SEC NEWS DIGEST Issue 2005-37 February 25, 2005 ENFORCEMENT PROCEEDINGS IN THE MATTER OF PUBLIC FINANCE CONSULTANTS, INC., ROBERT FOWLER, DOLPHIN AND BRADBURY, INCORPORATED, AND ROBERT BRADBURY An Administrative Law Judge has issued an Initial Decision in the matter of Public Finance Consultants, Inc. The Initial Decision concludes that, in connection with a municipal bond issuance, Respondents Dolphin & Bradbury, Inc. (D&B), and Robert J. Bradbury (Bradbury) willfully violated Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities and Exchange Act of 1934 (Exchange Act), Rule 10b-5 thereunder, and Rule G-17 of the Municipal Securities Rulemaking Board. The Initial Decision further concludes that D&B willfully violated, and Bradbury willfully aided and abetted and caused D&B’s violation of, Section 15B(c)(1) of the Exchange Act. The Initial Decision imposes cease-and-desist orders on D&B and Bradbury. It also orders D&B and Bradbury to disgorge, jointly and severally, $482,562.50, plus prejudgment interest. The Initial Decision further orders D&B and Bradbury to pay civil monetary penalties of $400,000 and $82,000, respectively. The Initial Decision concludes that Respondents Public Finance Consultants, Inc., and Robert D. Fowler did not cause the municipal bond issuer to violate Sections 17(a)(2) or 17(a)(3) of the Securities Act and, therefore, dismisses the proceeding against these Respondents. (Initial Decision No. 274; File No. 3-11465) IN THE MATTER OF IRA WEISS An Administrative Law Judge has issued an Initial Decision in the matter of Ira Weiss. The Initial Decision concludes that, in connection with a municipal bond issuance, Respondent Ira Weiss did not violate 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. The Initial Decision also concludes that Weiss did not cause the municipal bond issuer to violate Sections 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act, and Rule 10b-5 thereunder. The Initial Decision dismisses all charges against Respondent Ira Weiss. (Initial Decision No. 275; File No. 3- 11462) COMMISSION DENIES LESLIE AROUH'S MOTION TO RECONSIDER ITS OPINION AND ORDER IMPOSING SANCTIONS The Commission has denied Leslie A. Arouh's motion for reconsideration of its Dec. 20, 2004, opinion finding that Arouh, who formerly was associated with First Union Capital Markets Corp., a registered broker-dealer, violated the federal securities laws. The Commission found that Arouh failed to meet the rigorous standard required by Rule of Practice 470, which governs motions for reconsideration, because he failed to identify any manifest errors of law or fact and did not seek to present newly discovered evidence. (Rel. 34-51254; File No. 3- 10884) COLLEY ASSET MANAGEMENT, INC. AND JOHN COLLEY SETTLE CHARGES THAT THEY FAILED TO DISCLOSE PRIOR DISCIPLINARY ACTION AGAINST COLLEY On February 25, the Commission issued an Order instituting administrative and cease-and-desist proceedings (Order) against Colley Asset Management, Inc. (CAM), and John E. Colley, CAM’s president and sole owner. CAM, located in Saratoga Springs, New York, has been registered with the Commission as an investment adviser since 1995. CAM and Colley consented to the issuance of the Order, without admitting or denying its findings. The Order finds that CAM failed to disclose a disciplinary action against Colley by the Board of Governors of the Federal Reserve System (Federal Reserve) to CAM clients and potential clients, and in CAM’s Form ADV. In February 1998, the Federal Reserve entered a consent order (Federal Reserve Order) against Colley sanctioning him for alleged breaches of his fiduciary duty to Trustco Bank New York (Trustco) and its customers. These alleged breaches of fiduciary duty occurred in connection with the sale of numismatic coins to certain Trustco trust customers, and the custodial arrangements for a coin collection