SEC NEWS DIGEST Issue 2002-138 July 18, 2002 ENFORCEMENT PROCEEDINGS PUBLIC ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST AND SIMULTANEOUSLY SETTLED WITH THE PNC FINANCIAL SERVICES GROUP, INC. On July 18, the Commission entered an Order Instituting Public Administrative Proceedings Pursuant to Section 8A of the Securities Act of 1933 (Securities Act) and Section 21C of the Securities Exchange Act of 1934 (Exchange Act), Making Findings and Imposing Cease-and-Desist Order (Order) against The PNC Financial Services Group, Inc. (PNC). The Commission simultaneously accepted PNC's Offer of Settlement, in which PNC neither admitted nor denied the findings contained in the Commission's Order and consented to the issuance of a cease-and-desist order. In its Order, the Commission found that in 2001, PNC endeavored to remove certain volatile, troubled or under-performing loans and venture capital investments from its financial statements by transferring them to certain special purpose entities that were specially created to receive these assets and in which PNC held a substantial interest. PNC made these transfers in order to reduce its exposure to loan losses and venture capital investment losses. For the second and third quarters of 2001, PNC filed with the Commission reports containing financial statements that did not consolidate these entities. PNC also made statements in its filings with the Commission and in certain press releases that described its strategy of turning its corporate focus away from commercial lending, and reducing its exposure to the risks of commercial lending. The Commission found that PNC's accounting with respect to these entities was improper under GAAP, in that it should have consolidated them, and that PNC made materially false and misleading disclosures in its filings with the Commission and in press releases about its financial condition and performance, including, among other things, a material overstatement of its 2001 earnings. PNC's failure to account properly for these transactions materially misstated its financial condition and its false and misleading disclosures created a materially inaccurate picture of the extent to which it was reducing its exposure to commercial lending and venture capital activities, when in fact it remained exposed to the risks presented by the assets transferred to the special purpose entities. Further PNC's books and records were inaccurately maintained in connection with these transactions. Accordingly, the Commission found that PNC violated Sections 17(a)(2) and 17(a)(3) of the Securities Act, Sections 10(b), 13(a) and 13(b)(2)(A) of the Exchange Act, and Exchange Act Rules 10b-5, 12b-20, 13a-1 and 13a- 13, and ordered to cease and desist from committing or causing violations or future violations of these provisions. (In the Matter of The PNC Financial Services Group, Inc. - Rels. 33-8112, 34-46225, AAE Rel. 1597, File No. 3-10838; Press Rel. 2002-109) SEC CENSURES KNIGHT SECURITIES FOR VIOLATING THE LIMIT ORDER DISPLAY RULE BETWEEN 1997 AND 1999; IMPOSES A FINE OF $75,000 Today, the Commission censured and fined Knight Securities, L.P., a registered broker-dealer and the largest market maker in the over-the- counter market, for violating the Limit Order Display Rule (Securities Exchange Act of 1934, Rule 11Ac1-4). Between October 1997 and August 1999, certain of Knight's eligible limit orders were not promptly redisplayed, executed, or re-routed in contravention of the Rule. These violations of the Rule resulted from a design limitation in the automated order routing and execution system that Knight licensed from a third-party vendor. Certain limit orders