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SEC NEWS DIGEST
Issue 2007-248 December 28, 2007
ENFORCEMENT PROCEEDINGS
IN THE MATTER OF MICHAEL J. PIETRZAK, ESQ.
On December 27, the Commission issued an Order Instituting
Administrative Proceedings and Imposing Temporary Suspension Pursuant
to Rule 102(e)(3) of the Commission's Rules of Practice (Order)
against Michael J. Pietrzak, Esq. The Order finds that a court of
competent jurisdiction has found that Pietrzak violated the federal
securities laws, and has permanently enjoined him from further
violations.
Based on the above, the Order temporarily suspends Pietrzak from
appearing or practicing before the Commission. If Pietrzak does not
petition to lift that suspension within thirty days after service of
the Order, the suspension will become permanent pursuant to Rule
102(e)(3)(ii) of the Commission's Rules of Practice. (Rel. 34-57051;
File No. 3-12913)
IN THE MATTER OF RICHARD E. SELLERS, CPA AND LESTER REX ANDERSEN, CPA
On December 27, the Commission issued an Order Making Findings and
Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to
Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule
102(e) of the Commission's Rules of Practice (Order) against Richard
E. Sellers (Sellers) and Lester Rex Andersen (Andersen).
The Order finds that Sellers and Andersen knowingly caused their
accounting firm, Sellers & Andersen, LLC (S&A), to prepare and issue
audit reports on the financial statements of five reporting companies
after Oct. 22, 2003, without first registering S&A with the Public
Company Accounting Oversight Board (Board). The Order finds that, by
their conduct, Sellers and Andersen lacked the requisite
qualifications to represent others and willfully aided and abetted and
caused S&A's violations of Section 102(a) of the Sarbanes Oxley Act.
Based on the above, the Order directs that Sellers and Andersen cease
and desist from committing or causing any violations and any future
violations of Section 102(a) of the Sarbanes Oxley Act; that they be
censured pursuant to Sections 4C(a)(1) and (3) of the Exchange Act and
Rules 102(e)(1)(i) and (iii) of the Commission's Rules of Practice;
that each of them may practice before the Commission as an independent
accountant, provided that the public accounting firm with which each
is associated is registered with the Board and he has submitted to the
Commission staff the Board's letter notifying that firm that its
registration application has been approved; and that they jointly and
severally, within 20 days of the entry of the Order, pay disgorgement
of $7,615 to the United States Treasury. Sellers and Andersen
consented to the issuance of the Order without admitting or denying
any of the findings. (Rel. 34-57053; AAE Rel. 2761; File No. 3-12797)
IN THE MATTER OF DAVID W. KNALL
On December 27, the Commission issued an Order Instituting
Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act
of 1940, Making Findings, and Imposing Remedial Sanctions (Order)
against David W. Knall. The Order finds that Knall is associated with
a broker-dealer and an investment adviser registered with the
Commission. On December 12, 2007, a final judgment was entered by
consent against Knall, permanently enjoining him from future
violations of Section 14(e) of the Exchange Act and Rule 14e-3
thereunder, in the civil action entitled SEC v. David W. Knall, No.
1:07-cv-1562, in the United States District Court for the Southern
District of Indiana. The Commission's complaint alleged that Knall
traded while in possession of material nonpublic information relating
to Dick's Sporting Goods, Inc. intention to acquire Galyan's Trading
Company, Inc. via a tender offer.
Based on the above, the Order suspends Knall from association with any
broker, dealer, or investment adviser for a period of twelve months.
Knall consented to the issuance of the Order without admitting or
denying any of the allegations in the civil injunctive action. (Rels.
34-57055; IA-2688; File No. 3-12914)
IN THE MATTER OF NATIONAL INVESTMENT ADVISORS, INC. AND DOUGLAS A.
JIMERSON
On December 27, 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 21C of the Securities Exchange Act of 1934 and Sections
203(e), 203(f), and 203(k) of the Investment Advisors Act of 1940
(Order) against National Investment Advisors, Inc. (NIA) and its
principal, Douglas A. Jimerson (Jimerson). The Order finds that from
2002 to 2005, NIA and Jimerson offered three investment programs that
purported to guarantee investors against loss of principal if they
kept their assets under NIA's management for a fixed period of time.
In actuality, each "insured" management program either lacked the
appropriate insurance, or lacked insurance entirely, to protect
investors against loss of principal. In the first version of the
program, Jimerson failed to acquire any insurance whatsoever to
support NIA's insured management program. In the following two
versions, Jimerson acquired errors and omissions insurance and falsely
marketed those policies as being able to protect investors against a
loss of principal. Additionally, NIA, which was managed by Jimerson at
all relevant times, failed to disclose to its clients material
information regarding its precarious financial condition and did not
maintain certain books and records required under the Investment
Advisers Act of 1940.
