SEC NEWS DIGEST Issue 2006-114 June 14, 2006 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING - MONDAY, JUNE 19, 2006 - 2:00 P.M. The subject matter of the closed meeting scheduled for Monday, June 19, will be: Formal orders of investigation; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; and Regulatory matters regarding financial institutions. CLOSED MEETING - THURSDAY, JUNE 22, 2006 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, June 22, will be: Formal orders of investigation; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Litigation matters; and Resolution of litigation claims. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS COMMISSION OBTAINS JUDGMENTS AGAINST ISSUER, ITS OFFICER AND SALES AGENTS IN MULTI-MILLION DOLLAR PONZI SCHEME IN SOURTHERN CALIFORNIA The Commission announced that on June 2 U.S. District Judge Virginia A. Phillips issued a final judgment against Daniel Berardi, Jr., Thomas Hawkesworth and Randall W. Harding ordering disgorgement, prejudgment interest, and civil penalties for their roles in perpetrating a Ponzi scheme based in Southern California. The judgment orders Berardi and Hawkesworth, managing members of BBH Resources, LLC, to pay over $11 million in disgorgement, prejudgment interest, and civil penalties. The judgment orders Harding, managing member of JTL Financial Group, LLC, to pay over $17 million in disgorgement, prejudgment interest, and civil penalties. On Feb. 6, 2006, Judge Phillips issued a final judgment against Richard M. Harkless, the managing member of Mx Factors, LLC, and granted the Securities and Exchange Commission's motion for judgment by default against issuer Mx Factors and its sales agents BBH Resources and JTL Financial. The judgment against Harkless permanently enjoins him from future securities law violations and orders him to pay over $42 million in disgorgement, prejudgment interest, and civil penalties. Mx Factors, BBH Resources, and JTL Financial have been under the control of a court-appointed receiver since the Commission's action was filed on Feb. 26, 2004 in federal district court in Riverside, California. The Commission's complaint alleged that the defendants fraudulently induced investors nationwide and in Mexico to invest in Mx Factors' notes, which purportedly paid a "guaranteed" return of 12% in 60 or 90 days. Mx Factors claimed that it would use the investor funds to provide its clients - construction contractors, wholesalers, and manufacturers - with accounts receivable financing, secured by the client's assignment of its accounts receivable. The defendants also represented that investor funds were safe because at least 70% of the receivables were backed or funded by the government. Instead, the Commission alleged, the defendants operated a Ponzi scheme and skimmed investor funds to finance a Mexican crab fishing business, pay personal expenses, and fund overseas bank accounts. In its lawsuit, the Commission obtained an order freezing each of the defendants' assets, an order appointing a permanent receiver over Mx Factors, BBH Resources, and JTL Financial, an order requiring Mx Factors and Harkless to repatriate assets from abroad, and preliminarily enjoining all of the defendants from future violations of the securities registration and antifraud provisions - and preliminarily enjoining defendants BBH Resources, JTL Financial, Berardi, Hawkesworth, and Harding from future violations of the