that were not redisplayed also would have had the effect of improving the best price in the market, known as the National Best Bid or Offer (NBBO). The Limit Order Display Rule, which became effective in January 1997 and was fully implemented by August 1997, generally requires market makers to display customer limit orders that: (1) are priced better than the market maker's quote, or (2) add to the size of a market maker's quote when the market maker is at the NBBO. A market maker does not have to display any limit orders that it immediately executes or sends to another market maker or a qualified ECN (electronic communication network) for handling. The improving limit order must continue to be displayed until it is executed, re-routed, or a new improving quote is displayed. Knight's position as the largest market maker in the over-the-counter market made it especially important that the firm's software comply fully with the Limit Order Display Rule. While trying to fix the problem, Knight employed a manual system of complying with the Rule that did not ensure adequately full compliance with the Limit Order Display Rule. As a result of Knight's conduct, in certain instances, the NBBO reflected an inferior quote and a wider spread between the bid and ask. (Rel. 34-46226; File No. 3-10839) SEC SUES FORMER MERRILL LYNCH BROKER FOR FRAUD On July 17, the Commission filed civil fraud charges for misappropriation of client funds and unauthorized trading against Gregory A. Hinkson, a former Merrill Lynch broker at the Newport Beach, California branch office. Hinkson, age 38, lives in Irvine, California. Hinkson has entered into a settlement with the Commission by agreeing to pay nearly $675,000 in disgorgement and penalties. The Commission's complaint alleges that from December 1998 to May 2000, while he was a Merrill Lynch broker, Hinkson sold several of his clients' Cash Management Account money fund securities and then forged their signatures on authorizations to transfer the proceeds into his own bank and securities accounts. Hinkson was able to cover up his scheme because he also transferred funds to client accounts whose funds had been previously misappropriated. If a client discovered an unauthorized transaction, Hinkson falsely told the client that a mistake had been made and that the funds had been, or would be, replaced with interest. At the time of Hinkson's termination from Merrill Lynch in June 2000, two of his clients' accounts were missing a total of $327,356. The Commission's complaint also alleges that Hinkson performed unauthorized trading in one of his client's accounts. From April 2000 to May 2000, Hinkson performed 38 unauthorized trades from which he received approximately $10,016 in commissions. The Commission's complaint charges Hinkson with violations of the antifraud provisions of 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 based on his misappropriation of client funds and unauthorized trading. Without admitting or denying the allegations in the complaint, which was filed in U.S. District Court in Santa Ana, California, Hinkson has consented to the entry of a permanent injunction prohibiting him from committing future violations of the antifraud provisions of the federal securities laws. Hinkson has also agreed to pay $337,372 in disgorgement, with prejudgment interest thereon, and a civil money penalty of $337,372. [SEC v. Gregory A. Hinkson, Case No. SA CV 02-5576 (DT) (AJWx) (C.D. Cal.)] (LR-17621) U.S. DISTRICT COURT ISSUES ORDER REQUIRING COMPLIANCE IN SEC SUBPONEA ENFORCEMENT ACTION On July 11, the U.S. District Court for the Northern District of Texas granted the SEC's application for