Based on the above, the Order requires NIA and Jimerson to cease and
desist from committing or causing any violations and any future
violations of Section 10(b) of the Securities Exchange Act of 1934 and
Rule 10b-5 thereunder, and Sections 204, 206(1), 206(2), 206(4), and
207 of the Investment Advisers Act of 1940 and Rules 204-1, 204-2,
206(4)-1, and 206(4)-4 thereunder; revokes NIA's registration as an
investment adviser; and bars Jimerson from association with any
investment adviser. NIA and Jimerson consented to the issuance of the
Order without admitting or denying any of the findings in the Order.
(Rels. 34-57056; IA-2689; File No. 3-12915)
SEC v. NAVIGATORS INTERNATIONAL MANAGEMENT CO., LTD., JAMES R. SPURGER
AND BENJAMIN W. YOUNG, JR.
The Commission announced that on December 26 it filed a civil action
in U.S. District Court for the Southern District of Texas, charging
Navigators International Management Co., Ltd. (Navigators), James R.
Spurger and Benjamin W. Young, Jr. with securities fraud, conducting
unregistered securities offerings and acting as unregistered broker-
dealers.
The Commission's complaint alleges that Navigators, a Bahamian
company, through its U.S. citizen principals Spurger and Young,
orchestrated two fraudulent securities offerings. The complaint also
claims that Navigators, through Spurger and Young, is conducting an
ongoing offering of unregistered securities.
According to the complaint, in late 2005, Navigators, Spurger and
Young solicited investors to participate in an unregistered and
fraudulent bond funding program whereby over $1 million was raised
from investors and pooled to purchase a bond. The bond was to be used
to secure a larger line of credit, which investors were told would
fund the repayment of their principal and provide large returns.
However, the bond that was purchased turned out to be a counterfeit,
and the investors have not received any of the promised profits or
return of principal.
The complaint also alleges that in the summer of 2007, Navigators
offered stock in an unaffiliated company through the Internet. This
offering was not registered and included material misrepresentations
about the issuer's current and future business contracts. The
complaint further alleges that Navigators is conducting an ongoing
unregistered offering through the sale ZCASH electronic tokens.
Navigators promises purchasers exorbitant returns and rebates when
ZCASH is used to purchase various items on a Navigators-controlled
website.
The Commission's complaint alleges that one or more of the defendants
acted as unregistered brokers in each of these three offerings and
that they violated Sections 5(a), 5(c) and 17(a) of the Securities Act
of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of
1934 and Rule 10b-5 thereunder. The Commission seeks a judgment
permanently enjoining the defendants from violating these provisions
of the securities laws and ordering all three to pay civil penalties
and provide an accounting of, and disgorge, ill-gotten gains with
prejudgment interest. [SEC v. Navigators International Management Co.,
Ltd., James R. Spurger and Benjamin W. Young, Jr., Case No. 4:07-cv-
04518 (S.D. Texas)] (LR-20416)
COURT ENTERS FINAL JUDGMENT AGAINST FORMER RESTAURANT COMPANY
EXECUTIVES
On December 21, the U.S. District Court for the District of Minnesota
entered Final Judgments against Greg A. Gadel (Gadel), the former
Chief Financial Officer, and Daniel J. Skrypek (Skrypek), the former
Controller, of Buca, Inc. (Buca), the corporate parent of the Buca di
Beppo national restaurant chain. The Final Judgments, entered pursuant
to Gadel's and Skrypek's consents, permanently enjoin them from
violating the antifraud, proxy, reporting, internal controls and books
and records provisions of the federal securities laws. The Final
Judgment against Gadel also bars him from acting as an officer or
director of a public company. The Final Judgment against Skrypek also
orders him to pay a $50,000 civil penalty and bars him from acting as
an officer or director of a public company for five years.
The Commission's complaint, filed on June 7, 2006, alleged that, from
2000 to 2003, Gadel received approximately $96,630 in undisclosed
compensation, including reimbursements that he obtained from Buca for
family vacations and visits to strip clubs. Skrypek approved Gadel's
improper reimbursement requests and both Gadel and Skrypek approved
improper reimbursement requests for Buca's former CEO resulting in
over $849,000 in undisclosed compensation to the former CEO. The
complaint further alleged that Gadel and Skrypek knew of and failed to
ensure disclosure of a series of related party transactions totaling
more than $1 million between Buca and an information technology
company of which Gadel was a director and shareholder. Finally, the
Commission's complaint alleged that Gadel directed and Skrypek
participated in a course of conduct whereby Buca inflated its income
by nearly $12 million from 2000 to 2004 through the improper
capitalization of numerous expenses. The financial fraud alleged in
the complaint caused Buca to overstate its annual income in amounts
ranging from 18.8% to 36.9%.
In June 2006, the Commission filed a settled injunctive action against
Buca's former CEO and the complaint against Gadel and Skrypek. See
Litigation Release numbers 19719 and 19720 (June 7, 2006). On Sept.
