SEC NEWS DIGEST Issue 2006-165 August 25, 2006 ENFORCEMENT PROCEEDINGS BRANDON BUSH BARRED On August 24, Brandon T. Bush was barred from association with a broker-dealer. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court- ordered Final Judgment and Order of Permanent Injunction against Bush in March 2006. Bush is permanently enjoined from violating the antifraud provisions of the federal securities laws. The injunction was based on Bush's involvement in a fraudulent short-selling scheme while associated with a broker-dealer in Boca Raton, Fla. Almost daily, from October 2002 through March 2003, Bush entered and cancelled fictitious buy orders in the stock of Expedia, Inc., in order to conceal the size of his employer's short position in that stock, as well as its margin problems, from its clearing broker. (Rel. 34-54358; File No. 3-12297) IN THE MATTER OF JOHN LUCARELLI On August 25, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing against John M. Lucarelli of Greenwich, Conn. In the Order, the Division of Enforcement alleges that from September 2002 through December 2004, Respondent was a vice president of Bank of New York Company, Inc. (BONY). The Division also alleges that, from August 1998 through August 2002, and again from June 2004 through December 2004, Respondent was a registered representative associated with broker-dealers registered with the Commission. The Division further alleges that, for a portion of the time in which he engaged in the conduct underlying the indictment described in the Order, Respondent was associated with or was seeking to become associated with BNY Investment Center, Inc., a broker-dealer registered with the Commission. The Division also alleges that, on July 28, 2006, a jury returned a verdict of guilty against Respondent on one count of conspiracy to commit mail fraud and securities fraud in violation of Title 18, United States Code, Section 371, and one count of securities fraud in violation of Title 18 United States Code, Section 1348, before the United States District Court for the District of Connecticut, in United States v. Chance M. Vought, et al., Case No. 3:05-cr-00268-JBA. The counts of the criminal indictment as to which the jury found Lucarelli guilty alleged, among other things, that Lucarelli and others engaged in a scheme to illegally obtain shares of NewAlliance Bancshares stock in connection with the conversion of New Haven Savings Bank (NHSB) from a mutual savings bank to a capital stock savings bank. According to the indictment, Lucarelli and his co- conspirators caused eligible account holders to make false representations on stock order forms submitted to NHSB and thereby acquire shares to transfer to Lucarelli and his co-conspirators, who then sold the stock at a profit. The indictment further alleged that Lucarelli acted as a scout who contacted NHSB account holders, proposed to them the illegal arrangement to acquire NewAlliance Bancshares stock, arranged meetings between the account holders and his co-conspirators, and took other steps in furtherance of the conspiracy. The