belonging to a Trustco customer. The Commission Order finds that from at least February 1998 through June 2003, CAM, at Colley’s direction, failed to disclose to CAM clients and prospective clients the existence of, and all material facts with respect to, the Federal Reserve Order. The Order further finds that the Federal Reserve Order constituted a disciplinary event that is material to an evaluation of CAM’s and Colley’s integrity and should have been disclosed to CAM’s clients and potential clients. Based on the above, the Commission ordered CAM and Colley to cease and desist from committing or causing any violations or future violations of Sections 206(4) and 207 of the Advisers Act and Rule 206(4)-4 thereunder; ordered them to pay a civil penalty of $100,000; and ordered CAM to comply with certain remedial undertakings. (Rel. IA-2363; File No. 3-11838) SEC SETTLES INSIDER TRADING ACTION AGAINST ADRIAN ALEXANDER; ALEXANDER TO PAY OVER $400,000 On February 7, the U.S. District Court for the Southern District of New York entered a final judgment by consent against Adrian A. Alexander in connection with insider trading in the securities of U.S. Shoe Corporation. The Commission’s complaint, which was filed in September 2000, alleges that eleven individuals and four entities engaged in insider trading in the securities of U.S. Shoe Corp. and Luxottica S.p.A. before the March 3, 1995, public announcement that Luxottica was commencing a hostile tender offer for U.S. Shoe. The Complaint alleges that Adrian Alexander obtained information about Luxottica’s secret plans to launch a tender offer for U.S. Shoe from Susi Belli, the Manager of Investor and Public Relations for Luxottica, who was then Alexander’s girlfriend and is now his wife. According to the Complaint, Alexander tipped others, including his then business partner Patrick J. Rooney, former Chairman of Rooney Pace & Co., Inc., and Constantine Spyropoulos. Without admitting or denying the Commission’s allegations, Alexander consented to a final judgment: (1) permanently enjoining him from violating Sections 10(b) and 14(e) of the Exchange Act and Rules 10b-5 and 14e-3 thereunder; (2) ordering him to pay a two-time civil penalty of $420,195 pursuant to Section 21A of the Exchange Act; and (3) ordering him to pay $2.00 in disgorgement. The nominal disgorgement allows the Commission to deposit the civil penalty into a distribution fund under Section 308(a) of the Sarbanes-Oxley Act. In addition, the court approved the parties’ stipulation dismissing Belli, who did not trade in U.S. Shoe securities, from this action. Earlier in this case, on June 13, 2003, Pavel Hillel consented to the entry of a final judgment: (1) permanently enjoining him from violating Sections 10(b) and 14(e) of the Exchange Act and Rules 10b-5 and 14e-3 thereunder; (2) ordering him to pay a civil penalty of $6,375; and (3) ordering him to pay disgorgement of $6,375 plus prejudgment interest of $5,434.83. Defendants Patrick G. Rooney, Rooney Trading, Inc., Gianna Toffoli, and Penelope Afouxenide were earlier dismissed as defendants in this action. Default judgments have been entered as to defendants Constantine Spyropoulos, Jacobus J. Lam, Westcliff Partners, Inc., Potenza Investments, Inc., and Quintillion B.V. The case is still pending as to David V. Stratman. [SEC v. Adrian A. Alexander (formerly known as “Adrian Antoniu”), et al., 00 CV 7290 (LTS) (S.D.N.Y.)] (LR- 19100) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Pacific Exchange filed a proposed rule change (SR-PCX-2004-131) to amend rules relating to FOCD Forms Due Date, which became effective immediately. Publication of the notice in the Federal Register is expected during the week of February 28. (Rel. 34-51242) The Pacific Exchange filed a proposed rule change (SR-PCX-2004-130) to amend rules relating to fees for late FOCD forms, which