SEC NEWS DIGEST Issue 2003-94 May 16, 2003 ENFORCEMENT PROCEEDINGS SEC ISSUES SETTLED ORDER AGAINST NEW JERSEY INVESTMENT ADVISER FOR DISCLOSURE AND BEST EXECUTION VIOLATIONS On May 15, the Commission issued an Order against Jamison, Eaton & Wood, Inc., a registered investment adviser located in Chatham, New Jersey. The Order made findings that the firm failed to make required disclosures to certain of its clients and failed to seek to obtain best execution for them. The Commission ordered Jamison to cease and desist from violations of Sections 206(2) and 207 of the Investment Advisers Act, to pay a civil penalty of $100,000 and to comply with certain remedial undertakings. Jamison consented to the issuance of the Commission's Order without admitting or denying the findings therein. In the Order, the Commission found that Jamison received client referrals from registered representatives of full service broker-dealers and from third parties, such as accountants. When a client was referred to Jamison, the client's brokerage typically remained with the referring registered representative's firm, or, in the case of a third party referral, it remained with the firm of the client's existing registered representative. Most of the firm's other clients used less costly brokerage arrangements. The Order finds that Jamison failed to disclose these other available brokerage options to the referred clients. The Order also finds that Jamison failed to disclose to clients that it faced a potential conflict of interest in receiving referrals from registered representatives of full service broker-dealers. The Order further finds that, after referred clients were signed up, Jamison did not re-visit the issue of brokerage placement or commission rates with them. Although Jamison met regularly with clients to review portfolios and objectives, it did not periodically and systematically review the brokerage arrangements for purposes of analyzing best execution. The Commission found that, by failing to disclose its potential conflict of interest and other brokerage options, and by failing to seek to obtain best execution, Jamison violated Sections 206(2) and 207 of the Advisers Act. (Rel. IA-2129; File No. 3-11126) FINAL JUDGMENTS ENTERED AGAINST FIVE DEFENDANTS On Feb. 27, 2003, the United States District Court for the Southern District of New York entered Final Consent Judgments against defendants Justin Marvul, Michael Danilovich, James "Gennedy" Gaberkorn, Vadim "Steven" Shapiro and Arthur Prakopets. The judgments permanently enjoin Marvul, Danilovich, Gaberkorn and Shapiro from future violations of Section 17(a) of the Securities Act of 1933 and permanently enjoin Marvul, Danilovich, Gaberkorn, Shaprio and Prakopets from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule l0b-5 thereunder. As to Marvul and Danilovich, the judgments permanently enjoin them from acting as an officer or director of a public company. As to Shapiro, the judgment orders him to pay a civil penalty of $10,000 plus $2,349.47 in post judgment interest. Prakopets was ordered to pay a civil penalty of $5,000. The Commission's complaint, filed on June 14, 2000, alleged that between March 1998 and Oct. 1998, Marvul, Danilovich, Gaberkorn and Shapiro conducted a fraudulent offering of securities issued by defendant Diagnostic Professional Imaging Services, Inc., a magnetic resonance imaging company located in Brooklyn, New York. The complaint alleges that Marvul, Danilovich, Gaberkorn and Shapiro, directly and indirectly, made material misrepresentations to investors concerning Diagnostic's business prospects, plans for an initial public offering, and anticipated use of offering proceeds. These representations were false because Diagnostic was a start up company with no prospects for a public offering and the offering proceeds were misappropriated for the defendants' benefit. In a parallel criminal case brought by the United States