SEC NEWS DIGEST Issue 2004-196 October 12, 2004 ENFORCEMENT PROCEEDINGS INITIAL DECISION IN THE MATTER OF STEVEN MUTH, ET AL. An Administrative Law Judge has issued an Initial Decision finding that Steven E. Muth (Muth) of Aurora, Colorado, formerly a registered representative associated with Schneider Securities, Inc., (Schneider) willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5. The Initial Decision finds that Muth misrepresented material facts to, and engaged in sales practice violations with, seven customers in connection with margin purchases of Creative Host Services, Inc. (Creative) and Bonso Electronics International, Inc. The Initial Decision orders Muth to cease and desist from committing or causing his securities law violations, to disgorge $14,204.75, plus prejudgment interest, and pay a civil penalty of $2,090,000. On Aug. 20, 2004, the SEC barred Muth from association with any broker or dealer based on an injunction entered by consent on Aug. 9, 2004, by the U.S. District Court for the Southern District of California. The complaint in the civil action charged Muth with manipulating the market price of Creative. The Initial Decision also finds that Richard J. Rouse (Rouse), the former Executive Vice President and a Director of Schneider, failed reasonably to supervise Muth with a view to preventing Muth’s violations, within the meaning of Section 15(b)(4)(E) of the Exchange Act. The Initial Decision bars Rouse from association with any broker or dealer in any supervisory capacity with the right to reapply for association after one year, suspends Rouse from association with any broker or dealer in any capacity for nine months, and orders Rouse to pay a civil penalty of $110,000. (Initial Decision No. 262; File No. 3- 11346) INITIAL DECISION IN THE MATTER OF CURRENCY TRADING INTERNATIONAL, INC., CRAIG CUNNINGHAM, JAMES KELSALL AND CHRISTIAN WEBER An Administrative Law Judge has issued an Initial Decision against Craig A. Cunningham (Cunningham) in the matter of Currency Trading International, Inc., et al. The Order Instituting Proceedings (OIP) alleged that on May 3, 2004, the U.S. District Court for the Central District of California entered a final judgment which, among other things, permanently enjoined Cunningham 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 thereunder. The Initial Decision finds these allegations to be true and bars Cunningham from association with any broker or dealer. The Initial Decision also dismisses the proceeding without prejudice against James R. Kelsall. (Initial Decision No. 263; File No. 3-11503) IN THE MATTER OF CYBERGATE, INC., ET AL. An Administrative Law Judge has issued an Initial Decision in the matter of Cybergate, Inc., et al. The Initial Decision finds that while its securities were registered with the Securities and Exchange Commission, Wichita Development Corp. (Wichita) repeatedly failed to file annual and quarterly reports in violation of the periodic reporting requirements of Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder. As a result, the Initial Decision revokes the registration of Wichita’s securities, pursuant to Section 12(j) of the Exchange Act. (Initial Decision No. 264; File No. 3- 11512) SEC FILES FRAUD CHARGES AGAINST SOULFOOD CONCEPTS, INC. AND MARKOVA CAMPBELL The Commission announced today the filing of a civil action against Soulfood Concepts, Inc. and its President and Chief Executive Officer, Markova Campbell, in federal district court in Washington, D.C. The Commission alleges in its complaint that Soulfood filed with the Commission a materially false and misleading annual report and amended annual report for the year ended Dec. 31, 2002, and materially false and misleading quarterly reports for the quarters ended Sept. 30, 2002 and March 31, 2003. The Commission alleges that Campbell copied the financial statements included in the reports from prior Commission filings and altered the applicable dates to make the statements