Select SEC and Market Data Fiscal Year

 SELECT SEC AND MARKET DATA FISCAL 2007 Table of Contents Enforcement Milestones .......................................................................................... 2 Enforcement Action Summary by Primary Classification..................................... 3 Fiscal 2007 Enforcement Cases by Program Area ................................................. 4 Investigations of Possible Violations of the Acts Administered by the Commission ..................................................................... 22 Right to Financial Privacy..................................................................................... 22 SEC Total Investor Contacts by Fiscal Year ........................................................ 23 Ten Most Common Complaints During Fiscal 2007 ............................................ 24 Unconsolidated Financial Information for Broker-Dealers ............................... 25 . Unconsolidated Annual Revenues and Expenses for Broker-Dealers Doing a Public Business ......................................................... 26 . Unconsolidated Balance Sheet for Broker-Dealers Doing a Public Business .................................................................................... 27 Unconsolidated Revenues and Expenses for Carrying/Clearing Broker-Dealers ................................................................... 28 Unconsolidated Balance Sheet for Carrying/Clearing Broker-Dealers .............. 29 Transaction Activity in Equities, Options and Security Futures ....................... 30  Table 1 ENFORCEMENT MILESTONES FISCAL 2007 • Obtained orders in SEC judicial and administrative proceedings requiring securities violators to disgorge illegal profits of approximately $1.093 billion and to pay penalties of approximately $507 million. • Sought orders barring 125 defendants and respondents from serving as officers or directors of public companies. • Sought emergency relief from federal courts in the form of temporary restraining orders (TROs) to halt ongoing fraudulent conduct in 37 actions, and sought asset freezes in 42 actions. • Filed 6 actions to enforce investigative subpoenas. • Halted trading in securities of 94 issuers about which there was inadequate public disclosure. In SEC-related criminal cases, prosecutors filed indictments, informations, or contempts in 144 cases.  Table 2 FISCAL 2007 ENFORCEMENT ACTION SUMMARY BY PRIMARY CLASSIFICATION (Each action initiated has been included in only one category listed below, even though many actions involved multiple allegations and may fall under more than one category. The number of defendants and respondents is noted parenthetically.) Primary Classification Issuer Reporting and Disclosure Broker-Dealer Investment Adviser Securities Offering Delinquent Filing Insider Trading Market Manipulation Civil Contempt Municipal Offering Self-Regulatory Organization Investment Company Miscellaneous TOTALS Civil Actions 113 10 15 43 0 37 27 12 1 1 0 3 262 (231) (63) (53) (240) (0) (100) (85) (16) (6) (1) (0) (9) (804) Administrative Proceedings 106 79 57 25 53 10 9 0 4 3 7 41 394 (123) (116) (82) (28) (184) (10) (9) (0) (4) (4) (14) (71) (645) Total 219 89 72 68 53 47 36 12 5 4 7 44 656 (354) (179) (135) (268) (184) (110) (94) (16) (10) (5) (14) (80) (1449) % of Total Actions 33% 14% 11% 10% 8% 7% 5% 2% 1% 1% 1% 7% 100%  Table 3 FISCAL 2007 ENFORCEMENT CASES LISTED BY PROGRAM AREA Name of Case Broker-Dealer In the Matter of Global Express Securities, Inc. SEC v. Gene T. Mancinelli In the Matter of Wall Street Access In the Matter of Tracey A. Edwards In the Matter of Timothy F. Bell In the Matter of Dennis A. Martin In the Matter of Marcos Martinez, et al. In the Matter of Gregory A. Applegate SEC v. Jamie L. Solow In the Matter of 1st Global Capital Corp. In the Matter of Bear, Stearns & Co., Inc. In the Matter of Jefferies & Co., Inc., et al. In the Matter of Kevin W. Quinn In the Matter of Guillaume Pollet In the Matter of John M. Repine, et al. In the Matter of Tonino Labella In the Matter of David R. Lund In the Matter of Scott E. Dreyer SEC v. Friedman, Billings, Ramsey & Co., Inc., et al. In the Matter of John C. Flanders, Jr. In the Matter of Deutsche Bank Securities, Inc. SEC v. Michael G. Velasco In the Matter of Todd W. Miller In the Matter of Jeffrey L. Houdek In the Matter of Deutsche Bank Trust, et al. In the Matter of Pacific Growth Equities, LLC, et al. In the Matter of Tempo Securities Corporation, et al. In the Matter of Vertical Capital, et al. In the Matter of Michael Sassano, et al. In the Matter of Marshall Dornfeld In the Matter of Temple Securities, LTD, et al. In the Matter of Jackie G. Gross, Sr. In the Matter of Trautman Wasserman & Company, Inc., et al. In the Matter of Robert Montani, Jr. In the Matter of James Cavaliere 34-54557 LR-19857 33-8749 34-54604 34-54605 34-54828 34-55276 34-54669 LR-19906 34-54754 33-8756 34-54861 34-54862 34-54924 34-54937 34-54951 34-54974 33-8761 LR-19950 34-54996 34-54993 LR-20012 34-55024 34-55023 33-8768 34-55148 34-55834 34-55177 33-8778 34-55209 33-8779 34-55228 34-55990 34-55441 34-55535 10/02/2006 10/02/2006 10/12/2006 10/16/2006 10/16/2006 10/18/2006 10/18/2006 10/30/2006 11/08/2006 11/15/2006 11/21/2006 12/01/2006 12/01/2006 12/12/2006 12/14/2006 12/18/2006 12/20/2006 12/20/2006 12/20/2006 12/21/2006 12/21/2006 12/21/2006 12/29/2006 12/29/2006 01/09/2007 01/23/2007 01/24/2007 01/25/2007 01/31/2007 01/31/2007 02/01/2007 02/02/2007 02/05/2007 02/07/2007 02/08/2007 Release No. Date Filed  Name of Case In the Matter of William J. Mueger In the Matter of Shea Silva In the Matter of Goldman Sachs Execution & Clearing, L.P . In the Matter of Salvatore F. Sodano In the Matter of Dean C. Reder In the Matter of Anthony Coppola In the Matter of Kenneth Ko In the Matter of Park Financial Group, Inc., et al. In the Matter of Daniel Lovaglio In the Matter of Tier One Inc., et al. In the Matter of Shoreland Trading, LLC In the Matter of A.G. Edwards & Sons, Inc. In the Matter of Charles A. Sacco In the Matter of Thomas C. Bridge, et al. In the Matter of Citigroup Global Markets, Inc. In the Matter of Zurich Capital Markets Inc. In the Matter of Morgan Stanley & Co., Incorporated SEC v. Angelo Ragone, et al. In the Matter of George B. Fasciano SEC v. Michael W. Crow, et al. In the Matter of Michael Edward Zimmerman In the Matter of Larry Michael Parrish In the Matter of Terrence J. O’Donnell In the Matter of David A. Zwick In the Matter of Angelo Ragone In the Matter of Stanislav Kaminsky In the Matter of Keith A. Rogers In the Matter of Keith M. Geller In the Matter of Michael J. Rice In the Matter of Stephen Luscko In the Matter of NEXT Financial Group, Inc. In the Matter of Martin S. Duffield, et al. In the Matter of Maria Giesige In the Matter of Commonwealth Equity Services, LLP In the Matter of Detwiler, Mitchell, Fenton & Graves, Inc. In the Matter of James X. McCarty In the Matter of Alexander Ricci, et al. SEC v. Joseph Simone, et al. SEC v. Darin DeMizio, et al. In the Matter of Joseph Simone Release No. 34-55303 34-55327 34-55465 34-55509 34-55527 34-55573 34-55827 34-55614 34-55905 33-8793A 34-55688 34-55692 33-8795 