningstar, Inc. IL 8.01,9.01 12/17/07
Myriad Entertainment & Resorts, Inc. 5.02 12/18/07
NANO PROPRIETARY INC TX 5.03,9.01 12/12/07
NANO PROPRIETARY INC TX 8.01,9.01 12/12/07
NATIONAL CITY CORP DE 5.02,9.01 12/18/07
NATIONAL OILWELL VARCO INC DE 1.01,8.01,9.01 12/16/07
NATURE VISION, INC. MN 5.02,8.01,9.01 12/12/07
NAVIGATORS GROUP INC DE 8.01 12/18/07
NAVISITE INC DE 1.01,3.02,5.02,9.01 12/12/07
NAVISTAR INTERNATIONAL CORP DE 2.02,9.01 12/16/07
NB&T FINANCIAL GROUP INC OH 8.01 12/18/07
NEOMAGIC CORP DE 3.01,9.01 12/12/07
NESTOR INC DE 5.02,5.03,5.05,8.01,9.01 12/18/07
NEUROCRINE BIOSCIENCES INC CA 2.05,8.01,9.01 12/12/07
NEUTRON ENTERPRISES INC NV 1.01,3.02,5.02,9.01 12/12/07
NEWBRIDGE BANCORP NC 5.02,9.01 12/17/07
NORDSON CORP OH 2.02,9.01 12/18/07
NORTEL NETWORKS CORP 1.01,9.01 12/18/07
NORTEL NETWORKS LTD 1.01,9.01 12/18/07
NOVACEA INC DE 5.02,7.01,9.01 12/12/07
NOVAMERICAN STEEL INC. DE 3.01,9.01 12/18/07
ODYSSEY MARINE EXPLORATION INC NV 1.01,3.02,5.03,9.01 12/17/07
OFFICE DEPOT INC DE 7.01,9.01 12/18/07
OGE ENERGY CORP OK 8.01,9.01 12/18/07
OIL STATES INTERNATIONAL, INC DE 1.01,9.01 12/13/07
Oilsands Quest Inc 8.01,9.01 12/17/07
OKLAHOMA GAS & ELECTRIC CO OK 8.01,9.01 12/18/07
Omagine, Inc. DE 7.01 12/18/07
OPNEXT INC 5.02,9.01 12/12/07
Orbitz Worldwide, Inc. DE 1.01,5.02,9.01 12/13/07
Outback Energy CORP NV 5.02 12/12/07
OUTDOOR CHANNEL HOLDINGS INC 1.01,5.02,9.01 12/14/07
Pacific Copper Corp. DE 8.01,9.01 12/17/07
PACKETEER INC DE 5.02 12/12/07
PALM INC DE 2.02,9.01 12/18/07
PAULSON CAPITAL CORP OR 5.03,9.01 12/17/07
PAULSON CAPITAL CORP OR 8.01,9.01 12/18/07
PEP BOYS MANNY MOE & JACK PA 2.02,9.01 11/27/07 AMEND
PERMA FIX ENVIRONMENTAL SERVICES INC DE 8.01 12/12/07
PHARMACOPEIA INC DE 5.03,9.01 12/17/07
PHARMOS CORP NV 5.02,9.01 12/12/07
PHI INC LA 5.03,9.01 12/13/07
PHYTOMEDICAL TECHNOLOGIES INC NV 1.02 12/13/07
Piedmont Office Realty Trust, Inc. MD 8.01 12/13/07
PIONEER NATURAL RESOURCES CO DE 5.02 12/07/07
POINT THERAPEUTICS INC DE 1.01,9.01 12/14/07
Premiere Publishing Group, Inc. NY 5.02,5.03,9.01 12/14/07
PRICE T ROWE GROUP INC MD 5.03,9.01 12/13/07
PROSPECT CAPITAL CORP MD 8.01,9.01 12/18/07
PVF CAPITAL CORP OH 8.01,9.01 12/17/07
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 12/18/07
Quicksilver Gas Services LP DE 8.01,9.01 12/17/07
QUICKSILVER RESOURCES INC DE 8.01,9.01 12/17/07
R H DONNELLEY CORP DE 5.03,9.01 12/13/07
RAVEN INDUSTRIES INC SD 5.02,9.01 12/17/07
RECLAMATION CONSULTING & APPLICATIONS CO 1.01,2.03,3.02,9.01 12/12/07
REXAHN PHARMACEUTICALS, INC. DE 1.01,3.02,9.01 12/17/07
Rockville Financial Inc. 5.02,9.01 12/12/07
ROO GROUP INC DE 5.02,9.01 12/17/07
RR Donnelley & Sons Co DE 5.03,9.01 12/13/07
RTW INC /MN/ MN 8.01,9.01 12/17/07
S&T BANCORP INC PA 8.01 12/17/07
SAFECO CORP WA 5.03,8.01,9.01 12/14/07
SAMOYED ENERGY CORP 5.03,9.01 12/18/07
SCHAWK INC DE 5.03,9.01 12/12/07
SCHULMAN A INC DE 5.02,9.01 12/17/07
SCHWAB CHARLES CORP DE 5.03,9.01 12/12/07
SCIENTIFIC ENERGY INC UT 8.01 12/17/07
SCO GROUP INC DE 5.02 12/12/07
Secure America Acquisition CORP DE 5.03,9.01 12/12/07
SENESCO TECHNOLOGIES INC DE 5.02 12/13/07
SEQUIAM CORP CA 7.01,9.01 12/18/07
Shire plc 8.01,9.01 12/17/07
SINCLAIR BROADCAST GROUP INC MD 7.01,9.01 12/17/07
SKYTERRA COMMUNICATIONS INC DE 1.01,2.03,3.02,8.01,9.01 12/15/07