broker-dealer registration provisions - of the federal securities laws, Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In June 2004, Berardi, Hawkesworth and Harding consented to permanent injunctions against future violations of the securities laws as well as permanent bars from associating with any broker dealer. In July 2004, the court issued an order of civil contempt against and bench warrant for the arrest of Harkless for failure to comply with the court's orders in the case. For more information see LR-18599, LR-18619, LR-18779, Rel. No. 34-49944 and Rel. No. 34-49945. [SEC v. Mx Factors, LLC, et al., Case No. EDCV-04- 223-VAP (SGLx) CDCA] (LR-19726) PERMANENT INJUNCTION ASSESSED AGAINST HECTOR GARCIA The Commission announced that on May 30, 2006, the U.S. District Court for the Southern District of Texas entered a Final Judgment against Defendant Hector J. Garcia, based on his consent. In its complaint, the Commission alleged that Garcia, along with twelve other individuals, carried out a manipulation of two stocks, EpicEdge, Inc., and EVTC, Inc. Garcia was charged with violating the antifraud provisions of the federal securities laws; the stock ownership reporting provisions, the securities registration provisions and broker-dealer registration requirements. The complaint also charged Garcia with making, aiding and abetting material false and misleading statements and selling restricted stock. Garcia, without admitting or denying the allegations of the complaint, consented to an order of permanent injunction which permanently restrained and enjoined him from violating, directly or indirectly, Sections 10(b) (and Rule 10b-5 thereunder), 13(d)(1) (and Rules 13d-1 and 13d-2 thereunder), 15(a)(1) and 16(a) (and Rule 16a-3 thereunder) of the Exchange Act; Sections 5 and 17(a) of the Securities Act and Rule 102 of Regulation M under the Exchange Act. Based on the consent, the Court also ordered Garcia to pay disgorgement in the amount of $290,292.73 which was waived based on Garcia's financial condition. [SEC v. Carl R. Rose, et al., Civil Action No. H-04-CV-2799] (LR- 19727) INTERSPEED'S FORMER SENIOR VICE PRESIDENT OF SALES CONVICTED OF SECURITIES AND WIRE FRAUD The Commission announced that on June 9 Arthur A. Goodwin of Plano, Texas was convicted of eight counts of securities and wire fraud following a nine day jury trial prosecuted by the Massachusetts U.S. Attorney's office in federal court in the District of Massachusetts. Goodwin was the former senior vice president of sales at Interspeed, Inc., a now defunct North Andover, Massachusetts Internet hardware developer. Goodwin was convicted of falsely overstating sales at Interspeed by approximately $9 million. Goodwin entered into secret side letter agreements with customers that provided the customers the right to return the goods purportedly sold to them; altered a sales contract for what would have been the company's largest sale in its history; and took other steps to hide the fraudulent nature of sales transactions he arranged. Judge Richard G. Stearns has scheduled sentencing for October 5, 2006. Goodwin faces up to 20 years' imprisonment on each of the four securities fraud counts, together with a fine of up to $5 million and restitution to Interspeed's former shareholders. The Commission previously filed a civil injunctive action for financial fraud against Goodwin and others based on the same conduct. In that action, the Commission alleged