27, 2007 the Commission filed a settled civil injunctive action
against Buca, Inc., relating to the same conduct. For further
information see Litigation Release number 20312 (Sept. 28, 2007). [SEC
v. Greg A. Gadel and Daniel J. Skrypek., Civil Action No. 06-CV-2320,
USDC Minnesota] (LR-20417)
INVESTMENT COMPANY ACT RELEASES
SEPARATE ACCOUNT VUL OF NATIONAL INTEGRITY LIFE INSURANCE CO.
An order has been issued on an application filed by Separate Account
VUL of National Integrity Life Insurance Co. declaring that it has
ceased to be an investment company. (Rel. IC-28103 - December 27)
SELECT TEN PLUS FUND, LLC
An order has been issued on an application filed by Select Ten Plus
Fund, LLC declaring that it has ceased to be an investment company.
(Rel. IC-28104 - December 27)
SEPARATE ACCOUNT AIA OF INTEGRITY LIFE INSURANCE COMPANY
An order has been issued on an application filed by Separate Account
AIA of Integrity Life Insurance Company declaring that it has ceased
to be an investment company. (Rel. IC-28105 - December 27)
SEPARATE ACCOUNT AII OF INTEGRITY LIFE INSURANCE COMPANY
An order has been issued on an application filed by Separate Account
AII of Integrity Life Insurance Company declaring that it has ceased
to be an investment company. (Rel. IC-28106 - December 27)
DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT
For the month of December, 2007, a notice has been issued giving
interested persons until Jan. 22, 2008, to request a hearing on any of
the following applications for an order under Section 8(f) of the
Investment Company Act declaring that the applicant has ceased to be
an investment company:
Franklin Federal Money Fund [File No. 811-3052]
Columbus Funds,Inc. [File No. 811-21463]
Granum Series Trust [File No. 811-8029]
CAMCO Investors Fund [File No. 811-8465]
FTI Funds [File No. 811-7369]
Prairie Fund [File No. 811-9931]
MetLife Investment Funds, Inc. [File No. 811-7450]
(Rel. IC-28084 - December 27)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-ISE-2007-073) filed by the International
Securities Exchange relating to amendments to certain rules in light
of amendments to Rule 10a-1 under the Securities Exchange Act of 1934
and Regulation SHO has become immediately effective under Section
19(b)(3)(A). Publication is expected in the Federal Register during
the week of December 24. (Rel. 34-57032)
A proposed rule change (SR-FINRA-2007-036) filed by the Financial
Industry Regulatory Authority to make technical amendments to the
Uniform Application for Securities Industry Registration or Transfer
(Form U4), the Uniform Termination Notice for Securities Industry
Registration (Form U5), and the Uniform Branch Office Form (Form BR)
has become effective under Section 19(b)(3)(A) of the Securities
Exchange Act of 1934. Publication is expected in the Federal Register
during the week of December 24. (Rel. 34-57033)
A proposed rule change (SR-FINRA-2007-037) filed by the Financial
Industry Regulatory Authority to delete the requirement that certain
confirmations and reports include the name of the securities market on
which a transaction is effected has become immediately effective under
Section 19(b)(3)(A) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
December 31. (Rel. 34-57045)
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change filed by the New York
Stock Exchange (SR-NYSE-2007-99) to permit issuers of index-linked
securities to submit a letter from the issuer's authorized executive
officer rather than provide a certified copy of the resolution
adopted by the issuers' board of directors, when the issuers are
voluntarily delisting the securities from the exchange and
transferring the listing to another national securities exchange,
pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
December 31. (Rel. 34-57041)
The Commission approved a proposed rule change (SR-CBOE-2007-130)
filed by the Chicago Board Options Exchange regarding a proposal to
amend CBOE Rule 4.20, codifying the Anti-Money Laundering Compliance
Program, to: (1) establish independent testing for compliance be
conducted at least annually by members with a public business, or
every two years if no public business is conducted; and (2) clarify
the persons designated to implement and monitor the Anti-Money
Laundering Compliance Program Rule. Publication is expected in the
Federal Register during the week of December 31. (Rel. 34-57044)
PROPOSED RULE CHANGE
The Commission issued notice of filing of a proposed rule change, as
modified by Amendments No. 1 and 2 thereto (SR-Amex-2007-70), filed by
the American Stock Exchange relating to the listing and trading of
units of the United States Heating Oil Fund, LP and the United States
Gasoline Fund, LP. Publication is expected in the Federal Register
during the week of December 31. (Rel. 34-57042)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
publicinfo@sec.gov. In most cases, this information is also available
on the Commission's website: www.sec.gov.
