SEC NEWS DIGEST Issue 2002-181 September 18, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING - TUESDAY, SEPTEMBER 24, 2002 - 2:30 P.M. The subject matter of the closed meeting scheduled for Tuesday, September 24, at 2:30 p.m. will be: Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Formal orders of investigations; and Litigation matter. ENFORCEMENT PROCEEDINGS SEC INSTITUTES ADMINISTRATIVE PROCEEDING AGAINST JOHN RAYMOND LINNEY CLAIN On September 17, the Commission issued an Order Instituting Public Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Order) against John Raymond Linney Clain (Clain) of Alpharetta, Georgia. In the Order, the Division of Enforcement (the Division) alleges that the Commission filed a civil injunctive action entitled SEC v. Saint James Asset Management, Inc. and John Raymond Linney Clain, et al., Case No. 1:02-CV-0426-RLV (N.D.Ga.), against Clain, alleging violations of the federal securities laws. The Division further alleges that Clain was enjoined from future violations by a court order issued in March 2002. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Clain an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. (Rel. IA-2057; File No. 3-10891) SEC INSTITUTES ADMINISTRATIVE PROCEEDING AGAINST LOUIS LAZORWITZ On September 17, the Commission issued an Order Instituting Public Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 (Order) against Louis M. Lazorwitz (Lazorwitz) of Houston, Texas. In the Order, the Division of Enforcement (the Division) alleges that the Commission filed a civil injunctive action entitled SEC v. Louis M. Lazorwitz, et al., Case No. 1:02-CV-0112-HTW (N.D.Ga.) against Lazorwitz, alleging violations of the federal securities laws. The Division further alleges that Lazorwitz was enjoined from future violations by a court order issued in May 2002. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Lazorwitz an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. (Rel. 34-46504; File No. 3-10892) DEFENDANT IN SEC MATTER CHARGED BY U.S. ATTORNEY AND DETAINED IN CONNECTION WITH $40 MILLION PRIME BANK SCHEME The Commission announced today that on September 10 a U.S. magistrate in Los Angeles ordered Claude Lefebvre held without bail in connection with criminal fraud charges filed against him by the U.S. Attorney's Office in Colorado. The criminal complaint, unsealed after Lefebvre's August 30 arrest, charges that Lefebvre fraudulently obtained $40 million from investors by promising them exorbitant returns through a trading program. One of the investors was Joseph Coors, Jr., a member of the Coors brewing family. The criminal charges come on the heels of a civil fraud case the Commission filed against Lefebvre, a Canadian citizen, on July 31 in connection with the same conduct. In that case, the San Francisco federal court granted the Commission's request for emergency relief against Lefebvre and others, and issued an order freezing over $36 million in funds they received from investors. The criminal complaint alleges that Lefebvre raised $40 million from investors by promising, among other things, that their money would generate profits of at least 75% per week. According to the criminal complaint, Lefebvre told investors he would generate the