appear to be current. Campbell also is alleged to have included a fictitious independent auditor’s report in the annual report and amended annual report. Soulfood’s auditor had resigned prior to the filing and did not conduct an audit for 2002. As a result, the Commission alleges that Soulfood and Campbell violated or aided and abetted violations of Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1 and 13a- 13 thereunder. The Commission also alleges that Campbell violated Rule 13a-14 of the Exchange Act by falsely certifying two periodic reports. The Commission seeks permanent injunctions against Soulfood and Campbell and, against Campbell only, an officer and director bar and a civil penalty. On October 12, the Commission also instituted administrative proceedings against Soulfood pursuant to Section 12(j) of the Exchange Act to determine whether the registration of the company’s securities should be suspended or revoked. In the Commission’s Order, the Division of Enforcement alleges that Soulfood failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder when it failed to file with the Commission its required annual report for the fiscal year ended Dec. 31, 2003 and its quarterly reports for its fiscal quarters ended June 30 and Sept. 30, 2003, and March 31 and June 30, 2004. [SEC v. Soulfood Concepts, Inc. and Markova Campbell, 1:04 CV01731 (JR) D.D.C.] (LR-18928, AAE Rel. 2122); Administrative Proceeding (Rel. 34- 50512; File No. 3-11703) COMMISSION DISMISSES PETITION OF ALLEN DOUGLAS SECURITIES AS NOT REVIEWABLE UNDER THE EXCHANGE ACT The Commission dismissed the application of Allen Douglas Securities, Inc., an NASD member firm, for review of determinations made by NASD to reject certain draft subordinated loan agreements the firm had submitted to NASD pursuant to Appendix D of the net capital rule. The Commission determined that NASD's action was not reviewable because it did not fall within one of the four types of self-regulatory organization actions that the Commission is authorized to review under Section 19(d) of the Securities Exchange Act of 1934. (Rel. 34-50513; File No. 3-11405) COMMISSION REMANDS PROCEEDING AGAINST E-SMART TECHNOLOGIES, INC. On October 12, the Commission ordered an administrative proceeding brought against e-Smart Technologies, Inc., a Nevada corporation, remanded to an administrative law judge. E-Smart admitted that it had failed to file required quarterly and annual reports during the period between Sept. 30, 2000, and Dec. 16, 2002. Expressing doubt that e-Smart could fulfill its promise to file current audited financial information by March 31, 2004, the law judge revoked the registration of e-Smart's common stock. Shortly thereafter, e-Smart filed that information, and subsequently filed additional financial information, both current and historical. The Commission remanded to allow the law judge an opportunity to reassess her sanctioning determination in light of e-Smart's subsequent reporting record. (Rel. 34-50514; File No. 3- 10977) IN THE MATTER OF LARRY SMATH On October 12, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Larry F. Smath. The Order is based on the entry of a Final Judgment of Permanent Injunction by consent against Smath in the U.S. District Court for the Eastern District of New York, and on Smath’s conviction in the related criminal action. The Order finds that the Commission’s complaint in the civil action charged Smath with violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and that the Complaint alleged, inter alia, that Smath participated in an insider trading scheme involving nonpublic advance copies of the AInside Wall Street@ (IWS) column of Business Week magazine; that Smath was paid cash by the other defendants in exchange for communicating the contents of IWS columns to them before the columns were made public; that Smath and the other defendants traded securities while in possession of the nonpublic information obtained from the IWS