SEC NEWS DIGEST Issue 2002-218 November 12, 2002 ENFORCEMENT PROCEEDINGS EX-BROKER ROBERT CURLEY BARRED FROM THE SECURITIES INDUSTRY Robert F. Curley, formerly a stockbroker at various brokerage firms, has been barred from association with any broker-dealer. The sanction was based on his felony conviction and was ordered in an administrative proceeding before an administrative law judge. Curley was convicted of conspiracy to commit securities fraud, mail fraud, and wire fraud. The wrongdoing that led to his conviction occurred from June 1993 through August 1999. He and others accepted bribes, and recruited brokers to accept bribes, from a stock promoter for inducing investors to purchase the securities of certain issuers affiliated with the promoter. (Rel. 34-46791; File No. 3-10893) SEC INSTITUTES ADMINISTRATIVE PROCEEDING AGAINST ROBERT SEARS BASED ON ENTRY OF INJUNCTION On Nov. 8, the Commission instituted an administrative proceeding against Robert C. Sears based on the entry of an injunction against him in SEC v. Robert C. Sears, et al. (Civil Action Number 00-30170-FHF)(D. Mass.). In the Order, the Division of Enforcement alleges that on September 10, 2002, the United States District Court for the District of Massachusetts entered a default judgment against Sears enjoining him from further violations of the antifraud provisions of Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act). The Division of Enforcement further alleges that on Sept. 26, 2000, the Commission filed its complaint alleging that, beginning in February 2000, Sears, an unregistered investment adviser, misappropriated his clients' funds by causing unauthorized transfers from his clients' accounts at several brokerage firms. To accomplish the transfers, Sears either forged his clients' signatures on letters directing the brokerage firms to transfer funds or fraudulently induced clients to transfer funds to the bank account of a corporation, Last Minute Concessions, Inc. (Last Minute), co-owned by Sears and another individual who is a relief defendant in the Commission's civil case relating to this matter. To generate the transferred cash, Sears forged client signatures on margin agreements and obtained unauthorized margin loans in client accounts. Last Minute used the money to buy a controlling interest in Cold Spring Golf, an entity developing a golf course near Belchertown, Massachusetts. Last Minute also purchased stock in Cold Spring Development, which was to build an adjoining condominium community. The Commission's complaint further alleged that when Sears' clients eventually learned of the transfers and began to question Sears, he provided varying false explanations, including that the money had been invested in government bonds that would earn 15% interest. Sears did not disclose to clients that he had used the money to buy a controlling interest in Cold Spring Golf for Last Minute. Clients who relied on him as a fiduciary for investment advice did not know that Sears had taken advantage of their trust and served his own financial interest at their expense. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Sears an opportunity to dispute these allegations, and to determine what sanctions, if any, are in the public interest. For further information, see Litigation Release No. 16735. (Rel. IA-2078; File No. 3-10929) SEC INSTITUTES SETTLED ADMINISTRATIVE PROCEEDING AGAINST GINTEL ASSET MANAGEMENT, INC., GINTEL & CO., AND THEIR TWO TOP OFFICERS FOR EFFECTING AFFILIATED TRANSACTIONS AND OTHER VIOLATIONS On Nov. 8, the Commission instituted and simultaneously settled public administrative and cease-and-desist proceedings against Gintel Asset Management, Inc.; Gintel & Co. LLC; Robert M. Gintel, the firms' chief executive officer; and Stephen G. Stavrides, the firms' president. The Commission's Order found multiple violations of the Investment Advisers Act of 1940 (Advisers Act) and the Investment Company Act of 1940 (Investment Company Act) that arose primarily from cross trading between client accounts on a principal basis by Gintel Asset Management, Inc., a registered investment adviser. The Order found that in the period 1997 to 1999, Robert Gintel, acting as Gintel Asset Management's portfolio manager, effected at least 40 cross trades on a principal basis between an investment company, the Gintel Fund, and accounts in which he had an ownership interest in violation of the Investment Company Act's provision prohibiting trades between a registered mutual fund and affiliated accounts. In addition, the Order found that Gintel Asset Management engaged in prohibited principal transactions and that those principal transactions rendered false a number of statements to clients and prospective clients representing that the companies did not engage in any affiliated or principal transactions. Stephen Stavrides, the firm's president and compliance officer, prepared and signed the filings containing the false statements. The Order found that in addition to these prohibited cross transactions, Robert Gintel engaged in extensive personal trading in securities, frequently within seven days of trades in the same securities by the Gintel Fund and other clients, in violation of the Gintel Fund and Gintel Asset Management's Code of Ethics. According to the Order, Stavrides, the compliance officer for Gintel Asset Management and the Gintel Fund, failed to apply the Code of Ethics' black-out periods for personal trading to Robert Gintel. Finally the Order found that Gintel Asset Management and Gintel & Co., its affiliated broker-dealer, also failed to establish, maintain, and enforce procedures reasonably designed to ensure that material nonpublic information was not misused. Each of the Respondents agreed to settle the charges, without admitting or denying the Commission's findings. The Commission's Order censures each of the Respondents and orders them to pay civil penalties in the following amounts: Gintel Asset Management, $100,000; Gintel & Co., $75,000; Robert Gintel, $75,000; and Stavrides, $25,000. The Order also orders Robert Gintel to pay disgorgement to clients of $489,239.08 and $169,619.83 in prejudgment interest and suspends him from association with any investment adviser, broker-dealer, or registered investment company for a period of six months. The Order prohibits Gintel Asset Management from soliciting or accepting new advisory clients for one year after entry of the Order and orders Gintel Asset Management and Gintel & Co. to comply with undertakings that include hiring an independent consultant to review their compliance procedures. Finally, the Order orders Gintel Asset Management to cease and desist from violating Sections 204A, 206(1), 206(2), 206(3) and 207 of the Advisers Act, and Sections 17(a)(1), 17(a)(2) and 17(j) of the Investment Company Act and Rule 17j-1(c)(2) thereunder; Gintel & Co. to cease and desist from violating Section 15(f) of the Securities Exchange Act of 1934 (Exchange Act) and Sections 17(a)(1) and 17(a)(2) of the Investment Company Act; Robert Gintel to cease and desist from violating