S-1 Dellacorte Acquisition Corp., 757 THIRD AVENUE, SUITE 202, NEW YORK,
NY, 10017, 212-413-0803 - 15,000,000 ($150,000,000.00) Equity,
(File 333-148348 - Dec. 27) (BR. 11)
S-4 WESTERN SIZZLIN CORP, 317 KIMBALL AVENUE NW, ROANOKE, VA, 24016,
5403453195 - 1,174,010 ($15,953,624.00) Equity, (File 333-148349 -
Dec. 27) (BR. 05C)
F-1 Endeavour International Acquisition Corp.,
C/O M&C CORPORATE SERVICES LIMITED, PO BOX 309GT, UGLAND HOUSE,
GRAND CAYMAN, E9, 11111, 212-683-5350 - 0 ($1,099,687,500.00) Other,
(File 333-148350 - Dec. 27) (BR. 01)
S-1 Grand Slam Acquisition Corp., 970 WEST BROADWAY, PMB 402, JACKSON, WY,
83001, 307-633-2831 - 0 ($1,099,687,500.00) Other, (File 333-148351 -
Dec. 27) (BR. 10B)
S-8 AIRMEDIA GROUP INC., 17/F, SKY PLAZA, NO.46 DONGZHIMENWAI ST.,
DONGCHENG DISTRICT, BEIJING, F4, 100027, (86-10) 8438-6868 -
0 ($55,598,050.00) ADRs/ADSs, (File 333-148352 - Dec. 27) (BR. )
S-8 YINGLI GREEN ENERGY HOLDING CO LTD, NO. 3055 MIDDLE FUXING ROAD,
BAODING, F4, 071051, (86 312) 3100-500 -
8,240,658 ($278,621,534.00) Equity, (File 333-148353 - Dec. 27)
(BR. 10C)
S-B CORPORACION ANDINA DE FOMENTO, TORRE CENTRAL,
AVENIDA LUIS ROCHE ALTAMIRA, CARACAS VENEZUELA, X5, 999999999,
0 ($500,000,000.00) Debt, (File 333-148354 - Dec. 27) (BR. DN)
S-8 VOLT INFORMATION SCIENCES, INC., 560 LEXINGTON AVENUE, NEW YORK, NY,
10022-2928, 2127042400 - 1,500,000 ($25,395,000.00) Equity,
(File 333-148355 - Dec. 27) (BR. 11B)
SB-2 Sidewinder Explorations Inc., 2791 CAMBRIDGE STREET, VANCOUVER, A1,
B5K 1L8, 604-254-7821 - 200,000 ($100,000.00) Equity,
(File 333-148356 - Dec. 27) (BR. )
S-8 MICRON TECHNOLOGY INC, 8000 S FEDERAL WAY, PO BOX 6, BOISE, ID,
83716-9632, 2083684000 - 30,000,000 ($234,750,000.00) Equity,
(File 333-148357 - Dec. 27) (BR. 10B)
S-8 Collexis Holdings, Inc., 1201 MAIN STREET, STE 980, COLUMBIA, SC,
29201, 803-727-1113 - 18,577,723 ($7,354,066.90) Equity,
(File 333-148359 - Dec. 27) (BR. 03A)
S-8 COMPETITIVE COMPANIES INC, 3751 MERCED DRIVE, SUITE A, RIVERSIDE, CA,
92503, 951-687-6100 - 520,000 ($27,300.00) Equity, (File 333-148360 -
Dec. 27) (BR. 11C)
S-8 FAR EAST ENERGY CORP, 363 NORTH SAM HOUSTON PKWY, SUITE 380, HOUSTON,
TX, 77060, 832-598-0470 - 4,000,000 ($3,880,000.00) Equity,
(File 333-148361 - Dec. 27) (BR. 04C)
S-8 TOLL BROTHERS INC, 250 GIBRALTAR ROAD, HORSHAM, PA, 19044, 2159388000 -
715,967 ($14,641,525.15) Equity, (File 333-148362 - Dec. 27) (BR. 06A)
S-8 FAR EAST ENERGY CORP, 363 NORTH SAM HOUSTON PKWY, SUITE 380, HOUSTON,
TX, 77060, 832-598-0470 - 482,292 ($467,823.24) Equity,
(File 333-148363 - Dec. 27) (BR. 04C)
S-8 NETSCOUT SYSTEMS INC, 9786144000 - 5,000,000 ($63,159,358.00) Equity,
(File 333-148364 - Dec. 27) (BR. 03B)
F-3 CARBIZ INC, 7405 NORTH TAMIAMI TRAIL, SARASOTA, FL, 34243,
941-952-9255 - 0 ($1.00) Other, (File 333-148365 - Dec. 27) (BR. 03B)
SB-2 Grant Life Sciences, Inc., 1787 EAST FT. UNION BLVD., SUITE 202,
SALT LAKE CITY, UT, 84121, (801) 261-8736 - 0 ($684,210.52) Equity,
(File 333-148366 - Dec. 27) (BR. 01A)