profits by trading financial institution instruments rated AA or better. The criminal complaint alleges that Lefebvre made these representations in writing on behalf of himself and another entity, RMO Assets Management SA. According to the criminal complaint, Lefebvre also told investors that he was federally licensed to trade bonds and that he would conduct some of his trading activities through another entity, Watch Hill Capital Management, LLC. The criminal complaint alleges that, after raising money through this scheme, Lefebvre transferred a significant amount of those funds to accounts in his control and in the control of his associates, Dennis Herula and Herula's wife, Mary Lee Capalbo. According to the criminal complaint, millions of dollars in investor funds were transferred from those accounts to individuals, credit card companies and merchandise stores, such as Saks Fifth Avenue and Ben Jewelry. In the Commission's earlier, related enforcement action, the Commission named Lefebvre, Herula, RMO Assets Management and Watch Hill Capital Management as defendants, alleging that they violated the antifraud provisions of the federal securities laws in connection with the scheme described above. The Commission named Capalbo as a relief defendant in that action. On August 1, 2002, the United States District Court for the Northern District of California entered Temporary Restraining Orders against Lefebvre, Herula, RMO and Watch Hill, temporarily restraining them from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder. The Court also froze the assets of all the defendants, including Capalbo. The Court ordered the TROs and asset freezes to remain in effect until October 1, 2002, at which time a hearing on the Commission's Motion for Preliminary Injunction is scheduled. Lefebvre currently remains in custody in Los Angeles and will be transferred to a facility in Colorado during the pendency of the criminal case. For further information, please see LR-17652 (August 2, 2002), LR-17461 (April 5, 2002) and LR-17514 (May 13, 2002). [U.S. v. Claude Lefebvre, Case No. 02-12112M, USDC, D.CO] (LR-17729) SEC CHARGES REGISTERED INVESTMENT ADVISER AND HIS FIRM WITH FRAUD On September 17, the Commission filed a civil suit in the Southern District of New York against Isaac Sofair of Bethesda, Maryland, and Landway Estates, Inc. a Delaware corporation, owned and controlled by Sofair. The Commission's complaint alleges that from at least September 1997 until May 2001, Sofair, a registered investment adviser operating through Landway, engaged in a scheme to defraud investors, ultimately obtaining $4.7 million from ten investors and misappropriating $2.3 million from two of them. Sofair allegedly induced investors to become his advisory clients by falsely portraying himself as a wealthy and successful international investment adviser and by falsely portraying Landway as a wealthy and successful international investment advisory firm that catered to high net worth clients. According to the complaint, once Sofair obtained the investors' funds, he commingled nearly all of the money in an account controlled by him. He then used the funds to trade aggressively in the stock market and to pay his personal expenses As part of the scheme, Sofair