SEC NEWS DIGEST Issue 2002-172 September 5, 2002 COMMISSION ANNOUNCEMENTS CLOSED MEETING - TUESDAY, SEPTEMBER 10, 2002 - 10:00 A.M. The subject matter of the closed meeting scheduled for Tuesday, September 10, 2002, will be litigation matter; institution and settlement of injunctive actions; and institution and settlement of administrative proceedings of an enforcement nature. ENFORCEMENT PROCEEDINGS COMMISSION FILES INJUNCTIVE ACTION AGAINST MARCUS DUKES AND TERESA HODGE IN AFFINITY FRAUD The Commission today filed a complaint in the District Court for the Eastern District of Pennsylvania charging two individuals and four entities with conducting a scheme to defraud primarily African American investors (SEC v. Financial Warfare Club, Inc., Financial Warfare, Inc., Financial Warfare Club, Inc., Covenant EcoNet, Inc., Marcus D. Dukes and Teresa Hodge, Civil Action No. 02-7156, E.D. Pa.). Named as defendants are Marcus D. Dukes, Teresa Hodge and four companies that Dukes and Hodge control, namely Financial Warfare Club, Inc. (Maryland) (FWC (MD)), Financial Warfare, Inc. (FW (DC)), Financial Warfare Club, Inc. (Nevada) (FWC (NV)) and Covenant EcoNet, Inc. The complaint alleges that, from at least September 2000 through September 2001, the defendants defrauded at least 1,000 investors residing in at least 18 states of more than $1.3 million. The complaint charges all of the defendants with violations of 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 complaint further charges Dukes, Hodge, FWC (MD), FWC (DC) and FWC (NV) with violations of the securities registration provisions of the Securities Act. The complaint seeks permanent injunctive relief, an order requiring the defendants to pay disgorgement and civil penalties, and an order barring Dukes and Hodge from acting as an officer or director of any issuer of securities with obligations under Section 12 of the Exchange Act or Section 15(d) of the Exchange Act. Investors or others with inquiries concerning this matter should call 215/597-0655. [SEC v. Financial Warfare Club, Inc., Financial Warfare, Inc., Financial Warfare Club, Inc., Covenant EcoNet, Inc., Marcus D. Dukes and Teresa Hodge, Civil Action No. 02-7156, E.D. Pa.] (LR-17714) DAVIS SELECTED ADVISERS-NY, INC. SANCTIONED FOR FAILING TO DISCLOSE IPO TRADING On September 4, the Commission ordered Davis Selected Advisers-NY, Inc. (DSA-NY) to cease-and-desist from violating reporting provisions of the federal securities laws and to pay a $10,000 civil penalty for failing to disclose to the investing public material information regarding IPO trading for a fund client. DSA-NY, a New York-based investment adviser, consented to the entry of the Commission's order without admitting or denying the findings. The order finds that during 1999 and 2000 DSA-NY caused the Davis Growth Opportunity Fund to engage in short-term IPO trading and failed to disclose material facts concerning the trading. Specifically, the order finds that DSA-NY caused the Fund to trade in 182 "hot IPOs" during the technology-related IPO "mania" of this period, and that in almost all instances, the shares were flipped, or sold the same or the next trading day, with the Fund realizing substantial profits on the vast majority of the trades. The order finds also that in 1999 the Fund's net profit from IPO trading was over $6.7 million, approximately 22% of its total $30.6 million annual gain. According to the order's findings, in 2000 the Fund's net profit from the IPO trading was approximately $7.3 million, approximately 48% of its total $15.1 million annual gain. Finally, because DSA-NY failed to disclose to the investing public material information regarding the IPO trading, including the nature and extent of the trading and the significant effect of the trading on the Fund's performance, the order finds that DSA-NY willfully violated Section 34(b) of the Investment Company