S-1 Performance Acquisition Corp., 970 WEST BROADWAY, PMB 402, JACKSON, WY,
83001, (307) 633-2831 - 0 ($733,125,000.00) Other, (File 333-148367 -
Dec. 27) (BR. )
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
--------------------------------------------------------------------------------------------------------
8888 Acquisition CORP NV 8.01 12/27/07
ABINGTON BANCORP, INC./PA PA 5.02 12/26/07
AbitibiBowater Inc. DE 5.02 12/20/07
ABX AIR INC 1.01,2.03 12/19/07
ACROSS AMERICA REAL ESTATE CORP CO 1.01,2.03,9.01 12/21/07
ACTUATE CORP DE 1.01 12/24/07
Advance Nanotech, Inc. DE 1.01,2.03,3.02,8.01,9.01 12/18/07
ALANCO TECHNOLOGIES INC AZ 1.01,2.03,9.01 12/27/07
ALLIANCE BANKSHARES CORP 5.03,9.01 12/19/07
AMBAC FINANCIAL GROUP INC DE 7.01,9.01 12/20/07
American Casino & Entertainment Prope DE 5.02,9.01 12/19/07
AMERICAN DENTAL PARTNERS INC DE 1.01,8.01,9.01 12/26/07
AMERICAN HOMEPATIENT INC DE 5.02,9.01 12/21/07
AMERICAN TECHNOLOGY CORP /DE/ DE 1.01,5.02 12/19/07
AMERIGROUP CORP 8.01 12/27/07
AMPAL-AMERICAN ISRAEL CORP NY 1.01,9.01 12/27/07
Apple REIT Eight, Inc. VA 1.01 12/27/07
ARAMARK CORP DE 8.01,9.01 12/27/07
ARCH COAL INC DE 8.01,9.01 12/27/07
ASIAN FINANCIAL INC WY 5.02,9.01 12/20/07
AspenBio Pharma, Inc. CO 7.01,9.01 12/27/07
ASPYRA INC CA 5.02,9.01 11/15/07 AMEND
ASV INC /MN/ MN 7.01,9.01 12/27/07
ASYST TECHNOLOGIES INC CA 5.02 12/21/07
ATARI INC DE 3.01,9.01 12/21/07
ATC HEALTHCARE INC /DE/ DE 5.02 12/24/07
AVANIR PHARMACEUTICALS CA 5.02 12/19/07
AVATAR SYSTEMS INC TX 2.02,9.01 12/27/07
AVID TECHNOLOGY INC DE 5.02,9.01 12/21/07
AVITAR INC /DE/ DE 1.01,9.01 12/20/07
AVX CORP DE 5.02 12/25/07
BAKBONE SOFTWARE INC 8.01,9.01 12/17/07
BANK OF KENTUCKY FINANCIAL CORP KY 7.01,9.01 12/27/07
Bank of New York Mellon CORP 8.01,9.01 12/20/07
Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 12/27/07
BENCHMARK ELECTRONICS INC TX 1.01,2.03,9.01 12/21/07
BIOANALYTICAL SYSTEMS INC IN 1.01,9.01 12/18/07
Birmingham Bloomfield Bancshares MI 5.02 12/20/07
BLUEFLY INC DE 1.01,9.01 12/21/07
BNC BANCORP NC 5.02,9.01 12/18/07
BOK FINANCIAL CORP ET AL OK 2.03 12/27/07
BOWATER INC DE 5.02 12/20/07
Bradford Bancorp Inc /MD 8.01,9.01 12/27/07
BreitBurn Energy Partners L.P. DE 5.02,9.01 12/26/07
BSD MEDICAL CORP DE 7.01,9.01 12/27/07
CALIFORNIA COASTAL COMMUNITIES INC DE 7.01,9.01 12/27/07
CALPINE CORP DE 1.03,9.01 12/19/07
CANARGO ENERGY CORP DE 7.01,9.01 12/20/07
Cape Fear Bank CORP NC 5.02 12/20/07
CAPITAL GOLD CORP NV 5.02 12/20/07
CARPENTER TECHNOLOGY CORP DE 8.01,9.01 12/21/07
Cavit Sciences, Inc. 3.02 12/26/07
CELL THERAPEUTICS INC WA 1.01,7.01,9.01 12/20/07
Celsius Holdings, Inc. NV 1.01,3.02 12/19/07
CENTERLINE HOLDING CO DE 1.01,9.01 12/20/07
Chartwell International, Inc. NV 1.01,9.01 12/27/07
CHESAPEAKE ENERGY CORP OK 5.03,9.01 12/21/07
CHINA BROADBAND INC 7.01,8.01,9.01 12/20/07
China Housing & Land Development, Inc NV 9.01 12/27/07 AMEND
CHORDIANT SOFTWARE INC DE 1.01,2.02,9.01 12/21/07
CHRISTOPHER & BANKS CORP DE 2.02,9.01 12/27/07
CIPRICO INC DE 1.01,2.02,2.03,3.02,9.01 12/26/07
