SEC NEWS DIGEST Issue 2007-67 April 9, 2007 ENFORCEMENT PROCEEDINGS MOTION BY DENNIS A. PEARSON, JR., FOR RECONSIDERATION DENIED The Commission has denied a motion for reconsideration, filed by Dennis A. Pearson, Jr., of a Commission opinion and order issued in December 2006. The Commission had dismissed, in its earlier opinion and order, Pearson's appeal of NASD disciplinary action barring Pearson from association with any NASD member. The Commission observed that reconsideration motions are designed to correct manifest errors of law or fact or to permit the presentation of newly discovered evidence. The Commission concluded that Pearson's motion did not meet the "rigorous standard required and thus affords no basis for reconsideration . . . ." Rel. 34-55597; File No. 3-12229) SEC FILES EMERGENCY ACTION AGAINST ALEXIS AMPUDIA TO STOP AN IDENTITY THEFT "PUMP AND DUMP" SCHEME The Commission announced that it obtained a temporary restraining order and an emergency asset freeze to halt a market manipulation scheme that used stolen identities of innocent victims to manipulate the markets. In an emergency federal court action filed April 5, in the U.S. District Court for the Southern District of New York, the Commission charged Alexis Ampudia, a 22-year old Panamanian citizen and resident of Brooklyn, N.Y., with conducting a fraudulent scheme involving the manipulation of the prices of numerous securities by using brokerage accounts he had opened in the names of identity theft victims, without their knowledge or consent. The Commission alleges that, since November 2006, Ampudia made at least $140,000 in unlawful profits by manipulating the securities of at least five publicly traded companies. Acting on the Commission's request, the Court issued a temporary restraining order which, among other things, prohibits Ampudia from further violations of the federal securities laws, freezes his assets and orders the repatriation of funds taken out of the United States. The Commission's complaint alleges that Ampudia first purchased shares of small, thinly-traded companies, with low share prices, through his own online trading account. Immediately or soon thereafter, using online brokerage accounts Ampudia had opened in the names of identity theft victims, Ampudia placed a series of large purchase orders for the targeted securities, for the sole purpose of artificially increasing the price of the securities he had just purchased at lower prices. These purchases created buying pressure and the false appearance of legitimate trading activity, which caused the price of the securities to greatly increase. Ampudia then, at a profit, sold the shares he had earlier purchased in his own account. The complaint charges Ampudia with violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5. The Commission's complaint seeks permanent injunctions against future violations of the foregoing federal securities laws, disgorgement of ill-gotten gains plus pre- judgment interest thereon, and civil penalties. The Commission acknowledges the assistance of the New York County District Attorney's Office, New York City Police Department, and United States Secret Service in this matter. [SEC v. Alexis Ampudia, a/k/a Alexis Geancarlos Ampudia Navalo, a/k/a