indictment further alleges that Lucarelli received a check for $88,000 as part of his share of the estimated profit for his role in the transaction. These allegations are substantially similar to the allegations set forth in the Commission's complaint against Lucarelli and others filed in SEC v. Robert Ross, et al., Case No. 3:05-CV-01036-JBA (D. Conn., filed June 28, 2005). (Rel. 34-54361; File No. 3-12398) SEC SETTLES FRAUD CHARGES AGAINST FORMER EXECUTIVE OF EMEX CORPORATION The Securities and Exchange Commission today announced that the Honorable Michael B. Mukasey of the United States District Court for the Southern District of New York has entered a final judgment against defendant Vincent P. Iannazzo. During 2000 and 2001, Iannazzo was a director and chairman of Emex Corporation's Executive Committee. Emex was a start-up energy technology and mineral exploration company. The judgment permanently enjoins Iannazzo from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and from aiding and abetting violations of Section 13(a) of the Exchange Act. In addition, Iannazzo was permanently barred from serving as an officer and director of any public company and ordered to pay a $120,000 civil penalty. The Commission's amended complaint alleges that Iannazzo and co- defendant Milton E. Stanson violated various antifraud provisions of the federal securities laws. According to the amended complaint, the defendants devised and orchestrated a scheme to artificially inflate Emex's stock price by causing Emex to issue a series of false and misleading press releases and postings on Emex's website, as well as a false and misleading year 2000 Annual Report. Iannazzo and Stanson's illegal efforts were meant to deceive the investing public and others about the technology, financial prospects and value of Emex. Iannazzo consented to the final judgment without admitting or denying the allegations in the Commission's amended complaint. On May 15, 2006, the United States District Court for the Southern District of New York entered a final judgment imposing a permanent injunction and an officer and director bar against Stanson, and required him to pay disgorgement of $5,000, plus pre-judgment interest thereon, and a $95,000 civil penalty. On Nov. 19, 2004, in a separate administrative proceeding, the Commission revoked the registration of Emex's securities pursuant to Section 12(j) of the Exchange Act. [SEC v. Vincent P. Iannazzo and Milton E. Stanson, Civil Action No. 04 CIV 02989, MBM, S.D.N.Y.] (Rel. LR-19812) INVESTMENT COMPANY ACT RELEASES NOTICES OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940 For the month of August, 2006, a notice has been issued giving interested persons until Sept. 19, 2006, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: Lebenthal Funds, Inc. [File No. 811-6170] Oppenheimer International Large Cap Core Trust [File No. 811-21370] MurphyMorris Investment Trust [File No. 811-21444] Columbia Short Term Bond Fund, Inc. [File No. 811-4842] Columbia Fixed Income Securities Fund, Inc. [File No. 811-3581] Columbia International Stock