SEC NEWS DIGEST Issue 2002-26 February 7, 2002 ENFORCEMENT PROCEEDINGS COMMISSION SANCTIONS BROKER-DEALER FOR CONCEALED PAYMENTS AND POLITICAL CONTRIBUTIONS On February 6, the Commission issued an administrative order censuring Pryor, McClendon, Counts & Co., Inc.- a Philadelphia-based broker-dealer now known as Pryor, Counts & Co., Inc.- for making concealed payments and political contributions. The order also requires PMC to cease and desist from violating certain provisions of the federal securities law and to pay a $40,000 civil penalty. PMC consented to the order without admitting or denying the Commission's findings. In its order, the Commission found that, from at least March 1992 through April 1994, PMC and others participated in a scheme to defraud the city of Atlanta in connection with the city's purchase and sale of approximately $9.8 billion in Treasury STRIPS. According to the Commission, Atlanta's investment officer secretly set aside for PMC virtually all of the city's STRIPS business, at a time when PMC was providing substantial, undisclosed monetary benefits to the investment officer and her husband. The Commission also found that PMC and the investment officer churned Atlanta's STRIPS portfolio, generating over $15.3 million in revenue for PMC. (The former PMC principal and the Atlanta investment officer involved in this scheme - Raymond J. McClendon and Theresa A. Stanford, respectively - were convicted by an Atlanta federal jury on August 8, 2000, of 28 and 23 counts of honest services fraud, respectively, and were later sentenced to 80 months and 46 months in prison, respectively, and ordered to pay fines and restitution. Both are presently incarcerated and their convictions are on appeal.) According to the Commission, separate from but during part of the same period as the STRIPS trading scheme, PMC also made secret payments totaling $135,000 to an official with the city of Atlanta at a time when PMC was seeking and obtaining municipal securities business from the city. In a separate scheme, the Commission found that PMC funneled political contributions through conduits to the campaign organization of a New York City official in May 1994 and a candidate for New York City office in July 1997. According to the Commission, after each of these contributions, PMC participated in New York City negotiated bond offerings in violation of the MSRB rules prohibiting pay-to-play and requiring fair dealing. The Commission also found that one month after the 1994 contribution, PMC falsely represented to New York City that PMC's employees had made no contributions that would trigger a two-year underwriting ban imposed by applicable law. Finally, the Commission found that PMC mischaracterized as consulting expenses in its books and records the 1994 and 1997 campaign contributions, as well as a campaign contribution in 1993 to a candidate for New York state office and a payment in 1992 to a New York state official. Based on these facts, the Commission found that PMC willfully violated Section 17(a) of the Securities Act of 1933, Sections 10(b), 15B(c)(1), and 17(a)(1) of the Securities Exchange Act of 1934 (Exchange Act), Exchange Act Rules 10b-5 and 17a-3, and MSRB Rules G-8, G-17, and G-37. Accordingly, the Commission censured PMC, ordered PMC to cease and desist from committing or causing violations of these provisions, and ordered PMC to pay a $40,000 penalty. The proceeding is still pending as to three individual respondents, including Raymond J. McClendon and Theresa A. Stanford, who are mentioned above, and Allen W. Counts, a principal of PMC. [In the Matter of Pryor, McClendon, Counts & Co., Inc., et al. - Rel. 33-8062; 34-45402; File No. 3-9884) COMMISSION SUSPENDS TWO TRADERS IN CONNECTION WITH MANIPULATION OF BIOTECH SECURITIES On February 6, the Commission issued Orders Instituting Public Administrative Proceedings, Making Findings and Imposing Remedial Sanctions against Richard Silverman, the former head trader at D. Blech & Co., Incorporated, and against Alefheim Prodani, a trader at another broker-dealer. The orders suspend Silverman from associating with a broker or dealer for a period of six months and suspend Prodani from associating with a broker or dealer for a period of nine months. The suspensions were based upon the entry of a judgment by the United States District