that Goodwin and others engaged in a $9 million scheme which inflated sales between 25% and 93% from January to September 2000. The Commission seeks, among other things, civil monetary penalties and an order permanently barring Goodwin from acting as an officer or director of any public company. [U.S. v. Arthur A. Goodwin, USDC District of Massachusetts, No. 03-CR-10197- RGS] (LR-19728) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NYSE Arca-2006-22) submitted by the NYSE Arca, Inc. relating to increasing the maximum weight of certain component stocks in indexes or portfolios underlying investment company units. Publication of the notice is expected in the Federal Register during the week of June 12. (Rel. 34-53971) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2006-069) filed by the National Association of Securities Dealers to extend the pilot relating to Manning price-improvement standards for decimalized securities 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 June 12. (Rel. 34-53972) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NASD-2006-055) submitted by NASD to require members to report all transactions that must be reported to NASD and are subject to a regulatory transaction fee to the Nasdaq Market Center and/or the Trade Reporting and Comparison Service. Publication is expected in the Federal Register during the week of June 12. (Rel. 34-53977) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-3ASR PIER 1 IMPORTS INC/DE, 100 PIER 1 PLACE, FORT WORTH, TX, 76102, 8172526000 - 0 ($165,000,000.00) Debt Convertible into Equity, (File 333-134961 - Jun. 13) (BR. 02A) S-3 MDI, INC., 9725 DATAPOINT DR, SAN ANTONIO, TX, 78229, 210-582-2664 - 0 ($3,453,450.00) Equity, (File 333-134962 - Jun. 13) (BR. 10B) SB-2 CANEUM INC, 170 NEWPORT CENTER DRIVE, SUITE 220, NEWPORT BEACH, CA, 92660, 949-273-4000 - 17,859,545 ($14,763,385.30) Equity, (File 333-134963 - Jun. 13) (BR. 08A) S-3 CHASE FUNDING INC, 300 TICE BLVD, WOODCLIFF LAKE, NJ, 07675, 7322050600 - 0 ($1,000.00) Debt, (File 333-134964 - Jun. 13) (BR. 05D) S-3 ALLOS THERAPEUTICS INC, 11080 CIRCLEPOINT ROAD, SUITE 200, WESTMINSTER, CO, 80020, 3034266262 - 0 ($100,000,000.00) Other, (File 333-134965 - Jun. 13) (BR. 01C) S-8 AMERICAN ENTERPRISE DEVELOPMENT CORP, 1240 BLALOCK RD, SUITE 150, HOUSTON, TX, 77055, 713-266-3700 - 6,000,000 ($12,000,000.00) Equity, (File 333-134966 - Jun. 13) (BR. 17) SB-2 MAINSTREET BANKSHARES INC, 730 E CHURCH ST STE 12, PO BOX 1224, MARTINSVILLE, VA, 24114, 5406328054 - 0 ($2,565,431.00) Equity, (File 333-134967 - Jun. 13) (BR. 07A) S-1 East India CO Acquisition Corp., 40 WEST 25TH STREET, NEW YORK, NY, 10010, 212-400-6100 - 0 ($126,186,200.00) Equity, (File 333-134968 - Jun. 13) (BR. 09) SB-2 LIGHTING SCIENCE GROUP CORP, 2100 MCKINNEY AVENUE, SUITE 1555, DALLAS, TX, 75201, 2143823630 - 48,998,987 ($5,646,342.47) Equity, (File 333-134969 - Jun. 13) (BR. 10B) S-8 GUITAR CENTER INC, 8187358800 - 0 ($33,341,000.00) Equity, (File 333-134971 - Jun. 13) (BR. 02A) S-8 LITEWAVE CORP, 1220 EASTVIEW ROAD, SUITE 100, NORTH VANCOUVER BC, CANADA, A1, V7J 1L6, 6046757637 - 4,000,000 ($800,000.00) Equity, (File 333-134972 - Jun. 13) (BR. 04B) S-8 NORTHWEST NATURAL GAS CO, 220 NW SECOND AVE, PORTLAND, OR, 97209, 5032264211 - 0 ($6,946,000.00) Equity, (File 333-134973 - Jun. 13) (BR. 02B) S-8 PSYCHEMEDICS CORP, 125 NAGOG PARK, ACTON, MA, 01720, 978-206-8220 - 250,000 ($4,370,000.00) Equity, (File 333-134974 - Jun. 