Fund, Inc. [File No. 811-7024] Columbia Funds Trust I [File No. 811-2214] Meeder Advisor Funds [File No. 811-6720](Rel. IC-27467 - August 25) ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940 Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company: The Thurlow Funds, Inc. [File No. 811-8219] [Rel No. IC-27448] August 23, 2006 Retirement Income Trust [File No. 811-21320] [Rel No. IC-27449] August 23, 2006 WM Prime Income Fund [File No. 811-9122] [Rel No. IC-27450] August 23, 2006 Smith Barney Principal Return Fund [File No. 811-5678] [Rel No. IC-27451] August 23, 2006 Fidelity Qualified Dividend Fund [File No. 811-3071] [Rel No. IC- 27452] August 23, 2006 The Nevis Fund, Inc. [File No. 811-8689] [Rel No. IC-27453] August 23, 2006 Highland Institutional Floating Rate Income Fund [File No. 811- 8955] [Rel No. IC-27454] August 23, 2006 CIM High Yield Securities [File No. 811-5328] [Rel No. IC-27455] August 23, 2006 Morgan Stanley KLD Social Index Fund [File No. 811-10353] [Rel No. IC-27456] August 23, 2006 Morgan Stanley Biotechnology Fund [File No. 811-21040] [Rel No. IC-27457] August 23, 2006 ACM Government Securities Fund, Inc. [File No. 811-5402] [Rel No. IC-27458] August 23, 2006 ACM Government Spectrum Fund, Inc. [File No. 811-5500] [Rel No. IC-27459] August 23, 2006 Scudder Yieldwise Funds [File No. 811-8047] [Rel No. IC-27460] August 23, 2006 Scudder Focus Value Plus Growth Fund [File No. 811-7331] [Rel No. IC-27461] August 23, 2006 Scudder Growth Trust [File No. 811-1365] [Rel No. IC-27462] August 23, 2006 Scudder Dynamic Growth Fund [File No. 811-1702] [Rel No. IC- 27463] August 23, 2006 Scudder Aggressive Growth Fund [File No. 811-7855] [Rel No. IC- 27464] August 23, 2006 Scudder Investors Trust [File No. 811-9057] [Rel No. IC-27465] August 23, 2006 Scudder New Europe Fund, Inc. [File No. 811-5969] [Rel No. IC- 27466] August 23, 2006 SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the Municipal Securities Rulemaking Board relating to revisions to the Series 51 Examination Program (SR- MSRB-2006-06) 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 August 28. (Re. 34-54357) PROPOSED RULE CHANGE NASD filed a proposed rule change (SR-NASD-2006-088) under Section 19(b)(2) of the Securities Exchange Act of 1934 concerning motions to decide claims before a hearing on the merits in arbitration. Publication of the proposal is expected in the Federal Register during the week of August 28. (Rel. 34-54360) 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 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . SB-2 GEMINI EXPLORATIONS, INC., 11630 99TH AVENUE, SURREY, A1, V3V 2M1, 604-930-9301 - 3,000,000 ($30,000.00) Equity, (File 333-136859 - Aug. 24) (BR. 09) S-3ASR AMYLIN PHARMACEUTICALS INC, 9360 TOWNE CENTRE DR, SUITE 110, SAN DIEGO, CA, 92121, 6195522200 - 0 ($8,113,050.70) Equity, (File 333-136860 - Aug. 24) (BR. 01C) S-4 Aldabra Acquisition CORP, ROCKEFELLER CENTER, 620 FIFTH AVENUE, 3RD FLOOR, NEW YORK, NY, 10020, 212-332-3555 - 0 ($488,312,000.00) Equity, (File 333-136861 - Aug. 24) (BR. 09A) F-6 New Oriental Education & Technology Group Inc., NO. 6 HAI DIAN ZHONG STREET, 9TH FLOOR, BEIJING, F4, 100080, (86-10) 6260-5566 - 40,000,000 ($2,000,000.00) ADRs/ADSs, (File 333-136862 - Aug. 24) (BR. 11) S-8 PINNACLE DATA SYSTEMS INC, 6600 PORT RD, 614-748-1150, GROVEPORT, OH, 43125, 6147481150 - 2,299,268 ($6,322,987.00) Equity, (File 333-136863 - Aug. 24) (BR. 03C) S-8 COAST DISTRIBUTION SYSTEM INC, 4084368611 - 0 ($3,598,000.00) Equity, (File 333-136864 - Aug. 24) (BR. 05A) SB-1 Spring Break '83 Production, LLC, 650 N. BRONSON AVENUE, SUITE B128, LOS ANGELES, CA, 90004, 323-871-4466 - 300 ($9,000,000.00) Other, (File 333-136865 - Aug. 24) (BR. ) S-3 BLUEFLY INC, 42 WEST 39TH ST, NEW YORK, NY, 10018, 2129448000 - 111,372,291 ($108,031,122.03) Equity, (File 333-136866 - Aug. 24) (BR. 02B) S-8 AMERICAN WOODMARK CORP, 3102 SHAWNEE DRIVE, WINCHESTER, VA, 22601, (540) 665-9100 - 218,000 ($7,501,380.00) Equity, (File 333-136867 - Aug. 24) (BR. 06A) S-8 CROWN CRAFTS INC, 916 SOUTH BURNSIDE AVENUE, GONZALES, LA, 70737, 225-647-9100 - 0 ($3,828,000.00) Equity, (File 333-136868 - Aug. 24) (BR. 02B) S-3 Winthrop Realty Trust, 7 BULFINCH PLACE, SUITE 500 PO BOX 9507, BOSTON, MA, 02114, 6175704614 - 0 ($15,425,000.00) Equity, (File 333-136869 - Aug. 24) (BR. 08B) S-8 SUPERIOR OIL & GAS CO, 10,000,000 ($3,850,000.00) Debt Convertible into Equity, (File 333-136870 - Aug. 24) (BR. 09B) SB-2 SYMBOLLON CORP, 37 LORING DR, FRAMINGHAM, MA, 01702, 5084430165 - 2,757,160 ($4,080,597.00) Equity, (File 333-136871 - Aug. 24) (BR. 01C) S-3 BABYUNIVERSE, INC., 150 SOUTH U.S. HIGHWAY ONE, SUITE 500, JUPITER, FL, 33477, 561-277-6400 - 0 ($1,553,384.00) Equity, (File 333-136872 - Aug. 24) (BR. 02) S-8 Bronco Drilling Company, Inc., 14313 NORTH MAY AVENUE, SUITE 100, OKLAHOMA CITY, OK, 73134, 405.848.8807 - 2,500,000 ($48,575,000.00) Equity, (File 333-136874 - Aug. 24) (BR. 04C) S-8 New England Bancshares, Inc., 855 ENFIELD STREET, ENFIELD, CT, 06082, 860-253-5200 - 274,878 ($3,364,506.00) Equity, (File 333-136875 - Aug. 24) (BR. 07) S-8 IGIA, Inc., 11 WEST 42ND STREET, 7TH FLOOR, NEW YORK, NY, 10036, 2125750500 - 1,775,000 ($9,585.00) Equity, (File 333-136877 - Aug. 24) (BR. 05B) SB-2 Wentworth Energy, Inc., 115 WEST 7TH STREET, SUITE 1415, FORT WORTH, TX, 76102, 8773298388 - 0 ($185,093,575.00) Equity, (File 333-136878 - Aug. 24) (BR. 09A) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------------------- 3COM CORP DE 5.02 08/18/06 ACTION PRODUCTS INTERNATIONAL INC FL 1.01,9.01 08/24/06 Adams Respiratory Therapeutics, Inc. DE 2.02,9.01 08/24/06 ADELPHIA COMMUNICATIONS CORP DE 7.01 08/24/06 AES CORP DE 8.01 08/24/06 AGERE SYSTEMS INC DE 5.02 08/21/06 AIR PRODUCTS & CHEMICALS INC /DE/ DE 8.01,9.01 08/23/06 AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.02,9.01 08/24/06 Alternative Loan Trust 2006-OC6 8.01,9.01 08/24/06 AMERICAN BANCORP OF NEW JERSEY INC NJ 8.01,9.01 08/23/06 AMERICAN BILTRITE INC DE 8.01 08/18/06 AMERICAN ELECTRIC POWER CO INC NY 8.01 08/24/06 AMERICAN TECHNOLOGIES GROUP INC NV 1.01,2.01,8.01,9.01 04/25/06 AMEND AMERICAN WOODMARK CORP VA 8.01,9.01 08/24/06 AMERISTAR CASINOS INC