SEC NEWS DIGEST Issue 2002-180 September 17, 2002 COMMISSION ANNOUNCEMENTS STATEMENT REGARDING ARBITRATION PROGRAMS OF SELF-REGULATORY ORGANIZATIONS The Commission announced today several actions to protect investors and resolve an ongoing dispute concerning investor-broker arbitration procedures in California. In July, California adopted new rules for arbitrations conducted in that state. Despite requests from the Commission's staff and two SROs -- the New York Stock Exchange and the National Association of Securities Dealers -- California declined to exempt from its new rules existing arbitration programs provided by the SROs to resolve investor complaints. Thereafter, the NYSE and NASD filed an action in federal district court in California, claiming the California rules are preempted by federal law and cannot apply to their arbitration programs. Pending the outcome of the litigation, the NYSE and the NASD stopped appointing arbitrators in California, preventing the conduct of arbitration under their procedures. First, the Commission reaffirmed Chairman Pitt's prior request that the NYSE and NASD both immediately provide investors with available arbitration panels in California, or take other steps to ensure that California investors have available to them convenient and expeditious resolution of disputes. The Commission believes it is vitally important to protect the interest of investors in being able to resolve their disputes with broker-dealers quickly and fairly. Second, the Commission asked Michael Perino, an associate professor of St. John's University School of Law and currently a visiting professor at Columbia Law School, to assess whether the current disclosure requirements in the NASD and NYSE arbitration procedures should be modified to reflect any of the new disclosure concepts in the new California rules. Professor Perino has agreed to conduct this review and report back promptly with any recommendations he may have to improve the disclosures required of arbitrators in SRO arbitration proceedings. Finally, the Commission's General Counsel informed the federal district court in which the litigation against California is pending, that the Commission will seek leave to file a friend of the court brief this week. The Commission shares California's concern that investors be given all of the information they need to pursue their rights and protect their interests in arbitration. In addition, as will be discussed in the court brief, the Commission must discharge the obligations imposed by Congress to implement the federal securities laws and to oversee a uniform national system for resolving investor complaints. The Commission's staff previously discussed these issues with California officials and expressed their concerns regarding the potential adverse consequences to investors of a conflicting approach. The Commission believes these actions will promote the goals of fair, convenient and expeditious dispute resolution for investors. These actions are intended to further the Commission's commitment to partnership with state securities regulators in our efforts to promote investor protection and prevent fraud. FEE RATE ADVISORY #2 FOR FISCAL YEAR 2003 When fiscal year 2003 starts on Oct. 1, 2002, the Securities and Exchange Commission may be operating under a continuing resolution. In that event, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rates applicable to proxy solicitations and statements in corporate control transactions will remain at the current rate of $92.00 per million. Five days after enactment of the Commission's regular appropriation, the fee rates for Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 