CITIZENS BANCORP OF VIRGINIA INC VA 8.01,9.01 12/27/07
CITIZENS FIRST BANCORP INC DE 5.02,9.01 12/20/07
CLARION TECHNOLOGIES INC/DE/ DE 5.02 11/30/07
CLEARWIRE CORP 5.02,7.01,9.01 12/23/07
COMMERCE GROUP INC /MA MA 5.02 12/25/07
COMSCORE, INC. DE 5.02 12/20/07
Con-way Inc. DE 1.01,2.03,9.01 12/27/07
CONCORD CAMERA CORP NJ 5.02,9.01 12/27/07
CONNECTICUT WATER SERVICE INC / CT CT 1.01,2.03 12/21/07
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.02 12/20/07
CONSOLIDATED RESOURCES HEALTH CARE FU GA 2.01,9.01 12/19/07
Constellation Energy Partners LLC DE 8.01 12/27/07
CONVERSION SERVICES INTERNATIONAL INC DE 5.03,9.01 12/20/07
COPYTELE INC DE 2.01,9.01 12/19/07
CORNERSTONE MINISTRIES INVESTMENTS IN GA 5.02 12/20/07
COVER ALL TECHNOLOGIES INC DE 5.02,9.01 12/26/07
CREDIT ACCEPTANCE CORPORATION MI 1.01,9.01 12/21/07
CULP INC NC 1.01,9.01 12/20/07
DANA CORP VA 1.01,1.03,8.01,9.01 12/26/07
DEEP WELL OIL & GAS INC NV 8.01 12/27/07
DIGITAL ANGEL CORP DE 3.02 12/20/07
DOCUMENT SCIENCES CORP DE 1.01,5.02,9.01 12/26/07
Double-Take Software, Inc. DE 7.01,9.01 12/26/07 AMEND
Duncan Energy Partners L.P. DE 5.03 12/27/07
EINSTEIN NOAH RESTAURANT GROUP INC DE 5.02,9.01 12/18/07
ELECTRONIC CONTROL SECURITY INC NJ 5.02,9.01 12/20/07
ELOYALTY CORP DE 1.01,9.01 12/26/07
EMISPHERE TECHNOLOGIES INC DE 8.01 12/21/07
ENCORE CAPITAL GROUP INC DE 1.01,9.01 12/27/07
EncryptaKey, Inc. NJ 1.01,5.02,9.01 11/16/07
ENSIGN GROUP, INC 1.01,9.01 12/21/07
Enterprise GP Holdings L.P. DE 5.03 12/27/07
ENTERPRISE PRODUCTS PARTNERS L P DE 5.03 12/27/07
ESCALON MEDICAL CORP PA 5.02 12/21/07
ESPEED INC DE 8.01,9.01 12/21/07
EVANS BOB FARMS INC DE 1.01,2.03,9.01 12/19/07
EVCI Career Colleges Holding Corp DE 2.05,2.06,5.02,9.01 12/14/07 AMEND
EXTREME NETWORKS INC DE 5.03,9.01 12/21/07
FAR EAST ENERGY CORP 1.01,5.02 12/19/07
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/24/07
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/24/07
Federal Home Loan Bank of San Francis X1 2.03 12/24/07
Federal Home Loan Bank of San Francis X1 7.01,9.01 12/27/07
Federal Home Loan Bank of Seattle 2.03 12/27/07
Federal Home Loan Bank of Topeka 2.03 12/24/07
FIELDPOINT PETROLEUM CORP CO 2.01,9.01 12/27/07
FIRST FARMERS & MERCHANTS CORP TN 9.01 12/27/07
First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 12/20/07
FIRST MARBLEHEAD CORP 1.01,3.02,3.03,5.03,8.01,9.01 12/21/07
FIVE STAR PRODUCTS INC DE 5.02,9.01 12/20/07
Fluid Media Networks, Inc. 2.01,9.01 10/17/07 AMEND
GENCOR INDUSTRIES INC DE 2.02,8.01,9.01 12/24/07
Genpact LTD D0 5.02,9.01 12/21/07
GLADSTONE COMMERCIAL CORP MD 1.01,9.01 12/21/07
Global Consumer Acquisition Corp. DE 8.01,9.01 12/27/07
GOLDEN STAR RESOURCES LTD 5.02,9.01 12/20/07
Granite Falls Energy, LLC MN 7.01,9.01 12/27/07
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 12/21/07
GreenHunter Energy, Inc. DE 1.01,9.01 12/20/07
Grubb & Ellis Healthcare REIT, Inc. MD 1.01,2.01,2.03,7.01,9.01 12/19/07
GUARANTY FEDERAL BANCSHARES INC DE 5.02,9.01 12/20/07
HANMI FINANCIAL CORP DE 5.02,9.01 12/27/07
HARLEYSVILLE NATIONAL CORP PA 1.01,7.01,9.01 12/27/07