enforcement of an investigative subpoena against Richard S. Berger, the former Chief Financial Officer for Piranha, Inc. The Court ordered Berger to produce all responsive documents on or before July 21, 2002. In finding that the subpoena was enforceable as written, the Court held that Berger failed to demonstrate that the SEC's subpoena was issued in bad faith, or was overbroad in scope. The Court also held that Berger did not have a "privacy interest" in his personal tax returns and that Berger failed to show any circumstances that warranted delaying the SEC's investigation. Piranha is a Richardson, Texas, development stage company in the business of data-compression and other computer and Internet related technology. Piranha's common stock is registered with the Commission and is quoted on the OTC Bulletin Board (symbol BYTE). Besides being the former CFO, Berger is Piranha's largest single shareholder and a member of its Board of Directors. [SEC v. Richard S. Berger, Misc. Action No. 4- 02-MC-008-Y, USDC, NDTX (Fort Worth Division)] (LR-17622) INVESTMENT COMPANY ACT RELEASES MET INVESTORS SERIES TRUST AND MET INVESTORS ADVISORY LLC A notice has been issued giving interested persons until August 9, 2002, to request a hearing on an application filed by Met Investors Series Trust and Met Investors Advisory LLC for an order under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit certain registered open-end management investment companies to invest uninvested cash and cash collateral in affiliated money market funds in excess of the limits in Sections 12(d)(1)(A) and (B) of the Act. (Rel. IC-25662 - July 16) MASSMUTUAL INSTITUTIONAL FUNDS, ET AL. An notice has been issued giving interested persons until August 12, 2002, to request a hearing on an application filed by MassMutual Institutional Funds, et al. for an order under Section 6(c) of the Investment Company Act exempting applicants from Section 15(a) of the Act and Rule 18f-2 under the Act. The order would amend a prior order that permits applicants to enter into and materially amend sub-advisory agreements without shareholder approval. The amended order would exempt applicants from certain disclosure requirements. (Rel. IC- 25665 - July 17) HOLDING COMPANY ACT RELEASES XCEL ENERGY INC, ET AL. An order has been issued authorizing Xcel Energy Inc. (Xcel), a registered holding company; Northern States Power Company (Minnesota), Northern States Power Company (Wisconsin), Public Service Company of Colorado, and Southwestern Public Service Company, four wholly owned public utility subsidiary companies of Xcel; XERS Inc., a nonutility subsidiary company of Xcel; Xcel Energy Markets Holdings Inc., an intermediate holding company subsidiary of Xcel; and e prime inc., a nonutility subsidiary company of Xcel, to expand appliance warranty and repair programs offered to residential customers and engage in energy marketing and brokering activities in Canada. The Commission has reserved jurisdiction over a request to invest up to $750 million in energy assets incidental to marketing and brokering businesses until completion of the record. (Rel. 35-27550 - July 17) PROGRESS ENERGY INC. An order has been issued authorizing Progress Energy, Inc. (Progress Energy), a registered holding company, to use the proceeds of authorized financing to increase its aggregate investment in exempt wholesale generators and foreign utility companies (FUCOs) to $4 billion (EWG/FUCO Investment Limit). Pending completion of the record, the Commission reserved jurisdiction over the use by Progress Energy of proceeds of authorized financing to acquire the securities of or other interests in FUCOs. The