Attorney's Office for the Southern District of New York, Marvul was sentenced to 46 months incarceration and ordered to pay restitution of $1,540,600, of which $560,500 is related to the Diagnostic fraud. Danilovich was sentenced to 30 months incarceration and ordered to pay restitution of $560,500, and Gaberkorn was sentenced to 18 months incarceration and ordered to pay restitution of $250,000. Shapiro was sentenced to three years probation and ordered to pay $25,000 in restitution. The Commission's complaint also alleges that Prakopets and Direct Surgical Supplies, Ltd. aided and abetted a fraudulent offering of Nationwide Medical Supplies, Ltd. common stock between March 1999 and Oct. 1999 by acting as a vehicle for them to misappropriate investor funds. On Sept. 21, 2001, the court entered partial final default judgments against Diagnostic, Nationwide and Direct Surgical permanently enjoining them from future violations of the antifraud provisions of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule l0b-5 thereunder. The partial final default judgments order Diagnostic, Nationwide and Direct Surgical to disgorge ill-gotten gains they received as a result of the violations alleged in the Commission's complaint, and pay prejudgment interest in an amount to be determined by the court at a later date. The partial final default judgments also order Diagnostic, Nationwide and Direct Surgical to pay civil penalties in an amount to be determined by the court at a later date. The Commission continues to litigate the case against the other individual defendants. [SEC v. Diagnostic Professional Imaging Services, Inc., et.al., 00 Civ. 4386, NRB, S.D.N.Y.] (LR-18138) COMMISSION OBTAINS INJUNCTION, CIVIL PENALTIES, AND AN OFFICER AND DIRECTOR BAR AGAINST FORMER JUST FOR FEET OFFICER On May 12, the Commission filed a complaint in federal district court in the Northern District of Alabama against Adam Gilburne, former Executive Vice President and Superstore Division President of Just for Feet, Inc., a Delaware corporation based, during the relevant period, in Birmingham, Alabama. Just for Feet was a national retailer of athletic and outdoor footwear and apparel. The company filed for bankruptcy protection in 1999. Gilburne consented to the entry of an injunction against him, civil penalties, and an officer and director bar. The Commission's complaint alleges that from at least 1997 through its 1999 demise, Just for Feet substantially overstated its assets and income through the use of bogus receivables from the company's outside advertising agency. One such receivable of $3 million comprised 8.7% of Just for Feet's $34.2 million in reported pre-tax income in its Form 10- K annual report for fiscal 1997. A second bogus receivable of $5.3 million comprised 12.3% of Just for Feet's $43.3 million in reported pre- tax income in its Form 10-K annual report for fiscal 1998. According to the complaint, Gilburne made or directed fraudulent adjustments in Just for Feet's financial records necessary to artificially inflate Just for Feet's earnings. In or around January 1998, a senior management official, Gilburne and others caused a false credit memorandum for $3 million from the advertising agency to be entered into Just for Feet's books and records. On Dec. 15, 1998, Gilburne agreed with the senior management official and the advertising agency president that the advertising agency would grant Just for Feet a rebate of $5.3 million for fiscal 1999. In or around May 1999, Gilburne spoke with the advertising agency's president about overbilling Just for Feet by $250,000 to give the advertising agency enough money to make a partial repayment on the balance of the $5.3 million receivable it purportedly owed Just for Feet. The Commission alleges that Gilburne's actions violated and/or aided and abetted violations of the antifraud, reporting, books-and-records, and internal controls provisions of the federal