Court for the Southern District of New York in SEC v. David Blech, et al., 99 Civ. 4770 (RWS), on January 31, 2002, in which the District Court enjoined both Silverman and Prodani from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The judgment requires Silverman to pay a civil penalty of $20,000, and the judgment requires Prodani to pay $35,000 in disgorgement and prejudgment interest, and a $15,000 penalty. Both Silverman and Prodani consented to the entry of the judgments and the suspensions without admitting or denying the allegations made by the Commission. In the injunctive action, the Commission alleged the following: From approximately June through September 1994, David Blech, the chief executive officer of D. Blech & Co., orchestrated a massive manipulative scheme designed to increase or stabilize the prices of a number of the biotechnology securities for which D. Blech & Co. was a market maker. Silverman, the head trader at D. Blech & Co., and Prodani, a trader at another broker-dealer, participated in this scheme. As part of this scheme, David Blech routinely sold biotechnology stocks from D. Blech & Co.'s inventory accounts to brokerage accounts that Blech controlled that were in the names of other individuals and entities. These controlled accounts then sold the biotechnology stocks back to the brokerage firm or to other accounts controlled by David Blech. These trades created the appearance of active trading in the biotechnology stocks. Additionally, through this trading, Blech was able to reduce D. Blech & Co.'s inventory position in the biotechnology stocks, yet still artificially withhold from the market the supply of the biotechnology stocks. As part of this scheme, Silverman personally executed manipulative trades at David Blech's direction and supervised other traders at D. Blech & Co. who executed manipulative trades. For instance, Silverman executed unauthorized transactions in customer accounts, including wash sales and matched orders, and parked securities in various customer accounts. Prodani also executed numerous manipulative trades in firm accounts and customer accounts maintained at the broker-dealer, including wash sales and matched orders. Additionally, Prodani, who was the registered representative for various customer accounts at the broker-dealer, executed purchases and sales in those accounts at David Blech's direction without consulting the account holders. [SEC v. David Blech, Alefheim Prodani and Richard Silverman, C.A. No. 99 Civ. 4770, SDNY] (LR-17354); Administrative Proceeding In the Matter of Richard Silverman - Rel. 34-45407, File No. 3-10694; Administrative Proceeding in the Matter of Alefheim Prodani - Rel. 34-45408, File No. 3-10695) IN THE MATTER OF EDWARD BRACKEN AND DOUGLAS DIGGINS On February 6, the Commission issued an Order Making Findings And Imposing Remedial Sanctions Against Respondent Douglas Diggins (Order). Diggins was formerly employed as a registered representative at a Solana Beach, California branch office of Cohig & Associates, Inc.(Cohig), a broker-dealer firm based in Denver, Colorado. The Commission finds that on March 8, 2000, based upon a plea agreement, Diggins was convicted of one count of conspiracy to commit securities fraud and wire fraud (United States v. Douglas Diggins [No. CR-S-96-271-PMP, D. Nev.). The Commission finds that, in his plea agreement, Diggins admitted that, while associated with Cohig, he conspired with others, including Michael Swan, then the president of Teletek, Inc., to receive undisclosed payments in return for selling Teletek stock to investors. In his plea agreement, Diggins further admitted that he failed to disclose this extraordinary compensation to investors. Based upon the above, the Commission barred Diggins from association with any broker or dealer. (Rel. 34-45409; File No. 3-10603) SEC SUES PABLO ESCANDON AND LORI LTD. FOR INSIDER TRADING; DEFENDANTS TO PAY OVER $1.7 MILLION IN DISGORGEMENT AND PENALTIES On February 7, the Commission filed a civil injunctive action in the United States District Court for the Southern District of New York, alleging that Pablo Escandon Cusi (Escandon), a Mexican businessman, and Lori Ltd., a company owned by the Escandon family, engaged in insider trading prior to the June 28, 1999 public announcement that Nalco Chemical Company would be