SEC NEWS DIGEST Issue 2002-193 October 4, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING - THURSDAY, OCTOBER 10, 2002 - 2:30 P.M. The subject matter of the closed meeting scheduled for Thursday, October 10, will be: Institution and settlement of injunctive actions; and Institution of administrative proceedings of an enforcement nature. 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) 942-7070. ENFORCEMENT PROCEEDINGS SEC CHARGES FORMER NEW JERSEY INVESTMENT ADVISER IN AFFINITY FRAUD On October 3, the Commission filed a Complaint in the United States District Court for the Southern District of New York charging Dominique S. Alvieri, an investment adviser, and Diversified Financial Corporation, a corporation that Alvieri controlled, with perpetrating an affinity fraud targeted at members of the ethnic Croatian community residing in northern New Jersey. Alvieri fraudulently induced at least three of his advisory clients to purchase at least $555,800 worth of shares of either the Diversified Financial Fund or the Diversified Equity Fund, both of which Alvieri knew did not exist. Alvieri misrepresented to his clients that he was the adviser to the Funds and that, through the Funds, he would invest his clients' assets in publicly traded securities. In fact, Alvieri misappropriated his clients' monies and, after March 1999, fled the United States. Named in the complaint are: Alvieri, a 34 year old, former resident of Little Ferry, New Jersey. Diversified, a Cayman Islands corporation used by Alvieri to conduct his investment advisory business. The complaint alleges that, between December 1996 and March 1999, Alvieri and, through Alvieri, Diversified used fraudulent misrepresentations and omissions of material fact to induce at least three advisory clients-all ethnic Croatians residing in northern New Jersey-into purchasing a total of at least $555,800 of shares of two investment funds, the Financial Fund and the Equity Fund, both of which Alvieri knew did not exist. Alvieri falsely represented to the clients that as manager of the Funds' portfolio of securities, he would invest all of the client proceeds in publicly traded securities. In fact, Alvieri and Diversified misappropriated the money that Alvieri received from his clients for investment in the Funds. None of the $555,800 raised was invested, or otherwise used for the benefit of the supposed Funds or the clients. To induce additional investments in the Funds and conceal the fraud, Alvieri and Diversified engaged in further wrongdoing, including providing the clients with falsified monthly account statements that baselessly reported that the Funds were generating steady returns and telling at least one client that his investment was on deposit in a Financial Fund account at a broker-dealer that did not exist. Beginning in March 1999, Alvieri stopped providing monthly account statements, failed to return any client proceeds, and fled the United States. The complaint alleges that Alvieri and Diversified: (i) engaged in securities fraud in violation of Section 17(a) of the Securities Act of 1933, 15 U.S.C. 77q(a), Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. 78j(b), and Rule 10b-5 thereunder, 17 C.F.R. 240.10b-5; and (ii) committed securities fraud in violation of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, 15 U.S.C. 80b-6(1) and 80b-6(2). The Commission seeks permanent injunctive relief, disgorgement of ill-gotten gains, prejudgment interest, an accounting, and civil penalties against each defendant. [SEC v. Dominique S. Alvieri and Diversified Financial Corporation, 02 Civ. 7893, DAB, SDNY] (LR-17766) COMMISSION FILES INSIDER TRADING CASE AGAINST THOMAS GIBSON AND THE ESTATE OF HARRY KRAUSE On October 3, the Commission filed civil fraud charges in the U.S. District Court for the Northern District of Illinois against Thomas Gibson and the Estate of Harry Krause alleging insider trading in the securities of Cell Pathways, Inc. prior to the announcement on September 22, 2000 that the Food and Drug Administration (FDA) had