NV 1.01,9.01 08/21/06 AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 08/24/06 ANADARKO PETROLEUM CORP DE 2.01,2.03,9.01 08/23/06 ANDERSONS INC OH 1.01,9.01 08/24/06 AP PHARMA INC /DE/ DE 1.01,9.01 08/18/06 APPLE HOSPITALITY FIVE INC VA 2.02,9.01 08/23/06 APPLE HOSPITALITY TWO INC VA 2.02,9.01 08/23/06 Apple REIT Seven, Inc. VA 2.02,9.01 08/23/06 APPLE REIT SIX INC 2.02,9.01 08/23/06 APPLIED SIGNAL TECHNOLOGY INC CA 2.02,9.01 08/24/06 ARADIGM CORP CA 8.01,9.01 08/24/06 ARBINET THEXCHANGE INC DE 1.01,9.01 08/18/06 ARCH COAL INC DE 7.01,9.01 08/24/06 ASYST TECHNOLOGIES INC CA 8.01,9.01 08/23/06 AUTOBYTEL INC DE 4.01 08/23/06 AVATAR SYSTEMS INC TX 2.02,9.01 08/17/06 BANDAG INC IA 1.01,3.03,9.01 08/21/06 BEIJING MED PHARM CORP 5.02,9.01 08/22/06 BENIHANA INC DE 1.01,2.02,5.02,9.01 08/18/06 BERRY PETROLEUM CO DE 1.01,1.02,9.01 08/24/06 BEST BUY CO INC MN 5.02,9.01 08/18/06 BIODELIVERY SCIENCES INTERNATIONAL IN DE 7.01,8.01 08/24/06 BLUEGATE CORP NV 8.01 08/21/06 BMC SOFTWARE INC DE 8.01 08/21/06 BON TON STORES INC PA 2.02,9.01 08/24/06 BON TON STORES INC PA 8.01,9.01 08/24/06 BSD MEDICAL CORP DE 7.01,9.01 08/24/06 CAL MAINE FOODS INC DE 4.01,9.01 08/18/06 CANWEST PETROLEUM CORP 3.01,8.01,9.01 08/24/06 CATERPILLAR INC DE 8.01 08/24/06 CBOT HOLDINGS INC DE 7.01,9.01 08/23/06 CDKNET COM INC DE 1.01,9.01 08/18/06 CENDANT CORP DE 2.01,5.02,9.01 08/23/06 CERADYNE INC DE 7.01,9.01 08/23/06 CHARTERMAC DE 7.01,8.01,9.01 08/15/06 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 08/24/06 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 08/24/06 CHEMOKINE THERAPEUTICS CORP DE 1.02,5.02 08/22/06 China Housing & Land Development, Inc NV 1.01,3.02,9.01 08/21/06 CITIZENS HOLDING CO /MS/ MS 7.01,9.01 08/24/06 CLEAN HARBORS INC MA 2.01,9.01 08/18/06 CMS ENERGY CORP MI 8.01 08/22/06 CNL INCOME PROPERTIES INC MD 1.01,8.01 08/18/06 COMM BANCORP INC PA 4.01,9.01 08/17/06 AMEND COMMERCE DEVELOPMENT CORP LTD 5.02 08/18/06 COMMERCE GROUP INC /MA MA 8.01,9.01 08/23/06 COMMUNITY BANCORP INC DE 7.01,9.01 08/24/06 COMMUNITY CAPITAL BANCSHARES INC 5.02 08/22/06 COMPUWARE CORP MI 8.01,9.01 08/22/06 CONGOLEUM CORP DE 8.01 08/21/06 CONGOLEUM CORP DE 8.01,9.01 08/18/06 CONVERA CORP DE 2.02,9.01 08/23/06 COOPERATIVE BANKSHARES INC NC 8.01,9.01 08/23/06 CREDENCE SYSTEMS CORP DE 2.02,9.01 08/24/06 CROWN MEDIA HOLDINGS INC DE 5.02 08/21/06 CSMC Mortgage-Backed Trust 2006-7 DE 8.01,9.01 08/24/06 CYBER MERCHANTS EXCHANGE INC CA 1.01,1.02,2.01,3.02, 08/16/06 5.01,5.03,9.01 CYBER MERCHANTS EXCHANGE INC CA 4.01,5.02 08/16/06 DEB SHOPS INC PA 2.02,9.01 08/24/06 Deja Foods Inc 8.01,9.01 08/23/06 DEPOMED INC CA 5.02 08/22/06 DIGENE CORP DE 1.01,5.02,9.01 08/22/06 DORAL FINANCIAL CORP PR 7.01,8.01,9.01 08/22/06 DRESSER INC DE 8.01,9.01 08/22/06 DREXEL BURNHAM LAMBERT REAL ESTATE AS NY 1.02 08/18/06 DRUGSTORE COM INC DE 1.01,5.02,9.01 08/21/06 Duke Energy CORP DE 1.01 08/19/06 DYNADAPT SYSTEM INC CO 2.01,3.02,4.02,5.03 08/23/06 DYNAMIC HEALTH PRODUCTS INC FL 7.01,9.01 08/24/06 Echo Healthcare Acquisition Corp. DE 4.02 08/21/06 AMEND Education Realty Trust, Inc. MD 7.01,9.01 07/24/06 