13) (BR. 09B) S-8 LEVITT CORP, 2100 WEST CYPRESS CREEK ROAD, FORT LAUDERDALE, FL, 33309, 954-940-4950 - 0 ($22,725,000.00) Equity, (File 333-134975 - Jun. 13) (BR. 08A) S-8 SOVEREIGN BANCORP INC, 2000 MARKET ST, PHILADELPHIA, PA, 19103, 2155574630 - 194,844 ($4,263,186.72) Non-Convertible Debt, (File 333-134976 - Jun. 13) (BR. 07C) S-8 CANDELA CORP /DE/, 530 BOSTON POST RD, WAYLAND, MA, 01778, 5083587400 - 0 ($26,935,383.90) Equity, (File 333-134977 - Jun. 13) (BR. 10A) SB-2 Baseline Oil & Gas Corp., 16161 COLLEGE OAK, SUITE 101, SAN ANTONIO, TX, 78249, 210-408-6019 EXT 2 - 16,923,408 ($41,462,350.00) Equity, (File 333-134978 - Jun. 13) (BR. 04C) S-8 ORTHOLOGIC CORP, 1275 WEST WASHINGTON STREET, TEMPE, AZ, 85281, 6024375520 - 2,000,000 ($3,540,000.00) Equity, (File 333-134980 - Jun. 13) (BR. 01B) S-8 NUVELO INC, 201 INDUSTRIAL ROAD, SUITE 310, SAN CARLOS, CA, 94070-6211, 650-517-8000 - 4,700,000 ($75,905,000.00) Equity, (File 333-134981 - Jun. 13) (BR. 01B) S-4 VITAMIN SHOPPE INDUSTRIES, 4700 WESTSIDE AVENUE, NORTH BERGEN, NJ, 07047, 2018667711 - 165,000,000 ($165,000,000.00) Non-Convertible Debt, (File 333-134983 - Jun. 13) (BR. ) S-3 FEI CO, 5350 NE DAWSON CREEK DRIVE, HILLSBORO, OR, 97124, 5037267500 - 0 ($118,737,500.00) Debt Convertible into Equity, (File 333-134984 - Jun. 13) (BR. 10B) F-3 ASTRIS ENERGI INC, 2175 DUNWIN DR, UNIT 6, MISSISSAUGA ONTARIO, A6, 9056082000 - 108,285,798 ($4,824,899.00) Equity, (File 333-134985 - Jun. 13) (BR. 10A) S-3ASR HORTON D R INC /DE/, D.R. HORTON TOWER, 301 COMMERCE STREET, SUITE 500, FORT WORTH, TX, 76102, 8173908200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-134986 - Jun. 13) (BR. 06C) SB-2 TETRAGENEX PHARMACEUTICALS, INC., 1 MAYNARD DRIVE, SUITE 205, PARK RIDGE, NJ, 07656, (201) 505-1300 - 0 ($38,329,434.35) Equity, (File 333-134987 - Jun. 13) (BR. ) S-4 QUANTUM CORP /DE/, 1650 TECHNOLOGY DR, SUITE 700, SAN JOSE, CA, 95110, 4089444000 - 0 ($684,795,387.46) Equity, (File 333-134988 - Jun. 13) (BR. 03B) SB-2 PointStar Entertainment Corp., SUITE 1211, 3408 CROWLEY DRIVE, VANCOUVER, A1, V5R 6C3, 604-288-9300 - 700,000 ($70,000.00) Equity, (File 333-134990 - Jun. 13) (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 450 Fifth Street, N.W., Washington, D.C. 20549 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 ------------------------------------------------------------------------------------------------------- ACCESS INTEGRATED TECHNOLOGIES INC DE 2.02,9.01 06/12/06 AdAl Group Inc. DE 5.02 03/01/06 Adams Respiratory Therapeutics, Inc. DE 2.01 06/12/06 ADEPT TECHNOLOGY INC CA 1.01,5.02,9.01 06/13/06 ADUDDELL INDUSTRIES INC CO 5.02 06/07/06 ADVANCED MEDICAL OPTICS INC DE 1.01,2.03,3.02,9.01 06/07/06 ADVANCIS PHARMACEUTICAL CORP 1.01 06/07/06 AFFILIATED COMPUTER SERVICES INC DE 7.01,9.01 06/12/06 ALCAN INC A6 7.01,9.01 06/13/06 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 06/12/06 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 06/12/06 Allied Security Holdings LLC DE 1.01,8.01,9.01 06/13/06 ALLOS THERAPEUTICS INC DE 8.01,9.01 06/13/06 Altus Pharmaceuticals Inc. DE 5.02 06/09/06 AMCOMP INC /FL DE 1.01,9.01 06/07/06 AMERICAN CLAIMS EVALUATION INC NY 2.02,9.01 06/13/06 AMERICAN HOMEPATIENT INC DE 8.01,9.01 06/07/06 AMERICAN PHYSICIANS CAPITAL INC MI 9.01 04/27/06 AMEND AMERICANWEST BANCORPORATION WA 7.01 06/12/06 AMERISTAR CASINOS INC NV 5.02,9.01 06/09/06 AMICAS, Inc. DE 1.01 06/13/06 AMSURG CORP TN 7.01,9.01 06/13/06 ANAREN INC NY 