became effective immediately. Publication of the notice in the Federal Register is expected during the week of February 28. (Rel. 34-51243) 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 RE Bond Corporate Holdings Trust, LLC, 244 5TH AVENUE, SUITE A -250, NEW YORK, NY, 10001, 888-278-6756 - 50,000,000 ($50,000,000.00) Other, (File 333-122971 - Feb. 24) (BR. 09) S-8 CYOP SYSTEMS INTERNATIONAL INC, UNIT A 149 SOUTH REEVES DRIVE, BEVERLY HILLS, CALIFORNIA, CA, 90212, 310-248-4860 - 45,000,000 ($450,000.00) Equity, (File 333-122972 - Feb. 24) (BR. 03) S-3 SANDERS MORRIS HARRIS GROUP INC, 600 TRAVIS, SUITE 2900, HOUSTON, TX, 77002, 7139934610 - 0 ($7,546,000.00) Equity, (File 333-122973 - Feb. 24) (BR. 07) S-8 COTT CORP /CN/, 207 QUEENS QUAY W, SUITE 340, TORONTO ONTARIO CANA, A6, 00000, 4162033898 - 2,000,000 ($48,560,000.00) Equity, (File 333-122974 - Feb. 24) (BR. 02) S-1 EAUTOCLAIMS, INC, 110 EAST DOUGLAS RD, OLDSMAR, FL, 34677, 8137491020 - 23,265,591 ($6,049,054.00) Equity, (File 333-122975 - Feb. 24) (BR. 08) S-8 METROPOLITAN HEALTH NETWORKS INC, 250 AUSTRALIAN AVE, SUITE 400, WEST PALM BEACH, FL, 33401, 5618058500 - 0 ($30,501,311.22) Debt Convertible into Equity, (File 333-122976 - Feb. 24) (BR. 01) S-3 GOLDMAN SACHS GROUP INC/, 85 BROAD ST, NEW YORK, NY, 10004, 2129021000 - 0 ($18,735,000,000.00) Other, (File 333-122977 - Feb. 24) (BR. 07) S-8 LAS VEGAS SANDS CORP, 3355 LAS VEGAS BOULEVARD, SOUTH, ROOM 1A, LAS VEGAS, NV, 89109, (702) 414-1000 - 0 ($2,040,043,536.00) Equity, (File 333-122978 - Feb. 24) (BR. 08) S-4 COMMUNITY HEALTH SYSTEMS INC, 155 FRANKLIN RD, STE 400, BRENTWOOD, TN, 37027, 6153739600 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-122979 - Feb. 24) (BR. 01) S-4 TXU ENERGY CO LLC, 1601 BRYAN ST., DALLAS, TX, 75201, 0 ($400,000,000.00) Non-Convertible Debt, (File 333-122980 - Feb. 24) (BR. 02) 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 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 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 DATE COMMENT -------------------------------------------------------------------------------- 1ST CONSTITUTION BANCORP NJ 1.01,1.02,9.01 02/22/05 1ST NET TECHNOLOGIES INC CO 8.01 02/22/05 21ST CENTURY TECHNOLOGIES INC NV 8.01,9.01 02/18/05 649 COM INC 2.03 02/17/05 AARON RENTS INC GA 2.02,9.01 02/23/05 ACACIA RESEARCH CORP DE 2.02,9.01 02/24/05 ACCREDITED HOME LENDERS INC DE 8.01,9.01 02/24/05 ACCREDO HEALTH INC DE 1.01,9.01 02/22/05 ADAMS GOLF INC DE 1.01 02/19/05 ADVANTAGE CAPITAL DEVELOPMENT CORP NV 8.01 02/24/05 AGILE SOFTWARE CORP DE 2.02,9.01 02/24/05 AGREE REALTY CORP DE 2.02,9.01 02/24/05 ALAMOSA HOLDINGS INC DE 2.02,9.01 02/23/05 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,5.02,8.01 02/23/05 ALBANY INTERNATIONAL CORP /DE/ DE 5.02 02/18/04 ALBANY INTERNATIONAL CORP /DE/ DE 1.01 02/17/05 Aldabra Acquisition CORP DE 8.01,9.01 02/24/05 ALLEN ORGAN CO PA 2.02,9.01 02/24/05 ALLIED CAPITAL CORP MD 2.02 02/24/05 ALMOST FAMILY INC DE 8.01,9.01 02/22/05 ALTAIR NANOTECHNOLOGIES INC A6 2.02,7.01,9.01 02/23/05 AMBASSADORS INTERNATIONAL INC DE 2.02,9.01 02/22/05 AMEN PROPERTIES INC DE 3.02,9.01 01/28/05 AMERICAN BUSINESS FINANCIAL SERVICES DE 2.05 02/17/05 AMERICAN CAPITAL STRATEGIES LTD 1.01,2.04,9.01 02/17/05 American Community Bancorp, Inc. IN 2.02,8.01,9.01 02/22/05 AMERICAN DENTAL PARTNERS INC DE 2.02,9.01 02/23/05 AMERICAN ENTERPRISE MVA ACCOUNT 4.01,9.01 02/18/05 AMERICAN EXPRESS CO NY 8.01 02/18/05 AMERICAN FINANCIAL REALTY TRUST 2.02 02/24/05 AMERICAN INDEPENDENCE CORP DE 7.01 02/24/05 AMERICAN LAND LEASE INC DE 8.01,9.01 02/23/05 AMERICAN WATER STAR INC NV 8.01,9.01 02/16/05 ANALEX CORP NY 2.02 12/31/04 ANALYSTS INTERNATIONAL CORP 2.02,7.01,9.01 02/24/05 ANHEUSER-BUSCH COMPANIES, INC. DE 1.01 02/23/05 ANTIGENICS INC /DE/ DE 2.02,9.01 02/24/05 APPLIED SIGNAL TECHNOLOGY INC CA 2.02,9.01 02/22/05 ARADYME CORP DE 8.01 02/16/05 