Alexis Emias, a/k/a Alexis Rojas, Civil No. 07-CV-2762, HB, S.D.N.Y., filed April 5, 2007] (LR-20071) COURT ENTERS FINAL JUDGMENT SETTING CIVIL PENALTY AGAINST DEFENDANT ROBERT COURNOYER; DISMISSES ITS DISGORGEMENT CLAIM AS TO RELIEF DEFENDANT OCEANMARK CONSULTING GROUP, INC. The Commission announced that on Dec. 15, 2006, the Honorable James Lawrence King, United States District Judge for the Southern District of Florida entered a Final Judgment ordering Robert Cournoyer to pay a civil penalty of $1,188,599.27. Previously on March 4, 2004, Cournoyer, without admitting or denying the allegations of the Commission's complaint against him, consented to the entry of an order enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 20(a), 15(a)(1) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The judgment also barred Cournoyer from participating in any offering of a penny stock. In addition, because Cournoyer agreed to disgorge his ill-gotten gains to the court-appointed receiver, on March 3, 2004, the Commission's claim for disgorgement against him was dismissed with prejudice. Furthermore, the Commission dismissed its disgorgement claim as to relief defendant Oceanmark Consulting Group, Inc. on April 3, 2007. [SEC v. GetAnswers, Inc., et al., Case No. 03-20048-CIV-KING, S.D. Fla] (LR-20072) COMMISSION FILES EMERGENCY ACTION TO HALT THE UNREGISTERED SALE OF SECURITIES BY GLOBAL ONLINE DIRECT, INC., TO FREEZE ASSETS, AND TO APPOINT A CORPORATE MONITOR TO OVERSEE THE RETURN OF FUNDS TO INVESTORS The Commission announced today that it filed a complaint on April 5 in the United States District Court for the Northern District of Georgia to halt the sale of unregistered securities by Global Online Direct, Inc., a Nevada corporation headquartered in Union, Ore., and its principals, Bryant E. Behrmann of Las Vegas, Nev., and Larry "Buck" E. Hunter of La Grande, Ore. In the complaint, the Commission charges that, since at least October 2005, Global, Behrmann and Hunter have conducted an unregistered offering of securities through the provision of interests in Global's "Secured Profit Inventory Program" (SPIP). The complaint alleges that Global, Behrmann and Hunter primarily promoted Global's SPIP through the internet and solicited investors to "loan" Global funds for a term of one-year in exchange for promised daily interest payments. The greater the amount of the purported loan, the greater the interest payments Global offered to investors. Global initially offered daily interest rates to investors of 0.20% per day for amounts up to $100, which it referred to as the "Start-Up" plan, and for investors willing to invest $10,000 or more, they could participate in Global's "Big Dawgs Club" and receive 1.00% daily interest. Global further offered investors the ability to lock-up access to their interest payments for one-year in exchange for 100% daily compounding on all interest payments. Global therefore offered investors effective annual rates of return of more than 1,100%. In order to generate revenue sufficient to pay investors their promised returns, Global claimed to pool investor proceeds to purchase discounted and low-cost inventory, which Global then purported to resell through various online auction websites, including