will be reduced from $92.00 per million to $80.90 per million as previously announced. In addition, the Section 31 fee rate applicable to securities transactions on the exchanges and Nasdaq also will remain at the current rate of $30.10 per million. Thirty days after the Commission receives its regular appropriation, the fee rate for Section 31 transactions will be reduced to $25.20 per million as previously announced. Self-regulatory organizations collect Section 31 fees pursuant to their rules. Additional information on the transition to the new Section 31 fee rate will be available before the new rate becomes effective on the web sites of The New York Stock Exchange and NASD Regulation at http://nyse.com and http://nasdr.com. A copy of the Commission's April 29, 2002, order regarding fee rates for fiscal year 2003, including the calculation methodologies, is available at http://www.sec.gov/rules/other/33-8095.htm. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission's regular appropriation and the effective dates for the above fee rate changes. These notices will be posted at the SEC's Internet web site at http://www.sec.gov. (Press Rel. 2002-136) ENFORCEMENT PROCEEDINGS CHARLES HOMA SENTENCED TO 5 YEARS IN PRISON AND $157 MILLION IN RESTITUTION FOR ROLE IN CASH 4 TITLES PONZI SCHEME On September 10, Charles R. Homa (Homa), one of the leaders of an international Ponzi scheme that defrauded more than 1,800 investors out of more than $157 million, was sentenced in Manhattan federal court by United States District Judge George B. Daniels to 5 years in prison. In addition to the term of imprisonment, Judge Daniels also sentenced Homa to pay restitution in the amount of $157 million, to serve a term of 3 years supervised release after his prison sentence is completed and to pay $500 in special assessments. This concludes the criminal case brought against Homa by the United States Attorney's Office for the Southern District of New York. The Commission's related civil action is pending in the Northern District of Illinois. On June 27, 2002, United States District Judge Ronald A. Guzman ordered Homa and his related entities to pay disgorgement of $157,993,830.25, prejudgment interest of $35,248,523.55, and $110,000 in third-tier civil penalties pursuant to Section 20(d) of the Securities Act of 1933 and Section 21(d) of the Securities Exchange Act of 1934. Judge Guzman previously entered a permanent injunction against Homa, by consent, against future violations of the anti-fraud provisions of the securities laws, 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 on March 13, 2000. Homa, a former resident of Atlanta, Georgia, has surrendered various assets including the Cash 4 Titles properties, homes and accounts in the United States and Cayman Islands to the Receiver, Phillip S. Stenger. Mr. Stenger was appointed as Receiver in the Commission's civil case in November 1999. For more information, go to the Receiver's website at www.cash4titles.com. For further information see SEC v. Charles R. Homa, et al., Litigation Release Nos. 16336, 16931, 16994, 17076, 17509. [SEC v. Charles R. Homa, Michael Gause, et al., 99 CV 6895, ND Ill., Honorable Ronald A. Guzman; U.S. v. Charles R. Homa, Criminal Action No. 00 Cr. 836, GBD, SDNY] (LR-17726) DEFENDANT EDWARD SHOWALTER HELD IN CONTEMPT FOR FAILURE TO PAY SEC JUDGMENT OF OVER $750,000; SHOWALTER IMPRISONED UNTIL HE PURGES HIMSELF OF THE CONTEMPT RULING The Commission today announced that on September 12 the Honorable Ricardo M. Urbina, United States District Judge for the District of Columbia, entered an order of civil contempt and imposing sanctions