ARAMARK CORP/DE DE 2.02,7.01,9.01 02/24/05 ARDEN REALTY LIMITED PARTNERSHIP MD 8.01,9.01 02/23/05 ARGONAUT TECHNOLOGIES INC DE 1.01,7.01,9.01 02/21/05 AMEND ARI NETWORK SERVICES INC /WI WI 2.02,9.01 02/24/05 ARMSTRONG WORLD INDUSTRIES INC PA 8.01,9.01 02/24/05 ARTS WAY MANUFACTURING CO INC DE 8.01 11/30/04 ASBURY AUTOMOTIVE GROUP INC DE 2.02,7.01,9.01 12/31/04 ASPECT MEDICAL SYSTEMS INC DE 1.01 02/17/05 ASTORIA FINANCIAL CORP DE 8.01,9.01 02/24/05 ASV INC /MN/ MN 2.02,9.01 02/24/05 AUDIBLE INC 8.01 02/23/05 AXA FINANCIAL INC DE 2.02,7.01 02/24/05 BANC OF AMERICA MORTGAGE SECURITIES I DE 9.01 02/23/05 BANCINSURANCE CORP OH 7.01,9.01 02/17/05 BANCTEC INC DE 5.02,9.01 02/18/05 BANK OF AMERICA CORP /DE/ DE 5.02,9.01 02/22/05 BANYAN CORP /OR/ OR 3.02,4.01,8.01,9.01 09/01/04 Bay View Deposit CORP DE 8.01,9.01 02/17/05 BEA SYSTEMS INC DE 2.02,9.01 02/24/05 BEA SYSTEMS INC DE 1.01,5.02,9.01 02/24/05 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01 02/24/05 BELDEN CDT INC. DE 2.02,9.01 02/24/05 BELMONT BANCORP OH 8.01 02/22/05 BIOGEN IDEC INC DE 1.01 02/17/05 BLACKHAWK BANCORP INC WI 2.02,9.01 02/24/05 BLACKHAWK BANCORP INC WI 5.02 02/24/05 BLACKROCK INC /NY DE 1.01,2.03,5.02 02/18/05 BLUE COAT SYSTEMS INC DE 2.02,9.01 02/24/05 BLUE RIDGE REAL ESTATE CO PA 1.01,9.01 02/17/05 BOEING CO DE 1.01,9.01 02/22/05 BRITTON & KOONTZ CAPITAL CORP MS 7.01 02/22/05 BROCADE COMMUNICATIONS SYSTEMS INC DE 1.01 02/18/05 BRUNSWICK CORP DE 2.02 02/24/05 BUILDING MATERIALS CORP OF AMERICA DE 2.02,9.01 02/23/05 C H ROBINSON WORLDWIDE INC DE 7.01 02/24/05 C-CHIP TECHNOLOGIES CORP NV 7.01,9.01 02/23/05 C-CHIP TECHNOLOGIES CORP NV 7.01,9.01 02/23/05 AMEND CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 02/23/05 CALIFORNIA COASTAL COMMUNITIES INC DE 8.01 02/24/05 CAPITAL TITLE GROUP INC DE 2.02,9.01 02/24/05 CARMAX INC VA 8.01,9.01 02/22/05 CATALYST SEMICONDUCTOR INC DE 2.02,8.01,9.01 02/24/05 CATALYTICA ENERGY SYSTEMS INC DE 2.02,9.01 02/24/05 CDW CORP IL 1.01,9.01 02/22/05 CELEBRATE EXPRESS, INC. 4.01,9.01 02/17/05 CENTRAL WIRELESS INC UT 1.01,3.02,9.01 01/31/05 CGI HOLDING CORP NV 1.01,2.01,9.01 02/21/05 CHECKERS DRIVE IN RESTAURANTS INC /DE DE 7.01,9.01 02/19/05 CHINA DIRECT TRADING CORP FL 8.01,9.01 02/21/05 CHIQUITA BRANDS INTERNATIONAL INC NJ 5.02 02/17/05 CIT GROUP INC DE 5.02 02/24/05 CITADEL BROADCASTING CORP DE 2.02,9.01 02/24/05 CITICORP MORTGAGE SECURITIES INC DE 2.01 02/24/05 CITIZENS HOLDING CO /MS/ MS 7.01,9.01 02/24/05 CLAYTON WILLIAMS ENERGY INC /DE DE 2.06,7.01,9.01 02/23/05 Coastal Bancshares Acquisition Corp. TX 1.01 02/18/05 COEUR D ALENE MINES CORP ID 2.02,9.01 02/22/05 COLLINS & AIKMAN CORP DE 1.01,9.01 02/18/05 COLUMBIA BAKERIES INC NV 1.03 02/16/05 COMMERCEFIRST BANCORP INC MD 8.01,9.01 02/22/05 COMMERCIAL MORTGAGE PASS THROUGH CERT DE 8.01,9.01 02/17/05 COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 02/24/05 COMMUNITY SHORES BANK CORP MI 8.01,9.01 02/22/05 COMPUTER SOFTWARE INNOVATIONS INC DE 9.01 01/31/05 AMEND COMPX INTERNATIONAL INC DE 7.01,9.01 02/23/05 CONSOLIDATED ENERGY INC WY 2.01,2.03,3.02,7.01,9.01 02/24/05 CONSTAR INTERNATIONAL INC DE 1.01 02/17/05 CONVERGYS CORP OH 1.01,9.01 02/24/05 CORE LABORATORIES N V P7 2.02 12/31/04 CORGENTECH INC DE 1.01,9.01 02/17/05 CORTLAND BANCORP INC OH 2.02 02/24/05 COUNTRYWIDE FINANCIAL CORP DE 2.02,4.02,9.01 02/18/05 CRESCENT REAL ESTATE EQUITIES CO TX 2.02,7.01,9.01 02/24/05 CRIIMI MAE INC MD 8.01,9.01 02/23/05 CRITICAL PATH INC CA 2.02,9.01 02/24/05 CRT PROPERTIES INC FL 1.01,9.01 02/17/05 Crusade Management Global Trust No. 2 8.01,9.01 02/22/05 CT COMMUNICATIONS INC /NC NC 4.02 02/17/05 CUNO INC DE 2.02,9.01 02/23/05 CV THERAPEUTICS INC DE 2.02,9.01 02/24/05 CWHEQ, Inc. 8.01,9.01 02/24/05 CWMBS INC DE 8.01,9.01 02/15/05 CYTOGEN CORP DE 8.01 02/24/05 DAKOTA GROWERS PASTA CO INC ND 2.03,9.01 02/22/05 DAYBREAK MINES INC WA 4.01,9.01 01/07/05 AMEND DECKERS OUTDOOR