SEC NEWS DIGEST Issue 2002-35 February 21, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. OPEN MEETING - WEDNESDAY, FEBRUARY 27, 2002 - 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, February 27, 2002, will be: The Commission will hear oral argument on an appeal by Sandra K. Simpson, formerly an associated person with a registered broker- dealer, from the decision of an administrative law judge. For further information, contact: Roy Sheetz at (202) 942-0950. CLOSED MEETINGS - WEDNESDAY, FEBRUARY 27, 2002 - 11:00 A.M. AND THURSDAY, FEBRUARY 28, 2002 - 10:00 A.M. The subject matter of the closed meeting scheduled for Wednesday, February 27, 2002, will be: Post-argument discussion. The subject matter of the closed meeting scheduled for Thursday, February 28, 2002, will be: Inspection report; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; and Formal orders of investigation. CHANGE IN THE MEETING: ADDITIONAL ITEM The following item was added to the closed meeting scheduled for Thursday, February 21, 2002: Consideration of amicus participation. 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 ISSUES SETTLED ADMINISTRATIVE PROCEEDINGS AGAINST MARK MCDERMOTT, A FORMER L.C. WEGARD & CO. BROKER On February 20, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions against Mark McDermott. Without admitting or denying the findings in the Commission's Order, McDermott consented to the issuance of the Commission's Order barring him from association with any broker or dealer, pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934. The Order finds that McDermott, who worked in offices of L.C. Wegard & Co. (Wegard) in Mount Prospect, Illinois and Princeton, New Jersey, was convicted of conspiracy to commit securities fraud in actions brought by the Office of the U.S. Attorney for the District of New Jersey. In the criminal action, McDermott was charged with fraudulent conduct toward investors while employed as a stockbroker in various supervisory positions at Wegard, a broker/dealer whose registration with the Commission was later revoked. (Rel. 34-45461; File No. 3-10707) COMMISSION SANCTIONS DELTA EQUITY SERVICES CORPORATION AND RAYMOND GRENIER, JR. FOR FAILING TO SUPERVISE REGISTERED REPRESENTATIVES On February 21, the Commission issued an Order Instituting Public Proceedings, Making Findings and Imposing Remedial Sanctions (Order) against Delta Equity Services Corporation (a broker-dealer based in Massachusetts), and its president and owner, Raymond L. Grenier, Jr., for failing to reasonably supervise five Delta brokers located in Ohio and Maryland. The Commission simultaneously accepted an offer of settlement from Delta and Grenier in which they consent, without admitting or denying the Commission's findings, to the entry of the Order censuring Delta and Grenier, barring Grenier from association in a supervisory capacity with any broker or dealer with a right to reapply for such association after one year and three months, and requiring Delta and Grenier to pay civil penalties of $45,000 and $15,000, respectively. The Order also requires Delta to comply with various undertakings, which include retaining an independent consultant to review the firm's policies and procedures and make recommendations to Delta. In the Order, the Commission found that from November 1996 through July 1997, the five brokers fraudulently offered and sold without the approval of Delta over $6.4 million of promissory notes purportedly issued by an off-shore bank referred to as CBT or Commercial Bank & Trust. The Commission has previously instituted enforcement actions against each of the five brokers, including the fraud's originator, Andrew Bodnar, who has been sentenced to 11 and ¬ years in prison for securities fraud. The Commission found