proposed EWG/FUCO Investment Limit is equal to approximately 191% of Progress Energy's consolidated retained earnings for the four quarters ended March 31, 2002. (Rel. 35-27551) TRUST INDENTURE ACT RELEASES APPLICATION FOR HEARING: ARMSTRONG WORLD INDUSTRIES, INC. The Commission has issued a notice giving interested persons until August 12, 2002, to request a hearing on an application by Armstrong World Industries, Inc. under Section 310(b)(1)(ii) of the Trust Indenture Act of 1939. The application requests that the Commission find that the trusteeship of Wells Fargo Bank Minnesota, National Association under indentures of Armstrong dated August 6, 1996 and December 23, 1998 is not so likely to involve a material conflict of interest as to make it necessary in the public interest or for the protection of investors to disqualify Wells Fargo from acting as trustee under both indentures. (Rel. TI-2400; File No. 22-28616) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendment Nos. 1, 2, 3 and 4 thereto submitted by the American Stock Exchange to permit limited side-by-side trading and integrated market making (SR-Amex-2002- 21). (Rel. 34-46213) The Commission granted approval to a proposed rule change (SR-NASD-2002- 15) submitted by the National Association of Securities Dealers relating to situations in which a suspended, terminated, or otherwise defunct member or associated person fails to answer or participate in an arbitration proceeding. Publication of the order is expected in the Federal Register during the week of July 22. (Rel. 34-46221) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2002-36) filed by the Philadelphia Stock Exchange to amend the Exchange's broker-dealer equity option transaction charge 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 July 22. (Rel. 34-46212) A proposed rule change (SR-BSE-2002-08) filed by the Boston Stock Exchange extending its Specialist Performance Evaluation Program on a pilot basis 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 July 22. (Rel. 34- 46220) PROPOSED RULE CHANGE The American Stock Exchange filed a proposed rule change (SR-Amex-2002- 46) relating to the Amex Listing Agreement. Publication of the notice in the Federal Register is expected during the week of July 22. (Rel. 34-46218) DELISTINGS GRANTED An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on July 16, 2002. (Rel. 34-46207) An order has been issued granting the application of the American Stock Exchange to strike from listing and registration certain call and put options contracts issued by the Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on July 16, 2002. (Rel. 34-46208) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (each representing 10 ordinary shares) of Innogy Holdings plc, effective at the opening of business on July 16, 2002. (Rel. 34-46209) An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective July 18, 2002. (Rel. 34-46222) WITHDRAWAL GRANTED An order has been issued granting the application of Magnum Hunter Resources, Inc. to withdraw its Common Stock, $.002 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on July 18, 2002. (Rel. 34-46224) 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 FONAR CORP, 110 MARCUS DR, MELVILLE, NY, 11747, 5166942929 - 2,500,000 ($3,400,000.00) Equity, (File 333-96557 - Jul. 17) (BR. 01) S-3 AIG SUNAMERICA LIFE ASSURANCE CO, 1 SUNAMERICA CENTER, C/O THOMAS B PHILLIPS, LOS ANGELES, CA, 90067, 3107726000 - 80,000,000 ($80,000,000.00) Other, (File 333-96559 - Jul. 17) (BR. 20) F-1 NET FORCE SYSTEMS INC, P O BOX W-645 3RD FLOOR BLDG, NEVIS STREET, ST JOHNS ANTIGUA WES, B9, 00000, 2684811970 - 17,066,033 ($1,706,603.00) Equity, (File 