CORP DE 2.02,9.01 02/23/05 DEERE & CO DE 1.01,5.03,8.01,9.01 02/23/05 DEFENSE INDUSTRIES INTERNATIONAL INC NV 8.01,9.01 02/24/05 DENBURY RESOURCES INC DE 2.02,9.01 02/24/05 Diabetic Treatment Centers of America DE 7.01 02/24/05 DIMON INC VA 7.01,9.01 02/24/05 DIVERSIFIED THERMAL SOLUTIONS INC NV 2.01,9.01 01/31/05 DIXIE GROUP INC TN 2.02,9.01 02/24/05 DOCUCORP INTERNATIONAL INC DE 2.02,9.01 02/23/05 DORAL FINANCIAL CORP PR 5.03,7.01,9.01 02/22/05 DUKE ENERGY CORP NC 5.02 02/22/05 AMEND DYNAMICS RESEARCH CORP MA 2.02,9.01 02/23/05 DYNEGY INC /IL/ IL 2.02,9.01 02/24/05 EASTERN AMERICAN NATURAL GAS TRUST DE 9.01 02/24/05 EASTERN CO CT 1.01,9.01 02/22/05 EBAY INC DE 1.01,5.02,9.01 02/24/05 EDGE PETROLEUM CORP DE 2.02,9.01 02/24/05 EDO CORP NY 2.02 02/24/05 EMAGEON INC 2.02,9.01 02/24/05 EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 02/24/05 ENERGENX, INC. NV 4.01,9.01 01/28/05 AMEND ENERGY & ENGINE TECHNOLOGY CORP NV 1.01,8.01 02/24/05 ENTRADA NETWORKS INC DE 4.01 02/23/05 ERIE INDEMNITY CO PA 2.02,9.01 02/23/05 ESCALADE INC IN 1.01,8.01,9.01 02/24/05 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 02/24/05 EVERGREEN SOLAR INC DE 2.02,9.01 02/24/05 EXACTECH INC FL 1.01 02/18/05 EZENIA INC DE 5.02,7.01,9.01 02/24/05 FAIRCHILD INTERNATIONAL CORP NV 1.01,1.02,5.02,5.03,8.01,9.01 02/23/05 FARGO ELECTRONICS INC 2.02,9.01 02/24/05 FIBERSTARS INC /CA/ CA 2.02,9.01 02/18/05 FINDWHAT COM INC NV 2.02,9.01 02/23/05 FINDWHAT COM INC NV 1.01 02/22/05 FIRST INDUSTRIAL REALTY TRUST INC MD 2.02 02/23/05 FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 02/24/05 FIRST SOUTH BANCORP INC /VA/ VA 1.01,5.02 01/27/05 FIRST UNION COM MOR SEC INC COM MOR P NY 8.01,9.01 02/17/05 FIRST UNION COMM MORT TRUST COMM MOR NY 8.01,9.01 02/17/05 FIRST UNION COMM MORT TRUST COMM MOR NY 8.01,9.01 02/17/05 FIRST UNION COMMERCIAL MORTGAGE SECUR NC 8.01,9.01 02/18/05 FIRST UNION LEH BRO BANK OF AMER COM NY 8.01,9.01 02/18/05 FLORIDA EAST COAST INDUSTRIES INC FL 1.01,2.03,9.01 02/24/05 FMC CORP DE 1.01 02/17/05 FMC TECHNOLOGIES INC 7.01,9.01 02/24/05 FNB CORP/FL/ FL 2.01,5.02,9.01 02/18/05 FNB FINANCIAL SERVICES CORP NC 8.01,9.01 02/22/05 FONIX CORP DE 3.02 02/22/05 Franklin Auto Trust 2004-2 DE 8.01,9.01 01/31/05 FREMONT GENERAL CORP NV 2.02 02/24/05 FTI CONSULTING INC MD 1.01,9.01 10/28/04 FUN CITY POPCORN INC NV 5.02,5.03,9.01 02/22/05 GAP INC DE 2.02,7.01,9.01 02/24/05 GASCO ENERGY INC NV 8.01,9.01 02/23/05 GCCFC 2005-GG3 8.01,9.01 02/18/05 GCI INC AK 2.02,9.01 02/23/05 GENE LOGIC INC DE 1.01 02/24/05 GENENTECH INC DE 1.01,5.02,9.01 02/17/05 GENERAL COMMUNICATION INC AK 2.02,9.01 02/23/05 GENERAL MARITIME CORP/ 2.02,9.01 02/23/05 GENESIS HEALTHCARE CORP PA 7.01,9.01 02/23/05 GENLYTE GROUP INC DE 1.01 02/18/05 GETTY IMAGES INC DE 1.02 02/18/05 GLIMCHER REALTY TRUST MD 2.02,9.01 02/24/05 GLOBAL POWER EQUIPMENT GROUP INC/ DE 9.01 02/24/05 GRAMERCY CAPITAL CORP MD 8.01 02/18/05 GRANITE CITY FOOD & BREWERY LTD MN 3.02 11/04/04 AMEND GREAT SOUTHERN BANCORP INC DE 1.01,9.01 12/15/04 GREENE COUNTY BANCSHARES INC TN 1.01,9.01 01/25/05 GREY WOLF INC TX 2.02,9.01 02/23/05 GROUP 1 AUTOMOTIVE INC DE 2.02,9.01 02/24/05 HANCOCK FABRICS INC DE 8.01,9.01 02/22/05 HANGER ORTHOPEDIC GROUP INC DE 1.01,9.01 02/23/05 Hartford Life Global Funding Trust 20 CT 1.03,2.01,8.01,9.01 02/15/05 Hartford Life Global Funding Trust 20 CT 1.03,2.01,8.01,9.01 02/15/05 Hartford Life Global Funding Trust 20 CT 1.03,2.01,8.01,9.01 02/15/05 Hartford Life Global Funding Trust 20 CT 1.03,2.01,8.01,9.01 02/15/05 Hartford Life Global Funding Trust 20 CT 1.03,2.01,8.01,9.01 02/15/05 Hartford Life Global Funding Trust 20 CT 1.03,2.01,8.01,9.01 02/15/05 Hartford Life Global Funding Trust 20 CT 1.03,2.01,8.01,9.01 02/15/05 HAWK CORP DE 7.01,9.01 02/23/05 HEADWATERS INC DE 8.01,9.01 02/23/05 HEICO CORP FL 2.02,9.01 02/24/05 HILB ROGAL & HOBBS CO VA 2.02,9.01 02/23/05 HMB Acceptance Corp. DE 