Ebay and Yahoo! Auctions, as well as through flea markets, street sales and retail storefronts. From October 2005 through March 2007, the complaint alleges that Global raised approximately $15 million from more than 8,000 investors. The Commission's complaint alleges that Global, Behrmann and Hunter violated the securities registration provisions of Sections 5(a) and (c) of the Securities Act of 1933 and seeks preliminary and permanent injunctions, an accounting, a partial asset freeze against Global, disgorgement of ill-gotten gains, prejudgment interest and civil penalties against Global, Behrmann and Hunter, and the appointment by the Court of an independent corporate monitor to oversee Global's ongoing business operations. Without admitting or denying the allegations of the complaint, Global, Behrmann and Hunter consented to the Commission's request for preliminary injunctive relief, a partial asset freeze against Global, and the appointment of a corporate monitor to oversee Global's ongoing business operations. On April 5, on the basis of defendants' consent, the Court issued an Order Granting Preliminary Injunction and Ordering Other Ancillary Relief. The litigation remains pending as to all parties. [SEC v. Global Online Direct, Inc., Bryant E. Behrmann, and Larry "Buck" E. Hunter, Civil Action No 1:07-CV-0767 (N.D. Ga. April 5, 2007)] (LR-20073) NOTICE OF PROPOSED DISTRIBUTION OF $375 MILLION FAIR FUND FOR THE BENEFIT OF FANNIE MAE INVESTORS On April 9, the Securities and Exchange Commission filed an unopposed motion for an order authorizing the Commission to establish a Fair Fund Distribution Fund pursuant to Section 308(a) of the Sarbanes- Oxley Act, in the amount of approximately $357 million presently being held in the Court Registry Investment System account in this case; approving the Commission's proposed Distribution Plan; and appointing Rust Consulting as Distribution Agent for the Fair Fund. Under the proposed distribution plan, potentially eligible claimants will include persons or entities that purchased Fannie Mae Common or Class N Preferred stock during the period beginning Jan. 14, 1999, through Dec. 22, 2004. For additional information, see Litigation Release No. 19710 (May 23, 2006). [SEC v. Federal National Mortgage Association, Civil Action No. 1:06-CV-00959, RJL, D.D.C.] (LR-20074) INVESTMENT COMPANY ACT RELEASES FORWARD FUNDS, ET AL. A notice has been issued giving interested persons until April 30 to request hearing on an application filed by Forward Funds, et al. for an order granting an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit certain registered open-end management investment companies to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-27777 - April 5) METLIFE INSURANCE COMPANY OF CONNECTICUT, ET AL. A notice has been issued giving interested persons until April 27 to request a hearing on an application filed by MetLife Insurance Company of Connecticut, et al. for an order pursuant to Section 26© of the Investment Company Act approving certain substitutions of securities and an order pursuant to Section 17(b) of the Act exempting them from provisions of Section 17(a) of the Act to permit certain in-kind transactions in connection with the substitutions.l (Rel. IC-27778 - April 6) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASDAQ-2007-038) filed by The NASDAQ Stock Market to modify Nasdaq Market Center fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55588) A proposed rule change filed by the Philadelphia Stock Exchange relating to ratio spreads (SR-Phlx-2007-30) 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 April 9. (Rel. 34-55591) PROPOSED RULE CHANGE The International Securities Exchange filed a proposed rule change (SR-ISE-2007-18) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to customer orders on the book. Publication of the proposal is expected in the Federal Register during the week of April 9. (Rel. 34-55589) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change submitted by the Chicago Stock Exchange (SR-CHX-2006-38) to extend the late trading session and to permit only the execution of cross orders during that session. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-55584) The Commission approved a proposed rule change (SR-NYSE-2006-75) and Amendment No. 1 thereto, submitted under Rule 19b-4 of the Securities Exchange Act of 1934 by the New York Stock Exchange to list and trade four iShares® GS Commodity Indexed Trusts. (Rel. 34-55585) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 GYMBOREE CORP, 500 HOWARD STREET, SAN FRANCISCO, CA, 94105, 415-278-7000 - 0 ($32,074,935.00) Equity, (File 333-141928 - Apr. 6) (BR. 02B) SB-2 Cyberspace Vita, Inc., 74090 EL PASEO, SUITE 200, PALM DESERT, DE, 92260, 8884106466 - 100,000 ($10.70) Equity, (File 333-141929 - Apr. 6) (BR. 08) S-3 SLM FUNDING LLC, 11600 SALLIE MAE DRIVE, 1ST FLOOR, RESTON, VA, 20193, 703-810-3000 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-141930 - Apr. 6) (BR. 05D) SB-2 AURIGA LABORATORIES, INC., 2029 CENTURY PARK EAST, SUITE 1130, LOS ANGELES, CA, 90067, 6782821600 - 0 ($25,757,938.00) Equity, (File 333-141931 - Apr. 6) (BR. 01A) S-1 FIRST NATIONAL BANCSHARES INC /SC/, 215 N. PINE STREET, SPARTANBURG, SC, 29302, 8649489001 - 0 ($23,000,000.00) Equity, (File 333-141932 - Apr. 6) (BR. 07C) S-8 QUANTITATIVE METHODS CORP, 203-6200 TASCHEREAU BLVD EAST, BROSSARD QUEBEC CANA, A1, J4W 3J8, 8014857775 - 0 ($3,325,000.00) Equity, (File 333-141933 - Apr. 6) (BR. 09B) S-8 MARKWEST HYDROCARBON INC, 1515 ARAPAHOE STREET, TOWER 2, SUITE 700, DENVER, CO, 80202-2126, 303-925-9200 - 0 ($62,330,000.00) Equity, (File 333-141935 - Apr. 6) (BR. 04A) SB-2 Peak Resources INC, 2103 TYRONE PLACE, PENTICTON, A1, V2A8Z2, 2504903378 - 2,853,334 ($142,666.70) Equity, (File 333-141936 - Apr. 6) (BR. 04) SB-2 Reel Magic Productions, 4754 EAST FLAMINGO RD. STE 777, LAS VEGAS, NV, 89121, 702-496-3456 - 10,000,000 ($25,000,000.00) Equity, (File 333-141937 - Apr. 6) (BR. 05) S-3 GREATER COMMUNITY BANCORP, 55 UNION BLVD, BOX 269, TOTOWA, NJ, 07511-0269, 9739421111 - 600,000 ($10,260,000.00) Other, (File 333-141938 - Apr. 6) (BR. 07C) S-4 USG CORP, 125 SOUTH FRANKLIN STREET, DEPARTMENT 188, CHICAGO, IL, 60606, 312-606-4000 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-141940 - Apr. 6) (BR. 06A) S-8 MARSHALL & ILSLEY CORP/WI/, ATTN: OFFICE OF THE GENERAL COUNSEL, 770 NORTH WATER STREET, MILWAUKEE, WI, 53202, 4147657801 - 17,973,261 ($802,885,343.50) Equity, (File 333-141942 - Apr. 6) (BR. 