or causing any violations of Sections 204A, 206(1), 206(2), and 206(3) of the Advisers Act; Sections 17(a)(1), 17(a)(2) and 17(j) of the Investment Company Act and Rule 17j-1(c) thereunder; and Section 15(f) of the Exchange Act; and Stavrides to cease and desist from violating or causing any violations of Sections 206(2) and 207 of the Advisers Act; and Sections 17(j) and 34(b) of the Investment Company Act; and Rule 17j- 1(c)(2) thereunder. (Rels. IA-2079; IC-25798; 34-46798; File No. 3- 10930) SEC INSTITUTES ADMINISTRATIVE PROCEEDING AGAINST DENNIS HERULA BASED ON ENTRY OF INJUNCTION On Nov. 8, the Commission instituted an administrative proceeding against Dennis S. Herula, principal of an investment adviser and a former registered representative of a broker-dealer, based on the entry of an injunction against him in SEC v. Dennis S. Herula, et al. (Civil Action Number 02-154-ML)(D. RI.). In the Order Instituting Administrative Proceedings (Order), the Division of Enforcement alleges that on October 10, 2002, the United States District Court for the District of Rhode Island orally granted the Commission's motion for entry of final judgment by default against Herula. On October 17, 2002, the court issued a memorandum and order against Herula, permanently enjoining him from future violations of the antifraud provisions of the federal securities laws [Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder]. Herula was ordered to pay disgorgement, along with prejudgment interest, in the total amount of $18,941,665.63, and was assessed a civil monetary penalty in the amount of $250,000. According to the Order, the Commission filed a civil injunctive action against Herula and others on April 1, 2002, alleging that Herula participated in a fraudulent scheme that raised approximately $52 million from investors by falsely promising investors exorbitant returns and misappropriating investor funds. The Division of Enforcement alleges that, during the period of his fraudulent activity, Herula was a registered representative of Raymond James Financial Services, Inc., a broker-dealer registered with the Commission, and he was also president of Legacy 2000 Associates, Inc., an investment adviser registered with the State of California. According to the Order, the court's October 17, 2002, memorandum and order found that Herula made intentional misrepresentations to investors, including misrepresenting the nature of an investment program, its overall risk and the status of funds. Herula was also found to have sent forged brokerage account statements to an investor's representative and created false documents on stationery of a brokerage firm indicating that an account was frozen when in fact it was never frozen. In addition, the court found that approximately $6 million of investor funds that were transferred to accounts controlled by Herula and his wife were used by them to purchase personal items such as jewelry, art, antiques and real estate. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Herula an opportunity to dispute these allegations, and to determine what sanctions, if any, are in the public interest. For further information, see Litigation Release No. 17800 (Oct. 23, 2002). (Rels. 34-46799; IA-2080; File No. 3-10931) RECIDIVIST SECURITIES LAW VIOLATOR CONVICTED AND SENTENCED FOR MAIL AND WIRE FRAUD Steven H. Adler, who was twice the subject of SEC administrative proceedings, has been convicted of mail and wire fraud and sentenced to jail. The charges against Adler arose out of the same misconduct