denied Cell Pathways' New Drug Application for Aptosyn, its principal product. According to the complaint, Thomas Gibson tipped Harry Krause concerning the pending disclosure. Armed with the information, Harry Krause sold all 22,000 shares of his Cell Pathways stock and avoided losses of over $400,000. The Commission's complaint alleges that on September 20, 2000, Thomas Gibson, a former director of Cell Pathways, learned that the FDA had denied Cell Pathways' New Drug Application. According to the complaint, within minutes of learning the news, Thomas Gibson called his longtime friend Harry Krause, who is now deceased, and tipped him. The complaint alleges that Harry Krause then made multiple phone calls to his broker and ordered him to sell all 22,000 shares of his Cell Pathways stock. On the morning of September 21, 2000 all 22,000 shares of Harry Krause's Cell Pathways stock were sold. On September 22, 2000 after the market closed, Cell Pathways issued a press release announcing the FDA's decision. Cell Pathways' stock price plummeted 70% after the disclosure and Harry Krause ultimately avoided losses of over $400,000. The Commission is seeking a permanent injunction, disgorgement with prejudgment interest, an officer/ director bar, and a civil penalty against Thomas Gibson for violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission also seeks disgorgement and prejudgment interest from the Estate of Harry Krause. Named as Relief Defendants in this matter are Harry Krause's three children, J.R. Henry Conrad Krause, Elizabeth A. Kallal, and Georgia R. Krause. [SEC v. Thomas M. Gibson, et. al., Civil Action No. 02C7082, D. Coar, J., USDC, N.D. Ill.] (LR-17767) COMMISSION SETTLES FRAUD CHARGES AGAINST ANAMAR COMMUNICATIONS, INC. AND ITS FORMER CEO, BRETT MALLORY The Commission announced that, on September 3, 2002, the Honorable Douglas P. Woodlock, United States District Judge for the District of Massachusetts, entered, by consent, final judgments against Anamar Communications, Inc., a Nevada corporation located in Boston, Massachusetts, and Brett R. Mallory, a resident of Boston, Massachusetts and Anamar's former chief executive officer. In its complaint, filed on March 15, 2002, the Commission alleged that Mallory defrauded at least 14 investors of approximately $130,000 by promising them that they could double their money within 90 days if they purchased Anamar stock at five cents per share. According to the complaint, Mallory fraudulently induced investments in Anamar by, among other things, misrepresenting to potential investors that: (i) Verizon Communications, Inc., had agreed to purchase Anamar stock at ten cents per share; (ii) investing in Anamar was essentially risk-free because, even if the Verizon deal fell through, Verizon had agreed to pay an "opt-out" fee that would allow investors to sell their shares back to Anamar; (iii) Anamar was pursuing other lucrative deals that could potentially cause Anamar's stock price to increase one hundredfold, and (iv) Mallory had scheduled a meeting with Bill Gates of Microsoft. On April 24, 2002, the United States Attorney's Office filed a criminal complaint against Mallory in connection with the scheme described in the Commission's complaint. Mallory pled guilty to two counts of mail fraud on May 28, 2002. On September 5, 2002, Mallory was sentenced in the criminal case to a prison term of 12 months followed by three years of supervised release, fined $200, and ordered to make restitution in the amount of $130,500. Without admitting or denying the Commission's allegations against them, Anamar and Mallory consented to the entry of final judgments permanently enjoining them from future violations of the Securities Act of 1933 and the Securities Exchange Act of 1934. The judgement also holds Anamar and Mallory jointly and severally liable for disgorgement and pre- judgement interest totalling $136,917, but waives payment of that amount and does not impose civil penalties against them based on the sworn representations in their statements of financial