Act. (Rels. IA-2055; IC-25727; File No. 3-10885) ALL DEFENDANTS' MOTIONS TO DISMISS DENIED IN DISTRICT COURT ACTION AGAINST CPA'S On August 30, 2002, the United States District Court for the Eastern District of Pennsylvania denied the motions to dismiss of defendants William F. Buettner, Mark D. Kirstein and Amy S. Frazier in SEC v. Buettner, et al., Civil Action No. O1-CV-3898, E.D. Pa. The Commission filed the complaint at issue in August 2001 charging the three senior Coopers & Lybrand, LLP certified public accountants with securities fraud in connection with their audit of the consolidated financial statements of Allegheny Health, Education and Research Foundation (AHERF) for the year ending June 30, 1997. In October 2001, each defendant filed a motion to dismiss the complaint pursuant to Fed. R. Civ. P. 12(b)(6) and 9(b) claiming that the Commission failed to adequately plead fraud against the defendants under either the Private Securities Litigation Reform Act (PSLRA) or Fed. R. Civ. P. 9(b). Frazier and Kirstein further sought to dismiss on the grounds that the Commission's alternative allegations that Frazier and Kirstein aided and abetted Buettner in the fraud were insufficient as a matter of law. In a two-page order, Senior Judge Norma L. Shapiro denied the defendants' motions to dismiss, finding that the heightened pleading requirements of the PSLRA do not apply to actions brought by the SEC; the Commission's 112-paragraph complaint satisfies the relevant requirements of Fed. R. Civ. P. 9(b) to plead fraud with particularity with respect to defendants Buettner, Kirstein and Frazier; and that the Commission adequately pled scienter against each defendant. Senior Judge Shapiro deferred ruling on certain issues concerning the allegations against Kirstein and Frazier for aiding and abetting liability, stating, "[a]djudication of this question will benefit from development of the record through discovery." [SEC v. Buettner, et al., Civil Action No. 01-CV-3898, E.D. Pa.] (LR-17708) THOMAS HUGHES INDICTED FOR SECURITIES FRAUD AND CONTEMPT The Commission announced that on August 27, 2002, Thomas S. Hughes was indicted by a grand jury impaneled by the United States Attorney's Office for the Central District of California on seven criminal charges including three counts of fraud under the Securities Exchange Act of 1934, three counts of wire fraud and one count of contempt. The indictment alleges that, since at least July 19, 2002, Hughes has engaged in a fraudulent scheme by issuing false and misleading public statements - specifically press releases and website content - that artificially inflated the price of eConnect, whose stock was then publicly quoted on the Over-The-Counter Bulletin Board. The press releases and website content falsely claimed that eConnect had received a $20 million investment in "AA" asset-backed bonds, that eConnect had begun a stock repurchase program of its shares and that eConnect had received a $964,000 purchase order for its principal product, suggesting that a legitimate company had a relationship to the company that actually placed the order. The indictment alleged that in reality (1) the bonds were not "AA" rated or registered so that they could be traded publicly; (2) there was no stock repurchase program; and (3) there was no relationship between the company that placed the $964,000 purchase order and the legitimate company identified in the press release. The indictment also charges Hughes with criminal contempt of a permanent injunction against him obtained by the Commission in April 2000 in the case SEC v. eConnect and Thomas S. Hughes, Civil Action Number CV-00- 2959 MMM, RCx, C.D. Cal. See LR-16481. In a related proceeding, the Commission obtained emergency relief against Hughes and others, including an asset freeze, in Los Angeles federal court on August 8, 2002, based on its prima facie showing that Hughes