that was the basis for an SEC order dated Nov. 15, 2001. Among other things, the SEC's administrative order barred Adler from associating with any broker, dealer, or investment adviser. On Nov. 6, 2001, the United States Attorney's Office for the Middle District of Florida (USAO) indicted Steven H. Adler of Tampa, Florida, charging him with mail and wire fraud. The indictment was based on allegations that Adler violated the law by convincing investors to entrust their money to him, and then misappropriating those funds. The indictment alleged that Adler: * solicited and received funds from investors between Oct.1994 and Sept. 1998, while he was the president and majority owner of Vector Index Advisors, Inc. (Vector), formerly based in Tampa; * kept some of the money that he raised and invested the rest, but later withdrew it without the knowledge or consent of the investors; * prepared and furnished to investors fictitious monthly statements assuring investors that their investments were intact and appreciating in value; and * used investor funds for his own or Vector's benefit. Following a nine-day jury trial, Adler was convicted in May 2002 of thirteen counts of mail fraud and seven counts of wire fraud. On Sept. 24, 2002, Adler, age 64, was sentenced to a term of five years imprisonment and ordered to pay more than $900,000 in restitution to his victims. The SEC took action against Adler for the same misconduct that led to his criminal conviction. In the Matter of Vector Index Advisors, Inc. and Steven H. Adler, Securities Act of 1933 Release No. 8034 (Nov. 15, 2001). The Commission also instituted an order imposing a cease-and- desist order against Adler in 1996, In the Matter of Vector Index Advisors, Inc. and Steven H. Adler, Investment Advisors Act of 1940 Release No. 1569 (July 8, 1996). See also Litigation Release No. 17238 (Nov. 16, 2001). [U.S. v. Steven H. Adler, Criminal Action No. 8:01-CR- 413-T-24-MSS (M.D. Fla., Tampa Division)] (LR-17833) INVESTMENT COMPANY ACT RELEASES BLDRS INDEX FUNDS TRUST, SERIES 1, ET AL. An order has been issued on an application filed by BLDRS Index Funds Trust, Series 1, et al. The order permits (a) a unit investment trust with multiple series (each series, a "Trust") whose portfolios will consist of the component stocks of various specified equity securities indices, to issue shares (Trust Shares) that are only redeemable in large aggregations; (b) secondary market transactions in Trust Shares to occur at negotiated prices; (c) dealers to sell Trust Shares to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933; (d) the Trust, rather than the Sponsor, to bear certain expenses associated with the creation and maintenance of the Trust; (e) certain "affiliated persons" of the Trust to deposit securities into, and receive securities from, the Trust in connection with the purchase and redemption of Trust Shares; and (f) the Trust to reimburse the Sponsor for payment of an annual licensing fee to The Bank of New York. The order also exempts the Sponsor from purchasing, or placing with others, $100,000 worth of Trust Shares. (Rel. IC-25797 - Nov. 8) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-Amex-2001-07) relating to the review of a Floor Official's market decision. Publication of the proposal is expected in the Federal Register during the week of (Rel. 34-46779) The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., has filed a proposed rule change (SR-NASD-2002-153) to establish as permanent two pilot programs currently contained in NASD Rule 