against defendant Edward R. Showalter, of San Clemente, California, for not paying an outstanding judgment of over $750,000, entered against Showalter on May 15, 2001. The Court ordered that Showalter be imprisoned until he purges himself of the contempt. A hearing on these issues is scheduled for September 26, 2002. Additionally, the Order requires that Showalter and his controlled company, International Financial Group dba IFG Goldstar Cement Company (IFG), provide a sworn accounting of their finances. The Court also ordered that two banks holding funds of Showalter turn these monies over to the Court. Previously, in entering a default judgment, the Court ordered Showalter to pay $900,000 (including a $150,000 penalty) after the Court found that Showalter had orchestrated two fraudulent schemes to raise capital illegally. In the first scheme, Showalter's company, Hollywood Trenz, Inc., materially overstated the value of the primary asset of a wholly- owned subsidiary, a portfolio of defaulted bank loans, in reports filed with the Commission and disseminated to the public. In the second scheme, Hollywood Trenz, Inc. fraudulently raised millions of dollars by issuing stock to nominee consultants pursuant to Form S-8 registration statements. Consequently, the Court's judgment also permanently enjoined Showalter from violating, among other things, the antifraud, registration, reporting, and internal control provisions of the federal securities laws, and barred him from serving as an officer or director of a public company. The Court also found that Showalter had "engaged in a pattern of repeated, willful violations of the court's orders," including failure "to appear for court-scheduled depositions and hearings," violations of the Court's order to provide discovery, and failure to pay court-ordered expenses to the SEC. See Lit. Rel. No. 17204. On May 22, 2002, Judge Urbina, entered an order to show cause (i) why defendant Showalter should not be held in contempt of court for not paying the outstanding judgment of over $750,000, and (ii) why Showalter should not provide a sworn accounting of his finances. The Court also ordered a freeze of up to $750,000 of Showalter's assets including assets of IFG. In addition, the Court restricted Showalter's travel outside the U.S., and ordered him to surrender his passport to the Court immediately. A hearing on these issues was held on June 3-6, 2002. The SEC based its contempt action on new information showing that Showalter was now living and operating in California, and trying to raise money purportedly for a cement import business, IFG. The SEC's contempt action alleges that Showalter claimed to have invested about $1.7 million of his own money in the business, and that Showalter was paying himself a salary while he was trying to start-up this new business. Following the close of the Show Cause hearing, on June 6 and 18, 2002, the Court found Showalter was in civil contempt of the May 15, 2001 Order, and ordered Showalter to file sworn accountings for himself and IFG, and to submit to a deposition to answer questions about his assets and liabilities and his business affairs. Showalter did submit the accountings and was deposed by the Commission staff. In his opinion accompanying the September 12th Order, Judge Urbina found, among other things, that Showalter had "failed to provide anything close to a full and complete sworn accounting for his and IFG's finances, in violation of the June 6 and 18, 2002 orders." Further, the Court found "that Mr. Showalter intentionally misrepresented the truth during his testimony at the show cause hearing and when he swore to the accuracy of the