that Delta's supervisory and compliance policies and procedures were inadequate and not reasonably designed to detect or prevent these violations of the securities laws. For example, Delta did not inspect the office of the Maryland broker, Michael Keating, during the two-and-a-half year period between Keating's arrival at the firm and a Commission examination that uncovered the fraud. Delta also failed to ensure that outside business activities forms were submitted on a timely basis and failed to respond to Bodnar's acknowledgement that he received $10,000 a month from Commercial Bank & Trust. Moreover, Delta's policies and procedures for obtaining, tracking, and reviewing correspondence were insufficient. The Commission also found that Grenier failed to ensure that Delta had put in place reasonable procedures and implemented those procedures. He also failed to adequately respond to indications of problems with Bodnar and Keating. For example, prior to the sale of CBT securities, Grenier learned that Bodnar had taken $20,000 of customer funds, and had attempted to hide the problem by sending the customer false documentation. Although Grenier implemented some new procedures as a result of this incident, he did not respond adequately to indications those procedures were not being followed. In addition, at least two of the five brokers claimed to have mentioned CBT to Grenier during his visit to Ohio in September 1996. Furthermore, Grenier failed reasonably to respond to Keating's failure to comply with a subpoena issued by the Maryland Office of Attorney General, Securities Division. Based on these facts, the Commission found that Delta and Grenier failed reasonably to supervise the five brokers with a view toward preventing violations of the anti-fraud provisions of the federal securities laws. In addition, the Commission found that Delta willfully violated various record-keeping requirements applicable to broker-dealers. The Maryland Office of Attorney General, Securities Division and the Ohio Division of Securities assisted the Commission in this case. (Rel. 34-45465; File No. 3-10708) SEC SUES MIAMI STOCKBROKER ALLEGING MISAPPROPRIATION OF $3.2 MILLION IN CUSTOMER FUNDS On February 20, the Commission filed a civil action against R. Christopher Hanna, a former registered representative of Donaldson, Lufkin & Jenrette (DLJ), an affiliate of Credit Suisse First Boston, accusing him of misappropriating $3.2 million from his customers. The Commission's complaint, which alleges that Hanna made unauthorized securities transactions in customer accounts, also charges Hanna with violations of the antifraud provisions of the federal securities laws. The complaint alleges that, from approximately 1997 to 2000, Hanna misappropriated more than $3.2 million from at least nine customer accounts at DLJ's Miami, Florida branch office using a scheme involving, among other things, fabricated account statements, fraudulent letters of authorization, and other material misrepresentations and omissions. According to the complaint, Hanna transferred the misappropriated funds to bank and brokerage accounts in Chile that Hanna controlled. In addition, the complaint alleges that Hanna made countless unauthorized securities transactions in numerous customer accounts. According to the complaint, Hanna sought to conceal his theft and other actions from his customers by diverting their actual account statements to post office boxes or locations that Hanna controlled. Hanna then created and sent to the customers fictitious account statements that contained false information about each customer's holdings, trading activity and account value. The complaint, which was filed in the U.S. District Court for the Southern District of Florida, seeks to permanently enjoin