6541 relating to Manning rule protection for customer limit orders executed on the OTCBB. (Rel. 34- 46783) The Government Securities Clearing Corporation and the MBS Clearing Corporation filed proposed rule changes (SR-GSCC-2002-09 and SR-MBSCC- 2002-01) under Section 19(b) of the Exchange Act. The proposed rule changes would allow the merger of MBSCC into GSCC to form the Fixed Income Clearing Corporation. Publication of the proposal is expected in the Federal Register during the week of Nov. 11. (Rel. 34-46790) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NYSE-2002-54) filed by the New York Stock Exchange amending NYSE Rule 60 to Eliminate Depth Indications and Depth Conditions 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 Nov. 11. (Rel. 34- 46781) A proposed rule change (SR-NYSE-2002-52) filed by the New York Stock Exchange relating to transactional fees for certain Exchange-Traded Funds 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 Nov. 11. (Rel. 34-46786) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change and Amendment No. 1 and Amendment No. 2 thereto submitted by the Philadelphia Stock Exchange (SR-Phlx-2002-71) relating to listing and maintenance standards. Publication of the proposal is expected in the Federal Register during the week of Nov. 11. (Rel. 34-46789) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change submitted (SR-CME -2002- 01) and granted accelerated approval of Amendment No. 2 thereto by the Chicago Mercantile Exchange relating to margin rules for security futures. Publication of the proposal is expected in the Federal Register during the week of Nov. 11. (Rel. 34-46792) 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 FINDEX COM INC, 11640 ARBOR ST, STE 201, OMAHA, NE, 68144, 4023331900 - 296,308 ($8,889.24) Equity, (File 333-101092 - Nov. 8) (BR. 03) S-3 GOLDMAN SACHS GROUP INC/, 85 BROAD ST, NEW YORK, NY, 10004, 2129021000 - 0 ($72,620,000.00) Equity, (File 333-101093 - Nov. 8) (BR. 07) S-8 USEC INC, 2 DEMOCRACY CENTER, 6903 ROCKLEDGE DRIVE, BETHESDA, MD, 20817, 3015643200 - 200,000 ($1,342,000.00) Equity, (File 333-101094 - Nov. 8) (BR. 04) S-B PROVINCE OF MANITOBA, 1251 AVE OF THE AMERICAS, C/O CANADIAN CONSULATE GENERAL, NEW YORK, NY, 10020, 660,000,000 ($660,000,000.00) Other, (File 333-101096 - Nov. 8) (BR. DN) S-8 PACER TECHNOLOGY, 9420 SANTA ANITA AVE, RANCHO CUCAMONGA, CA, 91730-6117, 9099870550 - 0 ($1,089,000.00) Equity, (File 333-101097 - Nov. 8) (BR. 02) S-4 PLASTIPAK HOLDINGS INC, 9135 GENERAL COURT,, P.O. BOX 2500C, PLYMOUTH, MI, 48170-0907, 7344553600 - 0 ($50,000,000.00) Non-Convertible Debt, (File 333-101098 - Nov. 8) (BR. 06) S-8 JACKSON RIVERS CO, 4045 BAHIA ISLE CIRCLE, WELLINGTON, FL, 33467, 5619677300 - 2,926,500 ($29,265.00) Other, (File 333-101100 - Nov. 8) (BR. 07) S-3 CWABS INC, 4500 PARK GRANADA, CALABASAS, CA, 91302, 8182253240 - 0 ($18,473,957,237.00) Asset-Backed Securities, (File 333-101101 - Nov. 8) (BR. 05) S-8 CPAC INC, 2364 LEICESTER RD, LEICESTER, NY, 14481, 5853823223 - 9,000 ($55,440.00) Equity, (File 333-101102 - Nov. 8) (BR. 36) S-8 BUSINESS OBJECTS SA, BUSINESS OBJECTS AMERICAS, 1870 ZANKER RD, SAN JOSE, CA, 95134, 4089536024 - 0 ($1,369,800.00) Equity, (File 333-101104 - Nov. 8) (BR. 03) S-8 BUSINESS OBJECTS SA, BUSINESS OBJECTS AMERICAS, 1870 ZANKER RD, SAN JOSE, CA, 95134, 4089536024 - 0 ($6,960,000.00) Equity, (File 333-101105 - Nov. 8) (BR. 03) S-8 MIV THERAPEUTICS INC, 1-8765 ASH STREET, VANCOUVER BC CANADA, A1, V6P 6T3, 3,000,000 ($960,000.00) Equity, (File 333-101106 - Nov. 8) (BR. 