33-8798 34-55712 34-55711 34-55726 LR-20215 34-55763 LR-20117 34-55778 34-55779 34+55798 34-55797 34-55813 34-55914 34-50652 34-56053 34-56163 34-56244 34-56316 33-8838 33-8839 34-56362 34-56363 34-56364 34-56466 LR-20295 LR-20291 34-56473 Date Filed 02/15/2007 02/21/2007 03/14/2007 03/22/2007 03/26/2007 04/03/2007 04/03/2007 04/11/2007 04/20/2007 04/24/2007 05/01/2007 05/02/2007 05/02/2007 05/02/2007 05/07/2007 05/07/2007 05/09/2007 05/11/2007 05/15/2007 05/15/2007 05/17/2007 05/17/2007 05/22/2007 05/22/2007 05/25/2007 06/15/2007 07/12/2007 07/24/2007 07/30/2007 08/14/2007 08/24/2007 09/05/2007 09/05/2007 09/06/2007 09/06/2007 09/06/2007 09/19/2007 09/20/2007 09/20/2007 09/20/2007  Name of Case In the Matter of Gary Manfre In the Matter of Joseph Caracciolo SEC v. Mohamad Zein, et al. In the Matter of Bryon S. Rainner In the Matter of Guy P Riordan . SEC v. Michael B. Upton In the Matter of Mario Casias In the Matter of Ryan D. Goldberg, et al. In the Matter of Mutuals.com, Inc., et al. In the Matter of Regional Brokers, Inc., et al. In the Matter of D.M. Keck & Co., Inc., et al. In the Matter of Mark Palzaao, et al. In the Matter of Michael B. Upton In the Matter of MCL Financial Group, Inc., et al. Civil Contempt SEC v. Henry Jones SEC v. Edward S. Digges, Jr., et al. SEC v. Henry C. Yuen SEC v. Sherwin P Brown, et al. . SEC v. Patrick Kirkland SEC v. Gifford M. Mabie, Jr. SEC v. Robert Casey Hall SEC v. Kermit Silva SEC v. Archie Paul Reynolds, et al. SEC v. Bryan Kos SEC v. Universal Express, Inc., et al. SEC v. Donald E. Oehmke Delinquent Filing: Issuer Reporting In the Matter of New Yorker Marketing Corp., et al. In the Matter of Globe Staff Consulting Corporation In the Matter of Calneva Capital Corp., et al. In the Matter of FuelNation, Inc., et al. In the Matter of Amanda Company, Inc., et al. In the Matter of American International Petroleum Corp., et al. In the Matter of Exprofuels, Inc., et al. In the Matter of Detour Media Group, Inc., et al. In the Matter of Antares Resources Corp., et al. 34-54687 34-54630 34-54950 34-55863 34-54817 34-54962 34-55036 34-55521 34-55205 10/05/2006 10/20/2006 11/08/2006 11/08/2006 11/27/2006 11/30/2006 12/01/2006 12/01/2006 12/06/2006 NONE LR-19866 NONE LR-20081 NONE NONE NONE NONE LR-20048 NONE NONE NONE 10/05/2006 10/09/2006 03/21/2007 04/03/2007 04/05/2007 04/19/2007 04/19/2007 05/30/2007 06/12/2007 06/12/2007 06/29/2007 07/10/2007 Release No. 34-56474 34-56475 LR-20307 34-56522 33-8845 LR-20299 34-56529 34-56518 33-8847 34-56542 34-56543 34-56550 34-56580 34-56579 Date Filed 09/20/2007 09/20/2007 09/25/2007 09/25/2007 09/25/2007 09/25/2007 09/25/2007 09/25/2007 09/26/2007 09/27/2007 09/27/2007 09/27/2007 09/28/2007 09/28/2007  Name of Case In the Matter of Energy Vision International, Inc. In the Matter of Cmerun Corp., et al. In the Matter of Cosmetic Center, Inc., et al. In the Matter of Able Laboratories, Inc. In the Matter of Providence Capital III, Inc., et al. In the Matter of Combined Companies Corp., et al. In the Matter of OCA, Inc. In the Matter of Buffalo Capital V, Ltd., et al. In the Matter of Capmacco Corp., et al. In the Matter of Auto Wholesale Specialist, Inc., et al. In the Matter of Airstar Technologies, Inc., et al. In the Matter of SVT, Inc. In the Matter of Washington Corp. In the Matter of ABS Industries, Inc. In the Matter of Mill Creek Research, Inc. In the Matter of Preview Systems, Inc. In the Matter of One Price Clothing Stores, Inc. In the Matter of Financialweb.com, Inc., et al. In the Matter of Commonwealth Growth Fund II, et al. In the Matter of Marex.com, Inc., et al. In the Matter of Airbomb.com, Inc., et al. In the Matter of American Teletronics, Inc. In the Matter of Laminaire Corp., et al. In the Matter of Nature’s Sunshine Products, Inc. In the Matter of Rigid Airship USA, Inc. In the Matter of Sonex Research, Inc. In the Matter of Sports Arenas, Inc. In the Matter of TCPI, Inc. In the Matter of Starlite Acquisition Corp. In the Matter of Galaxy Minerals, Inc. In the Matter of Bentley Commerce Corp., et al. In the Matter of American Pad & Paper Co., et al. In the Matter of The CattleSale Co., et al. In the Matter of Environmental Safeguards, Inc., et al. In the Matter of 800America.com, Inc. In the Matter of Aurora Acquisitions, Inc., et al. In the Matter of Golf Training Systems, Inc., et al In the Matter of Lapa Acquisition Corp., et al. In the Matter of Lapta Acquisition Corp., VI, et al. In the Matter of Austrian Trading Services, Inc., et al. Release No. 34-55183 34-55839 34-55690 34-55074 34-55143 34-55297 34-55093 34-55241 34-55449 34-55487 34-55470 34-55403 34-55404 34-55400 34-55401 34-55402 34-55516 34-55654 34-55821 34-55787 34-55855 34-56243 34-56019 34-56059 34-56060 34-56061 34-56062 34-56063 34-56081 34-56326 34-56381 34-56488 34-56342 34-56546 34-56358 34-56388 34-56572 34-56393 34-56394 34-564441 Date Filed 12/13/2006 12/28/2006 12/29/2006 01/10/2007 01/10/2007 01/11/2007 01/12/2007 01/12/2007 01/17/2007 01/31/2007 02/08/2007 03/06/2007 03/06/2007 03/06/2007 03/06/2007 03/06/2007 03/23/2007 04/04/2007 04/12/2007 04/24/2007 04/24/2007 06/21/2007 06/27/2007 07/12/2007 07/13/2007 07/13/2007 07/13/2007 07/13/2007 07/17/2007 07/18/2007 07/19/2007 07/20/2007 07/20/2007 08/23/2007 09/06/2007 09/11/2007 09/12/2007 09/12/2007 09/12/2007 09/14/2007  Name of Case In the Matter of Plasticon International, Inc. In the Matter of Solv-Ex Corporation In the Matter of Novatek International Inc. In the Matter of Diatect International Corp. Insider Trading SEC v. CNS, Inc. SEC v. Robert J. Gallivan SEC v. Adam M. Lloyd, et al. SEC v. Edwin Buchanan Lyon, IV, et al. SEC v. John F. Mangan, Jr. In the Matter of Friedman, Billings, Ramsey & Co., Inc. In the Matter of Emanuel J. Friedman SEC v. Donald A. Erickson SEC v. Daniel Fongnien Chiang, et al. SEC v. Aragon Capital Management LLC, et al. SEC v. Alexandre Ponzio De Azevedo SEC v. Luiz Gonzaga Murat Junior SEC v. Matthew E. Kopsky, et al. SEC v. Blue Bottle Limited et al. SEC v. Mitchel S. Guttenberg, et al., SEC v. TXU Corp. In the Matter of Alexandre Ponzio De Azevedo SEC v. Shashikant C. Shah In the Matter of Banc of America Securities LLC SEC v. Melvyn C. Goldstein In the Matter of Barry Hertz SEC v. Kevin J. Heron SEC v. Gary K. Melton SEC v. Kan King Wong, et al. SEC v. Jennifer Xujia Wang, et al. SEC v. Christopher M. Balkenhol SEC v. Raymond C. Chop, et al. SEC v. Barclays Bank PLC, et al. SEC v. David A. Schwinger, CA SEC v. Joseph Galamb SEC v. Terese Dearmin, et al. SEC v. Romano Ancelmo Fontana Filho In the Matter of Timothy J. O’Connell LR-19867 LR-19929 LR-19944 LR-19942 LR-19955 34-55105 34-55104 LR-19992 LR-19994 LR-20053 LR-20013 LR-20013 AAER-2565 LR-20095 LR-20022 LR-20028 34-55417 LR-20034 34-56451 LR-20040 34-55512 LR-20079 LR-20085 LR-20106 LR-20112 LR-20115 LR-20188 LR-20132 LR-20152 LR-20153 LR-20155 LR-20157 34-56018 10/12/2006 11/30/2006 12/12/2006 12/12/2006 12/28/2006 01/12/2007 01/12/2007 02/06/2007 02/08/2007 02/13/2007 02/22/2007 02/22/2007 02/26/2007 02/26/2007 03/01/2007 03/02/2007 03/07/2007 03/08/2007 03/14/2007 03/14/2007 03/22/2007 04/18/2007 04/23/2007 05/08/2007 05/10/2007 05/14/2007 05/23/2007 05/30/2007 06/13/2007 