8.01 02/23/05 HOME DEPOT INC DE 5.02,9.01 02/24/05 HOME FINANCIAL BANCORP IN 3.01,9.01 02/22/05 HORIZON BANCORPORATION INC FL 2.02,5.02,9.01 02/23/05 HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 02/24/05 HOST MARRIOTT CORP/ MD 2.02,9.01 02/24/05 HOST MARRIOTT CORP/ MD 1.01,9.01 02/17/05 HOUSTON OPERATING CO DE 9.01 02/22/05 AMEND HUBBELL INC CT 1.01,9.01 02/17/05 HUNTSMAN LLC UT 2.04 02/17/05 IDENIX PHARMACEUTICALS INC 2.02 02/24/05 IDS LIFE INSURANCE CO MN 4.01,9.01 02/18/05 IHOP CORP DE 2.02,9.01 02/24/05 ILLUMINA INC CA 1.01,9.01 02/22/05 AMEND IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 5.03 02/23/05 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 1.01 02/23/05 INDUSTRIAL DISTRIBUTION GROUP INC DE 2.02,9.01 02/24/05 INFOCUS CORP OR 1.01,9.01 02/17/05 INFONOW CORP / DE 2.05 02/24/05 INFORMEDIX HOLDINGS INC NV 3.02,9.01 02/17/05 INGRAM MICRO INC DE 2.02,9.01 02/24/05 INKINE PHARMACEUTICAL CO INC NY 2.02 02/23/05 INSIGHT COMMUNICATIONS CO INC DE 2.02,9.01 02/24/05 INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.03,9.01 02/24/05 INTEGRAMED AMERICA INC DE 7.01,9.01 02/24/05 INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 02/24/05 INTERFACE INC GA 2.02,7.01,9.01 02/23/05 INTERNATIONAL BUSINESS MACHINES CORP NY 7.01 02/24/05 INTERNATIONAL PAPER CO /NEW/ NY 7.01,9.01 02/24/05 IVAX CORP FL 1.01,2.03,3.02,9.01 02/23/05 JACK IN THE BOX INC /NEW/ DE 1.01,9.01 02/24/05 JACKSONVILLE BANCORP INC /FL/ FL 8.01,9.01 02/21/05 JAKKS PACIFIC INC DE 2.02,4.02,9.01 02/24/05 AMEND JOY GLOBAL INC DE 2.02 01/29/05 KAMAN CORP CT 1.01,9.01 02/24/05 KINGTHOMASON GROUP INC NV 7.01,9.01 02/14/05 KNIGHTSBRIDGE FINE WINES INC NV 5.03,9.01 02/23/05 AMEND KOHLS CORPORATION WI 2.02,9.01 02/24/05 KOPIN CORP DE 2.02,9.01 02/24/05 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 02/24/05 LA QUINTA CORP DE 2.02,9.01 02/24/05 LA QUINTA PROPERTIES INC DE 2.02,9.01 02/24/05 LAUREL CAPITAL GROUP INC PA 4.01,9.01 02/17/05 LAWRENCE FINANCIAL HOLDINGS INC MD 5.04,9.01 02/24/05 LB-UBS Commercial Mortgage Trust 2005 8.01,9.01 02/17/05 LEAP WIRELESS INTERNATIONAL INC DE 1.01 02/17/05 LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 02/18/05 LEVI STRAUSS & CO DE 8.01,9.01 02/24/05 LEVI STRAUSS & CO DE 7.01,8.01,9.01 02/24/05 LEXICON GENETICS INC/TX DE 2.02,9.01 02/24/05 LIBERTY PROPERTY TRUST MD 1.01,9.01 02/24/05 LIMELIGHT MEDIA GROUP INC NV 7.01 02/24/05 LIMITED BRANDS INC DE 2.02,7.01 02/24/05 LION INC/WA WA 2.02,9.01 02/24/05 LIONS PETROLEUM, INC DE 1.01,5.02 02/23/05 LIPID SCIENCES INC/ AZ 7.01,9.01 02/24/05 LKQ CORP DE 2.02,9.01 02/24/05 LOGICVISION INC DE 1.01,5.02,8.01 02/18/05 LYONDELL CHEMICAL CO DE 1.01,5.02,9.01 02/24/05 MAGNA ENTERTAINMENT CORP DE 2.02,9.01 02/22/05 MAINSOURCE FINANCIAL GROUP IN 1.01,9.01 02/24/05 MAINSOURCE FINANCIAL GROUP IN 1.01,9.01 02/24/05 MANTECH INTERNATIONAL CORP DE 2.02,2.05,7.01,9.01 02/24/05 MARKETAXESS HOLDINGS INC 5.02 02/17/05 MARVELL TECHNOLOGY GROUP LTD D0 2.02,9.01 02/24/05 MARVELL TECHNOLOGY GROUP LTD D0 5.05 02/19/05 MASSEY ENERGY CO DE 5.02 02/07/05 AMEND MAXWELL TECHNOLOGIES INC DE 2.02,9.01 02/24/05 McAfee, Inc. DE 2.02,9.01 02/24/05 MCDATA CORP DE 2.02,7.01,9.01 02/24/05 MCGRATH RENTCORP CA 2.02,9.01 02/24/05 MDU RESOURCES GROUP INC DE 1.01,9.01 02/17/05 MEADOWBROOK INSURANCE GROUP INC MI 8.01,9.01 02/17/05 MEDIACOM COMMUNICATIONS CORP DE 1.01 02/17/05 MERRILL LYNCH MORT INV INC ASST BACK DE 8.01,9.01 05/25/04 MERRILL LYNCH MORT INV INC ASST BACK DE 8.01,9.01 06/25/04 MERRILL LYNCH MORT INV INC ASST BACK DE 8.01,9.01 09/27/04 MERRILL LYNCH MORT INV INC ASST BACK DE 8.01,9.01 12/27/04 MERRILL LYNCH MORT INV INC ASST BACK DE 8.01,9.01 07/26/04 MERRILL LYNCH MORT INV INC ASST BACK DE 8.01,9.01 09/27/04 METASOLV INC DE 9.01 02/23/05 METROLOGIC INSTRUMENTS INC NJ 2.02,9.01 02/23/05 MICROCHIP TECHNOLOGY INC DE 1.01 02/17/05 MICROFIELD GROUP INC OR 5.02 02/18/05 