and others violated the federal securities laws based upon the scheme described above. On August 16, 2002, the Honorable Nora M. Manella, United States District Judge for the Central District of California, granted the Commission's request for a preliminary injunction and continued the asset freeze. The Commission's complaint charges Hughes with violations of Sections 10(b) and 16(a) of the Exchange Act and Rules 10b-5 and 16a-3 thereunder. [SEC v. eConnect, Thomas S. Hughes, Richard Epstein, and Alliance Equities, Inc., Civil Action No. CV 02-6156 NM, MCx, C.D. Cal.] (LR-17709) SEC SUES INVESTMENT ADVISER FOR MISAPPROPRIATING OVER $5,000,000 FROM 26 CLIENTS On September 4, the Commission filed a civil injunctive action against Fred Albert Schluep, an investment adviser, formerly doing business as CRA Financial Planners in San Mateo, California. The complaint alleges that from September 1991 to March 2001 Schluep took in excess of $5 million from 26 of his clients without their consent or authority by forging the clients' signatures on checks and fund transfer documents. The complaint also states that Schluep took money from two investors by telling them that he would invest their money in safe investments; instead, Schluep transferred these funds to other clients. According to the complaint, Schluep lulled his client into believing that the misappropriated funds would be repaid by giving them checks that were returned for insufficient funds or by paying them with money from other clients' accounts. The complaint states that Schluep used the stolen client funds to invest primarily in local real estate and business ventures and he used approximately $100,000 for personal expenses. Schluep now resides in Red Bluff, California. In its complaint filed in the United States District Court for the Northern District of California, the SEC charges Schlep with violations of Section 10(b) and Rule l0b-5 of the Securities Exchange Act of 1934, and Sections 206(1) and 206(2) of the Investment Advisers Act. The SEC's complaint seeks to enjoin Schluep from committing future violations of the securities laws, to compel Schluep to disgorge any illegal profits plus prejudgment interest, and to pay civil monetary penalties. [SEC v. Fred Albert Schluep, United States District Court for the Northern District of California, Civil Action No. C-02-4193-EDL] (LR-17711) INVESTMENT COMPANY ACT RELEASES THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, ET AL. An order has been issued pursuant to Section 26(c) of the Investment Company Act to the Equitable Life Assurance Society of the United States and certain of its separate accounts approving a substitution of Class IB shares of the EQ/Capital Guardian Research Portfolio for Class IB shares of the EQ/MFS Research Portfolio. An order also has been issued pursuant to Section 17(b) of the Act to permit certain in-kind transactions in connection with the substitution. (Rel. IC-25718 - August 27, 2002) FREMONT MUTUAL FUNDS, INC., ET AL. An order has been issued on an application filed by Fremont Mutual Funds, Inc. and Fremont Investors Advisors, Inc. for an exemption under Section 12(d)(1)(J) of the Investment Company Act from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act from Section 17(a) of the Act, and pursuant to Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order permits certain registered 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-25721 - August 27, 2002) HOLDING COMPANY ACT RELEASES THE SOUTHERN COMPANY ET AL. A supplemental notice has been issued giving interested persons until September 24 to request a hearing on a proposal by The Southern Company, a registered holding company, and its subsidiaries, Mobile Energy Services Holdings, Inc. and Mobile Energy Services Company, L.L.C., requesting that the SEC issue an order under Section 11(f) of the Act approving the Third Joint Plan of