acquired by Suez Lyonnaise des Eaux, a French company. Escandon is the Chairman and CEO of Nadro S.A. de C.V., a Mexican public company, and that country's second largest pharmaceutical distributor. None of the alleged conduct involves Nadro S.A. de C.V. Escandon is also a director of several other prominent Mexican public companies. Lori Ltd. is a company incorporated in the British Virgin Islands. The Commission's complaint alleges that Escandon was tipped by Jose Luis Ballesteros, a director of Nalco who has since died. The Complaint specifically alleges that, in violation of his fiduciary duties to Nalco, Jose Luis Ballesteros provided Escandon with material, nonpublic information about the proposed acquisition by Suez. In response to this tip, Escandon fraudulently directed the purchase of 50,000 shares of Nalco stock through a brokerage account in the name of Lori Ltd. On June 21 and 22, 1999, the Lori Ltd. account purchased those shares at a cost of $1,810,775. A week later, on June 28, 1999, Nalco and Suez jointly announced that they had signed a definitive merger agreement, calling for Suez to pay $53.00 per Nalco share, representing a $10.50 premium over the June 25 closing price of $42.50. The Complaint alleges that on August 18, 1999, at the direction of Escandon, the Lori Ltd. account sold 10,000 Nalco shares at $51.75 per share. Also at Escandon's direction, the remaining 40,000 shares were tendered to Suez at a price of $53.00 per share. As a result of these transactions, Escandon and Lori Ltd. realized illegal profits of $776,725. Without admitting or denying the allegations of the Commission's complaint, Escandon and Lori Ltd. have consented to pay a total of $1,716,546.23, representing disgorgement of $776,725, prejudgment interest in the amount of $163,096.23, and a penalty of $776,725. In addition, Escandon and Lori Ltd. have consented to the entry of a permanent injunction prohibiting them from further violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934, and Rules 10b-5 and 14e-3 thereunder. In a separate action filed on May 8, 2001, the Commission filed a complaint alleging that Jose Luis Ballesteros also purchased Nalco stock and tipped others. All told, defendants named in that action purchased 263,329 Nalco shares at a cost of over $9.8 million and made illegal profits of more than $3.7 million (SEC v. Jorge Eduardo Ballesteros Franco, et al., Civil Action No. 01CV 3872, JGK, SDNY, filed May 8, 2001; SEC Press Release No. 2001-43 (May 8, 2001). The Commission wishes to thank the United States Attorney's Office for the Southern District of New York, the U.S. Customs Service, the Swiss Federal Office of Justice, the New York Stock Exchange and the Isle of Jersey Financial Services Commission for their cooperation and assistance in this matter. The Commission is continuing its investigation in this matter. [SEC v. Pablo Escandon Cusi and Lori Ltd., Civil Action No. 02CV 0971, SDNY] (LR-17356) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Municipal Securities Rulemaking Board filed a proposed rule change (SR-MSRB-2002-01) relating to Rule G-17, on Disclosure of Material Facts. Publication of the proposal is expected in the Federal Register during the week of February 4. (Rel. 34-45361) The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2001-33) relating to the solicitation of trading interest on the Exchange floor. Publication of the proposal is expected in the Federal Register during the week of February 11. (Rel. 34-45391) The Pacific Exchange filed a proposed rule change (SR-PCX-2001-50) relating to collective action by market makers. Publication of the proposal is expected in the Federal Register during the week of February 11. (Rel. 34-45392) The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2001-64) relating to AutoQuote parameters. Publication of the proposal is expected in the Federal Register during the week of February 11. (Rel. 34-45394) The Pacific Exchange, through its wholly owned subsidiary PCX Equities, Inc., filed a proposed rule change (SR-PCX-2002-05) to amend its rules relating to hearing fees for issuer requests for review of delisting decisions. Publication of the proposal is expected in the Federal Register during the week of February 11. (Rel. 34-45396) The New York Stock Exchange filed a proposed rule change (SR-NYSE-2002- 