MICROFINANCIAL INC MA 2.02,9.01 02/23/05 MICROISLET INC NV 1.01,9.01 02/17/05 MICROISLET INC NV 1.01,9.01 02/17/05 MINRAD INTERNATIONAL, INC. NV 1.01,9.01 02/24/05 MIRANT CORP DE 1.01 02/22/05 MOBILE MINI INC DE 2.02,9.01 02/24/05 MOCON INC MN 2.02,9.01 02/24/05 MOTORCAR PARTS AMERICA INC NY 4.02,9.01 02/17/05 AMEND MRV COMMUNICATIONS INC DE 1.01,8.01 10/20/04 MRV COMMUNICATIONS INC DE 1.01 02/17/05 Mueller Group, Inc. DE 1.01,9.01 02/18/05 Mueller Water Products, Inc. DE 1.01,9.01 02/18/05 Nalco Holding CO 8.01,9.01 02/23/05 NANO SUPERLATTICE TECHNOLOGY INC. 5.03 12/30/04 NanoSignal CORP NV 8.01 02/23/05 NanoSignal CORP NV 8.01 02/23/05 NanoSignal CORP NV 8.01 02/23/05 NASDAQ STOCK MARKET INC DE 2.02,9.01 02/24/05 NATIONAL PENN BANCSHARES INC PA 2.02,7.01 02/23/05 NATIONWIDE HEALTH PROPERTIES INC MD 2.02,9.01 02/24/05 NATURAL GAS SERVICES GROUP INC 2.02,9.01 02/24/05 NDCHEALTH CORP DE 1.01,8.01,9.01 02/23/05 NDCHEALTH CORP DE 8.01,9.01 02/24/05 New Century Mortgage Securities LLC 9.01 02/16/05 NEW PLAN EXCEL REALTY TRUST INC MD 2.02,5.02,8.01,9.01 02/24/05 NEW YORK TIMES CO NY 1.01,9.01 02/17/05 NEWMIL BANCORP INC DE 1.01 02/23/05 NEWMONT MINING CORP /DE/ DE 2.02,9.01 02/24/05 NIKU CORP DE 2.02,9.01 02/24/05 NOBLE INTERNATIONAL LTD DE 2.02,9.01 02/24/05 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 02/22/05 NORDSTROM INC WA 1.01 02/24/05 NORTH COAST PARTNERS INC DE 5.01,9.01 02/24/05 AMEND NORTHERN BORDER PARTNERS LP DE 7.01,9.01 02/24/05 NOVEX SYSTEMS INTERNATIONAL INC NY 8.01 02/21/05 NRG ENERGY, INC. DE 1.01,2.03 02/18/05 NUTRA PHARMA CORP CA 4.01,9.01 02/24/05 OCEAN FRESH SEAFOOD MARKETPLACE INC FL 1.01,9.01 03/11/04 OCTUS INC CA 7.01 02/22/05 OCWEN FINANCIAL CORP FL 5.02 02/24/05 ODYSSEY MARINE EXPLORATION INC NV 7.01,9.01 02/23/05 OFFICE DEPOT INC DE 1.01,8.01 02/17/05 OIL DRI CORPORATION OF AMERICA DE 2.02,9.01 01/31/05 OMEGA FINANCIAL CORP /PA/ PA 2.02,9.01 02/24/05 OMNI ENERGY SERVICES CORP LA 4.01,9.01 02/24/05 OMNICARE INC DE 2.02,9.01 02/24/05 ONYX SOFTWARE CORP/WA WA 2.02,9.01 02/24/05 OPINION RESEARCH CORP DE 2.02,9.01 02/24/05 OPTION CARE INC/DE DE 2.02,9.01 02/22/05 ORALABS HOLDING CORP CO 1.01,7.01,9.01 02/23/05 ORGANITECH USA INC DE 8.01 02/24/05 ORIGEN FINANCIAL INC DE 2.02 02/23/05 OUTBACK STEAKHOUSE INC DE 7.01,9.01 02/24/05 OVERSEAS SHIPHOLDING GROUP INC DE 2.02 02/24/05 OVERSTOCK COM INC UT 1.01,9.01 02/18/05 OWENS CORNING DE 8.01,9.01 02/23/05 PAR PHARMACEUTICAL COMPANIES, INC. NH 2.02,9.01 02/24/05 PARADIGM MEDICAL INDUSTRIES INC DE 8.01,9.01 02/22/05 PARAGON REAL ESTATE EQUITY & INVESTME MD 8.01,9.01 02/22/05 PAREXEL INTERNATIONAL CORP MA 1.01,9.01 02/21/05 PATINA OIL & GAS CORP DE 2.02,5.02,8.01,9.01 02/21/05 PATTERSON COMPANIES, INC. MN 2.02,9.01 02/24/05 PENN ENGINEERING & MANUFACTURING CORP DE 2.02,9.01 02/23/05 PENN NATIONAL GAMING INC PA 7.01,9.01 02/24/05 PFIZER INC DE 5.02,5.03,9.01 02/24/05 PHARMACOPEIA DRUG DISCOVERY INC DE 8.01 02/22/05 PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 02/24/05 PLAINS EXPLORATION & PRODUCTION CO DE 1.01 02/17/05 PLATO LEARNING INC DE 2.02,7.01,9.01 02/24/05 POLARIS INDUSTRIES INC/MN MN 7.01 02/24/05 PORTAL SOFTWARE INC DE 1.01,9.01 02/18/05 PORTEC RAIL PRODUCTS INC WV 2.02,9.01 02/23/05 POWER2SHIP INC NV 1.01,7.01,9.01 02/16/05 PPL ELECTRIC UTILITIES CORP PA 1.01,2.03 02/24/05 PREFERRED VOICE INC DE 5.02 02/21/05 PREFORMED LINE PRODUCTS CO OH 2.02,9.01 02/24/05 PRESIDENTIAL LIFE CORP DE 4.02 02/23/05 PRESSTEK INC /DE/ DE 2.02,9.01 02/24/05 PRESSURE BIOSCIENCES INC MA 1.01,3.01,8.01,9.01 02/17/05 PRIDE INTERNATIONAL INC DE 1.01 02/17/05 PRINCIPAL LIFE INSURANCE CO IA 9.01 02/18/05 PRINCIPAL LIFE INSURANCE CO IA 9.01 02/18/05 PRINCIPAL LIFE INSURANCE CO IA 9.01 02/18/05 PRIORITY HEALTHCARE CORP IN 2.02,9.01 02/24/05 PROCENTURY CORP 2.02,9.01 02/23/05 QLOGIC CORP DE 5.02,5.03,8.01,9.01 02/17/05 QUANEX CORP DE 2.01,9.01 12/09/04 AMEND QUIGLEY CORP NV 