09) S-8 BEVSYSTEMS INTERNATIONAL INC, 501 BRICKELL KEY DRIVE, SUITE 407, MIAMI, FL, 33151, 786-425-2201 - 17,500,000 ($700,000.00) Equity, (File 333-101107 - Nov. 8) (BR. 02) S-3 GENERAL MOTORS ACCEPTANCE CORP, MAIL CODE: 482-B08-B82, 200 RENAISSANCE CENTER, DETROIT, MI, 48265, 3136654353 - 0 ($13,725,228,000.00) Non-Convertible Debt, (File 333-101108 - Nov. 8) (BR. 07) S-8 IQ POWER TECHNOLOGY INC, SUITE 708-A, 11 WEST HASTINGS STREET, V6E 2J3, VANCOUVER, BC, 6046693132 - 2,251,000 ($1,181,775.00) Equity, (File 333-101109 - Nov. 8) (BR. 36) S-8 NORDSTROM INC, 1700 SEVENTH AVENUE, SUITE 1300, SEATTLE, WA, 98101-4407, 2063033134 - 450,000 ($9,225,000.00) Equity, (File 333-101110 - Nov. 8) (BR. 02) S-3 COBALT CORP, 401 WEST MICHIGAN STREET, MILWAUKEE, WI, 53203-2896, 4142266900 - 7,000,000 ($115,710,000.00) Equity, (File 333-101111 - Nov. 8) (BR. 01) S-3 GILLETTE CO, PRUDENTIAL TOWER BLDG, SUITE 4800, BOSTON, MA, 02199, 6174217000 - 0 ($1,300,000,000.00) Non-Convertible Debt, (File 333-101112 - Nov. 8) (BR. 06) S-8 CATALYTICA ENERGY SYSTEMS INC, 430 FERGUSON DRIVE, ., MOUNTAIN VIEW, CA, 94043, 650-960-3000 - 0 ($4,290,000.00) Equity, (File 333-101115 - Nov. 8) (BR. 36) S-3 STAPLES INC, 500 STAPLES DRIVE, P O BOX 9328, FRAMINGHAM, MA, 01702, 5082535000 - 0 ($500,000,000.00) Other, (File 333-101116 - Nov. 8) (BR. 02) S-4 GOLFSMITH INTERNATIONAL HOLDINGS INC, 11000 N IH-35, AUSTIN, TX, 78753-3195, 5128378810 - 0 ($75,000,000.00) Non-Convertible Debt, (File 333-101117 - Nov. 8) (BR. ) S-8 CIRRUS LOGIC INC, 4210 SOUTH INDUSTRIAL DR, AUSTIN, TX, 78744, 512-445-7222 - 0 ($22,560,000.00) Equity, (File 333-101119 - Nov. 8) (BR. 36) S-3 ISTA PHARMACEUTICALS INC, 15279 ALTON PARKWAY 100, IRVINE, CA, 92618, 9497886000 - 0 ($85,000.00) Equity, (File 333-101120 - Nov. 8) (BR. 01) S-8 PACTIV CORP, 1900 WEST FIELD CT, LAKE FOREST, IL, 60045, 8474822000 - 0 ($270,405,000.00) Equity, (File 333-101121 - Nov. 8) (BR. 06) 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 ------------------------------------------------------------------------------------ AAMES FINANCIAL CORP/DE DE X 11/07/02 ACE SECURITIES CORP HOME EQUITY LOAN DE X 10/30/02 AIRCRAFT FINANCE TRUST DE X 11/08/02 ALLIANCE BANCSHARES CALIFORNIA CA X 11/08/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X X 10/18/02 AMFAC HAWAII LLC IL X X 10/30/02 AON CORP DE X X 11/07/02 APPLEBEES INTERNATIONAL INC DE X 11/07/02 APPLIED MICROSYSTEMS CORP /WA/ WA X X 11/04/02 ARISTOTLE CORP DE X 11/07/02 ARLINGTON HOSPITALITY INC DE X X 11/07/02 ARMSTRONG WORLD INDUSTRIES INC PA X X 11/08/02 ASK JEEVES INC DE X 11/08/02 AUTONATION INC /FL DE X X 11/08/02 AVICI SYSTEMS INC DE X X 11/08/02 AXEDA SYSTEMS INC DE X 11/08/02 AXSYS TECHNOLOGIES INC DE X X 11/05/02 BAR HARBOR BANKSHARES ME X 11/08/02 BRIGHAM EXPLORATION CO DE X X X 11/06/02 BROADWAY FINANCIAL CORP \DE\ DE X 11/07/02 BWAY CORP DE X X 09/29/02 BWAY CORP DE X X 11/08/02 C COR NET CORP PA X X 11/08/02 CABLEVISION SYSTEMS CORP /NY DE X X 11/04/02 CALIFORNIA COASTAL COMMUNITIES INC DE X 11/07/02 CANADIAN DERIVATIVES CLEARING CORP A6 X 10/31/02 CANADIAN DERIVATIVES CLEARING CORP A6 X 10/31/02 CARRAMERICA REALTY CORP MD X 11/08/02 CARRAMERICA REALTY CORP MD X X 11/07/02 CASCADE CORP OR X 11/08/02 CATALINA LIGHTING INC FL X X 11/08/02 CATERPILLAR INC DE X 11/08/02 CATERPILLAR INC DE X 11/08/02 CENTENNIAL BANCORP OR X X 11/08/02 CENTERPOINT ENERGY HOUSTON ELECTRIC L TX X X 11/08/02 CENTERPOINT ENERGY INC X X 11/08/02 CENTRAL BANCORP INC /MA/ MA X X 11/07/02 CERTIFIED SERVICES INC NV X X X 10/31/02 CH2M HILL COMPANIES