columns; and that they recommended securities mentioned in the IWS columns to their brokerage customers while in possession of the nonpublic contents of the IWS columns. The Order further finds that the criminal charges to which Smath pled guilty had alleged that Smath defrauded the securities market by trading while in possession of material nonpublic information. Based on the above, the Order bars Smath from association with any broker or dealer. Smath consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-50515; File No. 3-11704) IN THE MATTER OF JOSEPH FALCONE On October 12, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Joseph T. Falcone. The Order is based on the entry of a Final Judgment of Permanent Injunction by consent against Falcone by the U.S. District Court for the Eastern District of New York, and on Falcone’s conviction in the related criminal action. The Order finds that the Commission’s complaint in the civil action charged Falcone with violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and that the Complaint alleged, inter alia, that Falcone participated in an insider trading scheme involving nonpublic advance copies of the "Inside Wall Street" (IWS) column of Business Week magazine; that Falcone paid cash to another defendant in exchange for receiving the contents of IWS columns before they were made public; that Falcone traded securities while in possession of the nonpublic information obtained from the IWS columns; and that he recommended securities mentioned in the IWS columns to his brokerage customers while in possession of the nonpublic contents of the IWS columns. The Order also finds that the counts of the indictment to which Falcone was found guilty alleged that Falcone defrauded the securities markets by trading while in possession of material nonpublic information. Based on the above, the Order bars Falcone from association with any broker or dealer, with a right to reapply in five years. Falcone consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-50516; File No. 3-11705) ADDITIONS AND CORRECTIONS CORRECTION An incorrect release number was published in the October 8th issue of the Digest for a summary, entitled “IN THE MATTER OF JOSEPH J. SALERNO, III AND RICHARD S. GINSBERG”. The correct release number is 34-50503. ADDITIONAL INFORMATION The civil cite was omitted from a summary published in the October 8th issue of the Digest, entitled “SUMMARY JUDGMENT ENTERED AGAINST GURSEL MANDACI IN INTERNET STOCK FRAUD ORDERING INJUNCTIVE RELIEF, DISGORGEMENT, PREJUDGMENT INTEREST AND CIVIL MONEY PENALTY”. The cite is: [SEC v. Gursel Mandaci, 00 Civ. 6635 (Swain/MAAS) USDC, SDNY] (LR- 18924). HOLDING COMPANY ACT RELEASES PORTLAND GENERAL ELECTRIC COMPANY A notice has issued been giving interested persons until October 28 to request a hearing on a proposal by Portland General Electric Company, a wholly owned public utility company subsidiary of Enron Corp. (Enron), a registered holding company, to acquire a coal-handling facility. (Rel. 35-27900) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Commission noticed a proposed rule change and Amendment No. 1 thereto submitted by the American Stock Exchange (SR-Amex-2004-66) relating to allocation procedures for relisted options. Publication of the notice is expected in the Federal Register during the week of October 11. (Rel. 34-50498) WITHDRAWAL OF PROPOSED RULE CHANGE The American Stock Exchange withdrew a proposed rule change (SR-Amex- 2004-75) to amend Amex Rule 154 to prohibit specialists from charging commissions and fees in certain instances. Publication is expected in the Federal Register during the week of October 11. (Rel. 34-50499) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Amex-2004-80) filed by the American Stock Exchange relating to transaction fees in connection with the SPDR O- Strip has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-50500) 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-1 World Monitor