07A) S-8 NETWORK CN INC, 21/F CHINACHEM CENTURY TOWER, 178 GLOUCESTER ROAD, WANCHAI, HONG KONG, K3, 00000, 852 2833 2186 - 7,725,000 ($23,272,500.00) Equity, (File 333-141943 - Apr. 6) (BR. 09B) S-8 PEETS COFFEE & TEA INC, PO BOX 12509, BERKELEY, CA, 94712, 5105942100 - 4,515,000 ($123,214,350.00) Equity, (File 333-141944 - Apr. 6) (BR. 04C) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 0 ($10,996,564.04) Equity, (File 333-141945 - Apr. 6) (BR. 03C) S-3 GENOMIC HEALTH INC, 301 PENOBSCOT DRIVE, REDWOOD CITY, CA, 94063, 650-556-9300 - 0 ($100,000,000.00) Other, (File 333-141946 - Apr. 6) (BR. 09A) S-3 COLLAGENEX PHARMACEUTICALS INC, 41 UNIVERSITY DRIVE, NEWTON, PA, 18940, 2155797388 - 0 ($100,000,000.00) Other, (File 333-141947 - Apr. 6) (BR. 01A) S-3 BA Credit Card Funding, LLC, 214 NORTH TRYON STREET, CHARLOTTE, NC, 28255, 704-683-4915 - 1 ($1,000,000.00) Asset-Backed Securities, (File 333-141948 - Apr. 6) (BR. 05D) S-4 FBL FINANCIAL GROUP INC, 5400 UNIVERSITY AVE, WEST DES MOINES, IA, 50266, 5152255400 - 0 ($100,000,000.00) Debt, (File 333-141949 - Apr. 6) (BR. 01A) SB-2 CHINA DIGITAL MEDIA CORP, 2505-06, 25/F, STELUX HOUSE,, 698 PRINCE EDWARD ROAD EAST, KOWLOON, HONG KONG, F4, 510000, 852-2390-8688 - 26,459,576 ($13,229,788.00) Equity, (File 333-141950 - Apr. 6) (BR. 11A) S-3 SYNTAX-BRILLIAN CORP, 1600 NORTH DESERT DRIVE, TEMPE, AZ, 85281-1230, 6023898888 - 0 ($277,860,000.00) Equity, (File 333-141951 - Apr. 6) (BR. 11C) S-1 VIRTUSA CORP, 2000 WEST PARK DRIVE, WESTBOROUGH, MA, 01581, 508-389-7202 - 0 ($92,000,000.00) Equity, (File 333-141952 - Apr. 6) (BR. ) S-1 UCN INC, 14870 PONY EXPRESS ROAD, NONE, BLUFFDALE, UT, 84065, (801) 320-3300 - 55,000 ($217,250.00) Equity, (File 333-141953 - Apr. 6) (BR. 11A) S-8 MICROISLET INC, 6370 NANCY RIDGE DRIVE, SUITE 112, SAN DIEGO, CA, 92121, 858-657-0287 - 1,000,000 ($460,000.00) Equity, (File 333-141954 - Apr. 6) (BR. 01B) S-4 1st Pacific Bancorp, 4275 EXECUTIVE SQUARE, SUITE 650, LA JOLLA, CA, 92037, 8588752000 - 0 ($17,809,546.00) Equity, (File 333-141955 - Apr. 6) (BR. 07) SB-2 Akeena Solar, Inc., 605 UNIVERSITY AVENUE, LOS GATOS, CA, 95032, 408-395-7774 - 0 ($6,846,703.00) Equity, (File 333-141956 - Apr. 6) (BR. 02A) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 1ST INDEPENDENCE FINANCIAL GROUP, INC DE 5.02 04/06/07 ACCURAY INC CA 1.01 04/01/07 ACTIS GLOBAL VENTURES INC NV 1.01,9.01 04/05/07 ADVANCED MAGNETICS INC DE 5.02,9.01 04/02/07 AFFYMAX INC 2.02,9.01 04/02/07 AKSYS LTD DE 8.01 03/28/07 ALASKA AIR GROUP INC DE 7.01 04/06/07 ALTEON INC /DE DE 1.01 04/02/07 ALTIGEN COMMUNICATIONS INC 5.02,9.01 04/02/07 AMBASSADORS INTERNATIONAL INC DE 2.01,9.01 04/02/07 AMERICAN HOME MORTGAGE INVESTMENT COR MD 2.02,9.01 04/06/07 ANALYTICAL SURVEYS INC CO 1.02,2.04,3.01,8.01,9.01 04/02/07 Andover Medical, Inc. DE 3.02,9.01 03/29/07 ANGELICA CORP /NEW/ MO 1.01,9.01 04/05/07 APTIMUS INC WA 3.01,9.01 04/06/07 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 04/05/07 ASCENDANT SOLUTIONS INC DE 4.02 04/05/07 ASIAN DRAGON GROUP INC. NV 1.01,3.02,5.02,8.01,9.01 04/06/07 Axion Power International, Inc. DE 4.02 04/03/07 Banc of America Funding 2007-2 Trust DE 6.02 04/02/07 Banc of America Funding 2007-A Trust DE 8.01,9.01 01/31/07 AMEND BANDAG INC IA 8.01,9.01 04/03/07 BEA SYSTEMS