EMC CORP MA 8.01,9.01 08/24/06 EMCORE CORP NJ 2.01,8.01,9.01 08/24/06 EMERSON RADIO CORP DE 2.02,9.01 08/21/06 EOP OPERATING LTD PARTNERSHIP DE 8.01,9.01 08/22/06 EQUITY OFFICE PROPERTIES TRUST MD 2.06 08/22/06 ESSENTIAL GROUP INC DE 1.01,9.01 08/18/06 EXIDE TECHNOLOGIES DE 8.01 08/18/06 AMEND Federal Home Loan Bank of Atlanta X1 2.03 08/21/06 Federal Home Loan Bank of Boston X1 2.03 08/21/06 Federal Home Loan Bank of Chicago X1 2.03 08/21/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/09/06 AMEND Federal Home Loan Bank of Dallas 2.03 08/21/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/21/06 Federal Home Loan Bank of New York X1 2.03,9.01 08/22/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/21/06 Federal Home Loan Bank of San Francis X1 2.03 08/22/06 Federal Home Loan Bank of Seattle 2.03 08/23/06 Federal Home Loan Bank of Topeka 2.03 08/21/06 FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 08/24/06 FEDERAL NATIONAL MORTGAGE ASSOCIATION 7.01,9.01 08/24/06 FEI CO OR 1.01,1.02,5.02 08/23/06 FIRST DATA CORP DE 4.02 08/22/06 AMEND FIRST IPSWICH BANCORP /MA MA 1.02,9.01 08/24/06 FIRST LITCHFIELD FINANCIAL CORP DE 5.02,9.01 08/24/06 FIRST LITCHFIELD FINANCIAL CORP DE 8.01,9.01 08/24/06 FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 08/24/06 FIRSTENERGY CORP OH 1.01,1.02,2.03,9.01 08/24/06 FLEXTRONICS INTERNATIONAL LTD. U0 1.01,9.01 08/18/06 FOSTER WHEELER LTD D0 5.02,9.01 08/24/06 FREDS INC TN 2.02,9.01 08/24/06 FREEDOM FINANCIAL GROUP INC DE 1.01,2.03,3.02,9.01 08/18/06 GALLAGHER ARTHUR J & CO DE 8.01 08/21/06 GEN PROBE INC DE 8.01 08/23/06 GENESCO INC TN 1.01,2.02,7.01,9.01 08/24/06 GERBER SCIENTIFIC INC CT 2.02,9.01 08/24/06 GLOBETEL COMMUNICATIONS CORP DE 3.01 08/18/06 GLOBIX CORP DE 1.01,8.01,9.01 08/21/06 GMACM Home Equity Loan Trust 2006-HE3 DE 8.01,9.01 08/24/06 GOTTSCHALKS INC DE 2.02,9.01 08/24/06 GREENS WORLDWIDE INC AZ 1.01,9.01 08/24/06 GREENS WORLDWIDE INC AZ 1.01,9.01 08/24/06 GSR Mortgage Loan Trust 2006-OA1 DE 8.01 08/24/06 H&R BLOCK INC MO 2.02,9.01 08/24/06 HAMPSHIRE GROUP LTD DE 1.01,9.01 08/21/06 HAROLDS STORES INC OK 2.02,9.01 07/29/06 HEADLINERS ENTERTAINMENT GROUP, INC. DE 3.02 08/21/06 HERCULES OFFSHORE, INC. DE 1.01,7.01,9.01 08/23/06 HIGHBURY FINANCIAL INC DE 1.01,2.03,9.01 08/21/06 Hiland Partners, LP 7.01,9.01 08/23/06 HINES HORTICULTURE INC DE 2.05 08/18/06 Homeland Security Capital CORP DE 1.01,3.02,9.01 08/21/06 HORMEL FOODS CORP /DE/ DE 2.02,9.01 08/24/06 HOUSEHOLD AFFINITY CREDIT CARD MASTER DE 9.01 08/15/06 HUNGARIAN TELEPHONE & CABLE CORP DE 5.02,9.01 08/18/06 HYDROGEN POWER INTERNATIONAL INC DE 1.01,3.02,9.01 08/20/06 HYPERION SOLUTIONS CORP DE 1.01 08/22/06 IA GLOBAL INC DE 8.01 08/18/06 ICONIX BRAND GROUP, INC. DE 8.01,9.01 08/21/06 iCURIE, INC. NV 1.01,1.02 08/18/06 IMCLONE SYSTEMS INC DE 1.01,9.01 08/23/06 INFINEX VENTURES INC NV 9.01 08/24/06 INLAND FIBER GROUP LLC DE 1.01,1.03,9.01 08/18/06 Innovive Pharmaceuticals, Inc. DE 1.01,7.01,9.01 08/18/06 INTEGRATED PERFORMANCE SYSTEMS INC NY 1.01,9.01 08/18/06 INTERCELL INTERNATIONAL CORP NV 3.02,3.03,8.01,9.01 08/21/06 INTERNATIONAL