prepared and distributed to existing and potential clients report brochures that contained false and misleading statements, including: false performance returns; gross overstatements of assets under management; fictitious securities holdings; falsification of Sofair's educational background; a description of a fictitious professional staff; and fictitious audit opinions. Sofair also repeatedly filed false investment adviser registration forms with the Commission. Sofair and Landway are charged with 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 complaint also charges Sofair with violating Sections 204, 206(1), 206(2), 206(4), and 207 of the Investment Advisers Act of 1940, 15 U.S.C. 80b-4, 80b-6(1), 80b-6(2), 80b-6(4), and 80b-7, as well as Rules 204-2(a)(1), (2), (6), (7) and (8); 204-2(b); 206(4)-1(a)(5); and 206(4)-2(a), 17 C.F.R. 275.204- 2(a)(1), (2), (6), (7), and (8); 275.204-2(b); 275.206(4)-1(a)(5); and 275.206(4)-2(a), thereunder. In addition to seeking an injunction that permanently restrains and enjoins Sofair and Landway from violating the federal securities laws, the Commission seeks to obtain disgorgement, civil penalties and an expedited accounting from the defendants. [SEC v. Isaac Sofair and Landway Estates, Inc., Civil Action No.02-7444, GEL, SDNY] (LR-17730) BAPTIST MINISTER SENTENCED TO 34 MONTHS IN PRISON FOR AFFINITY INVESTMENT SCHEME On August 6, 2002, Judge Thad Heartfield, United States District Judge for the Eastern District of Texas, sentenced Ronald K. Randolph to a term of 34 months in connection with an affinity investment scheme that exclusively targeted African-American, Baptist investors, many of whom were elderly and disabled. In addition, the Court ordered Randolph to pay $1,983,910.76 in restitution to the victims of the fraud and to surrender himself to the Federal Bureau of Prisons on September 16, 2002. Previously, in a related civil action, Judge Heartfield granted the Commission's request for a judgment by default against Randolph, individually and doing business as International Polymers Works (IPW). Judge Heartfield's order permanently enjoined Randolph from future violations of the antifraud and securities registration provisions of the federal securities laws and directed Randolph to pay $884,772 in disgorgement representing his gains from the conduct alleged in the Complaint, pre-judgment interest thereon in the amount of $94,608, and a civil penalty of $884,772. In its civil complaint, the Commission alleged that Randolph, a 48-year- old resident of Beaumont, Texas and a Baptist minister, sold securities in IPW promising returns between 7-30%. His scheme raised $3.5 million from 155 investors in several states from late 1997 through at least November 2000. In connection with these sales, Randolph made false and misleading statements to investors regarding IPW's business prospects, the risks and returns associated with the investment, and the use of investor funds. In reality, IPW had minimal business operations and Randolph simply used investor monies to make "Ponzi" payments to prior investors and to pay personal expenses. As a result of his alleged misconduct, the Commission's complaint charged the defendant with violating Sections 5(a), 5(c) and 17(a) and (b) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and the Commission's Rule 10b-5. [SEC v. Ronald K. Randolph, individually and dba International Polymers Works, Case No. 1:01-CV-00621, USDC, EDTX, Beaumont Division] (LR-17731) TEXAS COURT ORDERS DISGORGEMENT AND CIVIL PENALTIES AGAINST MARK RICE On September 11, the District Court entered a final judgment by default against Mark E. Rice of Sugar Land, Texas d/b/a Primex Capital. The Court ordered Rice to disgorge $900,367 in trading profits and prejudgment interest of $184,755.20, and pay civil penalties of $440,000. The complaint alleged Rice carried out "pump and dump" schemes to manipulate the stock of four companies: Portalzone.com, Inc., which later changed its name to Status Wines of Tuscany, Inc.; Rockport Healthcare Group, Inc.; Global Connections, Inc.; and Pinnacle Business Management, Inc. Rice issued false "spam" e-mail messages and press releases, and then engaged in manipulative trading. Rice used two companies, relief defendants Primex (USA), Inc. and Applegate Sentry, S.A., a Bahamian corporation, to hide his sales of unregistered stock of the companies. Previously Rice was enjoined by consent on March 5, from violating Sections 5(a), 5(c), and 17(a) of the Securities Act, Section 10(b) of the Exchange Act, Rule 10b-5 and Regulation M, Rule 101. Portalzone was enjoined on August 20, from violating Section 10(b) of the Exchange Act, and Rule 10b-5. On June 26, the Court ordered Primex and Applegate Sentry to disgorge $759,174 and $51,665, respectively, plus prejudgment interest. Rice is jointly liable with Primex and Applegate to pay these amounts. For additional information see LR- 17377 (February 25, 2002) and LR-17414 (March 14,2002) [SEC v. Mark E. Rice d/b/a Primex Capital, et al., Civil Action No. H:02CV00636, USDC, SDTX ] (LR-17732) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change and Amendment Nos. 1 and 2 thereto submitted by the Chicago Board Options Exchange (SR-CBOE-2002-52) revising the maintenance and listing criteria for underlying securities. Publication of the proposal in the Federal Register is expected during the week of September 16. (Rel. 34- 46501) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by National Futures Association (SR-NFA- 2002-04) concerning proficiency requirements for security futures products has become effective under Section 19(b)(7) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 16. (Rel. 34-46502) DELISTINGS GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration the Common Stock, $.03 par value, of Original Sixteen to One Mine, Inc., effective at the opening of business on September 17, 2002. (Rel. 34-46503) 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 September 18, 2002. (Rel. 34-46506) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until October 8, 2002, to comment on the application of Host America Corporation to withdraw its Common Stock, par value $.001 from listing and registration on the Boston Stock Exchange. (Rel. 34-46508) A notice has been issued giving interested persons until October 8, 2002, to comment on the application Canadian 88 Energy Corp. to withdraw its Common Stock, no par value, from listing and registration on the American Stock Exchange. (Rel. 