06) relating to changes to Exchange Rule 351 concerning the reporting of criminal offenses by members and member organizations to the Exchange. Publication of the proposal is expected in the Federal Register during the week of February 11. (Rel. 34-45404) A proposed rule change has been filed by the Cincinnati Stock Exchange (SR-CSE-2001-04) relating to creation of the OTC-UTP System on the Exchange. Publication of the proposal is expected in the Federal Register during the week of February 11. (Rel. 34-45405) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-PCX-2001-33), and Amendment No. 1 thereto, submitted by the Pacific Exchange, which adopts procedures for the transfer of options positions. Publication of the proposal is expected in the Federal Register during the week of February 11. (Rel. 34-45395) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the American Stock Exchange to amend Amex Rule 393 relating to Section 31 transaction fees (SR-Amex-2002-07) 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 February 11. (Rel. 34-45401) A proposed rule change filed by the Cincinnati Stock Exchange (SR-CSE- 2002-01) establishing a fee schedule for transactions in Nasdaq/National Market securities and establishing a revenue sharing program to reflect recent developments in competitive business strategy has become effective under Section 19(b)(3)(A) of the Act. Publication of the proposal is expected in the Federal Register during the week of February 11. (Rel. 34-45406) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission approved, on an accelerated basis, a proposed rule change and Amendments Nos. 1, 2 and 3 thereto submitted by the American Stock Exchange relating to the initial and annual listing fees, fees for listing additional shares and the one-time charge for listing shares issued in connection with acquisition of a listed company by an unlisted company (SR-Amex-2001-100). (Rel. 34-45403) DELISTING GRANTED An order has been issued granting the application of the Boston Stock Exchange to strike from listing and registration the Common Stock, $.003 par value, of Query Object Systems, Inc., effective at the opening of business on February 6, 2002. (Rel. 34-45397) An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain underlying securities as option classes, effective immediately. (Rel. 34-45398) An order has been issued granting the application of the Boston Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, of Cornerstone Internet Solutions Company, effective at the opening of business on February 6, 2002. (Rel. 34-45399) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until February 28 to comment on the application for withdrawal from listing and registration (IPI, Inc., Common Shares, $.01 par value) on the American Stock Exchange. (Rel. 34-45400) 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 EVERLERT INC, 1201 E WARNER AVE, SANTA ANA, CA, 92705, 7149660710 - 0 ($900.00) Equity, (File 333-82226 - Feb. 6) (BR. 05) S-3 CAPITAL ONE FINANCIAL CORP, 2980 FAIRVIEW PARK DRIVE, SUITE 1300, FALLS CHURCH, VA, 22042, 7032051000 - 0 ($1,500,000,000.00) Other, (File 333-82228 - Feb. 6) (BR. 07) S-3 KEYSPAN CORP, 175 EAST OLD COUNTRY ROAD, HICKSVILLE, NY, 11801, 5167556650 - 0 ($1,200,000,000.00) Unallocated (Universal) Shelf, (File 333-82230 - Feb. 6) (BR. 02) S-8 VIEW SYSTEMS INC, 825 W KENYON AV, SUITE 15, ENGLEWOOD, CO, 80110, 3032957200 - 250,000 ($147,500.00) Equity, (File 333-82240 - Feb. 6) (BR. 08) S-4 CLEARONE COMMUNICATIONS INC, 1825 RESEARCH WAY, SALT LAKE CITY, UT, 84119, 8019757200 - 873,000 ($13,161,686.00) Equity, (File 333-82242 - Feb. 6) (BR. 37) S-8 GREATER ATLANTIC FINANCIAL CORP, BOX 10700 PARKRIDGE BLVD, RESTON, VA, 20191, 7033911300 - 225,000 ($6.30) Equity, (File 333-82244 - Feb. 6) (BR. 07) S-3 OCCIDENTAL PETROLEUM CORP /DE/, 10889 WILSHIRE BLVD, LOS ANGELES, CA, 90024, 3102088800 - 0 ($1,000,000,000.00) Other, (File 333-82246 - Feb. 6) (BR. 04) S-4 COLONIAL BANCGROUP INC, ONE COMMERCE ST STE 800, P O BOX 1108, MONTGOMERY, AL, 36104, 3342405000 - 6,275,008 ($28,174,786.00) Equity, (File 333-82248 - Feb. 6) (BR. 07) S-3 ATRIX LABORATORIES INC, 2579 MIDPOINT DR, FORT COLLINS, CO, 80525, 3034825868 - 0 ($308,399.16) Equity, (File 333-82250 - Feb. 6) (BR. 01) S-8 CONCORD COMMUNICATIONS INC, 600 NICKERSON RD, MARLBORO, MA, 01752, 5084604646 - 0 ($10,987,500.00) Equity, (File 333-82252 - Feb. 6) (BR. 03) S-4 FOREST OIL CORP, 1600 BROADWAY, 2200 COLORADO STATE BANK BLDG, DENVER, CO, 80202, 3038121400 - 0 ($160,000,000.00) Other, (File 333-82254 - Feb. 6) (BR. 04) S-8 VALICERT INC, 339 N BERNARDO AVE, MOUNTAIN VIEW, CA, 94043, 6505675400 - 0 ($2,452,670.55) Equity, (File 333-82256 - Feb. 6) (BR. 03) S-8 MATERIAL TECHNOLOGIES INC /CA/, 11835 OLYMPIC BLVD, SUITE 705 EAST TOWER, LOS ANGELES, CA, 90064, 3102085589 - 20,000,000 ($2,600,000.00) Equity, (File 333-82258 - Feb. 6) (BR. 36) S-8 COLDWATER CREEK INC, ONE COLDWATER CREEK DRIVE, SANDPOINT, ID, 83864, 2082632266 - 0 ($6,390,000.00) Equity, (File 333-82260 - Feb. 6) (BR. 02) S-3 UNITED AUTO GROUP INC, 13400 OUTER DRIVE WEST, DETROIT, MI, 48239, 3135927311 - 0 ($166,842,000.00) Equity, (File 333-82264 - Feb. 6) (BR. 02) S-8 RAINDANCE COMMUNICATIONS INC, 1157 CENTURY DR, LOUISVILLE, CO, 80027, 8008787326 - 0 ($24,535,648.00) Equity, (File 333-82266 - Feb. 6) (BR. 37) S-8 CERTIFIED SERVICES INC, 4850 W FLAMINGO RD, #23, LAS VEGAS, NV, 89103, 7023142805 - 5,000,000 ($3,100,000.00) Equity, (File 333-82268 - Feb. 6) (BR. 08) S-8 FORCE 10 TRADING INC, 11781 SOUTH LONE PEAK PARKWAY, TECHNOLOGY CENTER 22, SUITE 230, DRAPER, UT, 84020, 8016193500 - 1,547,000 ($1,082,900.00) Equity, (File 333-82270 - Feb. 6) (BR. 09) S-3 E DIGITAL CORP, 13114 EVENING CREEK DR S, SAN DIEGO, CA, 92128, 6196791504 - 0 ($21,700,000.00) Equity, (File 333-82272 - Feb. 6) (BR. 02) S-8 PENN VIRGINIA CORP, 6106878900 - 100,000 ($2,837,000.00) Equity, (File 333-82274 - Feb. 6) (BR. 04) S-8 EDISON SCHOOLS INC, 521 FIFTH AVE, 15TH FL, NEW YORK, NY, 10175, 2124191600 - 0 ($33,100,000.00) Equity, (File 333-82276 - Feb. 6) (BR. 08) SB-2 BLADE INTERNET VENTURES INC, 2530 WEST 21ST AVE, V6L 1K1, VANCOUVER BC CANADA, 7023126255 - 8,265,563 ($6,199,172.25) Equity, (File 333-82278 - Feb. 6) (BR. ) S-3 NELNET STUDENT LOAN FUNDING LLC, 1215 13TH ST, SUITE 301, LINCOLN, NE, 68508, 4024239583 - 10,000 ($1,000,000.00) Asset-Backed Securities, (File 333-82280 - Feb. 6) (BR. ) S-8 SYNAPTICS INC, 2381 BERING DRIVE, SAN JOSE, CA, 95131, 4084340110 - 1,000,000 ($13,000,000.00) Equity, (File 333-82282 - Feb. 6) (BR. 03) S-8 SYCONET COM INC, 5020 CAMPUS DRIVE, NEWPORT BEACH, CA, 92660, 9499727391 - 0 ($5,550.00) Equity, (File 333-82284 - Feb. 6) (BR. 05) S-8 SYNAPTICS INC, 2381 BERING DRIVE, SAN JOSE, CA, 95131, 4084340110 - 200,000 ($1,327,500.00) Equity, (File 333-82286 - Feb. 6) (BR. 03) S-8 SYNAPTICS INC, 2381 BERING DRIVE, SAN JOSE, CA, 95131, 4084340110 - 3,706,208 ($13,026,652.50) Equity, (File 333-82288 - Feb. 6) (BR. 03) S-8 COM GUARD COM INC, 3838 CAMINO DEL RIO N, STE 333, SAN DIEGO, CA, 92108, 6192808000 - 0 ($3,000,000.00) Equity, (File 333-82290 - Feb. 6) (BR. 06) S-8 ADVANCED MAGNETICS INC, 61 MOONEY ST, CAMBRIDGE, MA, 02138, 6173543929 - 0 ($3,850,000.00) Equity, (File 333-82292 - Feb. 6) (BR. 01) S-3 STERLING BANCORP, 430 PARK AVE, NEW YORK, NY, 10022-3299, 2128268044 - 0 ($25,000,000.00) Other, (File 333-82296 - Feb. 6) (BR. 07) S-1 ADVANCE AUTO PARTS INC, 5673 AIRPORT RD, ROANOKE, VA, 24012, 5405613225 - 10,350,000 ($476,100,000.00) Equity, (File 333-82298 - Feb. 6) (BR. 02) 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 ----------------------------------------------------------------------------- ACADIA REALTY TRUST MD X X 01/23/02 ADVANCED AERODYNAMICS & STRUCTURES IN DE X X 01/08/02 ADVANCED MICRO DEVICES INC DE X X 01/16/02 ADVANCED MICRO DEVICES INC DE X X 01/23/02 ADVANTA CORP DE X X 01/22/02 AIR PRODUCTS & CHEMICALS INC /DE/ DE X X 12/31/01 AMEND ALLOS THERAPEUTICS DE X 01/08/02 ALLOY STEEL INTERNATIONAL INC X 01/16/02 ALLURE COSMETICS LTD DE X X 01/22/02 ALTEON INC /DE DE X 01/17/02 AMB PROPERTY CORP MD X X 01/14/02 AMB PROPERTY LP DE X X 01/14/02 AMC ENTERTAINMENT INC DE X X 12/27/01 AMERICAN BIOGENETIC SCIENCES INC DE X X 01/14/02 AMERIVEST PROPERTIES INC MD X X 01/23/02 AMERIVEST PROPERTIES INC MD X 11/19/01 AMEND ANNUITY & LIFE RE HOLDINGS LTD X 01/16/02 APHTON CORP DE X X 01/23/02 ARRIS GROUP INC DE X X 01/08/02 BA MASTER CREDIT CARD TRUST / X 01/15/02 BANC ONE HELOC 1999-1 OH X X 01/22/02 BANC ONE HELOC TRUST 1998-1 OH X X 01/22/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 01/23/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 01/23/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 