Hanna from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition, the Complaint seeks disgorgement of all funds that were misappropriated by Hanna and civil penalties. [SEC v. R. Christopher Hanna, Civil Action No. 02-20531-CIV-GOLD, S.D. Fl.] (LR-17368) SEC FILES CHARGES AGAINST FORMER LEHMAN BROS. BRANCH MANAGER GRUTTADAURIA, SEEKS RECEIVER AND ASSET FREEZE The Commission today filed an action charging Frank D. Gruttadauria, former branch manager for the Cleveland, Ohio, office of Lehman Bros. Inc., with securities fraud. The Commission's complaint alleges that over the last six years, while he worked at two different brokerage firms, Gruttadauria, 44, of Gates Mills, Ohio, stole at least $40 million in the course of defrauding more than 50 clients. Also charged with securities fraud were two entities controlled by Gruttadauria -- DH Strategic Partners Inc. and JYM Trading Trust -- which Gruttadauria allegedly used to misappropriate the funds from his clients. The Commission is seeking a temporary restraining order, a preliminary injunction, asset freezes, accountings, the appointment of a receiver for Gruttadauria, DH Strategic Partners, and JYM Trading Trust, as well as other emergency relief. A hearing on the Commission's motions has been scheduled for Tuesday, Feb. 26, in U.S. District Court in Cleveland. The Commission's complaint alleges that over a period of many years, Gruttadauria falsely told customers that he had bought or sold securities for their accounts, when, in fact, he had misappropriated their funds for his own purposes. He is also accused of materially misrepresenting the value of and the positions held in customer accounts, often falsely telling customers that their accounts contained a wide variety of holdings worth millions of dollars. In some instances, Gruttadauria induced customers to give him funds by claiming that he had opened accounts for them when, in fact, no account ever existed for the client and he simply misappropriated the funds. The complaint alleges that Gruttadauria misappropriated funds from customers and directed the funds to other customers either as purported returns on non-existent investments or to satisfy withdrawal requests from accounts as to which Gruttadauria had deceived the account holders into believing that they had sufficient funds to make transfers. In particular, from at least 1996 through October 2000, while employed at Cowen & Co. and SG Cowen Securities Corporation, Gruttadauria misappropriated over $25 million in customer funds by fraudulently directing the money into an account that he controlled in the name of JYM Trading Trust, and using it to make payments to other customers. Beginning in October 2000, Gruttadauria similarly misappropriated and funneled over $15 million in customer funds through a bank account he controlled in the name of DH Strategic Partners. The complaint further alleges that, to conceal his fraud, Gruttadauria created and sent defrauded customers unauthorized and falsified account statements that greatly overstated the value of the customers' accounts, reflected holdings that did not exist and securities transactions that had never occurred, and failed to disclose the unauthorized withdrawals from the accounts. The most recent false statements for the accounts of at least 50 of Gruttadauria's customers reflected an aggregate value of about $278 million, whereas the actual value of accounts held for these customers at Lehman Brothers was about $1.8 million. Without the knowledge or authorization of these customers, Gruttadauria allegedly caused their actual brokerage account statements to be sent to entities or post office boxes under his control. The Commission's complaint charges Gruttadauria, DH Strategic Partners and JYM Trading Trust with