34-46509) 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 PROVECTUS PHARMACEUTICALS INC, 7327 OAK RIDGE HWY, SUITE B, KNOXVILLE, TN, 37931, 865-769-4011 - 100,000 ($16,000.00) Equity, (File 333-99639 - Sep. 17) (BR. 36) S-3 SCIOS INC, 820 W MAUDE AVE, SUNNYVALE, CA, 94086, 4086168200 - 0 ($150,000,000.00) Debt Convertible into Equity, (File 333-99641 - Sep. 17) (BR. 01) S-3 BURLINGTON NORTHERN SANTA FE CORP, 2650 LOU MENK DR, FT WORTH, TX, 76131-2830, 8173526856 - 0 ($700,000,000.00) Non-Convertible Debt, (File 333-99643 - Sep. 17) (BR. 05) S-8 AVANEX CORP, 40919 ENCYCLOPEDIA CIRCLE, FREMONT, CA, 94538, 5108974172 - 0 ($7,675,399.92) Equity, (File 333-99645 - Sep. 17) (BR. 36) SB-2 SOMERSET HILLS BANCORP, 155 MORRISTOWN RD, BERNARDSVILLE, NJ, 07924, 9082210100 - 1,840,000 ($18,791,000.00) Equity, (File 333-99647 - Sep. 17) (BR. 07) SB-2 GENTRY INTERNATIONAL INC, 38490 VIA ROBERTA, PAM SPRINGS, CA, 92264, 195,000 ($97,500.00) Other, (File 333-99649 - Sep. 17) (BR. 09) S-8 SYNOPSYS INC, 700 E MIDDLEFIELD RD, MOUNTAIN VIEW, CA, 94043-4033, 6509625000 - 30,726 ($68,826.24) Equity, (File 333-99651 - Sep. 17) (BR. 03) S-8 FIRST SHARES BANCORP INC, 996 SOUTH STATE ROAD 135, GREENWOOD, IN, 46143, 3178824780 - 141,000 ($1,023,580.00) Equity, (File 333-99653 - Sep. 17) (BR. 07) S-8 MICROCHIP TECHNOLOGY INC, 2355 W CHANDLER BLVD, CHANDLER, AZ, 85224-6199, 4807867200 - 6,400,000 ($110,845,500.00) Equity, (File 333-99655 - Sep. 17) (BR. 36) S-8 PRAXIS PHARMACEUTICALS INC/CN, 595 HORNBY STREET SUITE 600, VANCOUVER BC CANADA, A1, V6C 1A4, 604 685-0002 - 1,550,000 ($54,250.00) Equity, (File 333-99657 - Sep. 17) (BR. 01) S-8 AMERICAN INTERNATIONAL INDUSTRIES INC, 601 CIEN ST, SUITE 235, KEMAH, TX, 77565-2701, 2813349479 - 130,000 ($188,500.00) Equity, (File 333-99661 - Sep. 17) (BR. 07) S-3 HARKEN ENERGY CORP, 16285 PARK TEN PLACE SUITE 600, HOUSTON, TX, 77084, 2817171300 - 0 ($5,383,680.00) Equity, (File 333-99663 - Sep. 17) (BR. 04) S-4 UNITED COMMUNITY BANCORP, 804 SECOND STREET N.E., HICKORY, NC, 28601, 8284312300 - 0 ($7,676,807.00) Equity, (File 333-99665 - Sep. 17) (BR. 07) S-8 SUNLINK HEALTH SYSTEMS INC, 900 CIRCLE 75 PARKWAY, SUITE 1300, ATLANTA, GA, 30339, 7709337000 - 0 ($248,400.00) Equity, (File 333-99667 - Sep. 17) (BR. 01) S-8 SUNLINK HEALTH SYSTEMS INC, 900 CIRCLE 75 PARKWAY, SUITE 1300, ATLANTA, GA, 30339, 7709337000 - 0 ($2,235,600.00) Equity, (File 333-99669 - Sep. 17) (BR. 01) S-8 GENERAL ELECTRIC CO, 3135 EASTON TURNPIKE, W3M, FAIRFIELD, CT, 06828, 203-373-2211 - 100,000,000 ($2,735,000,000.00) Equity, (File 333-99671 - Sep. 17) (BR. 36) S-3 ELECTRIC FUEL CORP, 120 WOOD AVE S, STE 300, ISELIN, NJ, 08830, 2128265536 - 0 ($4,192,500.00) Equity, (File 333-99673 - Sep. 17) (BR. 04) S-3 AMERICAN TECHNOLOGY CORP /DE/, 13114 EVENING CREEK DRIVE SOUTH, SAN DIEGO, CA, 92128, 6196792114 - 0 ($18,279,683.40) Equity, (File 333-99675 - Sep. 17) (BR. 02) SB-2 AEI INCOME & GROWTH FUND 25 LLC, 1300 MN WORLD TRADE CTR, 30 EAST 7TH ST, ST PAUL, MN, 55101, 6512277333 - 50,000 ($50,000,000.00) Limited Partnership Interests, (File 333-99677 - Sep. 17) (BR. ) S-1 BOWNE TECHNOLOGY ENTERPRISE /FA/, 1500 NORTH CENTRAL AVE, PHOENIX, AZ, 85004, 6022234455 - 0 ($100.00) Non-Convertible Debt, (File 333-99681 - Sep. 17) (BR. ) S-8 