01/23/02 BECTON DICKINSON & CO NJ X X 01/23/02 BELDEN & BLAKE CORP /OH/ OH X 01/17/02 BETHLEHEM STEEL CORP /DE/ DE X 01/22/02 BETHLEHEM STEEL CORP /DE/ DE X X 01/23/02 BIRCH FINANCAIL INC NV X 01/18/02 BOSTON PROPERTIES INC DE X X 01/22/02 BOUNDLESS CORP DE X X 01/17/02 BROCADE COMMUNICATIONS SYSTEMS INC DE X X 12/18/01 CATERPILLAR INC DE X 01/23/02 CATERPILLAR INC DE X 01/23/02 CENTEX CORP NV X X 01/23/02 CERIDIAN CORP /DE/ DE X X 01/23/02 CHARLES RIVER LABORATORIES INC X 01/17/02 CHARLES RIVER LABORATORIES INTERNATIO X 01/17/02 COMPLE TEL EUROPE NV X X 01/23/02 CONSTELLATION BRANDS INC DE X 01/17/02 CONTINENTAL AIRLINES INC /DE/ DE X X 01/16/02 COR THERAPEUTICS INC / DE DE X X 01/22/02 CORNING INC /NY NY X 12/31/01 CREDIT SUISSE FIR BOS MOR SEC CORP MO DE X X 01/22/02 DEUTSCHE RECREATIONAL ASSET FUNDING C NV X X 12/31/01 DUPONT E I DE NEMOURS & CO DE X 12/31/01 ECHOSTAR COMMUNICATIONS CORP NV X 01/22/02 ELECTRIC FUEL CORP DE X X 01/23/02 EMPIRE FEDERAL BANCORP INC DE X X 01/22/02 EN POINTE TECHNOLOGIES INC DE X 01/22/02 ENDOCARDIAL SOLUTIONS INC DE X X 01/23/02 EQUIDYNE CORP DE X X 12/28/01 ERIE INDEMNITY CO X 01/23/02 EXPEDIA INC WA X X 01/23/02 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE X X 01/22/02 FIDELITY BANCORP INC /DE/ DE X 01/22/02 FIDELITY BANCORP INC /DE/ DE X 01/23/02 FINDWHAT COM INC NV X X 01/23/02 FLOW INTERNATIONAL CORP WA X 01/23/02 FOOTSTAR INC DE X X 01/23/02 FORTUNE BRANDS INC DE X X 01/23/02 GASCO ENERGY INC NV X 01/31/01 AMEND GATX CORP NY X 01/23/02 GENEREX BIOTECHNOLOGY CORP DE X 01/16/02 GMAC COMMERCIAL MORTGAGE SECURITIES I DE X X 01/22/02 GOPUBLICNOW COM INC DE X X 01/01/02 AMEND GREATAMERICA LEASING RECEIVABLES 2000 DE X X 01/22/02 GUNDLE SLT ENVIRONMENTAL INC DE X X 01/22/02 HAGGAR CORP NV X X X 01/23/02 HEARTLAND TECHNOLOGY INC DE X 12/22/01 HELMERICH & PAYNE INC DE X 01/23/02 HORIZON FINANCIAL SERVICES CORP DE X X 01/22/02 HOUSEHOLD AUTOMOBILE REVOLVING TRUST NV X 01/17/02 HOUSEHOLD CREDIT CARD MASTER NOTE TRU DE X 01/17/02 HOUSEHOLD FINANCE CORP HOUSEHOLD CONS DE X 01/14/02 HRSI FUNDING INC II DE X 01/15/02 HUNTINGTON BANCSHARES INC/MD MD X X 01/18/02 IBERIABANK CORP LA X X X 01/22/02 IMPLANT SCIENCES CORP MA X 01/23/02 INTERIORS INC DE X X X 12/27/01 ION NETWORKS INC DE X X 01/23/02 IRT PROPERTY CO GA X X 01/22/02 IRWIN FINANCIAL CORPORATION IN X X 01/23/02 JAMESON INNS INC GA X X 01/23/02 KAISER GROUP HOLDINGS INC DE X 12/14/01 KB HOME DE X 01/23/02 KEVCO INC TX X X 01/22/02 KIMBERLY CLARK CORP DE X 01/23/02 LAWRENCE FINANCIAL HOLDINGS INC MD X X 01/23/02 LIBBEY INC DE X 01/22/02 LIBBEY INC DE X 01/22/02 LIFEPOINT INC DE X 01/18/02 LITHIUM TECHNOLOGY CORP DE X X X 01/08/02 MAIN STREET BANKSHARES INC X X 01/23/02 MCCORMICK & CO INC MD X X 01/23/02 MEDICAL ACTION INDUSTRIES INC DE X 01/23/02 AMEND MERRILL LYNCH & CO INC DE X X 01/23/02 MICROWAVE TRANSMISSION SYSTEMS INC X X 01/17/02 MID AMERICA APARTMENT COMMUNITIES INC TN X 12/31/01 NATIONAL CITY CORP DE X X X 01/22/02 NATIONAL CITY CREDIT CARD MASTER TRUS X 01/15/02 NEW JERSEY RESOURCES CORP NJ X X 01/23/02 NEW PLAN EXCEL REALTY TRUST INC MD X X 01/22/02 NORTHEAST INDIANA BANCORP INC DE X X 12/31/01 NORTHEAST UTILITIES SYSTEM MA X 12/31/01 OPTIMUMCARE CORP /DE/ DE X X 01/23/02 PEOPLES BANK CREDIT CARD MASTER TRUST CT X X 12/31/01 PHARMACOPEIA INC DE X X 01/17/02 PLEXUS CORP WI X X 01/08/02 PNM RESOURCES NM X 01/23/02 POCAHONTAS BANCORP INC DE X X 01/16/02 POLYCOM INC DE X X 01/23/02 PPL ENERGY SUPPLY LLC X 01/14/02 PRIME RECEIVABLES CORP DE X 01/15/02 PROGRESS FINANCIAL CORP DE X 01/23/02 PROVIDENT BANKSHARES CORP MD X X 01/16/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 01/23/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 01/23/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 01/23/02 RESIDENTIAL ASSET SECURITIES CORP DE X X 01/23/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 01/22/02 RIGGS NATIONAL CORP DE X X 12/31/01 RIGHT MANAGEMENT CONSULTANTS INC PA X X 01/14/02 ROADWAY CORP DE X X 01/23/02 SAFLINK CORP DE X X 01/11/02 SAKS INC TN X 01/22/02 SALOMON SMITH BARNEY HOLDINGS INC DE X 01/17/01 SENIOR SUBORDINATE PASS THROUGH CERTI TN X X 01/07/02 SL INDUSTRIES INC NJ X X 01/10/02 SMITH & WOLLENSKY RESTAURANT GROUP IN DE X 01/04/01 SOUTHWEST BANCORP OF TEXAS INC TX X X 01/21/02 SPECTRALINK CORP CO X X 01/22/02 STAR RECEIVABLES FUNDING INC DE X 01/15/02 STEREOSCAPE