ALUMINUM CORP CA 2.02,9.01 08/23/06 INX Inc DE 2.02,4.02,9.01 08/18/06 AMEND ISLE OF CAPRI CASINOS INC DE 2.02,9.01 08/24/06 J CREW GROUP INC DE 2.02,9.01 08/24/06 JACKSON HEWITT TAX SERVICE INC DE 2.02,9.01 08/24/06 Juniper Partners Acquisition Corp. DE 9.01 08/15/06 AMEND KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 08/23/06 KODIAK ENERGY, INC. DE 1.01,3.02,9.01 08/24/06 Language Line Holdings, Inc. 5.02 08/24/06 Language Line, Inc. 5.02,9.01 08/24/06 LAS VEGAS SANDS CORP NV 1.01,2.03,9.01 08/18/06 LAURIER INTERNATIONAL INC 4.01,9.01 07/26/06 AMEND LIBBEY INC DE 2.02,9.01 08/24/06 Liberty Global, Inc. 7.01 08/23/06 LITTLEFIELD CORP DE 4.02 03/31/06 AMEND LSI INDUSTRIES INC OH 1.01,2.02 08/22/06 LUFKIN INDUSTRIES INC TX 1.01,9.01 08/18/06 Luminent Mortgage Trust 2006-3 DE 9.01 04/28/06 LYONDELL CHEMICAL CO DE 7.01,9.01 08/17/06 AMEND M&F BANCORP INC /NC/ NC 2.02 08/21/06 MARGO CARIBE INC PR 3.01,9.01 08/17/06 MASTEC INC FL 8.01 08/18/06 MATERIAL TECHNOLOGIES INC /CA/ DE 1.01,2.01,3.02,9.01 08/18/06 MCDONALDS CORP DE 1.01,5.02,9.01 08/22/06 MDI, INC. DE 5.02,9.01 08/23/06 MEDTRONIC INC MN 5.02 08/24/06 Mercantile Bancorp, Inc. DE 8.01,9.01 08/22/06 Mercantile Bancorp, Inc. DE 1.01,9.01 08/23/06 METROPOLITAN HEALTH NETWORKS INC FL 4.01 08/18/06 MICRO BIO-MEDICAL WASTE SYSTEMS, INC. NV 4.01,9.01 08/11/06 AMEND MICROCHIP TECHNOLOGY INC DE 1.01,9.01 08/18/06 MID AMERICA APARTMENT COMMUNITIES INC TN 1.01,9.01 08/24/06 MIDWESTONE FINANCIAL GROUP INC IA 7.01,9.01 08/23/06 MITY ENTERPRISES INC UT 1.01,2.03,9.01 08/21/06 MOBILEPRO CORP DE 8.01 08/18/06 MORGAN STANLEY DE 9.01 08/24/06 MOTHERS WORK INC DE 8.01,9.01 08/24/06 MOTORSPORTS EMPORIUM, INC. NV 2.03,5.01,9.01 08/21/06 NATURAL RESOURCE PARTNERS LP DE 1.01,9.01 08/23/06 NATURES SUNSHINE PRODUCTS INC UT 5.02 08/21/06 NEWTEK BUSINESS SERVICES INC NY 8.01 08/23/06 NN INC DE 1.01,9.01 08/21/06 NORDSON CORP OH 5.02,9.01 08/22/06 NORTHERN TRUST CORP DE 1.01,9.01 08/23/06 NORTHWEST AIRLINES CORP DE 1.01,1.02,2.03 08/21/06 NVR INC VA 1.01,2.03,9.01 08/24/06 ONLINE RESOURCES CORP DE 8.01,9.01 08/24/06 Onstream Media CORP FL 8.01,9.01 08/22/06 OPSWARE INC DE 2.02,9.01 08/24/06 OPTIGENEX INC. 5.02,9.01 08/23/06 Origen Residential Securities, Inc. DE 8.01,9.01 08/24/06 ORTHODONTIX INC FL 1.01,9.01 08/24/06 PACIFIC CMA INC DE 8.01 08/22/06 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 08/23/06 Paradigm Holdings, Inc WY 1.01,9.01 08/22/06 PARKWAY PROPERTIES INC MD 1.02,9.01 08/22/06 PARTNERS TRUST FINANCIAL GROUP INC 7.01 08/24/06 PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 08/24/06 PATTERSON COMPANIES, INC. MN 2.02,9.01 08/24/06 PENNICHUCK CORP NH 1.01 08/18/06 People's Financial Realty Mortgage Se 8.01,9.01 08/09/06 PHARMACYCLICS INC DE 2.02,9.01 08/24/06 PINNACLE ENTERTAINMENT INC DE 1.01,9.01 08/20/06 PLAINS ALL AMERICAN PIPELINE LP DE 9.01 08/23/06 PMI GROUP INC DE 1.01,2.03,9.01 08/23/06 Polypore International, Inc. 2.05 08/24/06 Polypore, Inc. DE 2.05 08/24/06 POSSIS MEDICAL INC MN 7.01,9.01 08/22/06 PowerShares DB Commodity Index Tracki 5.02 08/21/06 PREMIER EXHIBITIONS, INC. 1.01,8.01 