LTD OR X 11/08/02 CHASE FUNDING INC NY X X 10/25/02 CHASE MORTGAGE FINANCE CORP DE X X 10/25/02 CHITTENDEN CORP /VT/ VT X X 11/07/02 CITICORP MORTGAGE SECURITIES INC DE X 11/08/02 CLICKNSETTLE COM INC DE X 11/08/02 COBALT CORP WI X X 11/08/02 COMPASS BANCSHARES INC DE X 11/08/02 COMPLE TEL EUROPE NV X X 11/08/02 CSX TRADE RECEIVABLES CORP DE X X 10/25/02 CURAGEN CORP DE X X 11/07/02 DAISYTEK INTERNATIONAL CORPORATION /D DE X X 11/07/02 DIGITAL LIGHTWAVE INC DE X 11/07/02 DSET CORP NJ X X 11/08/02 ELECTRONIC ARTS INC DE X 11/08/02 ELITE LOGISTICS INC ID X 11/06/02 ENTERGY ARKANSAS INC AR X X 11/06/02 EPHONE TELECOM INC FL X 11/08/02 ESG RE LTD X X 11/08/02 EUROPA CRUISES CORP DE X 11/05/02 EXPRESS SCRIPTS INC DE X 11/08/02 FAMILY DOLLAR STORES INC DE X 11/08/02 FIRST BANKS AMERICA INC DE X 11/08/02 AMEND FIRST HORIZON ASSET SECURITIES INC DE X X 10/30/02 FIRST KEYSTONE CORP PA X 10/31/02 FIRST NATIONAL LINCOLN CORP /ME/ ME X 11/08/02 FIRST ROBINSON FINANCIAL CORP DE X 11/01/02 GENESIS REALTY GROUP INC X 09/27/02 GRANITE STATE BANKSHARES INC NH X X 11/07/02 GRAY TELEVISION INC GA X X 10/25/02 GREAT PLAINS ENERGY INC MO X X 11/08/02 GREATER BAY BANCORP CA X X X 11/08/02 GS MORTGAGE SECURITIES CORP MORT PAS DE X X 10/21/02 HALLMARK FINANCIAL SERVICES INC NV X X X 11/01/02 HANOVER DIRECT INC DE X 11/07/02 HANOVER DIRECT INC DE X 11/08/02 HCC INSURANCE HOLDINGS INC/DE/ DE X X 11/07/02 HOOPER HOLMES INC NY X X 10/31/02 HUFFY CORP OH X 11/08/02 I CARAUCTION COM INC X 09/27/02 IASIS HEALTHCARE CORP DE X X 11/07/02 IFX CORP DE X X 10/31/02 IKON OFFICE SOLUTIONS INC OH X X 10/24/02 INSMED INC VA X 11/08/02 INTERNATIONAL BANCSHARES CORP TX X X 11/08/02 INVESTMENT TECHNOLOGY GROUP INC DE X X 11/08/02 JACKSONVILLE BANCORP INC TX X X 11/07/02 KITTY HAWK INC DE X X 11/04/02 KNOLOGY INC DE X X 11/07/02 LABONE INC/ MO X 11/06/02 LAIDLAW GLOBAL CORP DE X X 09/20/02 LAS VEGAS SANDS INC NV X 09/30/02 LEASE INVESTMENT FLIGHT TRUST DE X 11/08/02 LEVEL 3 COMMUNICATIONS INC DE X 11/07/02 LIL MARC INC NV X X X X 11/07/02 LOGIC DEVICES INC CA X 11/07/02 LONE STAR TECHNOLOGIES INC DE X 11/11/02 MAF BANCORP INC DE X 11/08/02 MAIL WELL INC CO X 11/06/02 MARTIN INDUSTRIES INC /DE/ DE X X 11/08/02 MATEC CORP/DE/ MD X X 11/06/02 MEDICAL ACTION INDUSTRIES INC DE X X 10/25/02 MELLON RESIDENTIAL FUNDING CORP DE X X 11/08/02 MGP INGREDIENTS INC KS X X 11/08/02 MICHAEL FOODS INC /MN MN X X 11/08/02 MICREL INC CA X 11/08/02 MOLEX INC DE X 11/08/02 MONEY STORE ASSET BACKED CERTIFICATES X X 10/15/02 MONEY STORE HOME EQUITY LOAN TRUST 19 NJ X X 10/15/02 MONEY STORE HOME IMPROVEMENT LOAN BAC X X 10/15/02 MONEY STORE RESIDENTIAL TRUST 1998-I NJ X X 10/15/02 MONTPELIER RE HOLDINGS LTD D0 X 11/08/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 11/07/02 NAPRO BIOTHERAPEUTICS INC DE X 11/08/02 NASH FINCH CO DE X 11/08/02 NATIONAL GLOBAL MBS MANAGER INC DE X 11/06/02 NATIONAL STEEL CORP DE X X 10/25/02 AMEND NAVISTAR INTERNATIONAL CORP DE X 11/08/02 NORTHERN BORDER PARTNERS LP DE X X 11/08/02 NTELOS INC VA X X 11/06/02 NUEVO ENERGY CO DE X X 11/08/02 ONCURE TECHNOLGIES CORP FL X X 10/31/02 ONEOK INC /NEW/ OK X X 11/06/02 PARKWAY PROPERTIES INC MD X X 11/08/02 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 11/01/02 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 11/01/02 PAVING STONE CORP NY X X 10/04/02 PEOPLES COMMUNITY CAPITAL CORP SC X 11/08/02 PEP BOYS MANNY MOE & JACK PA X 11/08/02 PHOENIX COMPANIES INC/DE DE X X 12/31/02 PLAINS ALL AMERICAN PIPELINE LP DE X 06/30/02 PREFERREDPLUS TRUST SERIES MSD-1 DE X X 10/01/02 PRO FAC