Reorganization as Modified and certain related transactions and a report on the Third Joint Plan of Reorganization as Modified under Section 11(g) that may accompany a solicitation of creditors and any other interest holders for approval of the Third Joint Plan of Reorganization as Modified in the bankruptcy proceedings. The Commission issued an initial notice in this proceeding on October 16, 2000, with respect to the First Amended Joint Plan of Reorganization and a supplemental notice on April 11, 2001, with respect to the Second Amended Joint Plan of Reorganization. (Rel. 35-27564) ENTERGY MISSISSIPPI, INC. A notice has been issued giving interested persons until September 30 to request a hearing on a proposal by Entergy Mississippi, Inc., an electric public-utility subsidiary company of Entergy Corporation (Entergy), a registered holding company, to increase underwriters' fees in connection with the issuance of securities. (Rel. 35-27565) SECURITIES ACT REGISTRATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2002-43) filed by the Chicago Board Options Exchange proposing electrical fees for market maker hand held terminal tethering 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 September 2. (Rel. 34-46452) A proposed rule change filed with the Commission by the Chicago Board Options Exchange has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 (SR-CBOE-2002-42). Specifically, the proposed rule change establishes an access fee for non- customer orders in the MNXsm, NDX, QQQ, and XEOr options classes executed through CBOE's Retail Automatic Execution System. Publication of the proposal is expected in the Federal Register during the week of September 2. (Rel. 34-46455) A proposed rule change and Amendments Nos. l and 2 thereto filed with the Commission by the National Association of Securities Dealers to establish maximum execution fees and liquidity provider rebates for SuperSoes transactions in low-priced securities (SR- NASD-2002-106) has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 2. (Rel. 34-46456) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Amex-2002-46) relating to the Amex Listing Agreement. Publication of the approval order is expected in the Federal Register during the week of September 2. (Rel. 34-46451) DELISTINGS 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 September 5. (Rel. 34-46457) 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 September 5. (Rel. 34-46458) An order has been issued granting the application of the International Securities 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 September 5. (Rel. 34-46459) WITHDRAWAL An order has been issued granting the application of Northeast Pennsylvania Financial Corp. to withdraw its Common Stock, $.01 par value, from listing and registration on the American Stock Exchange effective at the opening of business on September 5. (Rel. 34-46460) 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 MERRILL LYNCH & CO INC, 4 WORLD FINANCIAL CTR, NEW YORK, NY, 10080, 2124491000 - 0 ($500,000,000.00) Other, (File 333-99105 - Sep. 4) (BR. 07) S-8 HOUSEHOLD INTERNATIONAL INC, 2700 SANDERS RD, PROSPECT HEIGHTS, IL, 60070, 8475645000 - 10,000,000 ($361,100,000.00) Equity, (File 333-99107 - Sep. 4) (BR. 07) S-8 CONCENTRAX INC, 817 OAK GLEN, HOUSTON, TX, 77076, 8883409715 - 150,000 ($184,500.00) Equity, (File 333-99109 - Sep. 4) (BR. 37) S-8 RUBY MINING CO, ONE SECURITIES CENTRE, 3490 PIEDMONT ROAD, SUITE 304, ATLANTA, GA, 30305, 404-231-8500 - 1,450,000 ($101,500.00) Other, (File 333-99111 - Sep. 4) (BR. 04) SB-2 DIRECT WIRELESS COMMUNICATIONS INC, 650 EAST 6TH STREET SUITE 645, AUSTIN, TX, 78701, 5125834500 - 0 ($920,775.00) Equity, (File 333-99115 - Sep. 4) (BR. 09) S-3 AMERIQUEST MORTGAGE SECURITIES INC, 1100 TOWN & COUNTRY ROAD, ORANGE, CA, 92868, 7145419960 - 0 ($6,000,000,000.00) Mortgage Backed Securities, (File 333-99117 - Sep. 4) (BR. 