06/13/2007 06/18/2007 06/19/2007 07/05/2007 Release No. 34-56490 34-56505 34-56537 34-56548 Date Filed 09/21/2007 09/24/2007 09/26/2007 09/27/2007  Name of Case In the Matter of Warren R. Fellus SEC v. Shane Bashir Suman, et al. In the Matter of John J. Amore In the Matter of Gary M. Kornman SEC v. Joseph A. Frohna SEC v. Chauncey Shey SEC v. Robert A. Berlacher, et al. SEC v. Joseph P Keeney, CA . SEC v. Gregg Ashley Smith, et al. SEC v. Marlin S. Hershey SEC v. Morris Gad, et al. SEC v. Daniel Joseph McKay SEC v. Salvador Chavarria, et al. In the Matter of Eugene Plotkin Investment Adviser SEC v. Steven B. Markovitz SEC v. Hyun Soo Jang, et al. In the Matter of Stephen J. Treadway In the Matter of Hartford Investment Financial Services, LLC, et al. SEC v. Viper Capital Management, LLC, et al., SEC v. Spiro Germenis, et al. In the Matter of Mark R. Conway In the Matter of FCA Corp., et al. In the Matter of Kelsey L. Garman SEC v. Peter J. Dawson, et al. In the Matter of Kaplan & Co. Securities, Inc., et al. In the Matter of James Barlow Smith In the Matter of Spinner Asset Management, LLC, et al. In the Matter of Deutsche Asset Management, Inc., et al. In the Matter of Lawrence J. Lasser SEC v. John M. Fife, et al. In the Matter of Fred Alger, et al. In the Matter of Kelmoore Investment Co., Inc. In the Matter of Douglas P Miller . In the Matter of Joseph J. Spiegel In the Matter of Robert M. Massimi In the Matter of Bret Grebow In the Matter of Keith G. Gilabert LR-19862 LR-19880 IA-2566 34-54720 LR-19905 LR-19920 IA-2568 IA-2569 IA-2570 LR-19927 34-54954 IA-2571 33-8763 IA-2575 IA-2578 LR-20250 34-55118 33-8774 34-55150 IA-2585 IA-2583 IA-2584 34-55785 10/11/2006 10/25/2006 11/07/2006 11/08/2006 11/08/2006 11/16/2006 11/20/2006 11/29/2006 11/30/2006 11/30/2006 12/18/2006 12/18/2006 12/20/2006 12/21/2006 01/09/2007 01/18/2007 01/18/2007 01/18/2007 01/23/2007 01/24/2007 01/24/2007 01/24/2007 01/31/2007 Release No. 34-56022 LR-20203 34-56144 34-56164 LR-20222 LR-20270 LR-20278 LR-20297 LR-20306 LR-20303 LR-20305 LR-20314 LR-20313 34-56582 Date Filed 07/06/2007 07/24/2007 07/26/2007 07/30/2007 08/01/2007 09/06/2007 09/13/2007 09/25/2007 09/27/2007 09/27/2007 09/27/2007 09/28/2007 09/28/2007 09/28/2007 0 Name of Case SEC v. Ravi V. Kothare, et al. In the Matter of Michael G. Velasco In the Matter of Melhado, Flynn & Associates Inc., et al. In the Matter of Amir Rosenthal In the Matter of Kirk S. Wright In the Matter of Imperium Advisors, LLC SEC v. Albert E. Parish, Jr., et al. In the Matter of Geoffrey Brod SEC v. Lydia Capital, LLC, et al. In the Matter of Stephen J. Treadway In the Matter of Allocation Plus Asset Management Company, Inc. In the Matter of Albert E. Parish, Jr. In the Matter of Justin Scott In the Matter of Omid Kamshad In the Matter of John Hancock Investment Management Services, LLC, et al. In the Matter of Rajeev Johar SEC v. Simpson Capital Management, Inc., et al. In the Matter of Peter Krieger, et al. In the Matter of Geoffrey A. Gish In the Matter of Haidar Capital Management, LLC, et al. In the Matter of C. Wesley Rhodes, Jr. In the Matter of Vincent Montagna In the Matter of William M. Stickney In the Matter of Patrick Phillip Davison In the Matter of Rhodes Econometrics, Inc. In the Matter of Schultze Asset Management LLC, et al. In the Matter of Quattro Global Capital, LLC In the Matter of Joseph A. Frohna SEC v. Sentinel Management Group, Inc. In the Matter of John M. Fife In the Matter of John Hunting Whittier In the Matter of Michael Carl Hoffman In the Matter of Folger Nolan Fleming Douglas Capital Mgm’t, Inc., et al. In the Matter of Anthony M. Ramunno, Jr. In the Matter of Brent William Federighi In the Matter of Yanni Partners, Inc., et al. SEC v. Senior Resources of Hawaii, Inc., et al. In the Matter of James J. Peperno, Jr. In the Matter of David Byck, et al. Release No. LR-20002 34-55322 34-55356 IA-2594 IA-2595 34-55483A LR-20107 IA-2600 LR-20102 IA-2602 IA-2606 IA-2607 IA32608 IA-2609 34-55946 IA-2611 LR-20168 34-56006 IA-2616 33-8820 IA-2619 IA-2621 34-56168 34-56192 IA-2631 IA-2633 34-56254 IA-2635 LR-20249 IA-2636 IA-2637 IA-2638 IA-2639 IA-2640 IA-2641 IA-2642 LR-20287 IA-2646 33-8841 Date Filed 02/09/2007 02/21/2007 02/26/2007 02/28/2007 03/02/2007 03/15/2007 04/05/2007 04/09/2007 05/03/2007 05/14/2007 05/23/2007 05/25/2007 06/04/2007 06/04/2007 06/25/2007 06/26/2007 06/27/2007 07/03/2007 07/06/2007 07/06/2007 07/12/2007 07/25/2007 07/30/2007 08/02/2007 08/13/2007 08/15/2007 08/15/2007 08/16/2007 08/20/2007 08/21/2007 08/21/2007 08/22/2007 08/23/2007 09/04/2007 09/04/2007 09/05/2007 09/07/2007 09/11/2007 09/14/2007  Name of Case In the Matter of William M. Ennis SEC v. HSBC Bank USA, N.A. In the Matter of Callan Associates In the Matter of Amaroq Asset Management, LLC, et al. In the Matter of Financial Design Associates, Inc., et al. In the Matter of Justin F. Ficken In the Matter of Kangsan Kim SEC v. Alexander James Trabulse, et al. In the Matter of Steven Andrew Roberts SEC v. Charles P Trigilio . Investment Company In the Matter of General American Life Insurance Co., et al. In the Matter of Pritchard Capital Partners, LLC, et al. In the Matter of Evergreen Investment Management Co., LLC, et al. In the Matter of Allianceberstein, LP In the Matter of Putnam Investment Management, LLC In the Matter of Salomon Brothers Asset Management, Inc. In the Matter of Smith Barney Fund Management LLC Issuer Reporting and Disclosure In the Matter of Mark P Abide, CPA . SEC v. Jerry K. Castleman, et al. In the Matter of Statoil, ASA SEC v. Romulus S. Pereira, et al. In the Matter of Schnitzer Steel Industries, Inc. In the Matter of Ronald J. Goedde, CPA In the Matter of Martin J. Merritt, CPA SEC v. Eric G. Borrmann SEC v. Delphi Corporation, et al. In the Matter of B.N. Bahadur In the Matter of Stuart Doyle In the Matter of Laura Marion In the Matter of Kevin Curry In the Matter of Douglas W. Marcille, CPA SEC v. Martin Zaepfel SEC v. James Cannataro SEC v. Michael Crusemann, et al. SEC v. John Steele SEC v. Michael Moran, et al. 34-54564 AAER-2663 34-54599 LR-19869 34-54606 34-54634 34-54661 LR-19895 LR-19891 34-54665 34-54666 34-54667 34-54668 34-54677 LR-19897 LR-19897 LR-19897 LR-19897 LR-19897 10/03/2006 10/13/2006 10/13/2006 10/16/2006 10/16/2006 10/20/2006 10/27/2006 10/30/2006 10/30/2006 10/30/2006 10/30/2006 10/30/2006 10/30/2006 10/31/2006 11/02/2006 11/02/2006 11/02/2006 11/02/2006 11/02/2006 33-8832 34-56374 34-56462 IA-2663 IA-2664 IA-2665 IA-2666 08/09/2007 09/07/2007 09/19/2007 09/28/2007 09/28/2007 09/28/2007 09/28/2007 Release No. 34-56464 33-8844 IA-2650 IA-2651 IA-2654 34-56531 34-56536 LR-20300 33-8848 LR-20308 Date Filed 09/19/2007 09/19/2007 09/19/2007 09/24/2007 09/25/2007 09/26/2007 09/26/2007 09/26/2007 09/27/2007 09/27/2007  Name of Case In the Matter of Horst Hansen In the Matter of David Kreinberg, CPA In the Matter of Thomas P Clark . In the Matter of Charles B. Spadoni SEC v. Mercer Capital, Inc., et al. In the Matter of Ashland Inc., et al. SEC v. Bart A. Thielbar, et al. In the Matter of Michael S. Joseph, CPA In the Matter of Thomas F. Garbe In the Matter of Mark B. Leffers, CPA SEC v. Paul E. Yarick In the Matter of Interstate Bakeries