2.02,8.01,9.01 02/24/05 QUINTON CARDIOLOGY SYSTEMS INC DE 2.02,9.01 02/24/05 QWEST COMMUNICATIONS INTERNATIONAL IN DE 8.01 02/24/05 R H DONNELLEY CORP DE 2.02 02/24/05 RAE SYSTEMS INC DE 7.01,9.01 02/23/05 RANGE RESOURCES CORP DE 8.01,9.01 02/23/05 RENAISSANCERE HOLDINGS LTD 2.02,4.02,9.01 02/22/05 REPUBLIC BANCORP INC MI 5.02 02/24/05 RETURN ON INVESTMENT CORP DE 8.01 02/24/05 ROCK OF AGES CORP DE 2.02,5.02,9.01 02/24/05 ROCK OF AGES CORP DE 2.02,5.02,9.01 02/24/05 AMEND ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02,7.01,9.01 02/24/05 ROCKWELL MEDICAL TECHNOLOGIES INC MI 7.01,9.01 02/24/05 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 8.01,9.01 02/24/05 ROPER INDUSTRIES INC /DE/ DE 2.02,9.01 02/23/05 RSV BANCORP INC PA 4.01 02/17/05 S&C HOLDCO 3 INC 1.01 02/24/05 SAFEWAY INC DE 2.02,9.01 02/24/05 SAGA COMMUNICATIONS INC DE 2.02,9.01 02/24/05 SANMINA-SCI CORP DE 1.01,2.03,9.01 02/24/05 SAUER DANFOSS INC DE 2.02,9.01 02/24/05 SAUL CENTERS INC MD 2.02,9.01 02/23/05 SCIENTIFIC ATLANTA INC GA 1.01 02/20/05 SCIENTIFIC GAMES CORP DE 2.02,8.01,9.01 02/23/05 SCM MICROSYSTEMS INC DE 2.02,9.01 02/24/05 SCOTTISH RE GROUP LTD E9 5.02 02/21/05 SECURE AUTOMATED FILING ENTERPRISES 8.01 02/23/05 SELECT MEDICAL CORP DE 5.01,9.01 02/24/05 SEMCO ENERGY INC MI 2.02,9.01 02/24/05 SEPRACOR INC /DE/ DE 1.01,9.01 02/17/05 SEQUOIA RESIDENTIAL FUNDING INC 8.01 02/24/05 SERACARE LIFE SCIENCES INC 1.01,2.01,9.01 09/14/04 AMEND SERVICEMASTER CO DE 1.01,2.03,3.03,5.03,9.01 02/24/05 SFBC INTERNATIONAL INC DE 2.02,9.01 02/24/05 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 02/23/05 SHERWOOD BRANDS INC NC 1.01,5.02 02/22/05 SHUFFLE MASTER INC MN 8.01 02/24/05 SIEBEL SYSTEMS INC DE 1.01 02/24/05 SIENNA BROADCASTING CORP DE 4.01,9.01 02/22/05 SINA CORP 1.01,3.03,8.01,9.01 02/22/05 SiVault Systems, Inc. NV 2.01,9.01 11/30/04 SMITH MICRO SOFTWARE INC DE 1.01,3.02,9.01 02/18/05 SMUCKER J M CO OH 8.01 02/18/05 SMURFIT STONE CONTAINER CORP DE 1.01 02/23/05 SNAP ON INC DE 1.01,5.02,9.01 02/18/05 SNAP ON INC DE 5.04,9.01 02/24/05 SOUTHWEST BANCORP OF TEXAS INC TX 2.02,7.01,9.01 02/24/05 SPATIALIZER AUDIO LABORATORIES INC DE 1.01 02/21/05 SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 02/23/05 SPHERIX INC DE 5.02,9.01 02/24/05 ST MARY LAND & EXPLORATION CO DE 2.02,9.01 02/24/05 STANDARD PACIFIC CORP /DE/ DE 1.01 02/22/05 STAPLES INC DE 2.02,8.01 02/24/05 STEINER LEISURE LTD C5 2.02 12/31/04 STRESSGEN BIOTECHNOLOGIES CORP 1.01,5.02,7.01 10/19/04 STRESSGEN BIOTECHNOLOGIES CORP 7.01,9.01 02/24/05 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 02/24/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 02/24/05 SUN COMMUNITIES INC MD 2.02 02/24/05 SUPERGEN INC DE 2.02,9.01 02/24/05 SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 02/24/05 SYBASE INC DE 1.01,8.01,9.01 02/18/05 SYMBION INC/TN DE 2.02,9.01 02/23/05 Symmetry Medical Inc. DE 2.02,9.01 02/23/05 SYNAGRO TECHNOLOGIES INC DE 2.02,4.02,9.01 02/24/05 SYNTHETIC BLOOD INTERNATIONAL INC NJ 3.02,9.01 02/23/05 TAG ENTERTAINMENT CORP DE 4.01,8.01,9.01 02/08/05 Tarpon Industries, Inc. MI 1.01,2.01,2.03,9.01 02/17/05 TECUMSEH PRODUCTS CO MI 5.03,9.01 02/23/05 TEKELEC CA 2.02,9.01 02/24/05 TENNECO AUTOMOTIVE INC DE 1.01,3.03,9.01 02/17/05 TEXAS REGIONAL BANCSHARES INC TX 5.02,9.01 02/24/05 TITAN INTERNATIONAL INC IL 2.02,9.01 02/24/05 TLC VISION CORP A6 2.01,9.01 02/22/05 TLC VISION CORP A6 8.01,9.01 02/24/05 TNX TELEVISION HOLDINGS INC NV 8.01,9.01 02/22/05 TODCO DE 8.01 02/23/05 TOOTSIE ROLL INDUSTRIES INC VA 8.01 12/31/04 TOREADOR RESOURCES CORP DE 1.01,2.03,3.02,3.03,9.01 02/24/05 TREX CO INC DE 1.01 02/17/05 TRINITY CAPITAL CORP 8.01 02/17/05 TRUE HEALTH INC UT 3.02 02/21/05 ULTIMATE ELECTRONICS INC DE 3.01 02/23/05 ULTRASTRIP SYSTEMS INC FL 5.02 02/24/05 ULTRATECH INC DE 7.01,9.01 02/24/05 UNION DENTAL HOLDINGS, INC. 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