Trust III, C/O PREFERRED INVESTMENT SOLUTIONS CORP., TWO AMERICAN LANE, GREENWICH, CT, 06830, 203-861-1000 - 300,000 ($30,000,000.00) Other, (File 333-119612 - Oct. 8) (BR. 07) S-8 EDEN ENERGY CORP, SUITE 620, 800 WEST PENDER STREET, VANCOUVER, A1, V6C 2V6, 604 685 5851 - 1,500,000 ($2,070,000.00) Non-Convertible Debt, (File 333-119613 - Oct. 8) (BR. 08) S-8 AMERICAN IDC CORP, 9800 SEPULVEDA BLVD, STE 625, LOS ANGELES, CA, 90045, 3103420760 - 16,500,000 ($1,485,000.00) Equity, (File 333-119614 - Oct. 8) (BR. 08) S-3 CITIGROUP GLOBAL MARKETS HOLDINGS INC, 388 GREENWICH ST, 38TH FLOOR, NEW YORK, NY, 10013, 2128166000 - 0 ($10,000,000,000.00) Other, (File 333-119615 - Oct. 8) (BR. 07) S-8 GIGAMEDIA LTD, 57 TUNG HSING RD FOURTH FLOOR, TAIPEI TAIWAN (886-2)8768-3020, REPUBLIC OF CHINA, F5, 00000, 12,000,000 ($11,438,352.60) Equity, (File 333-119616 - Oct. 8) (BR. 03) F-6 eLong, Inc., 10 JIU XIANQIAO MIDDLE ROAD,, XINGKE PLAZA BUILDING B 3TH FL, CHAOYANG, BEIJING, F4, 100016, 8610-58602288-126 - 0 ($2,500,000.00) ADRs/ADSs, (File 333-119617 - Oct. 8) (BR. 08) S-8 SCANA CORP, 1426 MAIN ST, MAIL CODE - 051, COLUMBIA, SC, 29201, 8032179000 - 150,000 ($5,635,500.00) Equity, (File 333-119618 - Oct. 8) (BR. 02) S-8 WESTELL TECHNOLOGIES INC, 750 N COMMONS DRIVE, AURORA, IL, 60504, 6308982500 - 5,800,000 ($30,334,000.00) Equity, (File 333-119620 - Oct. 8) (BR. 37) S-4 MONDAVI ROBERT CORP / DE, 841 LATOUR COURT, NAPA, CA, 94558, 800-228-1395 - 0 ($432,734,163.00) Equity, (File 333-119621 - Oct. 8) (BR. 02) S-8 BANCFIRST CORP /OK/, 101 N BROADWAY STE 200, OKLAHOMA CITY, OK, 73102-8401, 4052701000 - 0 ($27,603,137.00) Equity, (File 333-119622 - Oct. 8) (BR. 07) S-8 BNP RESIDENTIAL PROPERTIES INC, C/O BODDIE NOELL PROPERTIES INC, 3850 ONE FIRST UNION CENTER, CHARLOTTE, NC, 28202, 7049440100 - 570,000 ($7,803,300.00) Equity, (File 333-119623 - Oct. 8) (BR. 08) S-8 SPORTSNUTS INC, TOWERS AT S TOWNE #2 STE 550, 10421 S 400 W, SALT LAKE CITY, UT, 84095, 8019670777 - 20,000,000 ($170,000.00) Equity, (File 333-119624 - Oct. 8) (BR. 08) N-2 MVC CAPITAL, INC., RIVERVIEW AT PURCHASE, 287 BOWMAN AVENUE, 3RD FLOOR, PURCHASE, NY, 10577, 914-701-0310 - 8,000,000 ($75,040,000.00) Equity, (File 333-119625 - Oct. 8) (BR. 18) S-8 FIRST COMMUNITY CORP /SC/, 5455 SUNSET BLVD, LEXINGTON, SC, 29072, 8032538875 - 180,685 ($1,667,723.00) Equity, (File 333-119630 - Oct. 8) (BR. 07) S-3 MONSTER WORLDWIDE INC, 622 THIRD AVE, NEW YORK, NY, 10017, 2129774200 - 0 ($2,861,151.02) Equity, (File 333-119631 - Oct. 8) (BR. 37) SB-2 CHUBASCO RESOURCES INC, 604-681-6334 - 3,216,500 ($1,608,250.00) Equity, (File 333-119632 - Oct. 8) (BR. 09) S-3 MYKROLIS CORP, 129 CONCORD ROAD, BILLERICA, MA, 01821, 978-436-6680 - 333,333 ($3,526,664.00) Equity, (File 333-119633 - Oct. 8) (BR. 36) S-3 BELL MICROPRODUCTS INC, 1941 RINGWOOD AVE, SAN JOSE, CA, 95131-1721, 4084519400 - 1,000,000 ($8,450,000.00) Equity, (File 333-119634 - Oct. 8) (BR. 36) S-1 PROVIDENCE SELECT FUND LP, 596 N. 300 WEST, FREMONT, IN, 46737, 2608331306 - 40,000 ($40,000,000.00) Limited Partnership Interests, (File 333-119635 - Oct. 8) (BR. 07) S-8 AEHR TEST SYSTEMS, 400 KATO TERRACE, FREMONT, CA, 94539, 5106239400 - 800,000 ($2,135,200.00) Equity, (File 333-119636 - Oct. 8) (BR. 36) S-8 KAYDON CORP, 315 E. EISENHOWER PARKWAY, SUITE 300, ANN ARBOR, MI, 48108, 7347477025 - 850,000 ($25,738,000.00) Equity, (File 333-119637 - Oct. 8) (BR. 06) S-8 CHARMING SHOPPES INC, 450 WINKS LANE, BENSALEM, PA, 19020, 2152459100 - 9,500,000 ($68,400,000.00) Equity, (File 333-119638 - Oct. 8) (BR. 02) S-1 KRONOS WORLDWIDE INC, 5430 LBJ FREEWAY, SUITE 1700, DALLAS, TX, 75240, 9722331700 - 8,250,000 ($331,650,000.00) Equity, (File 333-119639 - Oct. 8) (BR. 06) S-8 NETWORK APPLIANCE INC, 495 EAST JAVA DR, SUNNYVALE, CA, 94089, 4088226000 - 0 ($273,642,500.00) Equity, (File 333-119640 - Oct. 8) (BR. 03) S-4 CROMPTON CORP, BENSON ROAD, MIDDLEBURY, CT, 06749, 2035732000 - 0 ($600,000,000.00) Non-Convertible Debt, (File 333-119641 - Oct. 8) (BR. 