Corporation SEC v. Richard D. Power, et al. In the Matter of Whitemark Homes, Inc., et al. In the Matter of Paul Heidbrink, CPA SEC v. Lawrence B. Evans, et al. In the Matter of Jana L. Quam, CPA In the Matter of Cary B. Griswold, CPA In the Matter of David A. Monaghan, CPA SEC v. Suzanne Brown In the Matter of Glenn E. Glasshagel In the Matter of Lattice Semiconductor Corp. In the Matter of Charles R. Eisenstein SEC v. James Charles Blue, et al. In the Matter of Douglas Wachtel, CPA SEC v. John Crowder SEC v. Chris Jakubek SEC v. John King SEC v. Steve LeBarron SEC v. Patrick Penderghast SEC v. Frank Riggio SEC v. Richard Vecchia SEC v. Carl A. Allen SEC v. Gary Bell, et al. SEC v. Donald Childers In the Matter of Suzanne Brown, CPA SEC v. MBIA Inc. In the Matter of MBIA Inc. In the Matter of William F. Sorin, Esq. SEC v. Anthony L. Hurley Release No. AAER-2507 34-54712 34-54736 34-54774 LR-19924 AAER-2518 AARE-2520 AAER-2523 AAER-2522 AAER-2524 AAER-2526 AAER-2528 AARE-2603 AAER-2529 AAER-2530 AAER-2586 AAER-2535 AAER-2534 AAER-2533 LR-19961 AAER-2541 AAER-2540 AAER-2539 LR-19969 AAER-2543 AAER-2544 AAER-2544 AAER-2544 AAER-2544 AAER-2544 AAER-2544 AAER-2544 AAER-2544 AAER-2544 AAER-2544 AAER-2545 AAER-2547 AAER-2548 AAER-2549 LR-19986 Date Filed 11/02/2006 11/06/2006 11/09/2006 11/17/2006 11/21/2006 11/29/2006 12/04/2006 12/11/2006 12/11/2006 12/14/2006 12/20/2006 12/21/2006 12/21/2006 12/29/2006 12/29/2006 01/08/2007 01/08/2007 01/08/2007 01/08/2007 01/08/2007 01/12/2007 01/12/2007 01/12/2007 01/16/2007 01/19/2007 01/22/2007 01/22/2007 01/22/2007 01/22/2007 01/22/2007 01/22/2007 01/22/2007 01/22/2007 01/22/2007 01/22/2007 01/23/2007 01/29/2007 01/29/2007 01/30/2007 02/01/2007  Name of Case SEC v. Gary C. Gerhardt SEC v. Steven J. Landmann SEC v. RenaissanceRe Holdings Ltd. SEC v. Gary M. Workman SEC v. El Paso Corporation SEC v. Gayle Spence Luacaw SEC v. Enrique (Henry) Fiallo SEC v. Piyush G. Patel et al. In the Matter of The Dow Chemical Company SEC v. The Dow Chemical Company SEC v. Ryan Ashley Brant In the Matter of Richard A. Causey, CPA SEC v. Veritas Software Corporation In the Matter of Anthony L. Hurley In the Matter of Robert A. Ness, Jr. SEC v. Kent H. Roberts In the Matter of David C. Kirkpatrick In the Matter of John Paul Orr SEC v. Charles Michael Martin In the Matter of Northwestern Corporation In the Matter of C. Burt Duren (CPA) In the Matter of Steven J. Landmann SEC v. Frank A. Dunn, et al. SEC v. Franklyn A. Caine SEC v. Edward S. Pliner SEC v. James E. Gray In the Matter of Franklyn A. Caine SEC v. Nicor Inc., et al. In the Matter of Ernst & Young LLP SEC v. Jordan H. Mintz, et al. In the Matter of Edward S. Pliner, CPA In the Matter of Atlas Air Worldwide Holdings, Inc. In the Matter of Danny Edward Moudy SEC v. Tenet Healthcare Corp., et al. SEC v. Jimmy Lynn Bradley, et al. In the Matter of Myron F. Olesnyckyj, Esq. In the Matter of Lindsey P Vinson . In the Matter of Jimmy Lynn Bradley (CPA) In the Matter of Lesley Don Cole (CPA) SEC v. Nancy R. Heinen, et al. Release No. AAER-2551 AAER-2551 AAER-2550 LR-19993 LR-19991 LR-20114 AAER-2553 AAER-2556 AAER-2555 AAER-2554 AAER-2557 AAER-2560 AAER-2562 AAER-2564 AAER-2566 AAER-2567 AAER-2569 AAER-2570 AAER-2572 AAER-2573 AAER-2575 AAER-2574 AAER-2676 AAER-2577 AAER-2577 AAER-2577 AAER-2578 LR-20060 AAER-2580 AAER-2584 AAER-2585 AAER-2588 AAER-2590 AAER-2591 AAER-2592 AAER-2593 AAER-2594 AAER-2595 AAER-2596 LR-20086 Date Filed 02/06/2007 02/06/2007 02/06/2007 02/07/2007 02/07/2007 02/08/2007 02/08/2007 02/09/2007 02/13/2007 02/13/2007 02/14/2007 02/16/2007 02/20/2007 02/21/2007 02/27/2007 02/28/2007 03/02/2007 03/02/2007 03/06/2007 03/07/2007 03/09/2007 03/09/2007 03/12/2007 03/15/2007 03/15/2007 03/15/2007 03/15/2007 03/23/2007 03/26/2007 03/28/2007 03/28/2007 03/29/2007 04/02/2007 04/02/2007 04/03/2007 04/05/2007 04/09/2007 04/12/2007 04/12/2007 04/24/2007  Name of Case SEC v. Richard R. Hylland SEC v. Merle D. Lewis SEC v. Kipp D. Orme SEC v. Kurt D. Whitesel SEC v. Baker Hughes Incorporated, et al. SEC v. Capitol Distributing, LLC, et al. In the Matter of Terry M. Phillips In the Matter of Motorola, Inc. SEC v. The BISYS Group, Inc. In the Matter of Hewlett-Packard Company SEC v. Mercury Interactive, LLC, et al. SEC v. Brocade Communications Systems, Inc. In the Matter of Robin R. Szeliga (CPA) SEC v. Michael J. Snyder In the Matter of International Business Machines Corporation In the Matter of Chris G. Gunderson In the Matter of Raymond L. Mathiasen, CPA SEC v. Tom Shanahan, et al. SEC v. Jeffrey McMahon In the Matter of Allied Capital Corporation In the Matter of Cambrex Corporation SEC v. Rob Roy J. Graham SEC v. Steven Forman, et al. SEC v. Kevin B. Collins In the Matter of International Business Machines Corporation SEC v. Michael W. Sulfridge In the Matter of CVS Caremark Corp., et al. SEC v. Philip C. Galbo, et al. SEC v. James P O’Donnell, et al. . SEC v. Kenneth W. DiFonzo In the Matter of Dwight J. Goslee, et al. SEC v. Dwight J. Goslee, et al. SEC v. Si Chan Wooh SEC v. Mark Leslie, et al. SEC v. Michael F. Shanahan, Sr., et al. SEC v. Tasty Fries, Inc., et al. In the Matter of Paul Kearney In the Matter of Richard R. Hylland, CPA In the Matter of Kipp D. Orme, CPA In the Matter of Kurt D. Whitesel, CPA Release No. AAER-2601 AAER-2601 AAER-2601 AAER-2601 AAER-2602 AAER-2604 AAER-2605 AAER-2607 AAER-2611 34-55801 LR-20136 LR-20137 AAER-2613 LR-20146 AAER-2616 34-56396 AAER-2615 AAER-2617 AAER-2619 AAER-2618 AAER-2620 AAER-2621 AAER-2622 AAER-2624 AAER-2623 AAER-2625 3-12673 LR-20175 AAER-2629 AAER-2629 AAER-2628 AAER-2629 LR-20174 AAER-2631 AAER-2633 LR-20194 AAER-2635 AAER-2638 AAER-2636 AAER-2637 Date Filed 04/25/2007 04/25/2007 04/25/2007 04/25/2007 04/26/2007 05/02/2007 05/02/2007 05/08/2007 05/23/2007 05/23/2007 05/31/2007 05/31/2007 06/01/2007 06/04/2007 06/05/2007 06/06/2007 06/08/2007 06/15/2007 06/20/2007 06/20/2007 06/20/2007 06/22/2007 06/22/2007 06/25/2007 06/25/2007 06/28/2007 06/29/2007 06/29/2007 06/29/2007 06/29/2007 06/29/2007 06/29/2007 06/29/2007 07/02/2007 07/12/2007 07/12/2007 07/13/2007 07/16/2007 07/16/2007 07/16/2007  Name of Case In the Matter of Jay D. Bolding (CPA) SEC v. Lorine Sweeney, et al. SEC v. Ilona Kay Collins SEC v. David Eric Nesvisky SEC v. Robert Allen Diehl SEC v. Madhavan Sivathanu Pillai In the Matter of Quovadx, Inc. In the Matter of Ronald Renjilian In the Matter of Paul Anthony Davis In the Matter of Jeffrey McMahon, CPA SEC v. James M. Materna, et al. In the Matter of OM Group, Inc. SEC v. David C. Drummond, et al. SEC v. Patrick T. Chew In the Matter of David C. Drummond, et al. In the Matter of Ernst & Young Chartered Accountants, et al. SEC v. Richard E. Fresia SEC v. John C. Charters SEC v. ConAgra Foods, Inc. In the Matter of Ayal Rosenthal, CPA SEC v. Delta & Pine Land Company, et al. SEC v. Kenneth L. Schroeder SEC v. KLA-Tencor Corp. In the Matter of Patrick T. Chew, CPA SEC v. Robert J. Therrien In the Matter of Anne M. Pember SEC v. Cardinal Health, Inc. In the Matter of Delta & Pine Land Company, et al. In the Matter of Aspen Technology, Inc. SEC v. Carole D. Argo SEC v. Integrated Silicon Solution, Inc., et al. SEC v. David E. Tether SEC v. First