COM INC NV X 12/26/01 SUNRISE TECHNOLOGIES INTERNATIONAL IN DE X X 01/09/02 TAG IT PACIFIC INC DE X 01/08/02 TARGETED GENETICS CORP /WA/ WA X X 09/19/00 AMEND TS&B HOLDINGS INC X X 01/17/02 UNITED COMMUNITY FINANCIAL CORP OH X 01/23/02 UNITY BANCORP INC /DE/ DE X 01/22/02 USA VIDEO INTERACTIVE CORP WY X X 01/22/02 USA VIDEO INTERACTIVE CORP WY X X 01/22/02 USAA FEDERAL SAVINGS BANK X 12/15/01 USAA FEDERAL SAVINGS BANK X 01/15/02 VANDERBILT MOR & FI INC HO CO SE SU TN X X 01/07/02 VANDERBILT MORTGAGE & FI IN MA HO CO TN X X 01/07/02 VIEWCAST COM INC DE X X 01/23/02 VISTA GOLD CORP X 01/22/02 VSOURCE INC DE X X 01/16/02 WACHOVIA CORP NEW NC X X X 01/23/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X X 01/23/02 WATERLINK INC DE X X 01/22/02 WESTPAC SECURITISATION MANAGEMENT PTY X 01/22/02 WHITEMARK HOMES INC CO X X 11/07/01 AMEND WHX CORP DE X X 01/20/02 WILLIAMS COMPANIES INC DE X X 01/14/02 WILSONS THE LEATHER EXPERTS INC MN X X 01/10/02 ZANY BRAINY INC PA X X 01/15/02 1-800 ATTORNEY INC FL X X 01/18/02 AAIPHARMA INC DE X X 08/17/01 ABC NACO INC DE X X X 01/11/02 ABN AMRO MORTGAGE CORP DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-4 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-5 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-1 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-2 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-3 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-4 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-6 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-7 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-8 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-1 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-2 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-3 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-4 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-1A DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-2 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-3 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-5 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-6 DE X 01/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-7 DE X 01/01/02 ACKERLEY GROUP INC DE X X 01/24/02 ADAPTIVE BROADBAND CORP DE X X 01/16/02 ADVANCED MICRO DEVICES INC DE X X 01/24/02 ALLETE INC MN X 01/24/02 AMB PROPERTY CORP MD X 01/22/02 AMERICAN IR TECHNOLOGIES INC NV X 12/03/01 AMERICAN SOUTHWEST FINANCIAL SECURITI AZ X 01/01/02 AMM HOLDINGS INC DE X X 01/23/02 ANC RENTAL CORP DE X X 01/22/02 ANWORTH MORTGAGE ASSET CORP MD X X 01/23/02 AQUASEARCH INC CO X X 01/16/02 ARTESYN TECHNOLOGIES INC FL X 01/15/02 AMEND ARTISOFT INC DE X X 01/24/02 ASSET BACKED SEC CORP HOME EQUITY LOA DE X X 01/24/02 ATSI COMMUNICATIONS INC/DE DE X X 12/13/01 AMEND AUTO TROL TECHNOLOGY CORP CO X X 01/24/02 AVANEX CORP DE X X 01/23/02 AVNET INC NY X X 01/24/02 BEAR STEARNS ASSET BACKED SECURITIES DE X 01/01/02 BEAR STEARNS COMMERCIAL MORTGAGE SEC NY X X 01/15/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X 01/01/02 BERKSHIRE HILLS BANCORP INC X X 01/23/02 BICO INC/PA PA X 01/23/02 BROADCOM CORP CA X X 01/23/02 CALIFORNIA MICRO DEVICES CORP CA X X 01/23/02 CAPITOL COMMUNITIES CORP NY X X 01/24/02 CARBIDE GRAPHITE GROUP INC /DE/ DE X X 01/22/02 CELEXX CORP NV X X 01/24/02 CHAPARRAL RESOURCES INC DE X X 12/31/01 CHARTER COMMUNICATIONS HOLDINGS LLC DE X X 01/02/02 CHARTER COMMUNICATIONS INC /MO/ DE X X 01/02/02 CIT EC EF 2001-A DE X 01/17/02 CIT EQUIPMENT COLLATERAL 2001-1 X 01/17/02 CITIBANK SOUTH DAKOTA N A DE X 12/26/01 CITIBANK SOUTH DAKOTA N A DE X 12/26/01 CITIBANK SOUTH DAKOTA N A DE X 12/31/01 CITIBANK SOUTH DAKOTA N A DE X 12/31/01 CITICORP MORTGAGE SECURITIES INC DE X 01/24/02 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 01/17/02 COMPUTER ASSOCIATES INTERNATIONAL INC DE X X 01/23/01 COOPER INDUSTRIES INC OH X 01/24/02 COOPER INDUSTRIES INC OH X X X 01/24/02 COPPER CORP CO X X 01/09/02 COSMO COMMUNICATIONS CORP FL X 12/31/02 AMEND CYTOGEN CORP DE X X 01/18/02 DEUTSCHE FLOORPLAN RECEIVABLES L P DE X X 12/31/01 DGLV INC DE X X 01/24/02 DISCOVER CARD MASTER TRUST I DE X X 01/23/02 DIVINE INC DE X X 01/09/02 DYCOM INDUSTRIES INC FL X 01/23/02 E PERCEPTION INC NV X 01/09/02 EMULEX CORP /DE/ DE X X 01/23/02 EXACT SCIENCES CORP DE X X 01/22/02 FEDERAL AGRICULTURAL MORTGAGE CORP X X 12/31/01 FIFTH AVENUE