06) S-8 PATIENT INFOSYSTEMS INC, 46 PRINCE ST, ROCHESTER, NY, 14607, 5852427200 - 3,410,000 ($6,274,400.00) Equity, (File 333-119642 - Oct. 8) (BR. 01) SB-2 WORLD HEALTH ALTERNATIVES INC, 31,005,185 ($74,412,444.00) Equity, (File 333-119643 - Oct. 8) (BR. 37) S-4 SIMON PROPERTY GROUP L P /DE/, 115 WEST WASHINGTON, INDIANAPOLIS, IN, 46204-3464, 3176361600 - 0 ($900,000,000.00) Other, (File 333-119644 - Oct. 8) (BR. 08) S-3 MICROVISION INC, 19910 NORTH CREEK PARKWAY, BOTHELL, WA, 98011-3008, 4254156847 - 2,340,768 ($14,302,092.48) Equity, (File 333-119645 - Oct. 8) (BR. 36) SB-2 CALYPTE BIOMEDICAL CORP, 5000 HOPYARD ROAD, SUITE 480, PLEASANTON, CA, 94588, 9257307200 - 4,200,000 ($1,617,000.00) Equity, (File 333-119646 - Oct. 8) (BR. 36) S-8 CALLISTO PHARMACEUTICALS INC, 420 LEXINGTON AVENUE, SUITE 601, NEW YORK, NY, 10170, 2126729190 - 3,100,000 ($5,898,931.00) Equity, (File 333-119648 - Oct. 8) (BR. 01) S-8 FNB CORP/FL/, F.N.B. CORPORATION, ONE F.N.B. BOULEVARD, HERMITAGE, PA, 16148, 724-981-6000 - 204,669 ($2,370,841.72) Equity, (File 333-119649 - Oct. 8) (BR. 07) S-8 VMH VIDEOMOVIEHOUSE COM INC, 6048521806 - 15,000,000 ($450,000.00) Equity, (File 333-119651 - Oct. 8) (BR. 05) S-1 Prestiga Fund, LLC, 4 PHEASANT HILL STREET, P.O. BOX 409, WESTWOOD, MA, 02090, (781) 769-8066 - 100,000 ($100,000,000.00) Other, (File 333-119653 - Oct. 8) (BR. ) N-2 MUNIYIELD MICHIGAN INSURED FUND INC, 800 SCUDDERS MILL RD, PLAINSBORO, NJ, 08536, 6092822800 - 1,000 ($25,000,000.00) Equity, (File 333-119654 - Oct. 8) (BR. 17) S-1 TriView Global Fund, LLC, 5916 N. 300 WEST, FREMONT, IN, 46737, (202) 833-1306 - 50,000 ($50,000,000.00) Other, (File 333-119655 - Oct. 8) (BR. ) S-3 FIRST HORIZON ASSET SECURITIES INC, 4000 HORIZON WAY, IRVING, TX, 75063, 9724845600 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-119657 - Oct. 8) (BR. 05) SB-2 NEWAVE INC, 404 EAST 1ST STREET, 1345, LONG BEACH, CA, 90802, 562-983-5331 - 3,770,801 ($14,630,708.00) Equity, (File 333-119658 - Oct. 8) (BR. 02) S-8 URANIUM RESOURCES INC /DE/, 9723877777 - 0 ($4,881,264.00) Equity, (File 333-119661 - Oct. 8) (BR. 04) S-3 BUSINESS OBJECTS S.A., 4089536000 - 0 ($344,480,829.22) Equity, (File 333-119662 - Oct. 8) (BR. 03) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off- Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off- Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant’s Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT ------------------------------------------------------------------------------------------------ 5 G WIRELESS COMMUNICATIONS INC NV 5.02,9.01 10/04/04 A R T INTERNATIONAL INC 7.01,9.01 09/07/04 ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/07/04 ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/07/04 ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/08/04 ACR GROUP INC TX 4.02,9.01 10/04/04 ACTION PERFORMANCE COMPANIES INC AZ 5.02,9.01 10/08/04 AERO MARINE ENGINE INC NV 4.01,9.01 10/05/04 AFP IMAGING CORP NY 8.01,9.01 09/24/04 AIRNET COMMUNICATIONS CORP DE 8.01,9.01 10/08/04 ALAMOSA HOLDINGS INC DE 7.01,9.01 10/07/04 ALASKA AIR GROUP INC DE 7.01 10/08/04 ALCOA INC PA 7.01,9.01 10/07/04 ALLEGHENY ENERGY INC MD 1.01,3.02,9.01 10/08/04 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 10/07/04 AMEDISYS INC DE 8.01,9.01 10/05/04 AMERICAN ACCESS TECHNOLOGIES INC FL 2.02,9.01 10/07/04 AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 10/06/04 AMERICAN IDC CORP FL 2.01,8.01,9.01 04/27/04 AMEND AMERICAN LOCKER GROUP INC DE 4.01,9.01 09/24/04 AMEND AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 9.01 07/15/04 AMEND AMERISERV FINANCIAL INC /PA/ PA 7.01,9.01 10/08/04 AMICI VENTURES INC NY 4.01,9.01 05/03/04 AMEND APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 10/06/04 ARCH CAPITAL GROUP LTD DE 1.01,9.01 10/05/04 ARROW MAGNOLIA INTERNATIONAL INC TX 1.01 10/07/04 ARROWHEAD RESEARCH CORP DE 8.01,9.01 10/06/04 ASSET BACKED FUNDING CORP DE 8.01,9.01 10/08/04 ATLANTIC SYNERGY INC NV 5.02 10/07/04 ATLANTIC