BanCorp. SEC v. Thomas Fisher, et al. In the Matter of Jerry Kent Castleman, CPA SEC v. Michael J. Byrd In the Matter of Kenneth W. DiFonzo, CPA SEC v. Textron Inc. SEC v. Lisa C. Berry SEC v. Juniper Networks, Inc. Release No. AAER-2640 AAER-2641 AAER-2641 AAER-2641 AAER-2641 AAER-2641 AAER-2644 AAER-2645 AAER-2639 AAER-2646 AAER-2642 AAER-2643 AAER-2649 AAER-2649 AAER-2648 AAER-2647 AAER-2650 AAER-2650 LR-20206 AAER-2651 LR-20214 LR-20207 LR-20207 AAER-2656 AAER-2653 AAER-2655 AAER-2654 AAER-2658 AAER-2660 AAER-2662 AAER-2661 LR-20226 AAER-2664 AAER-2666 AAER-2667 LR-20247 AAER-2669 LR-20251 LR-20257 LR-20257 Date Filed 07/17/2007 07/17/2007 07/17/2007 07/17/2007 07/17/2007 07/17/2007 07/17/2007 07/17/2007 07/17/2007 07/18/2007 07/18/2007 07/18/2007 07/19/2007 07/19/2007 07/19/2007 07/19/2007 07/24/2007 07/24/2007 07/24/2007 07/24/2007 07/25/2007 07/25/2007 07/25/2007 07/26/2007 07/26/2007 07/26/2007 07/26/2007 07/26/2007 07/31/2007 08/01/2007 08/01/2007 08/06/2007 08/07/2007 08/09/2007 08/09/2007 08/17/2007 08/22/2007 08/23/2007 08/28/2007 08/28/2007  Name of Case In the Matter of Ilona Kay Collins SEC v. Integrated Electrical Services, Inc., et al. In the Matter of David A. Miller, CPA SEC v. Saks Incorporated In the Matter of Dean A. Nichols (CPA) SEC v. Brian E. Haylor In the Matter of David Heyman, CPA In the Matter of Ferro Corporation, et al. In the Matter of Richard E. Sellers, CPA, et al. In the Matter of Barry M. Budilov, CPA SEC v. Linda Jones, et al. In the Matter of Press C. Southworth, CPA In the Matter of Robert M. Harbrecht, CPA, et al. In the Matter of Paul R. Venesky, CPA In the Matter of John R. Holtzhauser, CPA In the Matter of James M. Materna, CPA SEC v. Diatect International Corp., et al. SEC v. Chandramowli Srinivasan In the Matter of Electronic Data Systems Corp. In the Matter of C.R. Williams, Inc., et al. In the Matter of Bristow Group, Inc. In the Matter of Immucor, Inc., et al. In the Matter of Intervoice, Inc. In the Matter of Hor Chong (David) Boey, CPA In the Matter of Bruce D. Kay, CPA In the Matter of Robert J. Gagalis, CPA In the Matter of Tidewater Inc., et al. SEC v. Federal Home Loan Mortgage Corp., et al. In the Matter of Robert C. Dean SEC v. Gioacchino De Chirico SEC v. Buca, Inc. SEC v. Robert D. Doty, Jr. In the Matter of Robert D. Doty, Jr. In the Matter of Jamie Olis, CPA In the Matter of Gene S. Foster In the Matter of Helen C. Sharkey, CPA SEC v. Monty Fu, CA SEC v. Meridian Holdings, Inc., et al. SEC v. Collins & Aikman Corp., et al. SEC v. Myron F. Olesnyckyj Release No. AAER-2670 AAER-2673 AAER-2672 AAER-2674 AAER-2675 LR-20279 AAER-2677 AAER-2717 AAER-2716 AAER-2718 AAER-2719 34-56470 34-56469 AAER-2722 AAER-2723 AAER-2724 NONE AAER-2726 AAER-2725 IA-2660 AAER-2727 34-56558 33-8849 AAER-2731 AAER-2733 AAER-2732 AAER-2730 AAER-2728 33-8850 LR-20316 LR-20312 AAER-2739 AAER-2736 AAER-2738 AAER-2737 AAER-2735 LR-20310 LR-20318 AAER-2581 AAER-2583 Date Filed 08/29/2007 08/30/2007 08/30/2007 09/05/2007 09/06/2007 09/12/2007 09/12/2007 09/13/2007 09/13/2007 09/14/2007 09/17/2007 09/19/2007 09/19/2007 09/20/2007 09/20/2007 09/20/2007 09/24/2007 09/25/2007 09/25/2007 09/26/2007 09/26/2007 09/27/2007 09/27/2007 09/27/2007 09/27/2007 09/27/2007 09/27/2007 09/27/2007 09/27/2007 09/28/2007 09/28/2007 09/28/2007 09/28/2007 09/28/2007 09/28/2007 09/28/2007 09/28/2007 09/28/2007 03/26/2007 02/15/2007  Name of Case Market Manipulation SEC v. Conversion Solutions Holdings Corp., et al. SEC v. Solar Group S.A., et al. SEC v. Mervin George Fiessel, et al. SEC v. World Information Technology, Inc., et al. In the Matter of Vincent Napolitano SEC v. China Energy Savings Technology, Inc., et al. In the Matter of Health Enhancement Products, Inc. In the Matter of Utilitynetcom, Inc. SEC v. Lindsey P Vinson, et al. . SEC v. Howard R. Baer, et al. SEC v. Bennett Environmental, Inc., et al. SEC v. Grand Logistic, S.A., et al. SEC v. Joseph J. Spiegel SEC v. Aleksey Kamardin SEC v. JSC Parex Bank, et al. SEC v. Jaisankar Marimuthu, et al. SEC v. Alexis Ampudia In the Matter of Joseph Depergola In the Matter of Christian Nigro SEC v. Stephen Luskco, et al. In the Matter of Amaranth Advisors LLC SEC v. David Lon Nally SEC v. Peter W. Fisher, et al. SEC v. GLG Partners, L.P . In the Matter of GLG Partners, LP SEC v. Theodore Roxford a/k/a Lawrence David Niren, et al. SEC v. Darrel T. Uselton, et al. SEC v. Marc T. Duchesne, et al. SEC v. FacePrint Global Solutions, Inc., et al. SEC v. Michael Saquella, a/k/a Michael Paloma, et al. SEC v. Terax Energy, Inc., et al. SEC v. Smart Online, Inc., et al. In the Matter of Earl Shawn Casias SEC v. Swiss Re Financial Products Corp. In the Matter of Swiss Re Financial Products Corp. SEC v. Paul Harary, et al. LR-19883 LR-19899 LR-19902 LR-20149 34-55090 LR-19933 33-8758 34-54878 LR-19937 LR-19936 LR-20009 LR-19949 LR-19956 LR-20190 LR-20030 LR-20037 LR-20098 34-55782 34-55820 LR-20097 34-55728 LR-20135 LR-20154 LR-20167 34-55956 LR-20179 LR-20187 LR-20246 LR-20260 LR-20269 LR-20280 LR-20276 34-56447 LR-20289 34-56450 LR-20293 10/25/2006 11/06/2006 11/08/2006 11/14/2006 11/29/2006 12/04/2006 12/04/2006 12/06/2006 12/06/2006 12/06/2006 12/08/2006 12/19/2006 01/04/2007 01/25/2007 03/06/2007 03/12/2007 04/05/2007 04/10/2007 04/10/2007 04/27/2007 05/09/2007 05/31/2007 06/14/2007 06/26/2007 06/26/2007 06/29/2007 07/09/2007 08/16/2007 08/30/2007 09/06/2007 09/12/2007 09/12/2007 09/17/2007 09/18/2007 09/18/2007 09/24/2007 Release No. Date Filed  Name of Case Miscellaneous In the Matter of Amber Schatz, CPA SEC v. Vencent A. Donlan, et al. SEC v. Bert Fingerhut, et al. In the Matter of Berger, Apple & Associates, Ltd., et al. In the Matter of Bray & Associates CPA’s LLC, et al. In the Matter of Bruce Redlin, CPA In the Matter of Bujan & Associates, Ltd, et al. In the Matter of Charles J. Birnberg, CPA In the Matter of Charles R. Hunt, CPA, et al. In the Matter of Dan Clasby & Company, et al. In the Matter of Darilek, Butler & co., P .C., et al. In the Matter of Forbush & Associates, et al. In the Matter of F.X. Duffy & Co., Inc., et al. In the Matter of Harvey S. Weingard, CPA In the Matter of Henry L. Creel Co., et al. In the Matter of Joseph Mao, CPA In the Matter of McNeal, Williamson & Co., et al. In the Matter of Michael C. Lingerman, CPA In the Matter of Milner and Brock, CPA’s et al. In the Matter of Norman Stumacher, CPA In the Matter of Preferred Accounting Services, Inc., et al. In the Matter of Reed & Taylor, CPAs, et al. In the Matter of Sanford H. Feibusch, CPA, PC, et al. In the Matter of United Financial CPA, PC, et al. In the Matter of Carl S. Sanko, CPA In the Matter of Frederick A. Kaden & Co., et al. In the Matter of Halt, Buzas & Powell, Ltd., et al. In the Matter of Schuhalter, Coughlin & Suozzo PC, et al. In the Matter of Story & Company, PC, et al. In the Matter of Andrew M. Smith, CPA In the Matter of Banker & Co, et al. In the Matter of Isaac Gordon, CPA In the Matter of Beutel Accountancy Corp., et al. In the Matter of Michael Deutchman, CPA In the Matter of Choi Dow Ian Hong & Lee Accountancy Corp., et al. In the Matter Randy Simpson, CPA, PC, et al. In the Matter of David M. Winings, CPA, et al. AAER-2587 LR-20218 LR-20118 