securities laws. Specifically, the Commission has charged Gilburne with violating Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5 and 13b2-1 thereunder, and aiding and abetting Just for Feet's violations of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. To settle the Commission's lawsuit, Gilburne agreed, without admitting or denying the Commission's allegations, to a permanent injunction, payment of $75,000 in civil penalties and the entry of an officer and director bar. The Commission wishes to thank the staff of the Alabama Securities Commission for its cooperation and assistance in this matter. The Commission's investigation is continuing. [SEC v. Adam Gilburne, Civil Action Number CV-03-AR-1087-S, N.D. Ala., May 12, 2003] (LR-18139; AAER- 1783) INVESTMENT COMPANY ACT RELEASE THE MAINSTAY FUNDS, ET AL. A notice has been issued giving interested persons until June 9, 2003, to request a hearing on an application filed by The MainStay Funds, et al., for an order under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(J)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17 (a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit certain management investment companies to invest uninvested cash and cash collateral in affiliated money market funds in excess of the limits in Sections 12(d)(1)(A) and (B) of the Act. (Rel. IC-26047 - May 15) HOLDING COMPANY ACT RELEASE AMERICAN TRANSMISSION COMPANY, LLC An order has been issued authorizing a proposal by American Transmission Company, LLC (ATC), an electric transmission public utility company subsidiary of Alliant Energy Corporation, a registered holding company, and ATC Management, Inc. (ATCMI), a public utility company, corporate manager of ATC, and holding company subsidiary of Alliant, claiming exemption from registration under Section 3(a)(1) by Rule 2 of the Act. ATC and ATCMI request authority to engage in various financing transactions through June 30, 2004. (Rel. 35-27678) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by NASD (SR-NASD-2003-77) to amend the fee schedule for the Nasdaq application of the Primex Auction Systemr, has become immediately 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 May 19. (Rel. 34-47857) A proposed rule change (SR-Amex-2003-40) filed by the American Stock Exchange to suspend transaction charges 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 May 19. (Rel. 34-47858) A proposed rule change filed by the American Stock Exchange relating to the withdrawal of approval for securities underlying options traded on the Exchange (SR-Amex-2003-38) 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 May 19. (Rel. 34-47862) The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2002-15) under Section 19(b)(1) of the Exchange Act. The proposed rule change, which became effective upon filing, allows NSCC to modify NSCC Rule 15 to specify what additional information participants and applicants must file with NSCC regarding their financial responsibility and operational capability. Publication of the proposal is expected in the Federal Register during the week of May 19. (Rel. 47873) PROPOSED RULE CHANGES The Depository Trust Company filed a proposed rule change (SR-DTC-2002- 19) under Section 19(b)(1) of the Exchange Act that would allow DTC to establish an Inventory Management System (IMS). The IMS would provide new central control capabilities for the settlement process including new capabilities for transaction authorization and new controls for the management of pending deliveries. Publication of the proposal is expected to be made in the Federal Register during the week of May 19, 2003. (Rel. 34-47826) The Commission published notice of a proposed rule change (SR-NSCC- 200308) filed by the National Securities Clearing Corporation under Section 19(b)(1) of the Exchange Act. The proposed rule change would amend NSCC's Rule 4, Section 12, to make clear NSCC's ability to pledge