1.01,5.02,9.01 05/17/06 APEX SILVER MINES LTD 1.01,5.02 06/10/06 APOLLO INVESTMENT CORP MD 7.01 06/09/06 APPLIED MATERIALS INC /DE DC 1.01,5.02,7.01,9.01 06/13/06 ARADYME CORP DE 7.01,9.01 06/12/06 ARAMARK CORP/DE DE 1.01,9.01 06/07/06 ARENA PHARMACEUTICALS INC DE 8.01 06/12/06 Arlington Tankers Ltd. D0 4.01,9.01 10/21/05 ASCENDANT SOLUTIONS INC DE 1.01,2.03,9.01 06/08/06 ASCENDIA BRANDS, INC. DE 2.06,7.01,8.01,9.01 06/13/06 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 06/12/06 Asia Automotive Acquisition Corp. DE 8.01,9.01 06/12/06 ATLAS AMERICA INC DE 7.01 06/09/06 ATLAS PIPELINE PARTNERS LP DE 7.01 06/09/06 AUTOLIV INC DE 5.02 06/13/06 AUTOZONE INC NV 1.01,9.01 06/08/06 AVALON PHARMACEUTICALS INC 1.01,9.01 06/09/06 AVONDALE INC GA 1.02 06/09/06 BACK YARD BURGERS INC DE 8.01,9.01 06/09/06 BANCSHARES OF FLORIDA INC FL 8.01,9.01 05/10/06 Baseline Oil & Gas Corp. NV 8.01,9.01 06/08/06 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 06/13/06 BEST BUY CO INC MN 2.02,9.01 06/13/06 BILL BARRETT CORP 7.01,9.01 06/12/06 BISYS GROUP INC DE 2.02 06/12/06 BLACK HILLS CORP /SD/ SD 5.02,8.01 06/08/06 BlueLinx Holdings Inc. DE 7.01,9.01 06/13/06 BOUNDLESS CORP DE 1.03,9.01 06/09/06 Bristow Group Inc DE 2.02,9.01 06/08/06 BROADCOM CORP CA 8.01,9.01 06/12/06 BROOKFIELD HOMES CORP DE 1.01 06/12/06 BUCKEYE VENTURES, INC. MI 2.01,3.02,5.01,5.02, 03/31/06 AMEND 5.03,8.01,9.01 BUILD A BEAR WORKSHOP INC DE 7.01,9.01 06/13/06 BUSINESS OBJECTS S.A. 1.01,3.03,5.03,9.01 06/07/06 CA, INC. DE 5.04,9.01 06/13/06 CA, INC. DE 1.01 06/07/06 CARDINAL COMMUNICATIONS, INC NV 7.01,9.01 06/08/06 CAREER EDUCATION CORP DE 8.01,9.01 06/12/06 CASEYS GENERAL STORES INC IA 2.02,9.01 06/13/06 CCI GROUP INC UT 1.01,8.01,9.01 06/07/06 CELEBRATE EXPRESS, INC. 1.01 06/08/06 CIGNA CORP DE 7.01 06/13/06 CIPHERGEN BIOSYSTEMS INC DE 1.01 06/07/06 Cirracor Inc NV 1.01,9.01 06/07/06 CIRTRAN CORP NV 1.01,2.01,2.03,9.01 06/07/06 COBIZ INC CO 7.01,9.01 06/13/06 Cogdell Spencer Inc. MD 8.01,9.01 03/30/06 AMEND COGNIZANT TECHNOLOGY SOLUTIONS CORP 8.01,9.01 06/13/06 COHERENT INC DE 1.01 06/07/06 COHERENT INC DE 1.01 06/07/06 AMEND COMMERCE ENERGY GROUP INC DE 2.02,9.01 06/13/06 COMMERCE GROUP INC /MA MA 1.01 06/09/06 CONTINENTAL MATERIALS CORP DE 1.01,2.03,8.01,9.01 06/08/06 CREDIT & ASSET REP VEHICLE CORP ALLST DE 8.01,9.01 06/01/06 CREDIT & ASSET REP VEHICLE CORP KEYCO DE 8.01,9.01 06/01/06 Credit Suisse Commercial Mortgage Tru DE 8.01,9.01 05/30/06 CUISINE SOLUTIONS INC DE 1.01,9.01 06/07/06 CV THERAPEUTICS INC DE 1.01,8.01,9.01 06/07/06 CV THERAPEUTICS INC DE 1.01,9.01 06/07/06 CYBEX INTERNATIONAL INC NY 7.01,9.01 06/12/06 DELPHI CORP DE 5.02,9.01 06/07/06 DIAMONDHEAD CASINO CORP DE 8.01 06/12/06 DIGITAL RECORDERS INC NC 1.01,5.02,7.01 06/09/06 DILLARDS INC DE 1.01,9.01 06/12/06 DND TECHNOLOGIES INC NV 1.02,9.01 06/01/06 DOBSON COMMUNICATIONS CORP OK 1.01,9.01 06/07/06 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01 06/07/06 EDGE PETROLEUM CORP DE 1.01,8.01 06/07/06 ELECTRIC CITY CORP DE 3.03,8.01,9.01 06/12/06 ELINE ENTERTAINMENT GROUP INC NV 7.01,9.01 06/12/06 ELINEAR INC DE 4.02 04/26/06 AMEND Emerge Capital Corp DE 5.02 06/05/06 EMERSON ELECTRIC CO MO 5.02,9.01 06/09/06 EMPIRE DISTRICT ELECTRIC CO KS 8.01,9.01 06/13/06 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 06/13/06 ENERGY EAST CORP NY 8.01 06/12/06 ENERGY PARTNERS LTD DE 1.01,9.01 06/02/06 ENSTAR GROUP INC GA 8.01 06/07/06 Entertainment Is Us, Inc. DE 5.02,9.01 