AAER-2680 AAER-2682 AAER-2683 AAER-2684 AAER-2685 AAER-2686 AAER-2687 AAER-2688 AAER-2690 AAER-2691 AAER-2692 AAER-2693 AAER-2696 AAER-2697 AAER-2698 AAER-2699 AAER-2700 AAER-2701 AAER-2703 AAER-2704 AAER-2705 AAER-2708 AAER-2710 AAER-2711 AAER-2714 AAER-2715 AAER-2678 AAER-2707 AAER-2695 AAER-2681 AAER-2713 AAER-2709 AAER-2702 AAER-2689 03/29/2007 05/03/2007 05/16/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 Release No. Date Filed  Name of Case In the Matter of William E. Costello, CPA In the Matter of Beckman Kirkland & Whitney, et al. In the Matter of Jay J. Shapiro, CPA, et al. In the Matter of Henry Schiffer, CPA, et al. In the Matter of Forbush & Associates, et al. SEC v. Mark Ristow, et al. In the Matter of Trent L. Tucker Municipal Offering In the Matter of Bruce M. Perry In the Matter of City of San Diego, California SEC v. ABC Viaticals, Inc., et al. In the Matter of Anchor National Life Insurance Co. In the Matter of CDR Financial Products Inc. Securities Offering SEC v. Salvatore Favata (aka Sam Favata) SEC v. Pinnacle Development Partners LLC, et al. SEC v. Gari Aldridge, et al. In the Matter of Salvatore Favata (aka Sam Favata) In the Matter of Charles B. Ehrlich In the Matter of Scott W. Brockop In the Matter of Larry Webman, et al. SEC v. International Fiduciary Corp., et al. In the Matter of Byron Nernoff SEC v. Braintree Energy, Inc., et al. SEC v. Platinum Capital Advocates, Inc., et al. SEC v. Crestview Capital Partners, LLC, et al. SEC v. Louis W. Zehil, et al. In the Matter of Christopher Bryan SEC v. Cyberkey Solutions, Inc., et al. SEC v. Global Online Direct, Inc., et al. SEC v. Novus Technologies, LLC, et al. SEC v. Aquacell Batteries, Inc., et al. SEC v. Nu Star Holdings, Inc., et al. SEC v. Michael R. Bretzel, et al. SEC v. Zahra Ghods, et al. In the Matter of Lawrence A. Campbell, et al In the Matter of Donald J. Lakin SEC v. Empire Development Group LLC, et al. LR-19861 LR-19864 LR-19877 34-54683 34-54707 34-55298 34-55291 LR-20208 34-55242 LR-20011 LR-20090 LR-20017 LR-20021 34-55433 LR-20171 LR-20183 LR-20075 LR-20080 LR-20077 LR-20099A LR-20111 33-8851 33-8804 LR-20122 10/06/2006 10/11/2006 10/18/2006 11/01/2006 11/03/2006 11/22/2006 12/01/2006 12/04/2006 02/06/2007 02/20/2007 02/21/2007 02/26/2007 02/28/2007 03/09/2007 03/20/2007 04/05/2007 04/11/2007 04/13/2007 04/18/2007 05/02/2007 05/08/2007 05/11/2007 05/11/2007 05/18/2007 33-8755 33-8751 LR-20035 33-8852 33-8854 11/07/2006 11/14/2006 11/17/2006 09/28/2007 09/28/2007 Release No. AAER-2706 AAER-2679 AAER-2712 AAER-2694 AAER-2690 LR-20292 33-8846 Date Filed 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/13/2007 09/24/2007 09/25/2007 0 Name of Case In the Matter of James Proffitt In the Matter of Luis M. Cornide In the Matter of Robert De La Riva SEC v. Harold S. Longs, et al. In the Matter of Paul E. Knight, et al. In the Matter of William P Sauer . In the Matter of Richard E. Wensel In the Matter of Arthur B. Carlson, III In the Matter of Gary J. Spirk SEC v. Amerifirst Funding, Inc., et al. SEC v. The Hockey Barn LLC, et al. In the Matter of Phil D. Kerley SEC v. TG Capital, et al. SEC v. CEP Holdings, Inc., d/b/a Colonendparenthesis, net., et al. SEC v. AOB Commerce, Inc., et al. SEC v. Global Finance & Investment, Inc., et al. SEC v. Alan D. Libman, a/k/a Damian Vanderhaus In the Matter of Robert Casey Hall SEC v. Phoenixsurf.com, et al. SEC v. Global Asset Partners, LLC, et al. SEC v. Earthly Mineral Solutions, Inc., et al. SEC v. Brian N. Hollnagel, et al. SEC v. Inter Global Technologies, Inc., et al. In the Matter of Todd Diroberto In the Matter of Brain Lee SEC v. Charles O. Morgan, Jr., et al. SEC v. Secure Investment Services, Inc., et al. In the Matter of Jonathan Carman SEC v. James B. Roberts, et al. SEC v. Michael E. Kelly, et al. SEC v. Homeland Communications Corp., et al. SEC v. Real Estate Partners, Inc., et al. SEC v. University Lab Technologies, Inc., et al. SEC v. Gary M. Milby, et al. SEC v. Sure Trace Security Corp., et al. In the Matter of HSBC Bank USA, N.A. In the Matter of David S. Grosky SEC v. Transnational Fund, Inc., et al. In the Matter of Michael Vallone In the Matter of George Beros Release No. 34-55800 34-55844 34-55845 LR-20140 34-55885 34-55948 34-56246 34-56247 34-56248 LR-20236 LR-20195 34-56033 LR-20189 LR-20191 LR-20241 LR-20200 LR-20201 34-56118 LR-20205 LR-20220 LR-20237 LR-20254 LR-20244 34-56282 34-56283 LR-20253 LR-20255 34-56312 LR-20264 LR-20267 LR-20271 LR-20274 LR-20288 LR-20283 LR-20277 33-8844 34-56482 LR-20294 34-56514 34-56520 Date Filed 05/23/2007 06/01/2007 06/01/2007 06/04/2007 06/08/2007 06/25/2007 06/26/2007 06/26/2007 06/26/2007 07/02/2007 07/03/2007 07/09/2007 07/10/2007 07/11/2007 07/12/2007 07/18/2007 07/18/2007 07/23/2007 07/24/2007 08/01/2007 08/09/2007 08/13/2007 08/16/2007 08/17/2007 08/17/2007 08/23/2007 08/23/2007 08/23/2007 08/31/2007 09/05/2007 09/05/2007 09/06/2007 09/12/2007 09/13/2007 09/13/2007 09/19/2007 09/20/2007 09/21/2007 09/24/2007 09/25/2007  Name of Case SEC v. Phillip W. Offill, Jr., et al. SEC v. ProVision Operation Systems, Inc., et al. SEC v. Advance Body Imaging, LP et al. , SEC v. U.S. Pension Trust Corp., et al. Self Regulatory Organization In the Matter of American Stock Exchange LLC In the Matter of Richard Robinson SEC v. James B. Crofwell In the Matter of Boston Stock Exchange, Inc., et al. 34-55507 34-55508 LR-20265 34-56352 03/22/2007 03/22/2007 09/05/2007 09/05/2007 Release No. LR-20302 LR-20301 LR-20309 LR-20315 Date Filed 09/26/2007 09/27/2007 09/27/2007 09/28/2007  Table 4 INVESTIGATIONS OF POSSIBLE VIOLATIONS OF THE ACTS ADMINISTERED BY THE COMMISSION Pending as of October 1, 2006 ................................................................................... 4,146 Opened in Fiscal Year 2007 ............................................................................... 776 Total .............................................................................................................................. 4,922 Closed in Fiscal Year 2007 ................................................................................ 374 Pending as of September 30, 2007 ............................................................................. 4,548 Formal Orders of Investigation Issued in Fiscal Year 2007 ................................................................................. 