clearing fund deposits and NSCC's members' rights to pledged deposits. Publication of the proposal is expected in the Federal Register during the week of May 19. (Rel. 34-47874) The Commission published notice of a proposed rule change (SR-DTC-2003- 08) filed by The Depository Trust Company under Section 19(b)(1) of the Exchange Act. The proposed rule change would amend DTC's Rule 4A, Pledge of Property to the Corporation and Its Lenders. Publication of the proposal is expected in the Federal Register during the week of May 19. (Rel. 34-47875) NOTICE OF FILING OF PLAN FOR ALLOCATION OF REGULATORY REPONSIBILITIES A proposed plan (File No. S7-966) between the NASD and the International Securities Exchange has been filed pursuant to Section 17d-1 of the Securities Exchange Act of 1934 and Rule 17d-2 thereunder. Publication of the proposal is expected in the Federal Register during the week of May 19. (Rel. 34-47871) DELISTINGS An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the Common Stock, $.001 par value, of ATSI Communications, Inc., effective at the opening of business on May 16. (Rel. 34-47872) An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting the underlying common stock of the following companies effective at the opening of business on May 16, 2003: ARM Holdings PLC (ARMHY), AT&T Canada Inc. (ATTC), Electroglas, Inc. (EGLS), Metris Companies, Inc. (MXT), Parker Drilling Company (PKD), and Vesta Insurance Group, Inc. (VTA). (Rel. 34-47877) 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 COMPUTER NETWORK TECHNOLOGY CORP, 6000 NATHAN LANE NORTH, -, MINNEAPOLIS, MN, 55442, 763-268-6117 - 0 ($7,748,000.00) Equity, (File 333-105240 - May. 15) (BR. 03) S-8 COMPUTER NETWORK TECHNOLOGY CORP, 6000 NATHAN LANE NORTH, -, MINNEAPOLIS, MN, 55442, 763-268-6117 - 0 ($7,450,000.00) Equity, (File 333-105241 - May. 15) (BR. 03) S-3 GOLDMAN SACHS GROUP INC/, 85 BROAD ST, NEW YORK, NY, 10004, 2129021000 - 0 ($16,815,000,000.00) Other, (File 333-105242 - May. 15) (BR. 07) S-8 SPRINT CORP, PO BOX 11315, KANSAS CITY, MO, 64112, 9136243000 - 50,000,000 ($263,600,000.00) Equity, (File 333-105244 - May. 15) (BR. 37) S-8 BOISE CASCADE CORP, 1111 WEST JEFFERSON STREET, P O BOX 50, BOISE, ID, 83728-0001, 2083846161 - 2,200,000 ($52,481,000.00) Equity, (File 333-105245 - May. 15) (BR. 04) S-8 I STAT CORPORATION /DE/, 104 WINDSOR CENTER DRIVE, EAST WINDSOR, NJ, 08520, 6094439300 - 2,000,000 ($15,480,000.00) Equity, (File 333-105249 - May. 15) (BR. 36) N-2 FOUR CORNERS CLAYMORE CORPORATE HIGH INCOME PORTFOLIO, 633 WEST FIFTH STREET, 49TH FLOOR, LOS ANGELES, CA, 90071, 2132334444 - 0 ($1,000,000.00) Equity, (File 333-105251 - May. 15) (BR. ) S-8 ATLAS MINERALS INC, 10920 W. ALAMEDA AVENUE, SUITE 205, LAKEWOOD, CO, 80226, 3033060823 - 50,000 ($9,000.00) Other, (File 333-105262 - May. 15) (BR. 04) S-8 PEC SOLUTIONS INC, 12750 FAIR LAKES CIRCLE, FAIRFAX, VA, 22033, 7032739880 - 0 ($1.00) Equity, (File 333-105263 - May. 15) (BR. 03) S-8 KOHLS CORPORATION, N56 W17000 RIDGEWOOD DR, MENOMONEE FALLS, WI, 53051, 4147835800 - 15,000,000 ($801,000,000.00) Equity, (File 333-105264 - May. 15) (BR. 02) S-8 EDO CORP, 60 EAST 42ND STREET, 42ND FLOOR, NEW YORK, NY, 10165, 2127162000 - 0 ($16,380,000.02) Equity, (File 333-105265 - May. 15) (BR. 05) S-8 ASK JEEVES INC, 5858 HORTON ST, SUITE 350, EMERYVILLE, CA, 94608, 9256039071 - 3,400,000 ($32,079,000.00) Equity, (File 333-105271 - May. 15) (BR. 08) S-3 NORTHEAST UTILITIES SYSTEM, 174 BRUSH HILL AVE, WEST SPRINGFIELD, MA, 01090-0010, 4137855871 - 150,000,000 ($150,000,000.00) Debt Convertible into Equity, (File 333-105273 - May. 15) (BR. 02) S-3 AMERICREDIT CORP, 801 CHERRY STREET, SUITE 3900, FORT WORTH, TX, 76102, 8173027000 - 1,287,691 ($9,786,452.00) Equity, (File 333-105275 - May. 15) (BR. 07) S-3 TUT SYSTEMS INC, 5964 W LAS POSITAS, PLEASANTON, CA, 94588, 9256826510 - 3,283,597 ($10,261,240.00) Equity, (File 333-105276 - May. 15) (BR. 37) S-11 ASHFORD