INC DE 3.01,9.01 04/04/07 BEHRINGER HARVARD REIT I INC MD 1.01,7.01 04/06/07 Benda Pharmaceutical, Inc. MN 1.01,2.01,3.02,9.01 04/05/07 BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,2.03,9.01 03/30/07 BLUEGREEN CORP MA 2.03 04/06/07 BRIDGE BANCORP INC NY 5.02 04/04/07 BRISTOL MYERS SQUIBB CO DE 8.01,9.01 02/26/07 BROWN FORMAN CORP DE 7.01,9.01 04/05/07 CALYPTE BIOMEDICAL CORP DE 7.01,9.01 04/05/07 CAPTECH FINANCIAL GROUP, INC FL 1.02 04/05/07 CBRE Realty Finance Inc 1.01,2.03,9.01 04/02/07 CD 2007-CD4 Commercial Mortgage Trust DE 1.01 03/29/07 CEDAR SHOPPING CENTERS INC MD 1.01,9.01 04/02/07 CELLCYTE GENETICS CORP NV 2.01,3.02,5.01,5.02,5.06,9.01 03/30/07 CENTERLINE HOLDING CO DE 5.03 04/02/07 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 03/05/07 CHEMICAL FINANCIAL CORP MI 7.01 04/05/07 CHILDRENS INTERNET INC NV 1.01,9.01 04/06/07 CINEMARK USA INC /TX TX 8.01,9.01 04/03/07 CMALT (CitiMortgage Alternative Loan DE 9.01 04/06/07 AMEND CMALT (CitiMortgage Alternative Loan DE 8.01,9.01 04/06/07 COACTIVE MARKETING GROUP INC DE 5.02,9.01 04/02/07 COLUMBIA BANCORP \OR\ OR 2.02,9.01 04/06/07 COMMONWEALTH EDISON CO IL 5.02 04/02/07 CONCENTRA OPERATING CORP NV 2.01,9.01 04/02/07 CONSOLIDATED MEDICAL MANAGEMENT INC MT 1.01,4.01 04/05/07 CRESCENT REAL ESTATE EQUITIES CO TX 1.02 04/02/07 CRESCENT REAL ESTATE EQUITIES LTD PAR DE 1.02 04/02/07 CSK AUTO CORP DE 2.02,7.01,9.01 04/06/07 CUTERA INC DE 2.02,9.01 04/05/07 DATASCOPE CORP DE 5.02,9.01 04/03/07 DAVE & BUSTERS INC MO 5.02 04/05/07 DEMATCO INC DE 2.01 04/04/07 DigitalTown, Inc. MN 8.01 03/01/07 DISCOVERY LABORATORIES INC /DE/ DE 1.01,9.01 04/02/07 DRAVCO MINING INC NV 1.02 04/02/07 DRESS BARN INC CT 8.01,9.01 04/05/07 Dresser-Rand Group Inc. DE 7.01,9.01 04/05/07 DYNEGY INC. DE 1.01,1.02,2.01,2.03,3.02,3.03,5.02,5.03,9.01 04/02/07 EBIX INC DE 2.02,7.01,9.01 04/02/07 Eddie Bauer Holdings, Inc. DE 1.01,2.03,3.02,9.01 04/04/07 EMBARCADERO TECHNOLOGIES INC 1.01,2.02,5.02,9.01 04/05/07 EMC INSURANCE GROUP INC IA 5.02,9.01 04/05/07 EMERSON RADIO CORP DE 5.02,9.01 04/03/07 Endeavor Acquisition Corp. DE 8.01,9.01 04/04/07 ENERGY PARTNERS LTD DE 8.01,9.01 04/05/07 Enstar Group LTD D0 5.02,9.01 04/02/07 ENVIRONMENTAL SERVICE PROFESSIONALS, NV 5.02 04/04/07 EPIX Pharmaceuticals, Inc. 5.02,9.01 04/05/07 EPLUS INC DE 3.01,7.01,9.01 04/02/07 EQUICAP INC CA 4.01,9.01 04/05/07 EQUINIX INC DE 2.03 04/02/07 EVEREST RE GROUP LTD D0 1.01,7.01,9.01 04/05/07 FASTENAL CO MN 7.01,9.01 04/05/07 FIRST INDIANA CORP IN 8.01,9.01 04/06/07 FLOW INTERNATIONAL CORP WA 8.01,9.01 04/06/07 Franklin Auto Trust 2007-1 DE 6.05,8.01,9.01 04/06/07 FUSION TELECOMMUNICATIONS INTERNATION 8.01,9.01 04/02/07 FUSION TELECOMMUNICATIONS INTERNATION 2.02,9.01 04/02/07 FX ENERGY INC NV 1.01,3.03 04/04/07 GAMETECH INTERNATIONAL INC DE 5.02 04/06/07 GateHouse Media, Inc. DE 4.01 04/05/07 Georgetown Bancorp, Inc. X1 5.02,9.01 04/03/07 GLOBAL PAYMENTS INC GA 8.01,9.01 04/05/07 GREENBRIER COMPANIES INC DE 5.02 04/02/07 GSAMP Trust 2007-NC1 DE 1.03,8.01 02/20/07 GSE SYSTEMS INC DE 1.01,5.02,9.01 04/06/07 GuangZhou Global Telecom, Inc. FL 4.01,9.01 04/04/07 HAIGHTS CROSS COMMUNICATIONS INC DE 5.02,8.01,9.01 04/02/07 HALLIBURTON CO DE 2.01,9.01 04/05/07 HARTFORD LIFE INSURANCE CO CT 9.01 04/06/07 HARTMAN COMMERCIAL