229 ***** Right to Financial Privacy Section 21(h) of the Securities Exchange Act of 1934 [15 U.S.C. 78u(h)(6)] requires that the Commission “compile an annual tabulation of the occasions on which the Commission used each separate subparagraph or clause of [Section 21(h)(2)] or the provisions of the Right to Financial Privacy Act of 1978 [12 U.S.C. 3401-22 (the RFPA)] to obtain access to financial records of a customer and include it in its annual report to the Congress.” During the fiscal year, the Commission issued no subpoenas under Section 21(h). Set forth below are the number of occasions on which the Commission obtained customer records pursuant to the provisions of the RFPA: Section 1104 (Customer Authorizations) Section 1105 (Administrative Subpoenas) Section 1107 (Judicial Subpoenas) Section 1109 (Delayed Customer Notice) 36 212 5 0  80,000 78,000 76,000 74,000 72,000 70,000 68,000 66,000 64,000 Table 5 SEC Total Investor Contacts by Fiscal Year 76,221 73,481 70,574 77,274 77,174 2003 2004 2005 2006 2007  Table 6 TEN MOST COMMON COMPLAINTS Complaint Type 1 2 3 4 5 6 7 Spam: Unwanted Emails or Faxes Advance Fee Fraud Manipulation of Securities, Prices, or Markets Account Records: Errors or Omissions Transfer of Account Delivery of Funds or Proceeds Account Closing: Problems with Redemption, Liquidation or Closing Short Selling Theft of funds or securities Misrepresentations: Inaccurate or Incomplete Disclosures FY 2007 Totals 1,755 1,706 899 800 781 763 FY 2006 Totals 1,950 2,099 953 773 806 666 Change Down 10% Down 19% Down 6% Up 4% Down 3% Up 15% Rank in 2006 2 1 3 5 4 7 641 604 499 458 719 631 570 426 Down 11% Down 4% Down 13% Up 8% 6 8 n/a n/a 8 9 10  Table 7 UNCONSOLIDATED FINANCIAL INFORMATION FOR BROKER-DEALERS 2002 - 2006 1/ ($ in Millions) Revenues Securities Commissions Gains (Losses) in Trading and Investment Accounts Profits (Losses) from Underwriting and Selling Groups Margin Interest Revenues from Sale of Investment Company Shares All Other Revenues Total Revenues Expenses Registered Representatives’ Compensation (Part II Only) 2/ Other Employee Compensation and Benefits Compensation to Partners and Voting Stockholder Officers Commissions and Clearance Paid to Other Brokers Interest Expenses Regulatory Fees and Expenses All Other Expenses 2/ Total Expenses Income and Profitability Pre-tax Income Pre-tax Profit Margin Pre-tax Return on Equity Assets, Liabilities and Capital Total Assets Liabilities (a) Unsubordinated Liabilities (b) Subordinated Liabilities (c) Total Liabilities Ownership Equity Number of Firms $ 2002 45,001.1 24,240.9 14,698.2 6,439.9 15,654.9 115,775.9 $ 221,811.0 $ 2003 45,539.2 38,808.1 17,163.1 5,261.0 16,200.2 95,984.5 $ 218,956.0 $ $ 2004 47,569.0 30,669.9 19,099.0 6,983.7 18,549.9 120,058.2 $ 242,929.6 $ 2005 46,803.2 30,681.0 19,877.7 13,269.8 20,698.8 201,170.5 $ 332,501.1 $ 2006 49,671.4 55,193.1 23,623.2 23,689.5 23,346.0 282,940.6 $ 458,463.7 $ 27,388.6 43,508.7 3,973.9 $ 28,578.2 44,800.5 4,058.2 $ 29,973.4 50,018.6 3,488.2 31,712.5 53,771.0 3,329.9 18,645.3 140,239.9 1,787.7 61,830.8 311,317.0 21,184.1 6.4% 13.1% $ 36,606.7 63,151.3 3,623.8 15,003.9 56,401.6 1,383.0 58,889.2 $ 206,549.0 $ 15,262.0 6.9% 10.7% 16,293.2 44,443.9 1,515.0 53,611.5 $ 193,300.6 $ 25,655.4 11.7% 17.6% 17,374.6 59,726.0 1,670.2 57,489.7 $ 219,740.7 $ 23,188.9 $ 9.5% 15.0% 21,980.5 226,146.5 1,906.3 66,481.3 $ 419,896.5 $ 38,567.2 8.4% 22.1% $3,261,465.3 3,050,039.2 69,434.0 $3,119,473.0 $ 141,992.5 6,768 $3,980,376.8 3,754,978.7 75,929.5 $3,830,908.2 $ 149,468.6 6,565 $4,830,925.7 4,584,567.8 86,665.6 $4,671,233.4 $ 159,692.3 6,284 $5,215,073.0 4,952,054.3 98,912.6 $5,050,966.9 $ 164,106.1 6,016 $6,221,520.8 5,930,650.0 106,241.0 $6,036,891.0 $ 184,629.7 5,808 Figures may not add due to rounding. 1/ Calendar, rather than fiscal, year data is reported in this table. 2/ Registered representatives’ compensation for firms that neither carry nor clear is included in “other expenses” as this expense item is not reported separately on Part IIA of the FOCUS Report. Source: FOCUS Report  Table 8 UNCONSOLIDATED ANNUAL REVENUES AND EXPENSES FOR BROKER-DEALERS DOING A PUBLIC BUSINESS 2002 - 2006 1/ ($ in Millions) 2002 Revenues Securities Commissions Gains (Losses) in Trading and Investment Accounts Profits (Losses) from Underwriting and Selling Groups Margin Interest Revenues from Sale of Investment Company Shares All Other Revenues Total Revenues Expenses Registered Representatives’ Compensation (Part II only) 2/ Other Employee Compensation and Benefits Compensation to Partners and Voting Stockholder Officers Commissions and Clearance Paid to Other Brokers Interest Expenses Regulatory Fees and Expenses All Other Expenses 2/ Total Expenses Income and Profitability Pre-tax Income Pre-tax Profit Margin Pre-tax Return on Equity Number of Firms $ 44,212.2 20,090.4 14,697.5 6,383.1 15,654.9 111,994.6 $213,032.7 2003 $ 44,868.3 33,747.9 17,163.1 5,252.9 16,200.1 95,559.2 $212,791.5 2004 $ 46,811.5 26,045.4 19,099.0 6,924.4 18,549.9 117,602.0 $235,032.3 2005 $ 46,246.4 25,931.9 19,879.2 13,246.0 20,698.9 195,297.6 $321,300.0 2006 $ 49,159.8 48,217.5 23,627.9 23,687.7 23,346.0 272,325.1 $440,364.0 $ 27,380.5 42,398.2 3,759.8 14,414.5 55,180.0 1,208.5 56,984.7 $201,326.3 $ 11,706.4 5.5% 9.2% 5,394 $ 28,567.6 43,885.8 3,855.3 15,803.2 43,315.8 1,280.5 51,722.7 $188,430.8 $ 24,360.7 11.4% 18.8% 5,301 $ 29,959.0 49,178.7 3,319.3 16,909.9 57,913.6 1,464.3 55,466.3 $214,211.0 $ 20,821.3 8.9% 14.9% 5,231 $31,711.6 52,908.1 3,165.1 18,258.9 136,122.4 1,557.0 59,963.3 $303,686.4 $17,613.6 5.5% 12.0% 5,143 $ 36,604.7 62,146.3 3,449.7 21,479.0 217,923.2 1,632.3 63,809.1 $407,044.2 $ 33,319.8 7.6% 21.3% 5,077 Figures may not add due to rounding. 1/ Calendar, rather than fiscal, year data is reported in this table. 2/ Registered representatives’ compensation for firms that neither carry nor clear is included in “other expenses” as this expense item is not reported separately on Part IIA of the FOCUS Report. Source: FOCUS Report  Table 9 UNCONSOLIDATED BALANCE SHEET FOR BROKER-DEALERS DOING A PUBLIC BUSINESS YEAR-END, 2002 - 2006 1/ ($ in Millions) Assets Cash Receivables from Other Broker-dealers Receivables from Customers Receivables from Non-customers Long Positions in Securities and Commodities Securities and Investments not Readily Marketable Securities Purchased Under Agreements to Resell (Part II only) 2/ Exchange Membership Other Assets 2/ Total Assets Liabilities and Equity Capital Bank Loans Payable Payables to Other Broker-dealers Payables to Non-customers Payables to Customers Short Positions in Securities and Commodities Securities Sold Under Repurchase Agreements (Part II only) 2/ Other Non-subordinated Liabilities 2/ Subordinated Liabilities Total Liabilities Equity Capital Number of firms Figures may not add due to rounding. 2002 $ 47,710.9 $ 2003 50,219.2 2004 $ 64,996.5 1,792,465.9 214,374.0 44,085.5 1,071,660.1 13,489.6 2005 $ 59,502.8 $ 1,941,595.2 202,277.2 28,989.0 1,184,107.5 14,696.7 2006 85,695.8 1,032,041.5 132,739.7 14,237.2 789,608.2 9,729.6 951,803.1 684.5 135,646.5 $3,114,201.2 1,414,127.2 163,107.2 18,124.0 1,004,562.4 11,516.8 2,465,769.3 252,147.2 37,937.7 1,383,270.8 19,615.7 966,629.5 1,189,010.4 675.2 666.5 154,872.6 213,735.9 $3,783,834.1 $4,604,484.3 1,288,647.4 1,342,498.3 769.3 312.1 249,177.4 320,858.9 $4,969,762.5 $5,908,105.6 $ 51,369.7 466,809.3 60,817.5 349,781.6 345,113.0 $ 74,199.5 $ 90,173.4 742,116.9 1,033,641.6 66,146.9 63,782.6 407,244.9 510,339.9 439,384.4 504,689.8 $ 97,655.4 $ 104,855.4 1,018,199.3 1,222,095.1 67,301.4 102,941.8 508,372.3 560,712.9 487,003.6 558,532.3 1,405,679.3 242,125.0 67,966.9 $2,989,662.2 $ 124,539.0 5,394 1,564,762.4 1,801,674.5 280,547.5 370,991.2 74,285.9 84,628.1 $3,648,688.4 $4,459,921.2 $ 135,145.7 5,301 $ 144,563.1 5,231 2,124,355.6 2,579,075.1 421,882.5 510,191.8 96,871.1 104,311.0 $4,821,641.1 $5,742,715.4 $ 148,121.4 $ 165,390.2 5,143 5,077 1/ Calendar, rather than fiscal, year data is reported in this table. 