SOLAR ENERTECH CORP NV 8.01 12/14/07
SOMANETICS CORP MI 5.02,9.01 12/17/07
SOUTHERN CO DE 8.01 12/18/07
SOUTHWESTERN ENERGY CO DE 5.02 12/13/07
SPARTECH CORP DE 2.02,9.01 12/17/07
Star Resorts Development Inc. NV 5.02 12/14/07
Star Resorts Development Inc. NV 3.02,9.01 12/14/07
STAR SCIENTIFIC INC DE 5.03,8.01,9.01 12/14/07
StarVox Communications, Inc. /DE/ DE 1.01,5.02,9.01 11/21/07
StarVox Communications, Inc. /DE/ DE 1.01,2.03,3.02,9.01 12/12/07
Sterling Banks, Inc. NJ 5.02 11/27/07
SUMMIT FINANCIAL SERVICES GROUP INC FL 1.01,9.01 12/12/07
SUTOR TECHNOLOGY 8.01,9.01 12/12/07
SVI Media, Inc. NV 1.01,5.02 12/12/07
SYNOVUS FINANCIAL CORP GA 7.01,9.01 12/17/07
TAKE TWO INTERACTIVE SOFTWARE INC DE 2.02,9.01 12/18/07
TASTY BAKING CO PA 5.03,9.01 12/17/07
TECHNOLOGY RESEARCH CORP FL 5.02,9.01 12/18/07
TECO ENERGY INC FL 8.01,9.01 12/17/07
TEKNI PLEX INC DE 5.02 11/26/07 AMEND
TENNECO INC DE 5.02,9.01 12/12/07
Tennessee Valley Authority 4.01 09/27/07 AMEND
TEREX CORP DE 8.01,9.01 12/17/07
TETON ENERGY CORP DE 8.01,9.01 12/18/07
TFS Financial CORP DE 2.02,9.01 12/18/07
TITAN INTERNATIONAL INC IL 7.01,9.01 12/18/07
TITAN INTERNATIONAL INC IL 7.01,9.01 12/18/07
TODD SHIPYARDS CORP WA 8.01 12/17/07
TORCH ENERGY ROYALTY TRUST DE 8.01 12/17/07
TOTAL SYSTEM SERVICES INC GA 8.01,9.01 12/18/07
TOUSA INC DE 1.01,9.01 12/14/07
TOWERSTREAM CORP DE 5.02,8.01,9.01 12/18/07
TRANSAX INTERNATIONAL LTD 1.02,9.01 12/14/07
Tremisis Energy Acquisition CORP II DE 8.01,9.01 12/12/07
TRIARC COMPANIES INC DE 7.01,9.01 12/18/07
TRINITY INDUSTRIES INC DE 5.02,5.03,8.01,9.01 12/12/07
TRIPLE A MEDICAL, INC. NV 8.01,9.01 12/18/07
Tropicana Entertainment, LLC DE 8.01,9.01 12/18/07
TSR INC DE 9.01 12/17/07
TUESDAY MORNING CORP/DE DE 2.02,9.01 12/18/07
TWL CORP UT 1.01,3.03,5.03,8.01,9.01 12/12/07
U.S. Helicopter CORP DE 5.02 12/04/07 AMEND
United Refining Energy Corp DE 8.01,9.01 12/17/07
Unum Group DE 1.01,2.03,8.01,9.01 12/13/07
UOMO Media Inc. NV 1.01,9.01 12/13/07
URSTADT BIDDLE PROPERTIES INC MD 5.03 12/12/07
VALASSIS COMMUNICATIONS INC DE 8.01,9.01 12/18/07
VALASSIS COMMUNICATIONS INC DE 7.01,9.01 12/18/07 AMEND
VALEANT PHARMACEUTICALS INTERNATIONAL DE 5.02 12/13/07
VASCO DATA SECURITY INTERNATIONAL INC DE 5.03,9.01 12/12/07
VELCERA, INC. DE 8.01 12/13/07
VERAMARK TECHNOLOGIES INC DE 1.01 12/17/07
VIEWPOINT CORP DE 5.03,8.01,9.01 12/13/07
VIRGIN MEDIA INC. DE 5.02,8.01,9.01 12/18/07
VOXWARE INC DE 5.02,8.01 12/13/07
Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 03/28/07 AMEND
WACHOVIA CORP NEW NC 5.02 12/18/07
WALKER FINANCIAL CORP DE 1.01,1.02,9.01 12/12/07
WESTERN ASSET MANAGED MUNICIPALS FUND 8.01 11/19/07 AMEND
WESTLAKE CHEMICAL CORP 1.01,2.03,9.01 12/13/07
WEYERHAEUSER CO WA 5.02,9.01 12/12/07
WGL HOLDINGS INC VA 8.01 12/13/07
Whitestone REIT TX 7.01,9.01 12/11/07
WIND ENERGY AMERICA INC. MN 1.01,9.01 12/12/07
WITel Corp. NV 4.02,9.01 12/13/07
WITS BASIN PRECIOUS MINERALS INC MN 1.01,9.01 12/12/07
WOLVERINE WORLD WIDE INC /DE/ MI 5.02 12/12/07
XEDAR CORP CO 1.01,2.03,9.01 12/10/07
YUM BRANDS INC NC 5.02,9.01 12/17/07
ZAP CA 4.01,9.01 12/10/07
ZIOPHARM ONCOLOGY INC 5.02,9.01 12/12/07
ZIX CORP TX 8.01 12/18/07
Znomics, Inc. NV 4.01,5.03 12/07/07 AMEND
http://www.sec.gov/news/digest/2007/dig121907.htm
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