08/18/06 PREMIERE GLOBAL SERVICES, INC. GA 8.01 08/21/06 PUBLIC SERVICE CO OF COLORADO CO 8.01 08/18/06 QUANEX CORP DE 2.02,7.01,9.01 08/24/06 Quintana Maritime LTD 1T 2.01,9.01 08/21/06 RASC Series 2006-EMX7 Trust 8.01,9.01 08/24/06 REDWOOD TRUST INC MD 5.02,9.01 08/23/06 REIT AMERICAS, INC. MD 1.01,3.02,9.01 08/18/06 REIT AMERICAS, INC. MD 1.01,3.02 06/03/06 AMEND RELIANT ENERGY INC DE 1.01,5.02,9.01 08/22/06 RESIDENTIAL CAPITAL CORP DE 7.01,9.01 08/24/06 REWARDS NETWORK INC DE 7.01,9.01 08/23/06 REYNOLDS AMERICAN INC 1.01,9.01 08/19/06 RITE AID CORP DE 7.01,9.01 08/24/06 RITE AID CORP DE 1.01,3.02,5.02,9.01 08/23/06 RIVIERA HOLDINGS CORP NV 7.01 08/23/06 RIVIERA HOLDINGS CORP NV 7.01 08/24/06 ROO GROUP INC DE 1.01,3.02 08/18/06 SBE INC DE 2.02,7.01,9.01 07/31/06 SEAGATE TECHNOLOGY E9 1.01 08/18/06 SENDTEC, INC. 1.01,3.03,8.01,9.01 08/21/06 SHILOH INDUSTRIES INC DE 9.01 08/24/06 Shire plc 8.01,9.01 08/23/06 SI INTERNATIONAL INC DE 2.02 08/01/06 AMEND SIMCLAR INC FL 4.02,9.01 08/23/06 SIMON PROPERTY GROUP L P /DE/ DE 1.01,2.03,9.01 08/22/06 SKILLSOFT PUBLIC LIMITED CO 5.02 08/01/06 SOUTHWEST WATER CO DE 8.01,9.01 08/24/06 SOUTHWEST WATER CO DE 1.01,9.01 08/24/06 SPEAKING ROSES INTERNATIONAL INC NV 5.02 08/23/06 SPECIALIZED HEALTH PRODUCTS INTERNATI DE 1.01,5.01 08/24/06 STRATECO RESOURCES INC 1.01 08/17/06 STRATEGIC HOTELS & RESORTS, INC 1.01,7.01,9.01 08/23/06 Sun American Bancorp DE 1.01,5.02 08/18/06 SUN NEW MEDIA INC. MN 5.02,9.01 08/18/06 SUNRISE REAL ESTATE DEVELOPMENT GROUP TX 5.02 08/01/06 SUPERIOR BANCORP DE 7.01,9.01 08/23/06 SYMBOLLON CORP DE 1.02,3.02 08/21/06 TACTICAL AIR DEFENSE SERVICES, INC. NV 1.01,5.01,5.02,9.01 08/22/06 TARRAGON CORP NV 2.02,7.01,9.01 08/24/06 TECH DATA CORP FL 2.02,9.01 08/24/06 TIMELINE INC WA 8.01,9.01 08/21/06 Titan Global Holdings, Inc. UT 5.02 08/18/06 TORO CO DE 2.02 08/24/06 TRAILER BRIDGE INC 2.02,9.01 08/14/06 TRICO BANCSHARES / CA 8.01,9.01 08/22/06 TUT SYSTEMS INC DE 1.01,2.03,3.02,8.01,9.01 08/22/06 UGI CORP /PA/ PA 1.01 08/18/06 UGI UTILITIES INC PA 1.01,2.03 08/18/06 UNION NATIONAL FINANCIAL CORP / PA PA 5.02 08/24/06 United Development Funding III, LP DE 1.01 08/18/06 UNITED MEDICORP INC DE 1.01,5.02,8.01,9.01 08/16/06 UNITED RETAIL GROUP INC/DE DE 1.01,9.01 08/21/06 UNITED THERAPEUTICS CORP DE 8.01 08/18/06 VIRAGE LOGIC CORP CA 4.01,9.01 08/21/06 VITA FOOD PRODUCTS INC NV 5.02,9.01 08/21/06 WABASH NATIONAL CORP /DE DE 2.02,9.01 08/24/06 WASHINGTON MUTUAL INC WA 9.01 08/23/06 WAVE WIRELESS CORP DE 5.02 08/22/06 Wentworth Energy, Inc. OK 9.01 08/23/06 WESTLAKE CHEMICAL CORP 1.01,9.01 08/18/06 WESTSIDE ENERGY CORP NV 1.01,8.01 08/23/06 WILLIAMS SCOTSMAN INTERNATIONAL INC DE 1.01,2.01,8.01,9.01 08/18/06 WILLIAMS SONOMA INC CA 2.02,8.01,9.01 08/24/06 WINLAND ELECTRONICS INC MN 7.01,9.01 08/21/06 WINSONIC DIGITAL MEDIA GROUP LTD NV 1.01,3.02,5.02,9.01 06/13/06 WORLD MONITOR TRUST II SERIES D DE 8.01,9.01 08/24/06 WYNDHAM WORLDWIDE CORP DE 8.01,9.01 08/24/06 XCEL ENERGY INC MN 1.01,8.01 08/18/06 XETA TECHNOLOGIES INC OK 2.02,9.01 08/23/06 XFONE INC NV 8.01,9.01 08/24/06 ZILA INC DE 1.01,2.03,9.01 08/18/06