2/ Resale agreements and repurchase agreements for firms that neither carry nor clear are included in “other assets” and “other non-subordinated liabilities,” respectively, as these items are not reported separately on Part IIA of the FOCUS Report. Source: FOCUS Report 28 Table 10 UNCONSOLIDATED REVENUES AND EXPENSES FOR CARRYING/CLEARING BROKER-DEALERS 1/ ($ in Millions) 2005 Dollars Percent of Total Revenues 11.9% 8.4 6.8 4.9 3.9 6.6 0.1 0.7 56.8 100.0% 2006 Dollars $ 34,740.1 42,245.9 22,093.3 23,687.7 12,241.8 21,052.7 212.5 964.7 224,249.3 $381,488.0 Percent of Total Revenues 9.1% 11.1 5.8 6.2 3.2 5.5 0.1 0.3 58.8 100.0% Percent Change 2005-2006 8.1% 85.6 19.9 78.8 16.6 17.7 54.7 -46.2 45.9 41.0% Revenues Securities Commissions Gains (Losses) in Trading and Investment Accounts Profits (Losses) from underwriting and Selling Groups Margin Interest Revenues from Sale of Investment Company Shares Miscellaneous fees Revenues from Research Commodities Revenues All other Revenues Total Revenues Expenses Registered Representatives’ Compensation other Employee Compensation and benefits Compensation to Partners and voting Stockholder officers Commissions and Clearance Paid to other brokers Communications occupancy and Equipment Costs Data Processing Costs Interest Expenses Regulatory fees and Expenses Losses in Error Accounts and bad Debts All other Expenses Total Expenses Income and Profitability Pre-tax Income Pre-tax Profit Margin Pre-tax Return on Equity Number of firms $ 32,136.5 22,757.2 18,431.6 13,246.0 10,502.3 17,889.9 137.4 1,791.5 153,702.0 $270,594.4 $ 31,711.6 39,297.1 996.3 7,261.9 4,993.7 6,327.1 3,492.8 135,534.1 1,304.6 369.4 25,693.4 $256,982.0 11.7% 14.5 0.4 2.7 1.8 2.3 1.3 50.1 0.5 0.1 9.5 95.0% $ 36,604.7 46,937.7 1,026.9 9,597.9 5,555.5 6,426.3 3,722.1 217,163.4 1,352.5 403.4 26,029.6 $354,820.0 9.6% 12.3 0.3 2.5 1.5 1.7 1.0 56.9 0.4 0.1 6.8 93.0% 15.4% 19.4 3.1 32.2 11.3 1.6 6.6 60.2 3.7 9.2 1.3 38.1% $ 13,612.4 5.0% 11.3% 570 5.0% $ 26,668.0 7.0% 20.3% 550 7.0% 95.9% figures may not add due to rounding. 1/ Calendar, rather than fiscal, year data is reported in this table. Note: Includes information for firms doing a public business that carry customer accounts or clear securities transactions. Source: foCuS Report  Table 11 UNCONSOLIDATED BALANCE SHEET FOR CARRYING/CLEARING BROKER-DEALERS 1/ ($ in Millions) 2005 Dollars $ 55,318.4 1,928,910.3 26,380.1 1,825,816.7 76,713.6 202,277.2 27,820.5 1,131,083.2 59,787.9 503,648.1 42,727.3 300,800.0 150,201.3 22,414.1 27,666.7 24,040.4 0.8 13,898.0 1,288,647.4 677.5 210,582.0 $4,859,214.6 Assets Cash Receivables from other broker-dealers (a) Securities failed to Deliver (b) Securities borrowed (c) other Receivables from Customers Receivables from Non-customers Long Positions in Securities and Commodities (a) bankers Acceptances, Certificates of Deposit and Commercial Paper (b) u.S. and Canadian Government obligations (c) State and Municipal Government obligations (d) Corporate obligations (e) Stocks and warrants (f) options (g) Arbitrage (h) other Securities (i) Spot Commodities Securities and Investments Not Readily Marketable Securities Purchased under Agreements to Resell Exchange Membership other Assets Total Assets Liabilities and Equity Capital bank Loans Payable Payables to other broker-dealers (a) Securities failed to Receive (b) Securities Loaned (c) other Payables to Non-customers Payables to Customers Short Positions in Securities and Commodities Securities Sold under Repurchase Agreements other Non-subordinated Liabilities Subordinated Liabilities Total Liabilities Equity Capital Number of firms Percent of Total Assets 1.1% 39.7% 0.5% 37.6 1.6 4.2 0.6 23.3 1.2% 10.4% 0.9% 6.2% 3.1% 0.5% 0.6% 0.5% 0.0% 0.3% 26.5% 0.0% 4.3% 100.0% $ 2006 Dollars 81,461.2 2,451,951.2 44,726.5 2,313,808.9 93,415.8 252,147.2 36,798.2 1,330,128.7 68,607.3 592,977.1 50,605.4 341,789.4 185,705.5 24,271.4 27,350.4 38,909.5 73.9 18,796.1 1,342,498.3 304.4 308,159.9 $5,822,245.1 Percent of Total Assets 1.4% 42.1 0.8 39.7 1.6 4.3 0.6 22.8 1.2 10.2 0.9 5.9 3.2 0.4 0.5 0.7 0.0 0.3 23.1 0.0 5.3 100.0% Percent Change 2005-2006 47.3% 27.1 69.5 26.7 21.8 24.7 32.3 17.6 14.8 17.7 18.4 13.6 23.6 8.3 -1.1 61.9 9137.5 35.2 4.2 -55.1 46.3 19.8% $ 85,420.1 1,002,262.2 31,738.2 917,112.6 53,411.4 65,682.9 508,372.3 470,114.8 2,124,355.6 384,482.8 93,973.2 $4,734,663.8 $ 124,550.8 570 1.8% 20.6% 0.7% 18.9% 1.1% 1.4% 10.5% 9.7% 43.7% 7.9% 1.9% 97.4% 2.6% $ 93,871.2 1,202,872.0 53,379.9 1,092,474.4 57,017.7 102,064.8 560,712.9 540,380.2 1.6% 20.7 0.9 18.8 1.0 1.8 9.6 9.3 44.3 8.6 1.7 97.6% 2.4% 9.9% 20.0 68.2 19.1 6.8 55.4 10.3 14.9 21.4 30.9 8.0 20.0% 11.2% 2,579,075.1 503,242.1 101,507.1 $5,683,725.4 $ 138,519.6 550 figures may not add due to rounding. 1/ Calendar, rather than fiscal, year data is reported in this table. Note: Includes information for firms doing a public business that carry customer accounts or clear securities transactions. Source: foCuS Report 0 Table 12 TRANSACTION ACTIVITY IN EQUITIES, OPTIONS, AND SECURITY FUTURES Market Value of Sales (Millions) Option Exercises and Futures Deliveries $48,331 $49,177 $43,931 $48,415 $53,823 $62,926 $74,729 $100,422 $120,769 $145,159 $233,085 $224,298 $208,935 $281,851 $494,666 $994,531 $1,611,498 307,169 2,501,247 2,175,093 5,493,850 7,793,480 Security Futures Trading1/ Year 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 Total $2,229,226 $2,666,702 $3,148,024 $4,261,937 $4,591,283 $6,321,475 $8,266,339 $11,692,830 $15,164,183 $23,218,783 $36,275,278 $26,138,050 $23,028,157 $22,737,469 $27,875,851 $34,567,253 $43,938,686 Equity Trading $2,153,676 $2,590,422 $3,077,507 $4,179,743 $4,501,577 $6,207,746 $8,123,748 $11,487,872 $14,903,153 $22,813,331 $35,557,087 $25,636,203 $22,657,944 $22,291,534 $27,158,223 $33,222,357 $41,795,886 Calendar Year 2006 Option Trading $27,219 $27,104 $26,586 $33,779 $35,883 $50,803 $67,862 $104,535 $140,261 $260,294 $485,106 $277,549 $161,278 $164,085 $222,962 $350,365 $531,302 AMEX BSE CBOE CHX CMX FINRA ISE NASDAQ NSX NYSE NYSE ARCA, Inc. OneChicago PHLX $721,282 $198,201 $531,195 $448,735 $0 $15,436,174 $524,614 $2,390,330 $467,830 $16,310,889 $6,511,816 $24,508 $373,113 $542,294 $103,314 $18,197 $448,735 $0 $15,436,174 $24 $2,390,330 $467,830 $16,310,889 $6,047,277 $0 $30,822 $45,089 $23,732 $130,451 $0 $0 $0 $131,796 $0 $0 $0 $112,464 $0 $87,772 $133,889 $71,155 $382,547 $0 $0 $0 $392,794 $0 $0 $0 $352,075 $24,508 $254,519 0 0 0 0 4,643 0 0 0 0 0 0 7,788,837 0 Data are the value of all sales of equities and options listed on an exchange or subject to last-sale reporting. Also reported are the value of such options that were exercised, the value of single-stock futures that were delivered, and the number of round turn contracts in single-stock futures traded on an exchange. Specifically excluded are options and futures on indexes. 1/This is the number of round turn contracts, or one purchase and one sale of a contract for future delivery. Security futures began trading in November 2002. Sources: Form R31 for October 2003 and later months. For September 2003 and earlier months, submissions to the SEC by national securities exchanges, the NASD, and the OCC, and various issues of the Nasdaq Factbook.