violations of the antifraud provisions of the federal securities laws; Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5. The complaint also names as relief defendants Sarah Z. Emamy, a resident of Gates Mills, Ohio; Laurene U. English, Gruttadauria's former sales assistant, and Charlie Whiskey LLC, a limited liability company of which Gruttadauria is a 50% owner, and which owns a Lear Jet. The complaint alleges that Gruttadauria unjustly enriched the relief defendants by transferring to them over $3.4 million in money and assets derived from his illegal conduct. [SEC v. Frank D. Gruttadauria, DH Strategic Partners Inc., JYM Trading Trust, Defendants, and Sarah Z. Emamy, Charlie Whiskey, LLC, and Laurene U. English, Relief Defendants, Civil Action No. 1:02CV324 (Judge Gaughan)] (LR-17369); (Press Rel. 2002-27) CORRECTION An inaccurate litigation release number appeared in yesterday's Digest for SEC v. Anthony Burges and Burges Asset Management, Inc. The correct number is LR-17367. INVESTMENT COMPANY ACT RELEASES MEMORIAL FUNDS AND MEMORIAL INVESTMENT ADVISORS, INC. An order has been issued on an application filed by Memorial Funds and Memorial Investment Advisors, Inc. under Section 6(c) of the Investment Company Act exempting applicants from Section 15(a) of the Act, Rule 18f- 2 under the Act, and certain disclosure requirements. The order permits applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-25422 - February 20) 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-8 GLOBAL ENTERTAINMENT HOLDINGS/EQUITIES INC, 6235 SOUTH 90TH STREET, OMAHA, NE, 68127, 4023313189 - 1,900,000 ($570,000.00) Other, (File 333-83042 - Feb. 20) (BR. 09) S-8 STEWART W P & CO LTD, 4412958585 - 1,000,000 ($26,170,000.00) Equity, (File 333-83046 - Feb. 20) (BR. 07) S-8 PRIME HOLDINGS & INVESTMENTS INC, 8275 S EASTERN AVENUE, SUITE 200, LAS VEGAS, NV, 89123, 7029908489 - 30,000 ($11,100.00) Equity, (File 333-83050 - Feb. 20) (BR. 08) S-8 AIRBORNE INC /DE/, P O BOX 662, SEATTLE, WA, 98111, 2062854600 - 0 ($3,120,000.00) Equity, (File 333-83052 - Feb. 20) (BR. 05) S-8 FIDELITY NATIONAL FINANCIAL INC /DE/, 17911 VON KARMAN AVE, STE 300, IRVINE, CA, 92614, 9496225000 - 344,580 ($8,399,137.50) Equity, (File 333-83054 - Feb. 20) (BR. 01) S-3 MICHAEL ANTHONY JEWELERS INC, 115 SO MACQUESTEN PKWY, MOUNT VERNON, NY, 10550, 9146990000 - 300,000 ($840,000.00) Equity, (File 333-83056 - Feb. 20) (BR. 02) S-8 INSIGNIA SYSTEMS INC/MN, 5025 CHESHIRE LANE NORTH, PLYMOUTH, MN, 55446, 7633926200 - 190,000 ($380,313.00) Equity, (File 333-83062 - Feb. 20) (BR. 02) S-8 MERCURY INTERACTIVE CORPORATION, 4088225200 - 0 ($151,998,330.00) Equity, (File 333-83064 - Feb. 20) (BR. 03) S-8 SURGILIGHT INC, 12001 SCIENCE DRIVE, SUITE 140, ORLANDO, FL, 32826, 4074824555 - 166,500 ($44,955.00) Other, (File 333-83066 - Feb. 20) (BR. 09) S-1 LIN TV CORP, 0 ($345,000,000.00) Equity, (File 333-83068 - Feb. 20) (BR. ) S-8 HOLLYWOOD PARTNERS COM INC, 1800 AVENUE OF THE STARS, SUITE 480, LOS ANGELES, CA, 90067, 9494539262 - 39,300,000 ($786,000.00) Equity, (File 333-83070 - Feb. 20) (BR. 08) S-2 TRAVELERS INSURANCE CO, ONE TOWER SQUARE, ATTN FINANCIAL SERVICES LEGAL DIVISION, HARTFORD, CT, 06183-2020, 860-277-0111 - 0 ($200,000,000.00) Other, (File 333-83072 - Feb. 20) (BR. 20) S-2 TRAVELERS LIFE & ANNUITY CO, ONE TOWER SQUARE, FINANCIAL SERVICES LEGAL DIVISION, HARTFORD, CT, 06183, 860-277-0111 - 0 ($1,000,000,000.00) Other, (File 333-83076 - Feb. 20) (BR. 20) S-8 BAYER AKTIENGESELLSCHAFT, BAYERWERK, GEBAEUDE W1, KAISER-WILHELM-ALLEE, D-51368 LEVERKUSEN, GERMANY, I8, 000000, 492143081933 - 0 ($29,230,000.00) Equity, (File 333-83078 - Feb. 20) (BR. 01) S-8 CYBERADS INC, 3350 NW BOCA RATON BLVD, SUITE A44, BOCA RATON, FL, 33431, 200,000 ($360,000.00) Equity, (File 333-83082 - Feb. 20) (BR. 