condition and other documents submitted to the Commission. Today, based on the entries of the civil injunction and the criminal conviction against Mallory, the Commission instituted settled administrative proceedings against Mallory. Without admitting or denying the Commission's findings, Mallory consented to the entry of the Commission's order, which bars him from participating in any future offering of penny stock. For further information see Lit. Rel. Nos. 17419, 17452 and 17497; U.S. v. Brett Mallory, Criminal Case No. 02- 10158 (DPW). [SEC v. Anamar Communications, Inc. and Brett R. Mallory, Civil Action No. 02-10471 (D. Ma.) (DPW)] (LR-17768) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NYSE-2002-31) filed by the New York Stock Exchange codifying certain New York Stock Exchange policies previously approved by the Commission and reordering certain other Exchange rules has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46579) A proposed rule change filed by the National Association of Securities Dealers to extend the Pilot for the operation of the short sale rule in a decimals environment (SR-NASD-2002-131) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46585) A proposed rule change filed by the National Association of Securities Dealers to extend the Pilot for Limit Order Protection of securities priced in decimals (SR-NASD-2002-132) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46586) A proposed rule change filed by the Chicago Stock Exchange to reinstate and extend a Pilot Rule Interpretation Relating to Trading of Nasdaq/NM Securities in Subpenny Increments (SR-CHX-2002-32) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46587) A proposed rule change filed by the American Stock Exchange to amend the account type codes under Amex Rule 719 (SR-Amex-2002-77) has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46588) A proposed rule change filed by the Chicago Stock Exchange to amend the CHX membership dues and fees schedule to reduce Tape A and Tape B specialist credits, reduce Floor Broker earned credits, and increase the OTC Specialist fixed fees (SR-CHX-2002-28) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46592) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2002-130) under Section 19(b)(2) of the Securities Exchange Act of 1934 relating to an extension of the Nasdaq International Service pilot program. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46589) PROPOSED RULE CHANGE The Commission published notice of a proposed rule change (SR-OCC-2002- 23) filed by The Options Clearing Corporation relating to OCC clearance and settlement of physically-settled futures on narrow-based stock indexes. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46593) 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: . SB-2 CAPITOL GROUP HOLDINGS CORP, 33,500,000 ($33,500,000.00) Equity, (File 333-100288 - Oct. 3) (BR. ) S-8 N2H2 INC, 900 FOURTH AVE, SUITE 3400, SEATTLE, WA, 98164, 2063361555 - 1,410,000 ($204,750.00) Equity, (File 333-100291 - Oct. 3) (BR. 04) S-8 WORLDWIDE MEDICAL CORP/CA/, 13 SPECTRUM POINTE DR, LAKE FOREST, CA, 92630, 9495988378 - 1,250,000 ($287,500.00) Equity, (File 333-100292 - Oct. 3) (BR. 09) SB-2 ARC WIRELESS SOLUTIONS INC, 4860 ROBB STREET, SUITE 101, WHEAT RIDGE, CO, 80033, 3034214063 - 1,034,545 ($286,037.00) Equity, (File 333-100293 - Oct. 3) (BR. 37) S-8 BLACK BOX CORP, 1000 PARK DR, LAWRENCE, PA, 15055, 4128736788 - 1,400,000 ($53,110,000.00) Equity, (File 333-100294 - Oct. 3) (BR. 03) S-8 BLACK BOX CORP, 1000 PARK DR, LAWRENCE, PA, 15055, 4128736788 - 40,000 ($1,494,000.00) Equity, (File 333-100295 - Oct. 3) (BR. 03) S-4 KELLWOOD CO, 600 KELLWOOD PKWY, P O BOX 14374, CHESTERFIELD, MO, 63017, 3145763100 - 5,000,000 ($111,525,000.00) Equity, (File 333-100297 - Oct. 3) (BR. 02) S-3 YAHOO INC, 3420 CENTRAL EXPRESSWAY, SUITE 201, SANTA CLARA, CA, 95051, 4087313300 - 0 ($144,450,000.00) Equity, (File 333-100298 - Oct. 3) (BR. 03) S-3 TEREX CORP, 500 POST ROAD EAST, STE 320, WESTPORT, CT, 06880, 2032227170 - 5,065,549 ($85,607,778.00) Unallocated (Universal) Shelf, (File 333-100299 - Oct. 3) (BR. 36) S-3 CYGNUS INC /DE/, 400 PENOBSCOT DR, REDWOOD CITY, CA, 94063, 6503694300 - 0 ($34,717,263.00) Equity, (File 333-100301 - Oct. 3) (BR. 01) S-3 CORNING INC /NY, ONE RIVERFRONT PLAZA, CORNING, NY, 14831, 6079749000 - 30,376,670 ($50,000,000.00) Equity, (File 333-100302 - Oct. 3) (BR. 37) SB-2 VAN NUYS STUDIOS INC, 14759 OXNARD STREET, VAN NUYS, CA, 91411, 310-600-1774 - 0 ($372,519.96) Equity, (File 333-100304 - Oct. 3) (BR. ) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 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 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ ACE SECURITIES CORP HOME EQUITY LOAN DE X X 09/25/02 ACUITY BRANDS INC X X 10/03/02 AEROVOX INC DE X X 07/26/02 AES CORPORATION DE X 10/03/02 AMERIRESOURCE TECHNOLOGIES INC DE X X 10/02/02 AMEND AMORTIZING RESI COLLAT TR MORT PAS TH DE X X 09/26/02 AMYLIN PHARMACEUTICALS INC DE X X 09/19/02 ARRIS GROUP INC DE X X 10/03/02 ASSET BACKED CERTIFICATES SERIES 2002 DE X 09/25/02 ASSET BACKED FUNDING CORP 2002 WF1 TR DE X X 09/25/02 ASSET BACKED PASS THROUGH CERTIFICATE DE X X 09/04/02 ATX COMMUNICATIONS NC DE X X 10/02/02 BA MORTGAGE SECURITIES INC MORT PS TH DE X 09/25/02 BA MORTGAGE SECURITIES INC PASS THR C DE X 09/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 09/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 09/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 09/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 09/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 09/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 09/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 09/25/02 BANK OF AMERICA 1999-10 NC X 09/25/02 BANK OF AMERICA 1999-11 NC X 09/25/02 BANK OF AMERICA 1999-11 NC X 09/25/02 BANK OF AMERICA 1999-3 NC X 09/25/02 BANK OF AMERICA 1999-4 DE X 09/25/02 BANK OF AMERICA 1999-5 NC X 09/25/02 BANK OF AMERICA MOR SEC INC MOR PASS DE X 09/25/02 BANK OF AMERICA MOR SEC INC MOR PASS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 09/25/02 BANK OF AMERICA MORT SECS MORT PASS T DE X 09/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 07/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 08/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 09/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 09/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 09/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 09/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 09/25/02 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 09/25/02 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 09/25/02 BANK OF AMERICA MORTGAGE SEC MORT PAS NC X 09/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/02 BB&T CORP NC X 10/03/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 09/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 09/25/02 BEAR STEARNS AS BCK SEC TR 2001-AC1 A DE X X 09/25/02 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 09/25/02 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 09/25/02 BEAR STEARNS ASSET BACKED SEC INC IR DE X X 09/25/02 BEAR STEARNS ASSET BACKED SEC IRWIN H DE X X 09/25/02 BEAR STEARNS ASSET BACKED SEC TR ASSE X X 09/25/02 BEAR STEARNS ASSET BACKED SECURITIES NY X X 09/25/02 BEAR STEARNS AST BCK SEC INC MADISON DE X X 09/25/02 BLUE COAT SYSTEMS INC DE X X 10/02/02 BRIGHTCUBE INC NV X X 09/30/02 BUCKEYE PARTNERS L P DE X X 10/03/02 BWAY CORP DE X X 09/30/02 CABOT INDUSTRIAL PROPERTIES LP DE X 09/11/02 CAITHNESS COSO FUNDING CORP DE X 09/23/02 CALPINE CORP DE X X 10/02/02 CANADIAN DERIVATIVES CLEARING CORP A6 X 09/30/02 CANADIAN DERIVATIVES CLEARING CORP A6 X 09/30/02 CARBIDE GRAPHITE GROUP INC /DE/ DE X X 10/01/02 CARMAX INC VA X X 10/01/02 CASCADIA CAPITAL CORP NV X 09/19/02 CHESAPEAKE ENERGY CORP OK X 10/03/02 CHL MORTGAGE PASS THROUGH TRUST SERIE DE X 09/25/02 CHL MORTGAGE PASS-THROUGH TRUST 2002- DE X 09/25/02 CHL MORTGAGE PSS THROUGH TRUST 2002-1 DE X 09/25/02 CMC SECURITIES CORP II DE X X 08/25/02 CMGI INC DE X X 09/09/02 AMEND COHESION TECHNOLOGIES INC DE X X 09/27/02 