06/08/06 EOG RESOURCES INC DE 7.01 06/13/06 Federal Home Loan Bank of Atlanta X1 2.03 06/07/06 Federal Home Loan Bank of Boston X1 2.03 06/07/06 Federal Home Loan Bank of Chicago X1 2.03 06/13/06 Federal Home Loan Bank of Chicago X1 2.03 06/07/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/07/06 Federal Home Loan Bank of Dallas 2.03 06/07/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/07/06 Federal Home Loan Bank of New York X1 2.03,9.01 06/07/06 Federal Home Loan Bank of San Francis X1 2.03 06/07/06 Federal Home Loan Bank of Seattle 2.03 06/13/06 FIA Card Services, National Associati DE 8.01,9.01 06/10/06 FIFTH THIRD BANCORP OH 7.01,9.01 06/13/06 FOAMEX INTERNATIONAL INC DE 5.02,9.01 06/07/06 FULLER H B CO MN 8.01,9.01 06/09/06 GAMING & ENTERTAINMENT GROUP INC UT 4.02,9.01 04/17/06 AMEND GEMSTAR TV GUIDE INTERNATIONAL INC DE 8.01,9.01 06/13/06 GENERAL DYNAMICS CORP DE 2.01,9.01 06/08/06 General Finance CORP DE 8.01,9.01 06/13/06 GETTY IMAGES INC DE 5.02 06/12/06 GLADSTONE INVESTMENT CORPORATION\DE DE 8.01,9.01 06/13/06 GLATFELTER P H CO PA 8.01 06/07/06 GLOBAL CASINOS INC UT 3.02,9.01 06/09/06 GLOBAL ECO-LOGICAL SERVICES INC FL 2.01,5.02,8.01,9.01 03/17/02 GLOBAL GREEN SOLUTIONS INC. WA 3.02 06/07/06 GLOBALSCAPE INC DE 5.02,7.01,9.01 06/13/06 GOLDMAN SACHS GROUP INC/ DE 2.02,8.01,9.01 06/13/06 GREENMAN TECHNOLOGIES INC DE 3.01,9.01 06/07/06 GREENSHIFT CORP DE 2.01,8.01 06/07/06 GWIN INC DE 7.01 06/08/06 GWIN INC DE 7.01 06/12/06 H&R BLOCK INC MO 1.01 06/07/06 HARDINGE INC NY 1.01,9.01 06/07/06 HEALTH NET INC DE 7.01 06/13/06 HEALTHCARE REALTY TRUST INC MD 1.01,9.01 06/09/06 HEALTHWAYS, INC DE 7.01,9.01 06/13/06 HEMOBIOTECH INC 8.01,9.01 06/12/06 HERITAGE BANKSHARES INC /VA VA 2.02,7.01,9.01 06/12/06 Hiland Partners, LP 1.01,2.03,9.01 06/08/06 HOLLYWOOD MEDIA CORP FL 1.01,3.02,9.01 06/13/06 HORIZON OFFSHORE INC DE 7.01,8.01,9.01 06/09/06 HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 06/12/06 House of Taylor Jewelry, Inc. NV 9.01 06/13/06 HOUSTON EXPLORATION CO DE 7.01,9.01 06/12/06 HUGO INTERNATIONAL TELECOM INC DE 1.01,2.01,3.02,5.03 06/07/06 HUMANA INC DE 7.01 06/13/06 IA GLOBAL INC DE 8.01 06/09/06 IDAHO GENERAL MINES INC ID 8.01,9.01 06/06/06 IGIA, Inc. DE 1.01,2.03,3.02,9.01 06/07/06 ILINC COMMUNICATIONS INC DE 1.01,3.02,9.01 06/09/06 IMMUNOGEN INC MA 1.01,9.01 06/08/06 Index Oil & Gas Inc. NV 1.01,2.01,3.02,5.01,5.02, 01/20/06 AMEND 5.03,5.06,9.01 INSMED INC VA 8.01,9.01 06/13/06 instaCare Corp. NV 4.02 03/27/06 AMEND INTERACTIVE DATA CORP/MA/ DE 1.01,5.02,9.01 06/13/06 INTERLINE BRANDS INC 1.01,3.03,8.01,9.01 06/07/06 INTERLINE BRANDS, INC./DE DE 1.01,3.03,8.01,9.01 06/07/06 INTERNATIONAL BUSINESS MACHINES CORP NY 8.01 06/13/06 International Gold Resources, Inc. 4.01 06/12/06 INTEVAC INC CA 7.01,9.01 06/13/06 INTRUSION INC DE 8.01,9.01 06/12/06 INVERNESS MEDICAL INNOVATIONS INC DE 8.01 06/07/06 ITRONICS INC TX 8.01,9.01 06/06/06 J P MORGAN CHASE & CO DE 9.01 06/09/06 J.P. Morgan Mortgage Trust 2006-A4 DE 8.01,9.01 06/12/06 JABIL CIRCUIT INC DE 2.02,9.01 06/12/06 K TRONIK INTERNATIONAL CORP 5.02,9.01 06/13/06 KANA SOFTWARE INC DE 1.01,9.01 06/07/06 KEANE INC MA 1.01,9.01 06/08/06 KONIGSBERG CORP NV 1.01,9.01 05/31/06 KULICKE & SOFFA INDUSTRIES INC PA 1.01,1.02,2.03 06/07/06 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 06/13/06 LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 06/13/06 LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,8.01,9.01 06/07/06 LEXICON