HARRAHS ENTERTAINMENT INC DE 8.01,9.01 12/24/07
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 12/21/07
HEARTLAND EXPRESS INC NV 5.03,9.01 12/26/07
HEARTLAND, INC. MD 4.01 12/27/07 AMEND
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 12/27/07
HINES REAL ESTATE INVESTMENT TRUST IN 1.01,2.03,9.01 12/20/07
HUNGARIAN TELEPHONE & CABLE CORP DE 1.01,8.01,9.01 12/20/07
HuntMountain Resources WA 4.01,9.01 12/24/07
IA GLOBAL INC DE 1.01,9.01 12/20/07
IDERA PHARMACEUTICALS, INC. DE 5.02 12/20/07
ILX RESORTS INC AZ 8.01,9.01 12/27/07
India Globalization Capital, Inc. MD 1.01,2.03,3.02,9.01 12/19/07
IndyMac INDA Mortgage Loan Trust 2007 9.01 12/27/07
INSIGHT COMMUNICATIONS CO INC DE 5.02 12/20/07
iShares S&P GSCI Commodity-Indexed Tr DE 5.03,9.01 12/27/07
ITC DELTACOM INC DE 5.02 12/21/07
ITEX CORP NV 7.01,9.01 12/27/07
ITT CORP IN 8.01,9.01 12/21/07
J P MORGAN CHASE & CO DE 9.01 12/21/07
JABIL CIRCUIT INC DE 1.01,2.03,9.01 12/20/07
KEMET CORP DE 1.01 12/27/07
KINGS ROAD ENTERTAINMENT INC DE 1.01,8.01,9.01 12/05/07
LACROSSE FOOTWEAR INC WI 5.02,9.01 12/21/07
LIBERTY MEDIA CORP 5.02 12/24/07
LIPID SCIENCES INC/ AZ 3.01,9.01 12/21/07
LODGIAN INC DE 2.05,2.06,7.01,9.01 12/20/07
LOOKSMART LTD DE 5.02,9.01 12/20/07 AMEND
LUMINENT MORTGAGE CAPITAL INC 2.04,8.01 12/21/07
M & F WORLDWIDE CORP DE 5.03,9.01 12/26/07
MDC HOLDINGS INC DE 8.01 12/17/07 AMEND
MEDIFAST INC DE 3.01,9.01 12/26/07
MERRILL LYNCH & CO INC DE 3.02,9.01 12/24/07
MGI PHARMA INC MN 1.01,3.03,8.01,9.01 12/20/07
MIDDLEBURG FINANCIAL CORP VA 2.06 12/19/07
MITCHAM INDUSTRIES INC TX 8.01,9.01 12/21/07
Mittal Steel USA Inc. DE 8.01,9.01 12/07/07
MMC ENERGY, INC. DE 5.03,9.01 12/19/07
MONSTER WORLDWIDE INC DE 1.01,1.02,2.03,9.01 12/21/07
MORGAN STANLEY DE 1.01,3.02,9.01 12/19/07
MOTHERS WORK INC DE 5.02 12/21/07
MOVIE GALLERY INC DE 7.01 12/22/07
Mueller Water Products, Inc. DE 4.01,9.01 12/20/07
MULTIMEDIA GAMES INC TX 1.01,2.03,9.01 12/20/07
MYLAN INC. PA 1.01,9.01 12/27/07
MZT Holdings, Inc. DE 1.01,9.01 12/20/07
NATHANIEL ENERGY CORP NV 7.01,9.01 12/27/07
NATIONAL PATENT DEVELOPMENT CORP DE 5.02,9.01 12/20/07
NB Telecom, Inc. NV 8.01 12/26/07
NEW FEDERAL-MOGUL CORP DE 8.01,9.01 12/27/07
NEWS CORP 8.01,9.01 12/22/07
NEWTEK BUSINESS SERVICES INC NY 8.01 12/24/07
NON INVASIVE MONITORING SYSTEMS INC / FL 5.02,9.01 12/22/07
NOVAMERICAN STEEL INC. DE 4.01,9.01 12/07/07 AMEND
NU SKIN ENTERPRISES INC DE 5.02 12/20/07
NU-MEX URANIUM CORP. NV 1.01,8.01,9.01 12/20/07
NYSE Euronext DE 5.02 12/27/07
Onstream Media CORP FL 8.01,9.01 12/26/07
OPPENHEIMER HOLDINGS INC A6 8.01 12/21/07
ORTHOVITA INC 5.03,9.01 12/20/07
OXIS INTERNATIONAL INC DE 5.02,9.01 12/20/07
PAIVIS, CORP ./NV/ NV 1.01,7.01,9.01 12/20/07
PALATIN TECHNOLOGIES INC DE 8.01 12/20/07
PARADISE INC FL 4.01,9.01 12/20/07
PARKERVISION INC FL 5.02 12/21/07
PATAPSCO BANCORP INC MD 8.01,9.01 12/27/07
PATRIOT SCIENTIFIC CORP DE 8.01,9.01 12/18/07
PEOPLES BANCORP INC OH 8.01 12/27/07
PIEDMONT NATURAL GAS CO INC NC 7.01,8.01 12/13/07