DIGITAL LIGHTWAVE INC, 601 CLEVELAND STREET, 5TH FLOOR, CLEARWATER, FL, 33775, 8134426677 - 3,300,000 ($4,467,831.97) Equity, (File 333-99683 - Sep. 17) (BR. 37) N-2 JOHN HANCOCK PREFERRED INCOME FUND II, 101 HUNTINGTON AVENUE, BOSTON, MA, 02199, 6173751617 - 1,000 ($15,000.00) Equity, (File 333-99685 - Sep. 17) (BR. ) S-3D TRUSTCO BANK CORP N Y, 5 SARNOWSKI DRIVE, GLENVILLE, NY, 12302, 5183773311 - 2,000,000 ($23,120,000.00) Equity, (File 333-99687 - Sep. 17) (BR. 07) N-2 NAIC GROWTH FUND INC, 711 WEST THIRTEEN MILE RD, MADISON HEIGHTS, MI, 48071, 8105836242 - 0 ($49,900,000.00) Equity, (File 333-99689 - Sep. 17) (BR. 17) S-3 L 3 COMMUNICATIONS HOLDINGS INC, 600 THIRD AVENUE, 34TH FLOOR, NEW YORK, NY, 10016, 2126971111 - 448,582 ($25,165,450.00) Equity, (File 333-99693 - Sep. 17) (BR. 37) S-3 PROXIM CORP, 1196 BORREGAS AVE, SUNNYVALE, CA, 94089, 4085425200 - 302,328 ($677,214.72) Equity, (File 333-99697 - Sep. 17) (BR. 37) S-4 SOLUTIA INC, 575 MARYVILLE CENTRE DRIVE, P O BOX 66760, ST. LOUIS, MO, 63166-6760, 3146741000 - 0 ($223,000,000.00) Other, (File 333-99699 - Sep. 17) (BR. 02) S-8 VERIDIAN CORP, 1200 SOUTH HAYES ST., SUITE 1100, ARLINGTON, VA, 22202, 7035753100 - 0 ($1.00) Other, (File 333-99701 - Sep. 17) (BR. 03) 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 ------------------------------------------------------------------------------------ ABN AMRO MORTGAGE CORP SERIES 2002-7 DE X 08/27/02 ACT MANUFACTURING INC MA X X 09/13/02 AFFILIATED COMPUTER SERVICES INC DE X X 09/17/02 AGATE TECHNOLOGIES INC DE DE X 09/16/02 AGATE TECHNOLOGIES INC DE DE X 09/16/02 ALICO INC FL X 08/31/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 09/17/02 ALLIANCE CAPITAL MANAGEMENT L P DE X X 09/17/02 AMERICREDIT CORP TX X X 09/16/02 ANTON DIST INC X X X 09/05/02 APPLIED MICROSYSTEMS CORP /WA/ WA X X 09/13/02 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 ARIZONA PUBLIC SERVICE CO AZ X X 09/10/02 ASSET BACKED FUNDING CORP DE X X 09/17/02 ASSET BACKED FUNDING CORP ASSET BK FU DE X X 06/25/01 ASSET BACKED FUNDING CORP ASSET BK FU DE X X 09/25/01 ASSET BACKED FUNDING CORP ASSET BK FU DE X X 12/26/01 ATA HOLDINGS CORP IN X X X 09/16/02 BEST BUY CO INC MN X X 09/17/02 BIOMARIN PHARMACEUTICAL INC DE X 09/16/02 BJ SERVICES CO DE X 06/30/02 BLYTH INC DE X 09/16/02 AMEND BOOKS A MILLION INC DE X 09/17/02 BRIGGS & STRATTON CORP WI X X 09/17/02 CANARGO ENERGY CORP DE X 09/16/02 CASUAL MALE RETAIL GROUP INC DE X X X 09/17/02 CHATTEM INC TN X 09/17/02 CHESAPEAKE ENERGY CORP OK X 09/17/02 CLAIMSNET COM INC DE X X 09/11/02 COMPUTER TASK GROUP INC NY X 09/17/02 COX COMMUNICATIONS INC /DE/ DE X X 07/10/02 CROSSWALK COM DE X 09/17/02 CYTOGEN CORP DE X X 09/16/02 DAOU SYSTEMS INC DE X X 01/11/99 AMEND DOLLAR GENERAL CORP TN X 09/17/02 DOMINION RESOURCES INC /VA/ VA X X 09/16/02 DOMINIX INC DE X X 08/22/02 EBANK COM INC GA X X 09/16/02 ECOGEN INC DE X 08/05/02 EMB CORP HI X X 09/06/02 ENCOMPASS SERVICES CORP TX X X 09/17/02 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 09/17/02 ENSCO INTERNATIONAL INC DE X 09/16/02 ESG RE LTD X X 09/16/02 FEDERATED DEPARTMENT STORES INC /DE/ DE X 09/17/02 FIRST ALLIANCE CORP /DE/ DE X X 09/13/02 FORTUNE NATURAL RESOURCES CORP DE X X 09/17/02 GALYANS TRADING CO INC IN X 09/17/02 GEN PROBE