accounting documents." For further information see Litigation Releases 17204 (October 25, 2001) and 17539 (May 30, 2002). [SEC v. Hollywood Trenz, Inc., Edward R. Showalter, Civil Action No. 98-1106 (RMU) (D.D.C.)] (LR-17727) FEDERAL COURT ENJOINS PROMOTER OF NATIONWIDE SECURITIES FRAUD The Commission announced today that on August 7, 2002, the Honorable Horace T. Ward of the United States District Court for the Northern District of Georgia entered an order of permanent injunction and other relief against J. Charles Reives (Reives) as a result of his sales of securities in conjunction with the general partnership Tri-Star Investment Group, L.L.C. a/k/a Tri-Star Investment Group (Tri-Star), a co-defendant in the case. Reives was ordered to pay disgorgement, prejudgment interest and a civil penalty in amounts to be resolved upon motion of the Commission at a later date. Reives consented to the entry of the order without admitting or denying the allegations of the Commission's complaint. Defendants Louis M. Lazorwitz (Lazorwitz) and Tri-Star were permanently enjoined and ordered to pay disgorgement, prejudgment interest and civil penalties by prior orders of the Court, and relief defendant Lazor, Ltd. has previously been ordered to disgorge its ill-gotten gain. Lazorwitz, Tri-Star and Lazor, Ltd. were not affected by the entry of this order. The Commission's complaint alleged a multimillion-dollar, nationwide, prime bank type and other securities fraud. Lazorwitz, a Texas resident, and Reives, a North Carolina resident, were alleged to have promoted the fraudulent scheme as Tri-Star's general partners, in which they used the general partnership to offer and sell unregistered securities in Tri-Star to over 900 investors in at least 35 states, and raised over $15 million, and that Tri-Star, through Lazorwitz and Reives, initially represented that Tri-Star would invest in bank debentures and later claimed that it might invest in other international trade opportunities. The complaint also alleged that Lazorwitz and Reives promoted Tri-Star directly and through independent agents around the United States known as Facilitators and led investors to expect profits of 20% per month in so-called 13-month trading programs, after an initial 90-day waiting period. The complaint also charged that relief defendant Lazor, Ltd. received ill-gotten gains from the fraud without any legitimate claim to those assets. Tri-Star, Lazorwitz, and Reives made material misrepresentations and omissions of fact to investors concerning, among other things, the use of investor funds, the expected returns, and investment risks. The complaint further alleged that Lazorwitz and Reives misappropriated investor funds for their personal benefit. Judge Ward's order permanently enjoined Reives from further violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. [SEC v. Louis M. Lazorwitz, J. Charles Reives, and Tri-Star Investment Group, L.L.C. a/k/a Tri-Star Investment Group, Defendants, and Lazor, Ltd., Relief Defendant, Civil Action File No. 1:02-CV-0112 (N.D. Ga.)] (LR-17728) HOLDING COMPANY ACT RELEASES PROGRESS ENERGY INC., ET AL. A notice has been issued giving interested persons until October 8, 2002, to request a hearing on a proposal by Progress Energy, Inc. (Progress), a registered holding company, and Progress Ventures, Inc., its wholly-owned nonutility subsidiary (together, Applicants). By order dated December 12, 2000, in this filing, the Commission authorized Progress Energy, through September 30, 2003 (Authorization Period), to invest up to $500 million (Investment Limitation) in connection with the acquisition or construction of certain types