GENETICS INC/TX DE 1.01,9.01 06/12/06 LIFE SCIENCES RESEARCH INC MD 1.01,9.01 06/08/06 LONGS DRUG STORES CORP MD 7.01,9.01 06/12/06 MAD CATZ INTERACTIVE INC 5.02,9.01 06/08/06 MAD CATZ INTERACTIVE INC 2.02,9.01 06/08/06 AMEND MAGUIRE PROPERTIES INC MD 1.01,9.01 06/11/06 MANTECH INTERNATIONAL CORP DE 5.02,9.01 06/08/06 MARINEMAX INC DE 1.01,9.01 06/13/06 MARSH & MCLENNAN COMPANIES, INC. DE 8.01,9.01 06/13/06 MASTERCARD INC DE 1.01,5.02 06/07/06 MASTR Asset Securitization Trust 2006 DE 8.01,9.01 06/13/06 MATRITECH INC/DE/ DE 1.01,5.03,8.01,9.01 06/09/06 MAVERICK TUBE CORP DE 1.01,8.01,9.01 06/12/06 MAX RE CAPITAL LTD 8.01,9.01 06/08/06 MERCHANTS GROUP INC DE 1.01,7.01,9.01 06/13/06 MERCURY INTERACTIVE CORP DE 8.01,9.01 06/13/06 MEXICAN RESTAURANTS INC TX 4.01,9.01 06/09/06 MICREL INC CA 8.01 06/13/06 MICRON ENVIRO SYSTEMS INC NV 8.01 06/12/06 MICROVISION INC WA 5.02 06/09/06 MITCHAM INDUSTRIES INC TX 2.02,9.01 06/13/06 MMC ENERGY, INC. NV 1.01 06/07/06 MODERN MEDICAL MODALITIES CORP NY 5.02 06/13/06 MODERN TECHNOLOGY CORP NV 5.02 06/12/06 MONTEREY GOURMET FOODS DE 1.01,3.02,8.01,9.01 06/12/06 MONTPELIER RE HOLDINGS LTD D0 1.01,9.01 06/09/06 MORTGAGEBROKERS.COM HOLDINGS, INC. DE 1.01,3.02,8.01 06/09/06 MSC INDUSTRIAL DIRECT CO INC NY 1.01,2.01,2.03,9.01 06/08/06 MTI TECHNOLOGY CORP DE 1.02 06/07/06 MTS MEDICATION TECHNOLOGIES, INC /DE/ DE 4.02,9.01 06/13/06 NATIONAL HEALTH INVESTORS INC MD 8.01 06/12/06 NATIONAL HEALTH REALTY INC MD 8.01 06/12/06 NATIONAL MENTOR HOLDINGS, INC. DE 1.01,8.01,9.01 06/12/06 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 3.02,8.01,9.01 06/09/06 NAVTECH INC DE 5.02 06/07/06 NCT GROUP INC DE 5.02 06/08/06 NEOPHARM INC DE 1.01,5.02,9.01 06/07/06 NEWPARK RESOURCES INC DE 1.01,9.01 06/07/06 NEWS CORP 8.01,9.01 06/13/06 NEXEN INC A0 8.01 06/12/06 NOBILITY HOMES INC FL 2.02,9.01 06/08/06 NORTH BAY BANCORP/CA CA 4.01 06/09/06 NOVASTAR FINANCIAL INC MD 2.03,9.01 06/08/06 NOVASTAR RESOURCES LTD. NV 1.01,3.02,9.01 06/05/06 Novelis Inc. A6 7.01,9.01 06/13/06 NS8 CORP DE 1.01 06/13/06 NTS REALTY HOLDINGS LP DE 8.01,9.01 06/13/06 NYFIX INC DE 8.01,9.01 06/13/06 OMNI MEDICAL HOLDINGS INC UT 5.02,9.01 06/07/06 ORIENTAL FINANCIAL GROUP INC PR 5.02 05/18/06 PACIFIC ENERGY PARTNERS LP 1.01,9.01 06/12/06 PanAmSat Holding CORP DE 8.01,9.01 06/13/06 PARALLEL PETROLEUM CORP DE 9.01 03/29/06 AMEND PATHMARK STORES INC DE 1.01,5.02,9.01 06/08/06 PECO II INC OH 1.01,2.01,3.02,5.02,7.01,9.01 03/28/06 AMEND PEOPLES COMMUNITY BANCORP INC /MD/ MD 2.01,9.01 06/09/06 PERRY ELLIS INTERNATIONAL INC FL 1.01,9.01 06/07/06 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 06/13/06 PHARMOS CORP NV 7.01,8.01,9.01 06/13/06 PLACER SIERRA BANCSHARES CA 1.01,2.01,2.03,5.02,9.01 06/07/06 POINT THERAPEUTICS INC DE 8.01,9.01 06/12/06 PORTEC RAIL PRODUCTS INC WV 8.01,9.01 06/08/06 PRECIS INC OK 7.01,9.01 06/13/06 PRESSTEK INC /DE/ DE 8.01 06/13/06 PROCERA NETWORKS INC NV 4.01,9.01 06/07/06 PROQUEST CO DE 5.02 06/13/06 PROTECTIVE LIFE INSURANCE CO TN 9.01 06/08/06 PRUDENTIAL FINANCIAL INC NJ 5.02,9.01 06/13/06 QLT INC/BC A1 5.02,9.01 06/13/06 QUEST RESOURCE CORP NV 7.01,9.01 06/12/06 QUEST RESOURCE CORP NV 7.01,9.01 06/12/06 RADVIEW SOFTWARE LTD 5.02 06/11/06 RADYNE CORP DE 1.01,9.01 06/07/06 RAIT INVESTMENT TRUST MD 1.01,9.01 06/08/06 RANCHER ENERGY CORP. NV 1.01 06/12/06 RECKSON ASSOCIATES REALTY CORP MD 1.01,8.01,9.01 06/12/06 RELIANT HOME WARRANTY CORP FL 1.01,9.01 06/08/06 RENT WAY INC PA 8.01 06/06/06 