07) S-2 PAM TRANSPORTATION SERVICES INC, P O BOX 188, TONTITOWN, AR, 72770, 5013619111 - 3,996,250 ($66,317,769.00) Equity, (File 333-83084 - Feb. 20) (BR. 05) S-8 ASDAR GROUP INC, 1239 W GEORGIA ST #3004, VANCOUVER, B C V6E 4R8, CA, 92024, 6046640499 - 916,108 ($311,476.71) Equity, (File 333-83086 - Feb. 20) (BR. 04) S-8 HYDRO ENVIRONMENTAL RESOURCES INC, 8908 SOUTH YALE AVE #409, TULSA, OK, 74137, 9184810167 - 3,000,000 ($150,000.00) Equity, (File 333-83088 - Feb. 20) (BR. 02) S-8 LOCKWAVE TECHNOLOGIES INC, 47 MALL DR., SUITE 5, COMMACK, NY, 11725, (631) 864-1515 - 2,000,000 ($20,000.00) Equity, (File 333-83090 - Feb. 20) (BR. 04) S-3 WEATHERFORD INTERNATIONAL INC /NEW/, 515 POST OAK BLVD, SUITE 600, HOUSTON, TX, 77027-3415, 7132978400 - 0 ($750,000,000.00) Other, (File 333-83094 - Feb. 20) (BR. 04) S-3 STAKE TECHNOLOGY LTD, 2838 HWY 7, NORVAL ONTARIO, L0P 1K0 CANADA, A6, L0P 1K0, 9054551990 - 4,250,000 ($9,137,500.00) Equity, (File 333-83096 - Feb. 20) (BR. 04) S-8 LASER VISION CENTERS INC, 540 MARYVILLE CENTRE DR, STE 200, ST LOUIS, MO, 63141, 3144346900 - 0 ($622,500.00) Equity, (File 333-83098 - Feb. 20) (BR. 01) S-8 VANS INC, 15700 SHOEMAKER AVENUE, SANTA FE SPRINGS, CA, 90670-5515, 5625658267 - 1,750,000 ($22,750,000.00) Equity, (File 333-83100 - Feb. 20) (BR. 06) S-8 LASER VISION CENTERS INC, 540 MARYVILLE CENTRE DR, STE 200, ST LOUIS, MO, 63141, 3144346900 - 2,000,000 ($4,150,000.00) Equity, (File 333-83102 - Feb. 20) (BR. 01) 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 ------------------------------------------------------------------------------------- AAR CORP DE X X 02/19/02 AB LIQUIDATING CORP DE X X 02/08/02 ABLEAUCTIONS COM INC FL X X 02/12/02 ADVANTA BUSINESS RECIEVABLES CORP X 02/20/02 ADVANTICA RESTAURANT GROUP INC DE X X 02/19/01 ADVANTICA RESTAURANT GROUP INC DE X X 02/19/01 ALLCITY INSURANCE CO /NY/ NY X X 02/20/02 ALLFIRST FINANCIAL INC DE X X 02/20/02 ALLIANCE FIBER OPTIC PRODUCTS INC CA X 02/19/02 ALTEON INC /DE DE X 02/14/02 AMASYS CORP DE X 02/12/02 ANDREW CORP DE X X 02/19/02 ANTHEM INC IN X X 02/20/02 ARIZONA PUBLIC SERVICE CO AZ X 02/08/02 AXCESS INC/TX DE X X 12/31/01 AXEDA SYSTEMS INC DE X X 12/07/01 AMEND BANC ONE AUTO GRANTOR TRUST 1997-B NY X X 02/20/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 02/20/02 BIOSOURCE INTERNATIONAL INC DE X X 02/19/02 BISASSIST INC NV X 02/16/02 BJ SERVICES CO DE X X 02/20/02 CABOT OIL & GAS CORP DE X X 02/14/02 CADDO ENTERPRISES INC NV X 02/15/02 CENTIV INC GA X X 02/06/02 CH ENERGY GROUP INC NY X 02/20/02 CHESAPEAKE CORP /VA/ VA X 02/19/02 CITIBANK SOUTH DAKOTA N A DE X 01/28/02 CITIBANK SOUTH DAKOTA N A DE X 01/28/02 COACHMEN INDUSTRIES INC IN X X 01/31/02 COHO ENERGY INC TX X X 02/06/02 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 02/15/02 COMMUNITY HEALTH SYSTEMS INC/ DE X X X 02/20/02 CRAY INC WA X X 02/15/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 02/19/02 CSFB MORTGAGE PASS-THRU CERT SERIES 2 DE X X 08/01/01 CYTYC CORP DE X X 02/19/02 DIAL CORP /NEW/ DE X 02/19/02 DICUT INC X X X X 12/12/01 AMEND DIMON INC VA X X 02/18/02 DLJ MORTGAGE ACCEPTANCE CORP DE X X 02/20/02 DLJ MORTGAGE ACCEPTANCE CORP DE X X 02/20/02 DYCOM INDUSTRIES INC FL X X 02/20/02 E COM VENTURES INC FL X X 02/05/02 E-MEDSOFT COM NV X X 12/13/01 AMEND ECHO BAY MINES LTD A0 X X 02/13/02 ECONNECT NV X X 02/08/02 ENOVA SYSTEMS INC CA X 02/20/02 ENOVA SYSTEMS INC CA X 02/20/02 AMEND EOG RESOURCES INC DE X 02/20/02 ESCAGENETICS CORP DE X 02/19/02 EXCEL PUBLISHING INC NV X X 02/19/02 EXTREME NETWORKS INC DE X X 01/16/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 02/25/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 02/15/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 02/25/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 02/25/02 FERRELLGAS