333-96561 - Jul. 17) (BR. 03) S-8 ANWORTH MORTGAGE ASSET CORP, 1299 OCEAN AVENUE, SUITE 210, SANTA MONICA, CA, 90401, 3103931428 - 900,000 ($10,845,000.00) Equity, (File 333-96563 - Jul. 17) (BR. 08) S-3 COOPER CAMERON CORP, 515 POST OAK BLVD, STE 1200, HOUSTON, TX, 77027, 7135133322 - 0 ($500,000,000.00) Other, (File 333-96565 - Jul. 17) (BR. 04) S-3 GENERAL ELECTRIC CO, 3135 EASTON TURNPIKE, W3M, FAIRFIELD, CT, 06828, 203-373-2211 - 30,000,000 ($806,700,000.00) Equity, (File 333-96571 - Jul. 17) (BR. 36) S-3D MIDDLEFIELD BANC CORP, 15985 E HIGH ST, P O BOX 35, MIDDLEFILED, OH, 44062-9263, 4406321666 - 200,000 ($5,450,000.00) Equity, (File 333-96579 - Jul. 17) (BR. 07) SB-2 SPACE TELECOM INC, 292 SOUTH COUNTY ROAD, SUITE 109, PALM BEACH, FL, 33480, 5616599054 - 1,400,000 ($3,500,000.00) Equity, (File 333-96581 - Jul. 17) (BR. ) S-3 RADIOSHACK CORP, 100 THROCKMORTON ST, STE 1700, FORT WORTH, TX, 76102, 8174153700 - 225 ($6,129,000.00) Equity, (File 333-96583 - Jul. 17) (BR. 02) S-8 EUROPEAN AMERICAN RESOURCES INC, 91 SOUTH MAIN STREET, PO BOX 1066, EUREKA, NV, 89316, 775-237-7943 - 820,000 ($164,000.00) Equity, (File 333-96585 - Jul. 17) (BR. 04) S-1 DICKS SPORTING GOODS INC, 200 INDUSTRY DR, PITTSBURGH, PA, 15275, 4128090100 - 0 ($200,000,000.00) Equity, (File 333-96587 - Jul. 17) (BR. ) SB-2 OEF CORPORATE SOLUTIONS INC, 300,000 ($150,000.00) Equity, (File 333-96589 - Jul. 17) (BR. ) SB-2 INTERACTIVE OUTDOORS INC, 2,400,000 ($600,000.00) Equity, (File 333-96591 - Jul. 17) (BR. ) S-3 BLUE RHINO CORP, 104 CAMBRIDGE PLAZA DRIVE, WINSTON SALEM, NC, 27104, 3366596900 - 0 ($16,602,059.00) Equity, (File 333-96593 - Jul. 17) (BR. 02) S-4 MONY HOLDINGS LLC, 0 ($300,000,000.00) Non-Convertible Debt, (File 333-96595 - Jul. 17) (BR. ) S-1 GOLDEN AMERICAN LIFE INSURANCE CO /NY/, 1475 DUNWOODY DRIVE, SUITE 400, WEST CHESTER, PA, 19380-1478, 6104253400 - 0 ($1,000,000,000.00) Other, (File 333-96597 - Jul. 17) (BR. 20) S-1 GOLDEN AMERICAN LIFE INSURANCE CO /NY/, 1475 DUNWOODY DRIVE, SUITE 400, WEST CHESTER, PA, 19380-1478, 6104253400 - 0 ($1,500,000,000.00) Other, (File 333-96599 - Jul. 17) (BR. 20) S-8 FIRST INDIANA CORP, 135 N PENNSYLVANIA ST, INDIANAPOLIS, IN, 46204, 3172691200 - 0 ($1.00) Other, (File 333-96601 - Jul. 17) (BR. 07) S-8 CHEMFIRST INC, P O BOX 1249, JACKSON, MS, 39202, 6019487550 - 0 ($14,439,000.00) Other, (File 333-96603 - Jul. 17) (BR. 02) S-3 RATEXCHANGE CORP, 185 BERRY STREET, SUITE 3515, SAN FRANCISCO, CA, 94107, 4153719800 - 16,831,595 ($16,607,590.00) Equity, (File 333-96605 - Jul. 17) (BR. 07) S-1 MEDTOX SCIENTIFIC INC, 402 WEST COUNTY ROAD D, ST PAUL, MN, 55112, 6126367466 - 966,665 ($8,583,985.20) Equity, (File 333-96609 - Jul. 17) (BR. 01) S-8 BIOMASSE INTERNATIONAL INC, 721 SE 17TH ST, FORT LAUDERDALE, FL, 33316, 7545240558 - 20,000,000 ($800,000.00) Equity, (File 333-96611 - Jul. 17) (BR. 04) S-8 INTERWAVE COMMUNICATIONS INTERNATIONAL LTD, C/O CODAN SERVICES LTD CLARENDON HOUSE, 2 CHURCH STREET PO BOX HM 1022, HAMILTON, BERMUDA, 00000, 4412955950 - 0 ($2,232,732.00) Equity, (File 333-96613 - Jul. 17) (BR. 37) S-8 SPARTAN STORES INC, 850 76TH ST SW, P O BOX 8700, GRAND RAPIDS, MI, 49518, 6168782000 - 25,000 ($86,750.00) Equity, (File 333-96615 - Jul. 17) (BR. 04) S-8 TELETECH HOLDINGS INC, 9197 S PEORIA STREET, ENGLEWOOD, CO, 80112, 303-397-8100 - 4,000,000 ($31,400,000.00) Equity, (File 333-96617 - Jul. 17) (BR. 08) S-4 BLOCK COMMUNICATIONS INC, 541 N SUPERIOR STREET, P O BOX 921, TOLEDO, OH, 43697-0921, 4197246257 - 0 ($175,000,000.00) Debt Convertible into Equity, (File 333-96619 - Jul. 17) (BR. ) S-4 EL PASO CORP/DE, 1001 LOUISIANA ST, SUITE 2955A, EL PASO BLDG, HOUSTON, TX, 77002, 7134202600 