SYNERGY INC NV 7.01,9.01 10/08/04 AXT INC DE 2.02,2.06,8.01,9.01 10/08/04 B&G FOODS HOLDINGS CORP DE 8.01,9.01 10/07/04 B&G FOODS INC DE 8.01,9.01 10/07/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE 8.01,9.01 10/08/04 BANK OF AMERICA CORP /DE/ DE 8.01 10/07/04 BANK OF AMERICA MORT SEC INC MORT PAS DE 9.01 09/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 09/27/04 AMEND BEBE STORES INC CA 2.02,9.01 10/02/04 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.01,2.03,9.01 10/08/04 BIMS RENEWABLE ENERGY INC FL 5.02 10/04/04 BINGO COM INC FL 8.01 10/06/04 BIO KEY INTERNATIONAL INC MN 1.01 10/04/04 BLOCKBUSTER INC DE 3.03,5.01,5.03,9.01 10/06/04 BOWNE & CO INC DE 1.01,9.01 10/07/04 BUCKEYE PARTNERS L P DE 8.01,9.01 10/06/04 BWAY CORP DE 1.01,2.05,5.02 10/04/04 CalAmp Corp. DE 1.01 09/29/04 CAREADVANTAGE INC DE 1.02 10/06/04 CARMAX AUTO FUNDING LLC DE 8.01,9.01 10/06/04 CELLEGY PHARMACEUTICALS INC CA 1.01,9.01 10/07/04 CHARMING SHOPPES INC PA 1.01,2.03 10/06/04 CHASE FUNDING INC NY 8.01,9.01 10/06/04 CHASE MORTGAGE FINANCE CORP DE 8.01,9.01 09/27/04 CHEROKEE INTERNATIONAL CORP DE 2.02,9.01 10/07/04 CHIRON CORP DE 7.01,9.01 10/08/04 CITGO PETROLEUM CORP DE 8.01 10/06/04 CITGO PETROLEUM CORP DE 8.01,9.01 10/08/04 CLOROX CO /DE/ DE 1.01 10/06/04 COLE NATIONAL GROUP INC DE 5.01,5.02,9.01 10/04/04 COLLEGIATE PACIFIC INC DE 2.01,9.01 07/26/04 AMEND COLMENA CORP DE 4.01,9.01 10/04/04 COLONY BANKCORP INC GA 2.02,7.01,9.01 10/08/04 COMMAND SECURITY CORP NY 5.02,9.01 10/07/04 COMMERCE ONE INC / DE/ DE 8.01,9.01 10/07/04 COMMUNITY BANCORP INC DE 2.01,5.02,9.01 10/07/04 COMPUDYNE CORP NV 8.01 10/07/04 COMPUTER HORIZONS CORP NY 8.01,9.01 10/08/04 COMPX INTERNATIONAL INC DE 1.01 10/05/04 CONSOLIDATED CONTAINER CO LLC DE 8.01,9.01 08/07/04 CONTANGO OIL & GAS CO DE 1.01,7.01,9.01 10/07/04 CONTINENTAL RESOURCES INC OK 2.04 10/08/04 CORAM HEALTHCARE CORP DE 8.01,9.01 10/05/04 CREDIT SUISSE FIRST BOSTON MORTGAGE A DE 9.01 10/08/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 10/08/04 CUBIC CORP /DE/ DE 1.01,9.01 10/08/04 CURAGEN CORP DE 7.01,9.01 10/07/04 CWMBS INC DE 8.01,9.01 10/06/04 DDI CORP CA 2.05,9.01 10/07/04 DENDREON CORP DE 1.01,9.01 10/08/04 DENDREON CORP DE 8.01,9.01 10/08/04 DEVCON INTERNATIONAL CORP FL 1.01,5.02,7.01,8.01,9.01 10/06/04 DIGI INTERNATIONAL INC DE 2.02,9.01 10/07/04 DIGITAL RECORDERS INC NC 7.01,9.01 10/08/04 DOANE PET CARE CO DE 7.01,9.01 10/07/04 DOCUCORP INTERNATIONAL INC DE 1.01,2.03,9.01 10/07/04 DOMINION HOMES INC OH 2.02,7.01,9.01 10/08/04 DPL INC OH 1.01,9.01 10/05/04 DRUGSTORE COM INC DE 2.01,9.01 12/08/03 AMEND DYNACQ HEALTHCARE INC DE 8.01,9.01 10/08/04 DYNAMIC HEALTH PRODUCTS INC FL 2.01,9.01 07/26/04 AMEND ECHELON CORP DE 2.02,7.01 10/05/04 EDWARDS A G INC DE 1.01 10/08/04 EMC INSURANCE GROUP INC IA 7.01 10/08/04 ENCORE MEDICAL CORP DE 1.01,2.01,2.03,3.02,7.01,9.01 10/04/04 ENTRADA NETWORKS INC DE 1.01,2.03,3.02,5.01,9.01 10/04/04 Extra Space Storage Inc. MD 2.03 10/04/04 FACTORY CARD OUTLET CORP DE 8.01,9.01 10/08/04 FEDERAL TRUST CORP FL 8.01,9.01 10/07/04 FIRST MARBLEHEAD CORP 1.01,9.01 10/07/04 FOUR OAKS FINCORP INC NC 2.02,9.01 10/08/04 GALAXY NUTRITIONAL FOODS INC DE 3.02,3.03,9.01 10/06/04 GAMEZNFLIX INC NV 5.02,9.01 09/30/04 GENERAL ELECTRIC CO NY 2.02,7.01 10/08/04 GENERAL MILLS INC DE 8.01 10/08/04 GENVEC INC DE 8.01,9.01 07/07/04 GENWORTH FINANCIAL INC DE 2.02,9.01 10/08/04 GLOBAL CROSSING LTD 8.01,9.01 10/08/04 GLOBAL INDUSTRIES LTD LA 2.01 10/08/04 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 1.01,9.01 10/04/04 Google Inc. DE 8.01,9.01 10/05/04 GOVERNMENT PROPERTIES TRUST INC 2.01,9.01 10/08/04 GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 10/07/04 GREENBRIER COMPANIES INC DE 5.02,9.01 10/05/04 GREENPOINT MORTGAGE SECURITIES LLC DE 8.01,9.01 09/27/04 GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 10/08/04 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 10/07/04 HAVEN HOLDING INC FL 4.01 10/01/04 HEALTH MANAGEMENT ASSOCIATES INC DE 8.01,9.01 