COMPUTER ACCESS TECHNOLOGY CORP DE X X 10/01/02 COOPER COMPANIES INC DE X X 10/02/02 COST PLUS INC/CA/ CA X X 10/02/02 COUNTRYWIDE HOME LOANS MORT PASS THR DE X 09/25/02 CRAFTMADE INTERNATIONAL INC DE X X 10/03/02 CREDIT SUISSE FIRST BOSTON USA INC DE X 10/02/02 CROSS GENETIC TECHNOLOGIES INC VA X 09/25/02 CUMBERLAND TECHNOLOGIES INC FL X X 12/31/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 09/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 09/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 09/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 07/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 08/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 09/25/02 CWABS INC ASSET BACKED CERTIFICATESS DE X 09/25/02 STATE 8K ITEM NO. CWMBS CHL MORT PASS THRU CERTIFICATES DE X 09/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH DE X 09/25/02 CWMBS INC ALTERNATIVE LOAN TRUST 2002 DE X 09/25/02 CWMBS INC ALTERNATIVE LOAN TRUST 2002 DE X 09/25/02 CWMBS INC CHL MORTGAGE PASS THR TRUST DE X 09/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/02 CWMBS INC MORT PASS THROUGH CERT SERI DE X 09/25/02 CWMBS INC MORT PASS THROUGH CERTIFICA DE X 09/25/02 CWMBS INC MORTGAGE PASS THR CERT SER DE X 09/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 09/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 09/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 09/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 09/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 09/25/02 CYTOMEDIX INC DE X X 05/31/02 DCB FINANCIAL CORP OH X X 10/03/02 DCH TECHNOLOGY INC CO X X 09/18/02 DESTINY MEDIA TECHNOLOGIES INC CO X 09/17/02 DEVON ENERGY CORP/DE DE X X 10/02/02 DIRECTRIX INC DE X 09/26/02 EBAY INC DE X 10/02/02 EDISON INTERNATIONAL CA X 10/01/02 EDISON MISSION ENERGY CA X 10/01/02 ELINE ENTERTAINMENT GROUP INC NV X X X X 09/24/02 ENTERPRISE PRODUCTS PARTNERS L P DE X X 10/02/02 EPRESENCE INC MA X X 10/02/02 EQCC RECEIVABLES CORP DE X 09/25/02 EQCC RECEIVABLES CORP DE X 09/25/02 EQCC TRUST 2002-1 NY X 09/25/02 EXELON CORP PA X 10/02/02 FINANCIAL ASSETS SEC CORP FIRST FRANK DE X X 09/25/02 FIRST FARMERS & MERCHANTS CORP TN X 10/02/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 09/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 09/25/02 FIRST HORIZON MORTGAGE PASS-THROUGH T DE X 09/25/02 FLEMINGTON PHARMACEUTICAL CORP DE X X X 10/01/02 FLORIDAFIRST BANCORP INC FL X X 10/02/02 FORESTINDUSTRY COM INC DE X 09/30/02 GE CAPITAL COM MORT CORP COM MORT PAS DE X X 09/17/01 GENCORP INC OH X X 09/30/02 GLOBALSANTAFE CORP X X 10/03/02 GLOBETRAC INC DE X X 10/03/02 GOLDEN TELECOM INC DE X X 09/25/02 GRIFFIN LAND & NURSERIES INC DE X 10/03/02 GROUP 1 AUTOMOTIVE INC DE X X 10/02/02 HEALTH GRADES INC DE X X 09/29/02 HOSPITALITY PROPERTIES TRUST MD X 10/03/02 HUADING FINANCIAL NETWORKS INC X X 03/06/02 HYPERTENSION DIAGNOSTICS INC /MN MN X X 09/27/02 IGEN INTERNATIONAL INC /DE DE X 10/03/02 INSTINET GROUP INC DE X X 10/03/02 INTEGRATED DEVICE TECHNOLOGY INC DE X X 10/01/02 INTER CONTINENTAL SERVICES CORP MO X 10/02/02 INTERCARE COM DX INC X 06/28/02 INTERCARE COM DX INC X 06/28/02 AMEND INTERCARE COM DX INC X 06/28/02 AMEND INTERSTATE BAKERIES CORP/DE/ DE X X 09/30/02 ISA INTERNATIONALE INC DE X X 09/30/02 KEYCORP STUDENT LOAN TRUST 1999 A X X 09/27/02 KEYCORP STUDENT LOAN TRUST 2001-A X X 09/27/02 LABORATORY CORP OF AMERICA HOLDINGS DE X 10/03/02 LEGENDS ENTERPRISES INC OR X X 09/30/02 LIBBEY INC DE X 10/02/02 LINCOLN NATIONAL CORP IN X 06/30/02 LMI AEROSPACE INC MO X 10/02/02 LUIGINOS INC MN X X 09/27/02 M&T BANK CORP NY X X 09/26/02 MACE SECURITY INTERNATIONAL INC DE X 10/02/02 MATERIAL SCIENCES CORP DE X X 10/02/02 MATLACK SYSTEMS INC DE X X 10/03/02 MDC HOLDINGS INC DE X 09/19/02 MDC HOLDINGS INC DE X 10/03/02 MERLIN SOFTWARE TECHNOLOGIES INTERNAT NV X 09/24/02 MERRILL LYNCH MORT INV INC MORT PAS T DE X X 09/26/02 MICREL INC CA X 10/02/02 MICROFIELD GRAPHICS INC /OR OR X X 09/17/02 MIDWEST GENERATION LLC CA X 10/01/02 MISSION ENERGY HOLDING CO DE X 