COOPERATIVE INC NY X 11/08/02 PROPHET 21 INC DE X 11/08/02 PROVIDIAN FINANCIAL CORP DE X 11/06/02 QUINTEK TECHNOLOGIES INC CA X 11/05/02 R H DONNELLEY CORP DE X 11/07/02 REGENCY AFFILIATES INC DE X X 11/07/02 RES CARE INC /KY/ KY X X 11/05/02 ROSLYN BANCORP INC DE X 11/08/02 SAFECO CORP WA X 11/08/02 SCHOOLWURKS INC X 09/27/02 SENECA FOODS CORP /NY/ NY X X 11/08/02 SEREFEX CORP DE X X 11/07/02 AMEND SKYNET HOLDINGS INC DE X 07/29/02 SKYWORKS SOLUTIONS INC DE X X 11/08/02 SKYWORKS SOLUTIONS INC DE X X 11/08/02 SMITH MICRO SOFTWARE INC DE X X 10/24/02 SOURCECORP INC DE X X 11/06/02 SSB VEHICLE SECURITIES INC DE X X 11/08/02 ST JUDE MEDICAL INC MN X 11/08/02 STEALTH MEDIALABS INC NV X X X X 10/30/02 STRATEGIC DIAGNOSTICS INC/DE/ DE X X 10/24/02 STRYKER CORP MI X X 09/30/02 TDI HOLDING CORP CO X X 10/22/02 TENET HEALTHCARE CORP NV X X 11/07/02 TMS MORTGAGE INC NJ X X 10/15/02 TOREADOR RESOURCES CORP DE X 11/08/02 TRIANGLE PHARMACEUTICALS INC DE X X 11/08/02 TRINITY MEDICAL GROUP INC FL X 11/07/02 TXU EUROPE CAPITAL I X 10/21/02 TYCO INTERNATIONAL LTD /BER/ D0 X 11/08/02 UNION ACCEPTANCE CORP IN X 11/07/02 UNITED PAN EUROPE COMMUNICATIONS NV X 11/08/02 UNIVERSAL CORP /VA/ VA X 11/08/02 US INDUSTRIES INC /DE DE X X 11/08/02 VESTA INSURANCE GROUP INC DE X X 11/08/02 VFINANCE INC DE X 11/08/02 VIB CORP CA X 11/08/02 VIE FINANCIAL GROUP INC DE X 10/31/02 VISTA GOLD CORP X 11/08/02 WALT DISNEY CO/ DE X X 11/07/02 WAMU MORTGAGE PASS THROUGH CERT 2002- DE X X 11/01/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/01/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/01/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/01/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/01/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/01/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/01/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/02/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/01/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/01/02 WAMU MORTGAGE PASS THRU CERTS SERIES DE X X 11/01/02 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 11/01/02 WASHINGTON MORTGAGE SEC CORP MORT PAS DE X X 11/01/02 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 11/01/02 WASHINGTON MUTUAL MOR SEC CORP MOR PS DE X X 11/01/02 WASHINGTON MUTUAL MORT SEC CORP MORT DE X X 11/01/02 WASHINGTON MUTUAL MORT SEC CORP MORT DE X X 11/01/02 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 11/01/02 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 11/01/02 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 11/01/02 WASHINGTON MUTUAL MORT SEC WAMU MOR P DE X X 11/01/02 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 11/01/02 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 11/01/02 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 11/01/02 WASHINGTON MUTUAL MSC MORTGAGE PASS-T DE X X 11/01/02 WEIGHT LOSS FOREVER INTERNATIONAL INC NV X X X X 10/31/02 WEIGHT LOSS FOREVER INTERNATIONAL INC NV X 09/30/01 AMEND WELLS FARGO ALTERNATIVE LOAN 2002-1 T DE X X 10/25/02 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 10/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 10/25/02 WENTWORTH I INC DE X X 10/25/02 AMEND WENTWORTH II INC X X 10/25/02 AMEND WENTWORTH III INC DE X X 10/25/02 AMEND WESTAR ENERGY INC /KS KS X X 11/07/02 WESTMORELAND COAL CO DE X X 11/08/02 WHX CORP DE X X 11/07/02 WILLIAMS COMPANIES INC DE X 11/06/02 WINDSOR WOODMONT BLACK HAWK RESORT CO CO X X X 11/07/02 WISEDRIVER COM INC DE X 09/27/02 YORK WATER CO PA X 11/07/02 ZARLINK SEMICONDUCTOR INC X 11/08/02