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-96621 - Jul. 17) (BR. 02) S-8 SUPPORTSOFT INC, 575 BROADWAY, REDWOOD, CA, 94063, 6502334539 - 0 ($3,837,706.00) Equity, (File 333-96623 - Jul. 17) (BR. 03) S-8 VIASYS HEALTHCARE INC, MILLENIUM III, SUITE 200, 227 WASHINGTON STREET, CONSHOHOCKEN, PA, 19428, 610-862-0800 - 0 ($30,800,000.00) Equity, (File 333-96625 - Jul. 17) (BR. 36) S-8 IOS BRANDS CORP, 3113 WOODCREEK DRIVE, DOWNERS GROVE, IL, 48034-1099, 6307197800 - 0 ($892,320.00) Equity, (File 333-96627 - Jul. 17) (BR. 08) S-8 ALLOU HEALTH & BEAUTY CARE INC, 50 EMJAY BLVD, BRENTWOOD, NY, 11717, 5162734000 - 400,000 ($1,771,412.60) Equity, (File 333-96629 - Jul. 17) (BR. 01) S-3 ANHEUSER BUSCH COMPANIES INC, ONE BUSCH PL, ST LOUIS, MO, 63118-1852, 3145777371 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-96635 - Jul. 17) (BR. 02) S-3 IGN ENTERTAINMENT INC, 3240 BAYSHORE BLVD, BRSBANE, CA, 94005, 4155082706 - 0 ($9,447,342.00) Equity, (File 333-96637 - Jul. 17) (BR. 06) S-3 VERTEL CORP, 21300 VICTORY BLVD, #1200, WOODLAND HILLS, CA, 91367, 8182271400 - 0 ($4,080,000.00) Equity, (File 333-96639 - Jul. 17) (BR. 03) S-3 MIDLAND CO, 7000 MIDLAND BLVD, P O BOX 125, AMELIA, OH, 45102-2607, 5139437100 - 2,750,000 ($64,872,500.00) Equity, (File 333-96643 - Jul. 17) (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 ------------------------------------------------------------------------------------ ABFS MORTGAGE LOAN TRUST 2002-1 MTG P X X 07/15/02 ACTERNA CORP DE X X X 07/12/02 ADMIRALTY BANCORP INC DE X X 07/11/02 ADVANTA BUSINESS RECIEVABLES CORP X X 07/18/02 AEP INDUSTRIES INC DE X X 07/17/02 ALCOA INC PA X X 07/17/02 ALLFIRST FINANCIAL INC DE X 07/17/02 AMERICAN ENERGY PARTNERS INC /DE/ X 07/16/02 AMERICAN INTERNATIONAL VENTURES INC / DE X X X 05/01/02 AMERICAN RIVER HOLDINGS CA X X 07/16/02 AMPLIDYNE INC DE X 07/12/02 ANC RENTAL CORP DE X X 06/03/02 ANTARES PHARMA INC MN X X 07/12/02 APHTON CORP DE X X 07/17/02 AUTOZONE INC NV X X 07/16/02 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 07/17/02 BANK OF NEW YORK CO INC NY X X 06/30/02 BANK ONE CORP DE X 07/16/02 BANK ONE CORP DE X X 07/16/02 BANK UNITED CORP LITIGATION CONTINGEN DE X X 06/28/02 BEAR STEARNS ARM TRUST 2002-7 DE X 07/17/02 BJ SERVICES CO DE X X X 05/31/02 AMEND BNCCORP INC DE X 04/16/02 AMEND BOEING CAPITAL CORP DE X 07/17/02 BOSTON LIFE SCIENCES INC /DE DE X X 07/10/02 CALIFORNIA INDEPENDENT BANCORP CA X X 07/16/02 CALYPTE BIOMEDICAL CORP DE X 07/03/02 CAPITAL BANCORP INC TN X X 07/17/02 CEDAR INCOME FUND LTD /MD/ MD X X 07/02/02 CENTEX CORP NV X X 07/17/02 CHAMPION ENTERPRISES INC MI X 07/17/02 CHAMPION INDUSTRIES INC WV X X 07/16/02 CHINA FUND INC MD X 06/01/02 CHRISTOPHER & BANKS CORP DE X 07/16/02 CIMETRIX INC NV X 07/19/02 CITY NATIONAL CORP DE X X 07/16/02 COASTAL BANCORP INC TX X 06/30/02 COASTAL BANCORP INC TX X 07/15/02 COASTAL CARIBBEAN OILS & MINERALS LTD D0 X 07/17/02 COLLEY CORP DE X 07/12/02 COLORADO MEDTECH INC CO X 07/17/02 COMMONWEALTH BANCORP INC PA X X 07/16/02 COMPASS MINERALS GROUP INC X X 07/17/02 COMPOSITE TECHNOLOGY CORP NV X 07/15/02 CONSECO FINANCE SECURITIZATIONS CORP DE X X 07/15/02 CONTINENTAL AIRLINES INC /DE/ DE X X 07/16/02 CONVERGYS CORP OH X 07/15/02 COOPERATIVE BANKSHARES INC NC X X 07/17/02 CPS AUTO RECEIVABLES TRUST 1998-4 CA X 06/30/02 CROGHAN BANCSHARES INC OH X 07/17/02 CSK AUTO CORP DE X X 07/11/02 CWABS INC DE X X 07/17/02 DEUTSCHE RECREATIONAL ASSET FUNDING C NV X X 06/30/02 DEVON ENERGY CORP/DE DE X X 01/24/02 DIAMOND CABLE COMMUNICATIONS LTD X X 07/16/02 DISTRIBUTION FINANCIAL SERVICES MARIN NY X X 06/30/02 DISTRIBUTION FINANCIAL SERVICES RV MA NV X X 06/30/02 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 