07) S-3 EVCI CAREER COLLEGES INC, 35 EAST GRASSY SPRAIN RD, SUITE 200, YONKERS, NY, 10710, 9147873500 - 1,000,000 ($1,050,000.00) Equity, (File 333-99127 - Sep. 4) (BR. 08) S-8 PRECISE LIFE SCIENCES LTD, 1239 W GEORGIA ST #3004, VANCOUVER, B C V6E 4R8, CA, 92024, 6046640499 - 2,120,000 ($169,600.00) Equity, (File 333-99131 - Sep. 4) (BR. 04) SB-2 WORKPLACE COMPLIANCE INC, 1321 BROADWAY, SCOTTSBLUFF, NE, 69361, 3086327411 - 4,264,077 ($3,016,727.49) Equity, 3,004,128 ($0.00) Other, (File 333-99135 - Sep. 4) (BR. ) S-4 MAIN STREET BANKS INC /NEW/, 676 CHASTAIN ROAD, KENNESAW, GA, 30144, 7704222888 - 0 ($9,516,060.00) Equity, (File 333-99137 - Sep. 4) (BR. 07) S-8 ARKONA INC, 10542 S JORDAN GATEWAY, #200, SOUTH JORDAN, UT, 84005, 8015017100 - 6,000,000 ($2,040,000.00) Equity, (File 333-99139 - Sep. 4) (BR. 03) S-8 QUAKER FABRIC CORP /DE/, 941 GRINNELL ST., FALL RIVER, MA, 02721, 5086781951 - 750,000 ($6,120,000.00) Equity, (File 333-99141 - Sep. 4) (BR. 02) S-8 DATASTREAM SYSTEMS INC, 50 DATASTREAM PLAZA, GREENVILLE, SC, 29605, 8644225001 - 500,000 ($3,233,853.00) Equity, (File 333-99145 - Sep. 4) (BR. 03) S-4 UNOCAL CORP, 2141 ROSECRANS AVE, STE 4000, EL SEGUNDO, CA, 90245, 3107267600 - 0 ($553,431,082.00) Equity, (File 333-99147 - Sep. 4) (BR. 04) S-8 CAREDECISION CORP, 2 PENN PLAZA, 15TH FLOOR SUITE 1500-53, NEW YORK, NY, 10121, 2122924959 - 950,000 ($66,500.00) Equity, (File 333-99149 - Sep. 4) (BR. 09) S-3 KESTREL ENERGY INC, 999 18TH ST #2490, DENVER, CO, 80202, 3032951939 - 2,818,000 ($901,760.00) Equity, 1,409,000 ($14,090.00) Other, (File 333-99151 - Sep. 4) (BR. 04) S-3 CHESAPEAKE FUNDING LLC, 900 OLD COUNTRY ROAD, GARDEN CITY, NY, 11530, 5162224732 - 0 ($820,000,000.00) Asset-Backed Securities, (File 333-99153 - Sep. 4) (BR. 05) S-8 P D C INNOVATIVE INDUSTRIES INC, 3701 NW 126TH AVE., CORPORATE PARK, BAY 5, CORAL SPRINGS, FL, 33065, (954) 341- - 1,400,000 ($73,500.00) Equity, (File 333-99155 - Sep. 4) (BR. 09) S-3 PEREGRINE PHARMACEUTICALS INC, 14282 FRANKLIN AVE, TUSTIN, CA, 92780, 7145086000 - 22,486,233 ($16,223,926.00) Equity, (File 333-99157 - Sep. 4) (BR. 01) S-8 SOUTH FINANCIAL GROUP INC, 102 S MAIN ST, GREENVILLE, SC, 29601, 8642557900 - 551,479 ($4,511,685.89) Equity, (File 333-99159 - Sep. 4) (BR. 07) S-3 MED-DESIGN CORP, 2810 BUNSEN AVE, VENTURA, CA, 93003, 8053390375 - 66,666 ($318,663.00) Equity, (File 333-99161 - Sep. 4) (BR. 36) S-8 MED-DESIGN CORP, 2810 BUNSEN AVE, VENTURA, CA, 93003, 8053390375 - 1,730,000 ($15,066,495.00) Equity, (File 333-99163 - Sep. 4) (BR. 36) SB-2 EAGLE GOLF CORP, 7601 W LAREDO, LAS VEGAS, NV, 89117, 7022520429 - 3,000,000 ($150,000.00) Equity, (File 333-99165 - Sep. 4) (BR. 09) 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 ABAXIS INC CA X 09/03/02 ADVANCED COMMUNICATIONS TECHNOLOGIES FL X 09/04/02 ADVOCAT INC DE X 09/03/02 AES CORPORATION DE X X 08/30/02 AGWAY INC DE X X 08/28/02 ALBERTSONS INC /DE/ DE X 10/31/02 ALFORD REFRIGERATED WAREHOUSES INC X 08/19/02 AMERICAN BANKNOTE CORP DE X 08/22/02 AMEND AMERICAN RESTAURANT GROUP INC DE X 08/30/02 ANCHOR GLASS CONTAINER CORP /NEW DE X X 08/30/02 ANDERSEN GROUP INC DE X 09/03/02 ANNAPOLIS NATIONAL BANCORP INC MD X X 09/03/02 APARTMENT INVESTMENT & MANAGEMENT CO MD X X 08/29/02 APPLIED MICROSYSTEMS CORP /WA/ WA X X 09/03/02 AQUILA INC DE X X 09/04/02 ARMSTRONG WORLD INDUSTRIES INC PA X 09/04/02 AROS CORP DE X X 09/04/02 AMEND ASSET BACKED CERTIFICATES SERIES 2002 DE X 08/25/02 AVAYA INC DE X X 09/03/02 AXA FINANCIAL INC DE X 09/04/02 BA MORTGAGE SECURITIES INC MORT PS TH DE X 08/25/02 BA MORTGAGE SECURITIES INC PASS THR C DE X 08/25/02 BALL CORP IN X 09/04/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 08/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 08/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 08/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 08/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 