PROPERTIES REIT TX 7.01,9.01 04/03/07 HAYNES INTERNATIONAL INC DE 5.03,9.01 04/04/07 HEALTH BENEFITS DIRECT CORP DE 1.01,9.01 04/05/07 HERSHA HOSPITALITY TRUST MD 1.01,9.01 04/05/07 Home Equity Mortgage Trust 2006-6 DE 7.01 04/06/07 HOMEBANC CORP 1.01,9.01 03/30/07 HOMEBANC CORP 1.01,2.03,9.01 03/30/07 HYDROGEN POWER INC DE 5.02 04/03/07 IDEX CORP /DE/ DE 7.01,9.01 04/04/07 IMAX CORP A6 1.01,7.01,9.01 04/05/07 IMMUNICON CORP 1.01,7.01,9.01 04/03/07 IMMUNOGEN INC MA 5.03,9.01 04/04/07 IndyMac Home Equity Mortgage Loan Ass DE 8.01,9.01 03/23/07 INFINITY CAPITAL GROUP, INC. NV 1.01,8.01,9.01 03/28/07 Inland American Real Estate Trust, In MD 1.01,9.01 04/02/07 INPHONIC INC 3.01,9.01 04/03/07 INTER TEL (DELAWARE), INC DE 8.01,9.01 04/05/07 INYX INC NV 8.01 03/30/07 INYX INC NV 4.02 04/02/07 AMEND JACKSON HEWITT TAX SERVICE INC DE 8.01,9.01 04/05/07 JAG MEDIA HOLDINGS INC NV 1.01,2.03,9.01 04/04/07 JDA SOFTWARE GROUP INC DE 5.02 03/13/07 AMEND KBR, INC. DE 5.01,5.02 04/05/07 KEANE, INC. MA 2.04,3.01 04/02/07 KROGER CO OH 7.01,9.01 04/06/07 LARGO VISTA GROUP LTD NV 7.01 03/20/07 LEHMAN ABS CORP CIT CAPITAL TR 1 SEC DE 8.01 04/04/07 LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01 04/04/07 LEHMAN BROTHERS HOLDINGS INC DE 9.01 03/30/07 Liberty Global, Inc. 7.01 04/06/07 LOGIC DEVICES INC CA 4.01 04/03/07 LONGS DRUG STORES CORP MD 8.01,9.01 04/05/07 LSI CORP DE 1.01,2.01,2.03,5.02,5.03,9.01 04/02/07 MAGELLAN MIDSTREAM PARTNERS LP DE 2.04 04/03/07 MARLIN BUSINESS SERVICES CORP 1.01,9.01 04/02/07 MATRIA HEALTHCARE INC DE 5.02 02/15/07 AMEND MedAire, Inc. NV 8.01 04/06/07 METHODE ELECTRONICS INC DE 1.01,9.01 04/06/07 MICHAEL FOODS INC/NEW DE 1.01 04/02/07 MIDWEST BANC HOLDINGS INC DE 1.01,7.01,9.01 04/04/07 MONUMENTAL MARKETING INC NV 1.01,9.01 04/02/07 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 03/30/05 Morningstar, Inc. IL 7.01 04/06/07 NANO CHEMICAL SYSTEMS HOLDINGS, INC. NV 5.02,9.01 03/30/07 NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 04/02/07 NEOMEDIA TECHNOLOGIES INC DE 4.02 04/02/07 NEPHROS INC DE 5.05,9.01 04/02/07 NETBANK INC GA 5.02,9.01 04/02/07 NETLIST INC DE 1.01,2.03,9.01 04/02/07 NEW CENTURY FINANCIAL CORP MD 1.01,1.03,2.05,7.01,8.01,9.01 04/02/07 NEW RIVER PHARMACEUTICALS INC VA 8.01,9.01 04/03/07 NewGen Technologies, Inc NV 1.01 04/04/07 Newport Gold, Inc. NV 8.01,9.01 04/05/07 NNN 2003 VALUE FUND LLC 7.01,9.01 04/06/07 NNN Apartment REIT, Inc. MD 5.02 04/06/07 NNN Healthcare/Office REIT, Inc. MD 9.01 01/22/07 AMEND NORAM CAPITAL HOLDINGS DE 3.02 04/02/07 NORTH AMERICAN TECHNOLOGIES GROUP INC 5.02 04/05/07 Northstar Neuroscience, Inc. WA 5.02,9.01 04/05/07 NORTHWEST PIPELINE CORP DE 1.01,2.03,9.01 04/05/07 NS8 CORP DE 1.01,9.01 03/30/07 NT TECHNOLOGIES, INC. NV 2.01,3.02,5.01,5.02,5.03,5.06, 8.01,9.01 03/30/07 ONEIDA FINANCIAL CORP DE 8.01,9.01 04/02/07 OSI RESTAURANT PARTNERS, INC. DE 7.01,9.01 04/05/07 OSI RESTAURANT PARTNERS, INC. DE 2.02,9.01 04/05/07 OXIS INTERNATIONAL INC DE 1.01 04/02/07 P F CHANGS CHINA BISTRO INC 2.02,9.01 04/04/07 Pacific Coast National Bancorp CA 2.02,9.01 04/05/07 PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02 04/02/07 PAINCARE HOLDINGS INC CT 7.01,9.01 04/06/07 PARAMOUNT GOLD MINING CORP. DE 3.02,9.01 03/30/07 PATRICK INDUSTRIES INC IN 4.01,9.01 