10/07/04 HERITAGE CAPITAL GROUP, INC. DE 5.01,5.02 10/05/04 HERITAGE OAKS BANCORP CA 2.02,9.01 10/08/04 HERITAGE WORLDWIDE INC 4.02 10/08/04 HOLLINGER INTERNATIONAL INC DE 1.01,8.01,9.01 10/08/04 HOME PRODUCTS INTERNATIONAL INC DE 7.01,8.01 10/08/04 HOMEBANC CORP GA 1.02 09/30/04 HUFFY CORP OH 5.02,7.01 10/07/04 HUNTINGTON BANCSHARES INC/MD MD 8.01 10/07/04 ICEWEB INC 8.01,9.01 10/08/04 IMMTECH INTERNATIONAL INC DE 1.01 10/08/04 INDYMAC INDX MORTGAGE LOAN TRUST 2004 8.01,9.01 08/30/04 INFORMATICA CORP DE 1.01,2.02,2.05,2.06,9.01 10/06/04 INLAND WESTERN RETAIL REAL ESTATE TRU MD 2.01,9.01 10/05/04 INNOVO GROUP INC DE 3.02 10/04/04 INSITUFORM TECHNOLOGIES INC DE 5.02,9.01 10/08/04 INTERNATIONAL BUSINESS MACHINES CORP NY 8.01 10/08/04 INTRABIOTICS PHARMACEUTICALS INC /DE DE 8.01,9.01 10/06/04 ISLAND PACIFIC INC DE 5.02 09/30/04 ITRONICS INC TX 2.02 10/05/04 JANUS CAPITAL GROUP INC DE 1.01 10/06/04 JEFFERIES GROUP INC /DE/ DE 1.01,9.01 10/07/04 JETBLUE AIRWAYS CORP DE 3.03,9.01 10/04/04 JETBLUE AIRWAYS CORP DE 3.03,9.01 10/04/04 AMEND JONES LANG LASALLE INC MD 5.02,9.01 10/08/04 KANSAS CITY SOUTHERN DE 7.01,8.01 10/08/04 KIRKLANDS INC 1.01,1.02,2.03,9.01 10/04/04 KIWA BIO-TECH PRODUCTS GROUP CORP DE 9.01 03/12/04 AMEND KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 10/07/04 KRISPY KREME DOUGHNUTS INC NC 5.02,9.01 10/04/04 LEHMAN BROTHERS HOLDINGS INC DE 8.01 10/08/04 LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/08/04 LINCOLN BANCORP /IN/ IN 8.01,9.01 10/07/04 LINCOLN BANCORP /IN/ IN 9.01 03/31/04 AMEND LINEAR TECHNOLOGY CORP /CA/ DE 5.02 10/06/04 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 2.02,9.01 10/07/04 LKA INTERNATIONAL INC /DE/ DE 7.01,9.01 10/07/04 LONGS DRUG STORES CORP MD 7.01 10/08/04 LTC PROPERTIES INC MD 1.01 10/06/04 LYNCH CORP IN 5.02,9.01 10/06/04 MACATAWA BANK CORP MI 2.06 10/08/04 MAJESCO HOLDINGS INC DE 3.02,5.02,5.03,8.01,9.01 09/30/04 MANHATTAN ASSOCIATES INC GA 2.02,9.01 10/07/04 MARCONI CORP PLC X0 8.01 10/08/04 MASTEC INC FL 1.01,9.01 10/04/04 MATERIAL SCIENCES CORP DE 2.02,9.01 10/08/04 MATRIXX INITIATIVES INC DE 1.01,5.02,9.01 10/08/04 MBIA INC CT 2.02 10/07/04 MDU RESOURCES GROUP INC DE 1.01 10/04/04 MERRILL LYNCH & CO INC DE 1.01,9.01 10/01/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 10/06/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 10/06/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 09/25/04 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 2.01,9.01 09/23/04 MICROVISION INC WA 7.01,9.01 10/08/04 MILE MARKER INTERNATIONAL INC FL 1.01 10/08/04 MIRANT CORP DE 1.01 09/30/04 MISSION BROADCASTING INC DE 1.01,9.01 10/04/04 MISSION COMMUNITY BANCORP CA 8.01 10/04/04 MONACO GROUP INC DE 1.01,5.02,9.01 10/04/04 MONDAVI ROBERT CORP CA 2.05,2.06,8.01,9.01 09/14/04 AMEND MONSTER WORLDWIDE INC DE 1.01,2.01,9.01 10/05/04 MORGAN STANLEY ABS CAPITAL I INC DE 8.01,9.01 10/06/04 MORGAN STANLEY AUTO LOAN TRUST 2004-H 8.01,9.01 09/28/04 MOTHERS WORK INC DE 2.02,9.01 10/07/04 NATIONAL CITY CORP DE 8.01,9.01 10/08/04 NATIONAL DATACOMPUTER INC DE 5.02,9.01 09/22/04 NATIONAL PROCESSING INC OH 8.01,9.01 10/08/04 NCRIC GROUP INC DC 5.02,9.01 10/07/04 NEW CENTURY FINANCIAL CORP MD 1.01,9.01 10/04/04 NEW WORLD RESTAURANT GROUP INC DE 8.01,9.01 10/07/04 NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 10/05/04 NL INDUSTRIES INC NJ 8.01 10/05/04 NOBEL LEARNING COMMUNITIES INC DE 7.01,9.01 10/06/04 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 10/05/04 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 10/05/04 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 10/07/04 NORCROSS SAFETY PRODUCTS LLC DE 1.01,9.01 10/04/04 NOVA COMMUNICATIONS LTD NV 8.01 09/21/04 NOVELL INC DE 7.01 10/07/04 NUTRI SYSTEM INC /DE/ DE 7.01 10/07/04 ONYX SOFTWARE CORP/WA WA 2.02,8.01,9.01 10/07/04 OPENWAVE SYSTEMS INC DE 1.01,9.01 10/04/04 OPTICARE HEALTH SYSTEMS INC DE 1.01,9.01 10/06/04 P&F INDUSTRIES INC DE 8.01,9.01 10/08/04 PACCAR INC DE 5.02 10/04/04 PARAMETRIC TECHNOLOGY