PARTNERS L P DE X 02/20/02 FIRST MIDWEST BANCORP INC DE X X 02/20/02 FIRST UNION COM MOR SEC INC COM MOR P NY X X 02/17/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 02/15/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 02/15/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 02/17/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 02/15/02 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 02/14/02 FIRST UNION COMMERCIAL MORTGAGE SECUR NC X X 02/14/02 FIRST UNION COMMERCIAL MORTGAGE SECUR NC X X 02/14/02 FLEET HOME EQUITY LOAN CORP DE X 02/20/02 FOXY JEWELRY INC NV X 02/15/02 FRD ACQUISITION CO DE X X 02/19/02 FTS APPAREL INC CO X X X X 01/11/02 GAYLORD ENTERTAINMENT CO /DE DE X X 02/20/02 GLOBAL WATER TECHNOLOGIES INC DE X 01/24/02 GLOBALSCAPE INC DE X X 02/20/02 HARVEY ELECTRONICS INC NY X X 02/20/02 HEI INC MN X 02/20/02 I TRAX INC DE X X 02/05/02 IEC ELECTRONICS CORP DE X X 02/20/02 IGEN INTERNATIONAL INC /DE DE X 02/15/02 INNOVATIVE CLINICAL SOLUTIONS LTD DE X X 02/07/02 INSIGNIA FINANCIAL GROUP INC /DE/ DE X X 01/31/02 INTERNATIONAL LEASE FINANCE CORP CA X 02/14/02 INTERSTATE POWER & LIGHT CO IA X 01/01/02 AMEND IVP TECHNOLOGY CORP NV X 02/20/02 JUPITER MEDIA METRIX INC DE X X 02/19/02 JUPITER MEDIA METRIX INC DE X X 02/19/02 KANEB PIPE LINE OPERATING PARTNERSHIP DE X X 02/15/02 KEY ENERGY SERVICES INC MD X 02/20/02 LACLEDE GROUP INC MO X X 02/20/02 LANDMARK SYSTEMS CORP VA X X 02/19/02 LITHIA MOTORS INC OR X X 02/20/02 LIVEPERSON INC DE X 02/14/02 LOEWS CORP DE X 02/19/02 MATRIX PHARMACEUTICAL INC/DE DE X 02/20/02 MAXXIM MEDICAL INC TX X 02/07/02 MDU RESOURCES GROUP INC DE X 02/14/02 MEDI HUT CO INC DE X 02/19/02 MENTOR CAPITAL CONSULTANTS INC DE X 12/31/01 AMEND METLIFE INC DE X X 02/19/02 MORGAN STANLEY ABS CAPITAL I INC DE X 11/29/01 MOUNTAIN STATES CAPITAL INC AZ X X X X X 02/06/02 NANTUCKET INDUSTRIES INC DE X X X X 01/25/02 NASTECH PHARMACEUTICAL CO INC DE X X 02/01/02 NCH CORP DE X X 02/20/02 NETRATINGS INC DE X X 02/19/02 NORTHEAST INDIANA BANCORP INC DE X X 02/19/02 OAKWOOD MORTGAGE INVESTORS INC OMI TR NC X X 02/15/02 PENN NATIONAL GAMING INC PA X X 02/13/02 PEOPLES BANCSHARES INC MA X X 02/20/02 PETROQUEST ENERGY INC DE X X 02/20/02 PINNACLE WEST CAPITAL CORP AZ X 02/08/02 PNC MORTGAGE ACCEPTANCE CORP MO X X 02/12/02 PRG SCHULTZ INTERNATIONAL INC GA X X 01/24/02 PRIME HOLDINGS & INVESTMENTS INC NV X 02/13/02 AMEND PROBOOK INC CA X X X 02/11/02 PROFESSIONAL DETAILING INC DE X 02/19/02 PROVIDIAN FINANCIAL CORP DE X 02/05/02 PROVIDIAN MASTER TRUST X 01/15/02 PROXYMED INC /FT LAUDERDALE/ FL X X X 02/14/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 02/20/02 RESTAURANT TEAMS INTERNATIONAL INC TX X X X 12/05/01 AMEND SENSE TECHNOLOGIES INC X 02/20/02 SEQUOIA MORTGAGE FUNDING CORP MD X X 11/30/01 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV X 02/19/02 SPX CORP DE X X 02/12/02 STEWART & STEVENSON SERVICES INC TX X X 02/19/02 STOCKGROUP INFORMATION SYSTEMS INC CO X 02/15/02 SUNTERRA CORP MD X X 02/19/02 TANGRAM ENTERPRISE SOLUTIONS INC PA X 02/19/02 TELTRONICS INC DE X X 02/20/02 TEPPCO PARTNERS LP DE X X 02/14/02 TEXAS INSTRUMENTS INC DE X 02/19/02 TRANSMATION INC OH X 02/18/02 TRIAD HOSPITALS INC DE X X 02/19/02 TRW INC OH X X 02/19/02 UACSC 2001-C OWNER TRUST NY X X 02/08/02 UNIVERSAL COMPRESSION HOLDINGS INC DE X 02/19/02 UNIVERSAL CORP /VA/ VA X 02/19/02 UPC POLSKA INC DE X X X 12/07/01 AMEND US HOME SYSTEMS INC /TX DE X 01/02/02 VELOCITA CORP DE X X 02/19/02 WESTPAC SECURITISATION MGT PTY LTD SE X 02/19/02 WILLIAMS COMMUNICATIONS GROUP INC DE X X 12/07/01 AMEND WILLIS LEASE FINANCE CORP DE X X 02/14/02 WORLD ENVIROTECH INC CO X X X 02/06/02 AMEND WORLD FINANCIAL NETWORK NATIONAL BANK OH X 02/15/02 WYOMING OIL & MINERALS INC WY X X X X X 02/06/02 XCEL ENERGY INC MN X X 02/20/02