08/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 08/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 08/25/02 BANK OF AMERICA 1999-10 NC X 08/25/02 BANK OF AMERICA 1999-11 NC X 08/25/02 BANK OF AMERICA 1999-11 NC X 08/25/02 BANK OF AMERICA 1999-3 NC X 08/25/02 BANK OF AMERICA 1999-4 DE X 08/25/02 BANK OF AMERICA 1999-5 NC X 08/25/02 BANK OF AMERICA MOR SEC INC MOR PASS DE X 08/25/02 BANK OF AMERICA MOR SEC INC MOR PASS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 08/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 08/25/02 BANK OF AMERICA MORT SECS MORT PASS T DE X 08/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 08/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 08/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 08/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 08/25/02 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 08/25/02 BANK OF AMERICA MORTGAGE SEC MORT PAS NC X 08/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 08/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 08/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 08/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 08/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 08/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 08/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 08/25/02 BANK OF NEW YORK CO INC NY X X 08/28/02 BANYAN STRATEGIC REALTY TRUST MA X X 08/28/02 BARRETT BUSINESS SERVICES INC MD X X 08/28/02 BB&T CORP NC X 09/04/02 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 08/26/02 BEAR STEARNS ASSET BACKED SEC INC ASS DE X X 08/26/02 BEAR STEARNS ASSET BACKED SEC INC ASS DE X X 08/26/02 BECTON DICKINSON & CO NJ X X 09/04/02 BINDVIEW DEVELOPMENT CORP TX X 08/30/02 BOEING CO DE X 09/04/02 BROADBAND WIRELESS INTERNATIONAL CORP NV X 09/04/02 CADIZ INC DE X X 08/29/02 CASELLA WASTE SYSTEMS INC DE X X 09/04/02 CENDANT MORTGAGE CAPITAL LLC DE X 03/25/02 CENDANT MORTGAGE CAPITAL LLC DE X 04/25/02 CENDANT MORTGAGE CAPITAL LLC DE X 05/28/02 CENDANT MORTGAGE CAPITAL LLC DE X 05/28/02 CENDANT MORTGAGE CAPITAL LLC DE X 06/25/02 CENDANT MORTGAGE CAPITAL LLC DE X 06/25/02 CENDANT MORTGAGE CAPITAL LLC DE X 07/25/02 CENDANT MORTGAGE CAPITAL LLC DE X 07/25/02 CENTEX CONSTRUCTION PRODUCTS INC DE X X 09/03/02 CENTEX HOME EQUITY LOAN TRUST 2002-C DE X 09/04/02 CERIDIAN CORP /DE/ DE X X 09/04/02 CHARTER ONE FINANCIAL INC DE X X 09/04/02 CHENIERE ENERGY INC DE X X X 08/26/02 CHL MORTGAGE PASS THROUGH TRUST SERIE DE X 08/25/02 CHL MORTGAGE PASS-THROUGH TRUST 2002- DE X 08/25/02 CHL MORTGAGE PSS THROUGH TRUST 2002-1 DE X 08/25/02 CLAIMSNET COM INC DE X 09/04/02 CLICK COMMERCE INC X X 09/03/02 COLE COMPUTER CORP NV X 08/31/02 COLE COMPUTER CORP NV X 08/30/02 COMMUNITY VALLEY BANCORP CA X 09/04/02 COMPLE TEL EUROPE NV X X X 09/04/02 CONCEPTS DIRECT INC DE X 09/30/02 CONDOR TECHNOLOGY SOLUTIONS INC DE X 08/15/02 CONSOLIDATED FREIGHTWAYS CORP DE X 09/02/02 CONSUMERS FINANCIAL CORP PA X 08/28/02 CONTINENTAL AIRLINES INC /DE/ DE X X 09/03/02 CORRECTIONAL SERVICES CORP DE X X 08/30/02 COUNTRYWIDE CREDIT INDUSTRIES INC DE X X 06/30/02 COUNTRYWIDE HOME LOANS MORT PASS THR DE X 08/25/02 COYNE INTERNATIONAL ENTERPRISES CORP NY X X 07/01/02 CRAY INC WA X X 08/29/02 CSX CORP VA X X 09/04/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 08/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X X 03/27/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 08/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 08/25/02 CWABS INC ASSET BACKED CERTIFICATESS DE X 08/25/02 CWMBS CHL MORT PASS THRU CERTIFICATES DE X 08/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH DE X 08/25/02 CWMBS INC ALTERNATIVE LOAN TRUST 2002 DE X 08/25/02 CWMBS INC CHL MORTGAGE PASS THR TRUST DE X 08/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 08/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 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