RESPIRONICS INC DE 1.01 06/09/06 Rockville Financial Inc. 1.01,9.01 06/07/06 RSA SECURITY INC/DE/ DE 8.01,9.01 06/12/06 S&P MANAGED FUTURES INDEX FUND LP DE 5.02,8.01 06/08/06 S3 INVESTMENT COMPANY, INC. CA 1.01,3.02 06/02/06 SALEM COMMUNICATIONS CORP /DE/ DE 7.01 06/09/06 SCIENTIFIC ENERGY INC UT 4.01 06/09/06 SEAWRIGHT HOLDINGS INC DE 4.02 04/24/06 AMEND SECURITY FEDERAL CORPORATION SC 1.01,3.02,7.01,9.01 06/09/06 Select Notes Trust LT 2004-1 DE 8.01,9.01 06/01/06 SEPRACOR INC /DE/ DE 8.01 06/07/06 SHUMATE INDUSTRIES INC DE 5.02 06/07/06 SIGA TECHNOLOGIES INC DE 1.01,9.01 06/08/06 SIGA TECHNOLOGIES INC DE 8.01,9.01 06/09/06 SILGAN HOLDINGS INC DE 5.02,5.03,9.01 06/07/06 SILVER DRAGON RESOURCES, INC. DE 3.02,9.01 06/07/06 SINA CORP 1.01,5.02 06/07/06 SIRVA INC DE 1.01,9.01 06/07/06 SKINVISIBLE INC NV 1.01,9.01 02/21/05 AMEND SKINVISIBLE INC NV 1.01,9.01 05/04/05 AMEND SKYTERRA COMMUNICATIONS INC DE 8.01,9.01 06/12/06 SMART VIDEO TECHNOLOGIES INC 3.02,9.01 06/08/06 SMURFIT STONE CONTAINER CORP DE 1.01,9.01 06/09/06 SOLECTRON CORP DE 1.01 06/07/06 Solexa, Inc. DE 1.01,9.01 06/07/06 SONICWALL INC CA 8.01,9.01 06/09/06 SOURCE INTERLINK COMPANIES INC DE 2.02,7.01,9.01 06/08/06 SOUTHWESTERN ENERGY CO AR 8.01,9.01 06/13/06 SOVEREIGN BANCORP INC PA 8.01,9.01 06/13/06 Specialty Underwriters Alliance, Inc. DE 1.01,9.01 06/12/06 SPHERE OF LANGUAGE 1.01,5.02 05/22/06 StatSure Diagnostic Systems, Inc. DE 1.01,3.02,9.01 06/08/06 STEPHAN CO FL 7.01,8.01,9.01 06/08/06 STRATEGIC HOTELS & RESORTS, INC 1.01,5.02,9.01 06/09/06 STRUCTURED PRODUCTS CORPTIERS PRINC P DE 8.01 05/23/06 SUB SURFACE WASTE MANAGEMENT OF DELAW DE 7.01,9.01 06/07/06 SUMTOTAL SYSTEMS INC DE 1.01 06/09/06 SUN HEALTHCARE GROUP INC DE 1.01,9.01 05/25/06 SUNRISE USA INC NV 1.01,9.01 06/07/06 Sutura, Inc. 1.01,2.03,3.02,8.01,9.01 06/07/06 SYMANTEC CORP DE 8.01,9.01 06/12/06 SYSCAN IMAGING INC DE 5.02,9.01 06/13/06 TARGET LOGISTICS INC DE 8.01,9.01 06/13/06 TENNECO INC DE 7.01,9.01 06/12/06 TEXAS REGIONAL BANCSHARES INC TX 8.01,9.01 06/12/06 TEXAS REGIONAL BANCSHARES INC TX 1.01,9.01 06/12/06 AMEND TEXHOMA ENERGY INC 1.01,9.01 06/08/06 TEXOLA ENERGY CORP NV 8.01,9.01 06/12/06 TransDigm Group INC DE 8.01,9.01 06/08/06 TRANSDIGM INC 8.01,9.01 06/08/06 TTM TECHNOLOGIES INC WA 7.01,9.01 06/13/06 TUESDAY MORNING CORP/DE DE 2.02,9.01 06/12/06 UNITED COMPANIES CORP 1.01,9.01 06/02/06 UNITED MORTGAGE TRUST MD 1.02,5.02,9.01 06/07/06 UNITED NATIONAL FILM CORP CO 4.01,9.01 06/06/06 UNIVERSAL COMMUNICATION SYSTEMS INC NV 1.01,2.01,9.01 06/07/06 UNIVERSAL FOOD & BEVERAGE COMPNY NV 4.02 06/08/06 URANERZ ENERGY CORP. NV 1.01 06/07/06 USA TECHNOLOGIES INC PA 7.01 06/07/06 VELOCITY ASSET MANAGEMENT INC DE 4.01,9.01 06/12/06 VIASPACE Inc. NV 8.01,9.01 06/12/06 VICAL INC DE 4.01,9.01 06/02/06 AMEND Vistula Communications Services, Inc. DE 1.01,2.01,7.01,9.01 06/07/06 VITAL IMAGES INC MN 8.01 06/12/06 VITALSTREAM HOLDINGS INC NV 1.01,9.01 06/07/06 VOIP INC 7.01,9.01 06/13/06 VOUGHT AIRCRAFT INDUSTRIES INC 5.02 06/07/06 VSB BANCORP INC NY 8.01,9.01 06/13/06 Vyteris Holdings (Nevada), Inc. NV 1.01,2.03 06/08/06 WERNER ENTERPRISES INC NE 2.03 06/07/06 WILLIAMS COMPANIES INC DE 7.01,9.01 06/13/06 WILLIS GROUP HOLDINGS LTD D0 8.01,9.01 06/08/06 WINDSWEPT ENVIRONMENTAL GROUP INC DE 1.01,9.01 06/12/06 WOLVERINE TUBE INC DE 1.01,2.03,7.01,9.01 06/09/06 WORLD AIR HOLDINGS, INC. 5.02 06/13/06 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,5.03,9.01 06/13/06 ZIX CORP TX 8.01 06/13/06