06/30/02 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 06/30/02 DOLE FOOD COMPANY INC DE X X 07/16/02 DOWNEY FINANCIAL CORP DE X X 07/17/02 ENVIRONMENTAL STRATEGIES & TECHNOLOGI FL X X 07/17/02 EXACT SCIENCES CORP DE X X 07/16/02 FIRST BANCORP /NC/ NC X X 07/16/02 FIRST CONNECTICUT CAPITAL CORP/NEW/ CT X X 06/28/02 FIRST INDIANA CORP IN X X 07/16/02 FIRST MIDWEST BANCORP INC DE X X 07/17/02 FIRST TENNESSEE NATIONAL CORP TN X 07/16/02 FIRSTCITY FINANCIAL CORP DE X X 07/17/02 FONIX CORP DE X 07/16/02 FORD MOTOR CO DE X X 07/17/02 GENERAL DATACOMM INDUSTRIES INC DE X X 05/31/02 GENERAL TELEPHONY COM INC NV X 07/12/02 GILMAN & CIOCIA INC DE X 03/31/02 GLOBAL PAYMENTS INC GA X 07/17/02 GOLF ENTERTAINMENT INC DE X X 07/16/02 GPN NETWORK INC DE X 07/17/02 GRAY COMMUNICATIONS SYSTEMS INC /GA/ GA X 07/15/02 GREATER BAY BANCORP CA X X X 07/17/02 GREEN MOUNTAIN POWER CORP VT X 07/17/02 GUILFORD MILLS INC DE X 07/17/02 GULFMARK OFFSHORE INC DE X 07/17/02 HARRAHS ENTERTAINMENT INC DE X X 07/17/02 HEARUSA INC DE X X 07/11/02 HERLEY INDUSTRIES INC /NEW DE X X 07/11/02 HOUSEHOLD INTERNATIONAL INC DE X X 06/30/02 I A EUROPE INC X 07/12/02 INDIGO ENERGY INC DE X X 07/10/02 INSIGHTFUL CORP DE X X 07/16/02 INTEL CORP DE X 06/29/02 INTERNATIONAL BUSINESS MACHINES CORP NY X 07/17/02 ITS NETWORKS INC OK X X 04/18/02 AMEND JLG INDUSTRIES INC PA X X 07/16/02 JOY GLOBAL INC DE X X 07/15/02 KEY3MEDIA GROUP INC DE X 07/15/02 KLEENAIR SYSTEMS INC NV X X 04/30/02 AMEND LIBERTY NATIONAL BANCSHARES INC GA X X 07/17/02 LIFEPOINT INC DE X 09/30/02 MAGNA ENTERTAINMENT CORP DE X X 07/15/02 MANATRON INC MI X X 07/17/02 MATRITECH INC/DE/ DE X X 07/17/02 MCAFEE COM CORP DE X X 07/16/02 MELLON FINANCIAL CORP PA X X 07/16/02 MESABA HOLDINGS INC MN X 07/11/02 METRIS RECEIVABLES INC DE X 06/30/02 METRIS RECEIVABLES INC DE X 06/30/02 MFRI INC DE X 07/11/02 MIDWEST BANC HOLDINGS INC DE X X 07/17/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/12/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/15/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/10/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 06/27/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 07/17/02 MTC TECHNOLOGIES INC DE X X 07/17/02 NATIONAL PROCESSING INC OH X X 07/17/02 NATIONAL REAL ESTATE LTD PARTNERSHIP WI X 06/28/02 NATIONSRENT INC DE X 07/08/02 NBOG BANCORPORATION INC GA X X 07/10/02 NORTH FORK BANCORPORATION INC DE X X 07/15/02 NORTHEAST INDIANA BANCORP INC DE X X 06/30/02 NOTIFY TECHNOLOGY CORP CA X X 07/10/02 NOVELL INC DE X X 07/17/02 NU SKIN ENTERPRISES INC DE X X X 07/17/02 OAK HILL FINANCIAL INC OH X X 07/16/02 OFFICE DEPOT INC DE X X 07/17/02 ORIGEN MANUFACTURED HOUSNG CNT SEN/SU DE X X 07/15/02 ORTHOVITA INC X X 07/15/02 PET QUARTERS INC AR X X 07/17/02 PILGRIMS PRIDE CORP DE X 06/29/02 PLUMAS BANCORP CA X X 07/17/02 PNM RESOURCES NM X 07/17/02 POLAND COMMUNICATIONS INC NY X X 07/10/02 POPE RESOURCES LTD PARTNERSHIP DE X X 07/16/02 AMEND POSTERALLEY COM INC CO X X X 06/27/02 PSYCHEMEDICS CORP DE X X 07/16/02 R&G FINANCIAL CORP PR X X 07/16/02 RANGE RESOURCES CORP DE X X X 07/17/02 AMEND RESEARCH INC /MN/ MN X X 07/17/02 RESIDENTIAL ASSET SECURITIES CORP DE X 07/17/02 RICHARDSON ELECTRONICS LTD/DE DE X 05/31/03 ROYAL GOLD INC /DE/ DE X 07/11/02 SALANT CORP DE X 07/15/02 SALOMON BROTHERS COMMERCIAL MORTGAGE DE X X 07/15/02 SAN HOLDINGS INC CO X X X X 12/19/01 AMEND SANCHEZ COMPUTER ASSOCIATES INC PA X X X 07/02/02 SCIENCE APPLICATIONS INTERNATIONAL CO DE X 07/17/02 SERVICE CORPORATION INTERNATIONAL TX X X 07/16/02 SHOWSTAR ONLINE COM INC X X X 07/02/02 SOUTH HERTFORDSHIRE UNITED KINGDOM FU CO 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