ACQUISITION I CORP FL X X X X 03/31/02 AMEND FIGHTON SUCCESSION CORP CA X X 01/11/02 FIRST DEFIANCE FINANCIAL CORP OH X X 01/18/02 FIRST UNION COM MOR SEC INC COM MOR P NY X X 01/17/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 01/17/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 01/17/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 01/17/02 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 01/01/02 FIRST UNION COMMERCIAL MORTGAGE SECUR NC X 01/01/02 FRANKLIN RESOURCES INC DE X X 12/31/01 FRIEDMANS INC DE X 01/23/02 FSI INTERNATIONAL INC MN X 01/23/02 GEORGIA PACIFIC CORP GA X X 01/24/02 GLOBAL ACQUISITION INC CO X X X X X 01/15/02 GLOBALNET INC NV X 01/15/02 GSI LUMONICS INC A3 X X 04/12/99 GYRODYNE CO OF AMERICA INC NY X 01/23/02 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 01/23/02 HEALTH MANAGEMENT ASSOCIATES INC DE X 01/22/02 HORTON D R INC /DE/ DE X X 01/24/02 HOUSEHOLD AUTOMOTIVE TRUST III SERIES NV X 01/17/02 HOUSEHOLD AUTOMOTIVE TRUST IV SERIES DE X 01/17/02 HOUSEHOLD AUTOMOTIVE TRUST V SERIES 2 DE X 01/17/02 HOUSEHOLD CONSUMER LOAN TRUST 1996-1 DE X 01/14/02 HOUSEHOLD CONSUMER LOAN TRUST 1996-2 DE X 01/17/02 HOUSEHOLD CONSUMER LOAN TRUST 1997-1 DE X 01/14/02 HOUSEHOLD CONSUMER LOAN TRUST 1997-2 DE X 02/14/02 HOVNANIAN ENTERPRISES INC DE X X 01/10/02 IBM CREDIT CORP DE X 12/31/01 INDIANA GAS CO INC IN X 12/31/01 INSILICON CORP X X 01/15/02 INSPIRE INSURANCE SOLUTIONS INC TX X X 09/09/02 INTERFACE INC GA X 01/24/02 INTREPID CAPITAL CORP DE X X 01/15/02 INTUIT INC DE X 01/24/02 IXYS CORP /DE/ DE X X 01/22/02 JDS UNIPHASE CORP /CA/ DE X X 01/24/02 KEYSPAN CORP NY X X X 01/24/02 LACLEDE GROUP INC MO X X 01/24/02 LB UBS COM MOR TR 2001 C2 COM MOR PAS DE X 01/01/02 LB UBS COMMERCIAL MORTGAGE TRUST 2001 DE X 01/01/02 LEHMAN ABS CORP DE X X 01/23/02 MANPOWER INC /WI/ WI X X 01/07/02 MCAFEE COM CORP DE X 01/16/02 MCKESSON CORP DE X X 01/22/02 MEDIABIN INC GA X X 01/10/02 MERCANTILE BANKSHARES CORP MD X X 01/23/02 METRIS RECEIVABLES INC DE X 01/22/02 METRIS RECEIVABLES INC DE X 01/22/02 MILINX BUSINESS GROUP INC DE X 01/12/02 MOLL INDUSTRIES INC DE X 01/23/02 MORGAN STANLEY DEAN WIT CAP I INC COM X X 01/15/02 NATIONAL HOME CENTERS INC AR X X 01/18/02 NATIONSLINK FUNDING CORP 1999-LTL-1 C DE X 01/01/02 NATIONSLINK FUNDING CORP COMM MORT PA DE X 01/01/02 NB&T FINANCIAL GROUP INC OH X 01/24/02 OMNISKY CORP X X X 01/22/02 OPTION CARE INC/DE DE X X 01/18/02 PACIFIC NORTHWEST BANCORP WA X X 01/22/02 PMI GROUP INC DE X 01/23/02 PNM RESOURCES NM X X 12/31/01 POLYCOM INC DE X 01/07/02 AMEND POOLED AUTO SECURITIES SHELF LLC DE X X 01/22/02 POTOMAC ELECTRIC POWER CO VA X X 01/24/02 PRICESMART INC DE X X 01/15/02 RAQUEL INC NV X X 01/23/02 READERS DIGEST ASSOCIATION INC DE X 12/31/01 RESIDENTIAL ASSET SECURITIES CORP DE X X 01/23/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 01/23/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 01/23/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 01/23/02 RUDDICK CORP NC X X 01/22/02 RUSSELL CORP AL X 01/24/02 SAFECO CORP WA X 01/24/02 SALOMON BROTHERS COMMERCIAL MORT TR 2 DE X 01/01/02 SCANA CORP SC X 01/23/02 SCHULER HOMES INC DE X X 01/24/02 SENIOR HOUSING PROPERTIES TRUST MD X X X 12/31/01 SEQUA CORP /DE/ DE X X 01/23/02 SILVER STAR FOODS INC /NY/ NY X 03/09/01 AMEND SORRENTO NETWORKS CORP NJ X 01/24/02 SOUTHERN INDIANA GAS & ELECTRIC CO IN X 12/31/01 SPARTA SURGICAL CORP DE X 01/24/02 STANLEY WORKS CT X X 01/24/02 STRUCTURED ASSET SEC CORP COMM MORT P DE X 01/01/02 SVB FINANCIAL SERVICES INC NJ X X 01/22/02 SYCONET COM INC DE X 01/21/02 TECO ENERGY INC FL X 01/23/02 TELDAR FINANCIAL INC DE X X 01/18/02 TERAGLOBAL COMMUNICATIONS CORP DE X X 01/23/02 THORATEC CORP CA X X X X X 02/14/01 AMEND TRANSMATION INC OH X 01/22/02 TROY FINANCIAL CORP DE X X 01/23/02 TXU US HOLDINGS CO TX X X 01/01/02 TYCO CAPITAL CORP NV X X 01/22/02 TYCO INTERNATIONAL LTD /BER/ D0 X X 01/22/02 UNION PACIFIC CORP UT X X 01/24/02 UNION PACIFIC RAILROAD CO/DE DE X X 01/24/02 UNITED STATES ANTIMONY CORP MT X 01/14/02 UNITEDGLOBALCOM INC DE X X 01/18/02 UNIVERSAL COMPRESSION HOLDINGS INC DE X X X 01/23/02 UNIVERSAL EQUITY PARTNERS INC DE X X 01/14/02 UNOCAL CORP DE X 01/24/02 VECTREN CORP IN X 12/31/01 VECTREN UTILITY HOLDINGS INC IN X 12/31/01 VIAD CORP DE X X 01/24/02 WATSON WYATT & CO 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