of nonutility energy- related assets in the United States that are incidental to their energy marketing activities (Energy-Related Assets) or in the equity securities of existing or new companies substantially all of whose physical properties consist or will consist of Energy-Related Assets. Applicants now request a supplemental order to increase the Investment Limitation from $500 million to $1 billion during the Authorization Period. (Rel. 35-27568) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Boston Stock Exchange filed a proposed rule change (SR-BSE-2002-10) to eliminate its current market data revenue sharing program and to establish two new market data revenue sharing programs. Publication of the notice in the Federal Register is expected during the week of Sept. 16. (Rel. 34-46496) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2002-24) which has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 relating to membership dues and fees. Publication of the proposal is expected in the Federal Register during the week of Sept. 16. (Rel. 34-46498) 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: . SB-2 NEXGEN PUBLISHING GROUP INC, 410 PARK AVE, STE 1530, NEW YORK, NY, 10022, 2127933927 - 580,000 ($436,450.00) Equity, (File 333-99595 - Sep. 16) (BR. ) S-8 INTEGRATED PERFORMANCE SYSTEMS INC, 10501 FM 720 EAST, FRISCO, TX, 75035, 9723811212 - 27,574 ($43,566.92) Equity, (File 333-99605 - Sep. 16) (BR. 37) S-8 NETWORKS ASSOCIATES INC/, 3965 FREEDOM CIRCLE, SANTA CLARA, CA, 95054, 4089883832 - 0 ($37,407,624.00) Equity, (File 333-99611 - Sep. 16) (BR. 03) S-8 BRADY CORP, 6555 W GOOD HOPE RD, P O BOX 571, MILWAUKEE, WI, 53201-0571, 4143586600 - 0 ($17,200,000.00) Equity, (File 333-99615 - Sep. 16) (BR. 06) S-4 ZIONS BANCORPORATION /UT/, ONE SOUTH MAIN STREET, SUITE 1380, SALT LAKE CITY, UT, 84111, 8015244787 - 204,000 ($7,091,288.00) Equity, (File 333-99619 - Sep. 16) (BR. 07) S-8 KNOWLEDGE NETWORKS INC, 24843 DEL PRADO, SUITE 318, DANA POINT, CA, 92629, 9492489561 - 2,500,000 ($100,000.00) Debt Convertible into Equity, (File 333-99621 - Sep. 16) (BR. 03) S-8 APPLIED MICRO CIRCUITS CORP, 6290 SEQUENCE DR, SAN DIEGO, CA, 92121, 6194509333 - 0 ($97,500,000.00) Equity, (File 333-99623 - Sep. 16) (BR. 36) S-8 INFORMATICA CORP, 2100 SEAPORT BLVD, ROSEWOOD CITY, CA, 94063, 6503855000 - 5,810,692 ($21,698,783.96) Equity, (File 333-99627 - Sep. 16) (BR. 03) S-8 SEQUENOM INC, 3595 JOHN HOPKINS CT, SAN DIEGO, CA, 92121, 8582029000 - 225,773 ($1,011,198.00) Equity, (File 333-99629 - Sep. 16) (BR. 01) S-1 COMMERCIAL CAPITAL BANCORP INC, ONE VENTURE, 3RD FL, IRVINE, CA, 92618, 9495857500 - 0 ($60,087,500.00) Equity, (File 333-99631 - Sep. 16) (BR. ) S-1 WORLDGATE COMMUNICATIONS INC, 3190 TREMONT AVENUE, TREVOSE, PA, 19053, 2153545437 - 0 ($10,395,000.00) Equity, (File 333-99633 - Sep. 16) (BR. 37) S-8 MICRO LINEAR CORP /CA/, 2092 CONCOURSE DRIVE, SAN JOSE, CA, 95131, 4084335200 - 55,307 ($177,535.47) Equity, (File 333-99635 - Sep. 16) (BR. 36) S-8 MICRO LINEAR CORP /CA/, 2092 CONCOURSE DRIVE, SAN JOSE, CA, 95131, 4084335200 - 1,065,794 ($3,570,409.90) Equity, (File 333-99637 - Sep. 16) (BR. 36) 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 ---------------------------------------------------------------------------------- ABINGTON BANCORP INC MA X X 09/16/02 ADELPHIA COMMUNICATIONS CORP DE X 09/13/02 ADVANTA EQUIPMENT LEASING RECEIVABLES NV X 09/11/02 ADVANTAGE MARKETING SYSTEMS INC/OK OK X 09/16/02 AIRCRAFT FINANCE TRUST DE X 09/16/02 ALASKA AIR GROUP INC DE X 09/13/02 ALICO INC FL X 08/31/03 ALLIED HEALTHCARE PRODUCTS INC DE X X 09/16/02 AM COMMUNICATIONS INC DE X 07/01/02 AMEND AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE X X 09/16/02 AMERICAN EXPRESS MASTER TRUST DE X X 09/16/02 AMERICAN REALTY INVESTORS INC NV X X 08/30/02 ANTARES PHARMA INC MN X 08/26/02 ANTHEM INC IN X 09/16/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 09/16/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 09/16/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 09/16/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 09/16/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 09/16/02 ARROW STOCK HOLDING CORP DE X X X X 09/09/02 ASPEN TECHNOLOGY INC /DE/ DE X X 09/13/02 ASSET BACKED FUNDING CORP ASSET BK FU DE X X 03/27/00 ASSET BACKED FUNDING CORP ASSET BK FU DE X X 06/26/00 ASSET BACKED FUNDING CORP ASSET BK FU DE X X 09/25/00 ASSET BACKED FUNDING CORP ASSET BK FU DE X X 12/26/00 ASSET BACKED FUNDING CORP ASSET BK FU DE X X 03/26/01 ATCHISON CASTING CORP KS X X 09/16/02 AUTOMATIC DATA PROCESSING INC DE X 09/16/02 AVISTA CORP WA X X 09/11/02 BANC ONE CREDIT CARD MASTER TRUST NY X X 09/16/02 BAXTER INTERNATIONAL INC DE X X 09/13/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 09/12/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 09/12/02 BIG LOTS INC OH X X 09/16/02 BLUE COAT SYSTEMS INC DE X X 09/13/02 BLYTH INC DE X 09/16/02 BULL RUN CORP GA X X 09/13/02 CAL DIVE INTERNATIONAL INC MN X 08/30/02 CAPITAL ONE AUTO RECEIVABLES LLC DE X X 09/16/02 CAREMARK RX INC DE X X 09/13/02 CARMAX AUTO OWNER TRUST 2002-1 DE X X 08/31/02 CASCADIA CAPITAL CORP NV X 09/16/02 CC MASTER CREDIT CARD TRUST II MD X 09/16/02 CC MASTER CREDIT CARD TRUST II MD X 08/15/02 AMEND CEDAR INCOME FUND LTD /MD/ MD X 09/16/02 AMEND CIRCUIT CITY CREDIT CARD MASTER TRUST DE X X 08/31/02 COLORADO MEDTECH INC CO X X 09/16/02 COMMONWEALTH BIOTECHNOLOGIES INC VA X X 09/12/02 COMMUNITY BANKSHARES INC /SC/ SC X 07/01/02 AMEND CONNETICS CORP DE X 09/12/02 CONSECO FINANCE CORP DE X X 09/12/02 COOPER TIRE & RUBBER CO DE X 09/16/02 CORINTHIAN COLLEGES INC X X 07/02/02 AMEND D & K HEALTHCARE RESOURCES INC DE X X 09/16/02 DIAL CORP /NEW/ DE X 09/16/02 DICE INC DE X X 09/16/02 DIGEX INC/DE DE X X 09/12/02 DILLARDS INC DE X 09/16/02 DISCOVER CARD MASTER TRUST I DE X 09/16/02 DUCKWALL ALCO STORES INC KS X 09/16/02 DUCKWALL ALCO STORES INC KS X 09/16/02 AMEND EXTENDED SYSTEMS INC DE X X 08/30/02 FACTORY CARD OUTLET CORP DE X X 09/16/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 09/16/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 09/25/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 09/25/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 09/25/02 FIRST DATA CORP DE X 09/16/02 FIRST NBC CREDIT CARD MASTER TRUST X 09/11/02 FIRST USA BANK NATIONAL ASSOCIATION X X 09/16/02 FIRST USA BANK NATIONAL ASSOCIATION X 09/16/02 FIRST USA BANK NATIONAL ASSOCIATION X X 09/16/02 FIRST USA BANK NATIONAL ASSOCIATION X X 09/16/02 FIRST USA BANK NATIONAL ASSOCIATION X X 09/10/02 FLEET CREDIT CARD MASTER TRUST II NY X 09/16/02 FNANB CREDIT CARD MASTER TRUST X X 08/31/02 FNANB CREDIT CARD MASTER TRUST X X 08/31/02 FONAR CORP DE X 09/10/02 GENSTAR THERAPEUTICS CORP DE X X 09/12/02 GOODYEAR TIRE & RUBBER CO /OH/ OH X X 09/12/02 GS MORTGAGE SECURITIES CORP DE X X 09/13/02 GSR MORTGAGE LOAN TRUST 2002-1 X X 06/25/02 GSR MORTGAGE LOAN TRUST 2002-1 X X 08/26/02 GSR MORTGAGE LOAN TRUST 2002-2 X X 08/26/02 GSR MORTGAGE LOAN TRUST 2002-3F X X 08/26/02 GSR MORTGAGE LOAN TRUST 2002-4 X X 06/25/02 GSR MORTGAGE LOAN TRUST 2002-4 X X 08/26/02 GSR MORTGAGE LOAN TRUST 2002-5 X X 07/25/02 GSR MORTGAGE LOAN TRUST 2002-7 X X 08/26/02 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD X 07/01/02 AMEND HOUSEHOLD INTERNATIONAL INC DE X 09/10/02 IEXALT INC NV X X 09/13/02 