10/01/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/01/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 09/25/02 MORTGAGE ASSET SEC TRANS INC MASTR A DE X X 09/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X X 09/25/02 MTS INC CA X X 10/03/02 NATIONAL FUEL GAS CO NJ X 09/30/02 NEIMAN MARCUS GROUP INC DE X X 10/02/02 NEOWARE SYSTEMS INC DE X X 10/01/02 NETSCREEN TECHNOLOGIES INC DE X X 09/18/02 NEW PALTZ CAPITAL CORP NV X 09/30/02 NEW VISUAL CORP UT X X 09/06/02 AMEND NORTEL NETWORKS CORP X 10/03/02 NORTEL NETWORKS LTD X 10/03/02 NUCOR CORP DE X 10/01/02 OPTIMARK HOLDINGS INC DE X X 09/26/02 OPTION ONE MORT ACCEPT CORP ASSET BAC DE X X 09/25/02 OPTION ONE MORTGAGE ACCEPT CORP ASSET DE X X 09/25/02 OPTION ONE MORTGAGE LOAN TR 2002-1 AS DE X X 09/25/02 OPTION ONE MORTGAGE LOAN TR ASSET BAC DE X X 09/25/02 OPTION ONE MORTGAGE LOAN TR ASSET BAC DE X X 09/25/02 PACIFIC GAS & ELECTRIC CO CA X X 10/02/02 PANACO INC DE X X 09/30/02 PENNZOIL QUAKER STATE CO DE X X 10/02/02 PG&E CORP CA X X 10/02/02 PRICE T ROWE GROUP INC MD X X 09/05/02 PRO FAC COOPERATIVE INC NY X X 10/03/02 PRUDENTIAL FINANCIAL INC NJ X 10/03/02 RESIDENTIAL ACCREDIT LOANS INC DE X X 09/25/02 RESIDENTIAL ASSET FUNDING CORP NC X X 09/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 09/25/02 RESIDENTIAL ASSET SECURITIES CORP DE X X 09/25/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 09/25/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 09/25/02 SAFETY KLEEN CORP/ DE X X 09/20/02 SALIX PHARMACEUTICALS LTD X X 10/03/02 SCOLR INC DE X X 10/01/02 SEABULK INTERNATIONAL INC DE X 10/02/02 SECURED DIVERSIFIED INVESTMENT LTD NV X 10/03/02 AMEND SECURITISATION ADVISORY SEVS PTY LTD X X 08/31/02 SELECT COMFORT CORP MN X 10/03/02 SHERWOOD BRANDS INC NC X 05/01/02 AMEND SHIRE PHARMACEUTICALS GROUP PLC X X 10/03/02 SIGNAL TECHNOLOGY CORP DE X X 09/24/02 SONEX RESEARCH INC MD X 10/03/02 STAMPS COM INC DE X 10/03/02 STERLING BANCSHARES INC TX X X 10/03/02 STRUCTURED ASSET MORT INV INC MORT PA DE X X 09/19/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 09/26/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 09/26/02 STRUCTURED ASSET SEC CORP PASS THR CE DE X X 09/26/02 STRUCTURED ASSET SEC CORP PASS THROUG DE X X 09/26/02 SUMMIT PROPERTIES INC MD X X 09/27/02 SUMMIT PROPERTIES PARTNERSHIP L P DE X X 09/27/02 SWITCHBOARD INC DE X 10/02/02 SYNERGISTICS INC MA X 10/02/02 THOMAS & BETTS CORP TN X X 10/02/02 THOMAS GROUP INC DE X X X 09/20/02 THORNBURG MORTGAGE SECURITIES TRUST 2 DE X X 09/25/02 TRAFFIC TECHNOLOGY INC X 10/04/02 TRANSMONTAIGNE INC DE X 09/27/02 TRM CORP OR X X 10/03/02 U S PLASTIC LUMBER CORP NV X X 09/24/02 UNITED PARK CITY MINES CO DE X 10/02/02 UNITED SURGICAL PARTNERS INTERNATIONA DE X X 10/02/02 VANGUARD AIRLINES INC \DE\ DE X X 08/31/02 VCAMPUS CORP DE X X 10/02/02 VIASYSTEMS GROUP INC DE X X 10/01/02 VIASYSTEMS INC DE X X 10/01/02 VISUAL NETWORKS INC DE X 10/02/02 WELLS FARGO ALTERNATIVE LOAN 2002-1 T DE X X 09/25/02 WELLS FARGO ASSET SEC CORP MORGAGE AS DE X X 09/25/02 WELLS FARGO ASSET SEC CORP MORT BK SE DE X X 09/26/02 WELLS FARGO ASSET SEC CORP MORT PASS DE X X 09/26/02 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 09/26/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 09/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 09/26/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 09/26/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 09/26/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 09/26/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 09/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 09/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 09/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 09/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 05/30/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 09/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 09/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 08/29/02 WILLIAMS CONTROLS INC DE X 09/09/02 WIPRO LTD X X 10/03/02 AMEND WVS FINANCIAL CORP PA X X 10/03/02 X-CHANGE CORP NV X X 10/03/02 XEROX CORP NY X 09/30/02