PNA Group, Inc. DE 8.01,9.01 12/27/07
POINT THERAPEUTICS INC DE 8.01,9.01 12/27/07
PPG INDUSTRIES INC PA 8.01,9.01 12/27/07
PREMIER WEALTH MANAGEMENT, INC. DE 3.01 12/26/07
PREMIERWEST BANCORP OR 8.01,9.01 12/27/07
PRESIDENT CASINOS INC DE 8.01,9.01 12/21/07
Prestige Brands Holdings, Inc. 1.01 12/21/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/27/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/27/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 12/27/07
PRINTRONIX INC DE 8.01,9.01 12/27/07
PROGRESS ENERGY INC NC 7.01,9.01 12/24/07
PROSPERO MINERALS CORP. NV 5.02,9.01 12/24/07
PUREDEPTH, INC. CO 1.01,9.01 12/20/07
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 12/26/07
RAZOR RESOURCES INC DE 5.03,7.01,9.01 12/20/07
RCN CORP /DE/ DE 5.02,9.01 12/21/07
READING INTERNATIONAL INC NV 5.03,9.01 12/27/07
RESPIRONICS INC DE 1.01,3.03,5.02,9.01 12/20/07
RUDDICK CORP NC 1.01,1.02,2.03,9.01 12/20/07
SAMARITAN PHARMACEUTICALS INC NV 8.01,9.01 12/27/07
SCO GROUP INC DE 3.01 12/21/07
SERVICEMASTER CO DE 5.02 12/19/07
Shire plc 8.01,9.01 12/21/07
SIMTEK CORP CO 8.01,9.01 12/19/07
SITESTAR CORP NV 1.01,9.01 12/24/07
Skytrip Holdings, Inc. DE 1.01,5.01,5.02,9.01 12/15/07
Southeastern Bank Financial CORP GA 1.01,9.01 12/19/07
SPICY PICKLE FRANCHISING INC 9.01 12/27/07 AMEND
STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 12/26/07
STEWARDSHIP FINANCIAL CORP NJ 5.03,9.01 12/27/07
SUN HEALTHCARE GROUP INC DE 5.03,9.01 12/20/07
Susser Holdings CORP DE 1.01 12/20/07
SYNTROLEUM CORP DE 1.01,5.02 12/20/07
TECHNITROL INC PA 5.03,9.01 12/27/07
TELETECH HOLDINGS INC DE 8.01 12/18/07
TEMPLE INLAND INC DE 2.05,7.01 12/22/07
THEGLOBE COM INC DE 1.01 12/20/07
TIDELANDS OIL & GAS CORP/WA NV 8.01,9.01 12/27/07
TIDEWATER INC DE 2.02,9.01 12/21/07
TIENS BIOTECH GROUP USA INC 1.01 12/20/07
TITAN PHARMACEUTICALS INC DE 8.01,9.01 12/21/07
TOTAL SYSTEM SERVICES INC GA 1.01,2.03,9.01 12/21/07
TOUSA INC DE 5.02 12/21/07
TRIARC COMPANIES INC DE 1.01,1.02,2.01,9.01 12/21/07
TRUMP ENTERTAINMENT RESORTS, INC. DE 1.01,1.02,2.03,9.01 12/21/07
ULTRALIFE BATTERIES INC DE 2.02,9.01 12/26/07
UNICA CORP 5.02 12/19/07
UNION BANKSHARES CO/ME ME 1.01,9.01 12/20/07
UNITED COMMUNITY BANKS INC GA 7.01,9.01 12/27/07
United Financial Bancorp Inc 1.01,9.01 12/20/07
UNITED FUEL & ENERGY CORP NV 5.02,9.01 12/27/07
UNITED WESTERN BANCORP INC CO 9.01 12/27/07
UNIVERSAL HEALTH SERVICES INC DE 5.02,9.01 12/27/07
URANERZ ENERGY CORP. NV 7.01,9.01 12/19/07
US BIODEFENSE INC UT 2.01 12/24/07
UTEK CORP 3.02,9.01 12/20/07
Vantage Energy Services, Inc. DE 5.03,9.01 12/27/07
VCG HOLDING CORP CO 5.03,9.01 12/26/07
VIPER POWERSPORTS INC 1.02 12/26/07
VISTA GOLD CORP 1.01,7.01,9.01 12/19/07
WEGENER CORP DE 5.02 12/20/07
WEST BANCORPORATION INC IA 5.02,9.01 12/27/07
WHITE MOUNTAIN TITANIUM CORP NV 1.01,2.05,3.02,5.02 12/21/07
Whitehall Jewelers Holdings, Inc. DE 8.01 12/22/07
ZULU ENERGY CORP. CO 1.01,2.01,3.02,5.06,7.01,9.01 12/20/07
http://www.sec.gov/news/digest/2007/dig122807.htm
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