CORP MA 1.01 10/04/04 Park Place Securities, Inc. DE 8.01,9.01 10/08/04 PAYCHEX INC DE 5.02,7.01,9.01 10/06/04 PEAK INTERNATIONAL LTD D0 4.01,8.01,9.01 10/06/04 AMEND PENNSYLVANIA REAL ESTATE INVESTMENT T PA 1.01 10/07/04 PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 09/30/04 PERICOM SEMICONDUCTOR CORP CA 5.02 10/08/04 PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.05,2.06 10/04/04 PFS BANCORP INC IN 7.01,9.01 10/08/04 PHARMAFRONTIERS CORP TX 1.01,9.01 10/07/04 PHOENIX GROUP CORP DE 8.01 10/06/04 PLATINUM UNDERWRITERS HOLDINGS LTD D0 8.01,9.01 10/07/04 PMC COMMERCIAL TRUST /TX TX 1.01,9.01 10/04/04 PORTAL SOFTWARE INC DE 2.05,5.02,9.01 10/04/04 POWELL INDUSTRIES INC NV 2.05 10/06/04 PRICESMART INC DE 1.01,5.01,9.01 10/04/04 PRIMAL SOLUTIONS INC DE 7.01,9.01 10/08/04 PRIME HOSPITALITY CORP DE 8.01,9.01 10/08/04 PRINTRONIX INC DE 2.02,9.01 10/07/04 PROTECTIVE LIFE INSURANCE CO TN 9.01 10/07/04 PULASKI FINANCIAL CORP DE 7.01,9.01 10/07/04 QUANTA CAPITAL HOLDINGS LTD 2.02,9.01 10/07/04 RASER TECHNOLOGIES INC UT 5.01,7.01,9.01 10/06/04 REGEN BIOLOGICS INC DE 8.01,9.01 10/07/04 RENEGADE VENTURE NEV CORP CO 7.01,9.01 10/06/04 RESIDENTIAL ACCREDIT LOANS INC DE 8.01,9.01 10/08/04 RITE AID CORP DE 5.02,9.01 10/07/04 SALESFORCE COM INC DE 7.01 10/07/04 SALIX PHARMACEUTICALS LTD 8.01,9.01 10/08/04 SANTANDER BANCORP 8.01 10/08/04 SCRIPPS E W CO /DE OH 8.01,9.01 10/05/04 SECURED DIVERSIFIED INVESTMENT LTD NV 5.02 10/05/04 SEPRACOR INC /DE/ DE 8.01 10/01/04 SEQUOIA MORTGAGE FUNDING CORP MD 8.01,9.01 09/30/04 SEVERN BANCORP INC MD 2.02,9.01 10/08/04 SONIC FOUNDRY INC MD 5.02 10/07/04 SONICWALL INC CA 2.02,9.01 10/08/04 SOVEREIGN SPECIALTY CHEMICALS INC DE 1.01,8.01,9.01 10/06/04 SPAR GROUP INC DE 4.01,9.01 10/04/04 SPEEDEMISSIONS INC FL 3.02 10/08/04 STAAR SURGICAL CO DE 3.01 10/06/04 STONE ENERGY CORP DE 7.01,9.01 10/08/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 10/04/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 10/08/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 10/08/04 STRUCTURED ASSET SECURITIES CORP II 8.01,9.01 10/08/04 STURM RUGER & CO INC DE 5.02 10/07/04 SUMMA INDUSTRIES/ DE 2.02,9.01 10/08/04 SUN MICROSYSTEMS INC DE 8.01,9.01 10/07/04 TEAM HEALTH INC TN 5.02 10/08/04 TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 10/08/04 TENNECO AUTOMOTIVE INC DE 5.02,9.01 10/06/04 TERRA INDUSTRIES INC MD 9.01 10/06/04 AMEND TEXAS REGIONAL BANCSHARES INC TX 8.01,9.01 10/08/04 Texas Roadhouse, Inc. DE 1.01,8.01 10/08/04 THERAVANCE INC DE 3.02,8.01 10/08/04 TITANIUM METALS CORP DE 8.01,9.01 10/08/04 TORCHMARK CORP DE 1.01,9.01 10/05/04 TRAFALGAR VENTURES INC NV 2.01,4.01,5.01,5.02,5.03,9.01 10/07/04 TRANSCAT INC OH 5.02,9.01 10/05/04 TRIUMPH GROUP INC / DE 2.05,2.06,9.01 10/05/04 TROY GROUP INC DE 8.01,9.01 10/08/04 TUT SYSTEMS INC DE 7.01 10/08/04 AMEND UNITED NATIONAL GROUP LTD E9 2.02,9.01 10/08/04 UNOVA INC DE 1.01,1.02,2.03 09/30/04 AMEND URSTADT BIDDLE PROPERTIES INC MD 8.01 09/30/04 V I TECHNOLOGIES INC DE 8.01,9.01 10/08/04 VCG HOLDING CORP 2.03,9.01 10/01/04 VEECO INSTRUMENTS INC DE 7.01,8.01,9.01 10/05/04 VERIZON COMMUNICATIONS INC DE 8.01 10/06/04 VIE FINANCIAL GROUP INC DE 8.01 09/20/04 VIISAGE TECHNOLOGY INC DE 1.01,2.01,3.02,9.01 10/05/04 VILLAGE SUPER MARKET INC NJ 7.01,9.01 07/31/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 10/06/04 WASTE INDUSTRIES USA INC NC 8.01 10/08/04 WATCHGUARD TECHNOLOGIES INC DE 2.02,9.01 10/08/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 10/06/04 WEST MARINE INC DE 1.01,2.02,9.01 10/04/04 WET SEAL INC DE 2.02,9.01 10/07/04 WEYERHAEUSER CO WA 5.02 10/08/04 WINNEBAGO INDUSTRIES INC IA 7.01,9.01 10/07/04 WINWIN GAMING INC DE 5.02 10/04/04 WORKSTREAM INC 2.01,9.01 07/27/04 AMEND XCYTE THERAPIES INC WA 1.01,9.01 10/07/04 YORK INTERNATIONAL CORP /DE/ DE 8.01,9.01 10/08/04 ZKID NETWORK CO NV 9.01 06/17/04 AMEND ZOLL MEDICAL CORPORATION MA 2.02,9.01 10/08/04 ZOLL MEDICAL CORPORATION MA 1.01,9.01 10/04/04 ZYMOGENETICS INC WA 1.01,9.01 10/04/04