IMAGEX COM INC WA X X 09/12/02 IMPAC CMB TRUST SERIES 2002-4F DE X X 08/30/02 IMPAC CMB TRUST SERIES 2002-4F DE X X X 08/30/02 INFOSPACE INC DE X X 09/12/02 INTERNATIONAL STAR INC NV X X 09/16/02 ION NETWORKS INC DE X X 09/13/02 IPET HOLDINGS INC X X 09/13/02 ISIS PHARMACEUTICALS INC DE X X 09/16/02 KMART CORP MI X X 09/16/02 KMART CORP MI X X 09/16/02 LCA VISION INC DE X X 09/10/02 LCA VISION INC DE X X 09/13/02 LEASE INVESTMENT FLIGHT TRUST DE X 09/16/02 LEXINGTON CORPORATE PROPERTIES TRUST MD X X 09/12/02 LONG BEACH ACCEPTANCE CORP X X 09/16/02 LONGS DRUG STORES CORP MD X 09/16/02 LPA HOLDING CORP DE X X 09/13/02 M B A HOLDINGS INC NV X X 09/16/02 MADISON BANCSHARES GROUP LTD PA X 09/12/02 MARTEK BIOSCIENCES CORP DE X 09/13/02 MEDITECH PHARMACEUTICALS INC NV X X 09/16/02 MEDIX RESOURCES INC CO X 09/10/02 MELLON BANK N A MA X 09/10/02 MELLON FINANCIAL CORP PA X 09/12/02 MENS WEARHOUSE INC TX X 09/16/02 MERA PHARMACEUTICALS INC DE X 06/17/02 AMEND METRIC PARTNERS GROWTH SUITE INVESTOR CA X X 09/16/02 MIDWEST GRAIN PRODUCTS INC KS X X 09/13/02 MIRACOM INDUSTRIES INC NV X X X 09/12/02 MOBILE MINI INC DE X 09/16/02 MORTGAGE ASSET SEC TRANS INC MASTR AS DE X X 08/30/02 NEW CINEMA PARTNERS INC X X X 09/13/02 AMEND NORTEK INC DE X X 09/16/02 NRG ENERGY INC DE X X 09/05/02 OAKWOOD MORTGAGE INVESTORS INC NV X 09/13/02 OLYMPUS COMMUNICATIONS LP DE X 09/13/02 OPTICAL SENSORS INC DE X X 09/13/02 PAWNMART INC DE X X 08/30/02 PC CONNECTION INC DE X X 09/17/02 PEOPLES ENERGY CORP IL X X 09/16/02 PETSMART INC DE X 09/16/02 PNC MORT SEC CORP COM MORT PASS THR C MO X X 09/16/02 POLYMEDICA CORP MA X X 09/12/02 POWER ONE INC DE X 09/12/02 PREDICTIVE SYSTEMS INC DE X X 09/16/02 PROCARE AMERICA INC NV X X 08/27/02 PUMATECH INC DE X X 09/16/02 QWEST COMMUNICATIONS INTERNATIONAL IN DE X X 09/16/02 SAKS CREDIT CARD MASTER TRUST NV X X 09/16/02 SAKS INC TN X X 09/16/02 SANCHEZ COMPUTER ASSOCIATES INC PA X 07/02/02 AMEND SCIENCE APPLICATIONS INTERNATIONAL CO DE X X 09/16/02 SEABULK INTERNATIONAL INC DE X X X 09/13/02 SEARS CREDIT ACCOUNT MASTER TRUST II IL X X 09/16/02 SELECT COMFORT CORP MN X 09/16/02 SHILOH INDUSTRIES INC DE X 09/16/02 SLI INC OK X X 09/13/02 SMITH & WESSON HOLDING CORP NV X X 09/16/02 SOURCE INTERLINK COMPANIES INC MO X X 09/16/02 STATION CASINOS INC NV X 09/16/02 STERLING BANCSHARES INC TX X X 09/13/02 STEWART & STEVENSON SERVICES INC TX X X 09/16/02 STRUCTURED ASSET MORT INV INC MORT PA DE X 08/30/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 08/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 08/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 08/25/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 08/30/02 STRUCTURED ASSET SECURITIES CORP DE X X 09/16/02 TAIWAN FUND INC DE X 08/01/02 TALBOTS INC DE X 09/16/02 TEKELEC CA X X 08/30/02 TELIGENT INC DE X X 09/16/02 TEREX CORP DE X 09/16/02 THERMACELL TECHNOLOGIES INC FL X X 09/30/02 TIGER TELEMATICS INC DE X X 08/09/02 TRANSTEXAS GAS CORP DE X 09/16/02 TXU EUROPE LTD X 07/01/02 AMEND U S DIAGNOSTIC INC DE X X 09/12/02 U S VISION INC DE X 09/16/02 UGI UTILITIES INC PA X 09/11/02 UNITED DOMINION REALTY TRUST INC VA X X 09/12/02 URSTADT BIDDLE PROPERTIES INC MD X 07/31/02 VENTURELIST COM INC NV X X X X 09/12/02 VIA NET WORKS INC DE X X 09/04/02 VISTA EXPLORATION CORP CO X X 09/16/02 WAMU MORTGAGE PASS THROUGH CERT 2002- DE X 08/22/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X 08/26/02 WASHINGTON MUTUAL MSC MORT PASS THROU DE X 08/27/02 WWBROADCAST NET INC WY X 09/16/02 XCEL ENERGY INC MN X 09/05/02 XOX CORP DE X X 07/03/02 AMEND XSTREAM BEVERAGE GROUP INC NV X X 08/26/02 AMEND YAMAHA MOTOR RECEIVABLES CORP DE X 09/16/02 YSEEK INC FL X X 09/11/02