INC DE X X 09/16/02 GENERAL ELECTRIC CAPITAL CORP DE X 09/17/02 GENERAL ELECTRIC CAPITAL SERVICES INC DE X 09/17/02 GENERAL ELECTRIC CO NY X 09/17/02 GENESEE CORP NY X X 09/16/02 GENESEE CORP NY X X 09/17/02 GREATER BAY BANCORP CA X X X 09/17/02 GS MORTGAGE SECURITIES CORP DE X X 09/11/02 GSR MORTGAGE LOAN TRUST 2001-1 X X 01/25/02 GSR MORTGAGE LOAN TRUST 2001-1 X X 03/25/02 GSR MORTGAGE LOAN TRUST 2002-5 X X 08/26/02 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD X X 09/12/02 HARTFORD FINANCIAL SERVICES GROUP INC DE X 09/09/02 HAUSER INC DE X X 09/06/02 HIBBETT SPORTING GOODS INC DE X 09/17/02 HORIZON OFFSHORE INC DE X X 09/16/02 IMAGING TECHNOLOGIES CORP/CA DE X X 09/17/02 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 08/26/02 INNOFONE COM INC NV X X 08/12/02 AMEND INSIGHTFUL CORP DE X 09/13/02 INTERNET CABLE CORP NV X X 09/05/02 KFX INC DE X X 09/12/02 KROGER CO OH X X X 09/17/02 LASON INC DE X X 09/10/02 LBP INC DE X X 09/12/02 LIMITED BRANDS INC DE X X 09/17/02 LUXTEC CORP /MA/ MA X 09/17/02 MAINSTREET BANKSHARES INC VA X 09/16/02 MARTIN INDUSTRIES INC /DE/ DE X X 09/17/02 MCKENZIE BAY INTERNATIONAL X 09/17/02 MCKENZIE BAY INTERNATIONAL X X 09/17/02 MEDCARE TECHNOLOGIES INC DE X 09/30/02 MEDTRONIC INC MN X X 09/17/02 MGI PROPERTIES LIQUIDATING TRUST MA X X 09/17/02 MICHAELS STORES INC DE X 09/17/02 MIDWEST GRAIN PRODUCTS INC KS X X 09/17/02 MOBILITY ELECTRONICS INC DE X X 09/03/02 MONARCH DENTAL CORP DE X X 09/16/02 NASB FINANCIAL INC MO X 09/05/02 NATIONWIDE FINANCIAL SERVICES INC/ DE X X 09/17/02 NOXSO CORP VA X 09/17/02 OPTIONS TALENT GROUP DE X X X 09/06/02 PEOPLES OHIO FINANCIAL CORP OH X 09/12/02 PEOPLES OHIO FINANCIAL CORP OH X 09/13/02 PEOPLES OHIO FINANCIAL CORP OH X 08/15/02 PHILLIPS VAN HEUSEN CORP /DE/ DE X X 09/17/02 PINNACLE WEST CAPITAL CORP AZ X X 09/10/02 PLANET RESOURCES INC /DE/ DE X X X 09/03/02 PRACTICEWORKS INC DE X 09/13/02 PRIVATE MEDIA GROUP INC NV X X 09/12/02 PROVIDENTIAL HOLDINGS INC NV X 09/17/02 PROVIDIAN FINANCIAL CORP DE X 08/31/02 PROVIDIAN MASTER TRUST X X 09/16/02 PS PARTNERS VI LTD CA X X 09/17/02 QUIXOTE CORP DE X 08/30/02 RESIDENTIAL ASSET SECURITIES CORP DE X 09/17/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X 09/16/02 SAXON ASSET SECURITIES TRUST 2002-2 VA X 08/25/02 SEIBELS BRUCE GROUP INC SC X X 09/16/02 SELECTIVE INSURANCE GROUP INC NJ X X 09/16/02 SHOPKO STORES INC WI X X 09/17/02 SOLUTIA INC DE X X 09/13/02 ST JOE CO FL X 09/03/02 STEWART & STEVENSON SERVICES INC TX X X 09/16/02 STRUCTURED ASSET SECURITIES CORP DE X X 09/16/02 SUMMUS INC USA FL X X 09/17/02 SYNERGY FINANCIAL GROUP INC X X 09/17/02 TEREX CORP DE X X 09/17/02 TEXEN OIL & GAS INC NV X X X 09/17/02 THQ INC DE X 09/10/02 TIER TECHNOLOGIES INC CA X X 09/02/02 TRANSACTION SYSTEMS ARCHITECTS INC DE X 09/17/02 TRIMERIS INC DE X X 09/17/02 TYCO INTERNATIONAL LTD /BER/ D0 X X 09/10/02 U S RESTAURANT PROPERTIES INC MD X X 09/10/02 UNIVERSAL CORP /VA/ VA X X 09/16/02 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE X X 09/17/02 VERTEL CORP CA X 09/10/02 VOLT INFORMATION SCIENCES INC NY X X 09/17/02 WACHOVIA ASSET SECURITIZATION INC NC X X 09/17/02 WILLIAMS COMPANIES INC DE X 09/16/02 WILLIS LEASE FINANCE CORP DE X X 09/17/02 WJ COMMUNICATIONS INC CA X X 09/16/02 ZYGO CORP DE X 09/13/02