04/02/07 PAY88 NV 5.02 04/05/07 PDI INC 5.02,9.01 04/06/07 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 04/06/07 Platinum Research Organization, Inc. NV 8.01,9.01 04/03/07 PROTECTION ONE INC DE 1.01,1.02,2.01,2.03,3.03,5.02,9.01 04/02/07 PROVIDENT FINANCIAL SERVICES INC DE 8.01,9.01 04/05/07 PURE VANILLA EXCHANGE INC NV 1.01,2.03,3.02,7.01,9.01 03/30/07 Quadra Realty Trust, Inc. MD 2.01 03/27/07 QUEST RESOURCE CORP NV 7.01 04/06/07 RAVEN GOLD CORP NV 4.02,9.01 03/30/07 RECLAMATION CONSULTING & APPLICATIONS CO 1.01,7.01,9.01 03/29/07 REFAC OPTICAL GROUP DE 1.01,9.01 04/02/07 REGIONAL BANKSHARES INC SC 8.01,9.01 04/06/07 RELIABILITY INC TX 2.01,2.03,3.02,5.02,5.03,7.01,9.01 04/06/07 Remote Dynamics Inc DE 3.02,4.01,5.03,9.01 03/23/07 AMEND ROCKWELL AUTOMATION INC DE 5.02,9.01 04/04/07 ROMA FINANCIAL CORP X1 8.01,9.01 04/05/07 RYERSON INC. DE 8.01,9.01 04/05/07 SAFLINK CORP DE 3.02 04/02/07 SANTA FE ENERGY TRUST TX 3.01 04/03/07 Securitized Asset Backed Receivables 8.01 04/02/07 Securitized Asset Backed Receivables 8.01 04/02/07 SENTO CORP UT 3.01,9.01 04/02/07 SEQUENOM INC DE 5.02 04/03/07 SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 04/06/07 SERVICEMASTER CO DE 2.03 04/06/07 Shea Development Corp. 5.02,9.01 04/02/07 SHUFFLE MASTER INC MN 1.01,8.01,9.01 04/06/07 SILICON IMAGE INC DE 2.02,5.02,9.01 04/05/07 SILVERGRAPH INTERNATIONAL INC NV 1.01,3.02,9.01 04/06/07 SINCLAIR BROADCAST GROUP INC MD 5.02 04/02/07 SIRVA INC DE 1.01,5.02,8.01,9.01 03/30/07 SKYLINE CORP IN 2.02,9.01 04/06/07 SL GREEN REALTY CORP MD 2.01,9.01 01/25/07 AMEND SMITH INTERNATIONAL INC DE 8.01 04/06/07 SOCKET COMMUNICATIONS INC DE 5.02,9.01 04/02/07 Solvis Group, Inc. 4.01 04/06/07 Solvis Group, Inc. 4.01 04/06/07 AMEND SONIC SOLUTIONS/CA/ CA 3.01,8.01,9.01 04/02/07 SOURCEFIRE INC DE 2.02,9.01 04/06/07 SOUTHCOAST FINANCIAL CORP SC 4.01,9.01 02/07/07 AMEND SOUTHERN POWER CO 8.01 03/29/07 SPACEHAB INC \WA\ WA 5.02,9.01 04/04/07 STAAR SURGICAL CO DE 5.02,8.01 04/02/07 STARTEK INC DE 1.01 03/28/07 STRATAGENE CORP DE 8.01,9.01 04/06/07 SUPERGEN INC DE 2.01,9.01 04/02/07 SYNIVERSE HOLDINGS INC DE 5.02,9.01 04/02/07 TALEO CORP DE 5.02,9.01 04/02/07 TALX CORP MO 8.01,9.01 04/06/07 TECHNICAL COMMUNICATIONS CORP MA 1.01,9.01 04/04/07 TENET HEALTHCARE CORP NV 5.02 04/02/07 TESSERA TECHNOLOGIES INC DE 5.02 04/06/07 THOMAS GROUP INC DE 8.01,9.01 04/06/07 TIDEWATER INC DE 2.02,9.01 04/05/07 TRI-CONTINENTAL CORP MD 7.01,9.01 04/05/07 TRIPOS INC UT 1.02 04/02/07 UCN INC DE 9.01 02/09/07 AMEND UST INC DE 5.02,9.01 04/06/07 VALENCE TECHNOLOGY INC DE 3.02,9.01 04/05/07 Valera Pharmaceuticals Inc 3.01,9.01 04/06/07 VALLEY NATIONAL BANCORP NJ 7.01,9.01 04/05/07 VIKING SYSTEMS INC DE 1.01 04/04/07 Vistula Communications Services, Inc. DE 1.01 04/02/07 VNUS MEDICAL TECHNOLOGIES INC 5.02,9.01 04/02/07 WaMu Asset-Backed Certificates, WaMu DE 6.01 04/06/07 WATERFORD GAMING LLC DE 8.01 04/06/07 WEB.COM, INC. MN 5.03,9.01 04/03/07 WEBMETHODS INC DE 1.01,3.03,8.01,9.01 04/04/07 WENTWORTH IV INC DE 4.01,9.01 04/02/07 WENTWORTH V INC DE 4.01,9.01 04/02/07 WESTBOROUGH FINANCIAL SERVICES INC MA 8.01,9.01 04/05/07 WINDSTREAM CORP DE 8.01,9.01 04/06/07 WITNESS SYSTEMS INC DE 8.01,9.01 04/05/07 WORKSTREAM INC 5.02 04/02/07 WORLDTRADESHOW COM INC 1.01,4.02 08/01/06 AMEND