HOSPITALITY TRUST INC, 14180 DALLAS PARKWAY 9TH FL, DALLAS, TX, 75254, 9724909600 - 0 ($402,500,000.00) Equity, (File 333-105277 - May. 15) (BR. ) SB-2 INSIGHTFUL SOLUTIONS INC, 221 SUNNY RIDGE LANE, GOLDEN VALLEY, MN, 55422, 7633777795 - 2,000,000 ($3,725,000.00) Equity, (File 333-105278 - May. 15) (BR. ) SB-2 TECHNOLOGY VISIONS GROUP INC, 5950 LA PLACE COURT, SUITE 155, CARLSBAD, CA, 92008, 760-918-9168 - 23,956,044 ($3,114,285.72) Equity, (File 333-105279 - May. 15) (BR. 06) S-8 THOMSON CORP /CAN/, STE 2706 TORONTO DOMINION BANK TOWER, TORONTO DOMINION CENTRE, TORONTO ONTARIO CANADA, A6, M5K 1A1, 0 ($267,210,000.00) Equity, (File 333-105280 - May. 15) (BR. 05) S-8 IDIAL NETWORKS INC, 9728181058 - 10,000,000 ($75,000.00) Other, (File 333-105281 - May. 15) (BR. 37) S-1 JWH GLOBAL TRUST, C/O CIS INVESTMENTS INC, 233 S WACKER DR STE 2300, CHICAGO, IL, 60606, 3124604000 - 0 ($300,000,000.00) Other, (File 333-105282 - May. 15) (BR. 08) S-8 TANDY BRANDS ACCESSORIES INC, 690 E LAMAR BLVD STE 200, ARLINGTON, TX, 76011, 8172654113 - 0 ($3,082,500.00) Equity, (File 333-105283 - May. 15) (BR. 02) S-8 AFFILIATED COMPUTER SERVICES INC, 2828 N HASKELL AVE, PO BOX 219002, DALLAS, TX, 75204, 2148416111 - 0 ($103,300,000.00) Equity, (File 333-105284 - May. 15) (BR. 03) SB-2 VOICE DIARY INC, PO BOX BOX 30, 200 ROBBINS LANE, JERICHO, NY, 11573, 5,126,470 ($6,408,087.50) Equity, (File 333-105285 - May. 15) (BR. ) SB-2 WILON ENERGY GROUP INC, 931 ASHLAND TERRACE, CHATTANOOGA, TN, 37415, 4238775670 - 4,879,000 ($2,439,500.00) Equity, (File 333-105286 - May. 15) (BR. ) S-3 INTRABIOTICS PHARMACEUTICALS INC /DE, 1255 TERRA BELLA AVENUE, MOUNTAIN VIEW, CA, 94043, 6505266800 - 2,762,103 ($4,944,164.37) Equity, (File 333-105288 - May. 15) (BR. 01) F-1 GRACECHURCH CARD FUNDING NO 4 PLC, 0 ($3,000,000.00) Asset-Backed Securities, (File 333-105289 - May. 15) (BR. ) S-8 ALTERNET SYSTEMS INC, 2200-1055 WEST HASTINGS ST V6E 2E9, VANCOUVER, A1, 00000, 6047334408 - 5,000,000 ($1,500,000.00) Equity, (File 333-105290 - May. 15) (BR. 03) S-8 MASS MEGAWATTS WIND POWER INC, 11 MAPLE AVE, SHREWSBURY, MA, 01545, 18,000 ($43,200.00) Equity, (File 333-105291 - May. 15) (BR. 02) S-8 EAST WEST BANCORP INC, 415 HUNTINGTON DRIVE, SAN MARINO, CA, 91108, 6267995700 - 0 ($33,585,139.98) Equity, (File 333-105292 - May. 15) (BR. 07) N-2 NEUBERGER BERMAN REALTY INCOME FUND INC, 605 THIRD AVENUE 2ND FLOOR, NEW YORK, NY, 10158, 2124768800 - 160 ($4,000,000.00) Equity, (File 333-105293 - May. 15) (BR. 16) S-8 TANDY BRANDS ACCESSORIES INC, 690 E LAMAR BLVD STE 200, ARLINGTON, TX, 76011, 8172654113 - 0 ($15,905,967.15) Equity, (File 333-105294 - May. 15) (BR. 02) S-3 CHENIERE ENERGY INC, THREE ALLEN CENTER, 333 CLAY STREET SUITE 3400, HOUSTON, TX, 77002-4312, 2815784600 - 3,412,892 ($7,417,178.60) Equity, (File 333-105295 - May. 15) (BR. 04) S-8 ALTERA CORP, 101 INNOVATION DR, SAN JOSE, CA, 95134, 4085448000 - 0 ($134,880,000.00) Equity, (File 333-105296 - May. 15) (BR. 36) S-8 ARQULE INC, 19 PRESIDENTIAL WAY, WOBURN, MA, 01801, 6173954100 - 0 ($366,500.00) Equity, (File 333-105297 - May. 15) (BR. 01) S-8 ARQULE INC, 19 PRESIDENTIAL WAY, WOBURN, MA, 01801, 6173954100 - 0 ($733,000.00) Equity, (File 333-105298 - May. 15) (BR. 01) S-8 ARQULE INC, 19 PRESIDENTIAL WAY, WOBURN, MA, 01801, 6173954100 - 0 ($3,665,000.00) Equity, (File 333-105299 - May. 15) (BR. 01) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 0 ($5,653,844.13) Equity, (File 333-105300 - May. 15) (BR. 03) S-3 CENDANT MORTGAGE CAPITAL LLC, 3000 LEADENHALL ROAD, MT LAUREL, NJ, 08054, 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-105302 - May. 15) (BR. 05) 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 ----------------------------------------------------------------------------------- 1 800 FLOWERS COM INC DE X X 05/15/03 4 KIDS ENTERTAINMENT INC NY X X 05/14/03 A CONSULTING TEAM INC NY X X 05/14/03 AMEND ACCESS WORLDWIDE COMMUNICATIONS INC DE X X 05/13/03 ACTRADE FINANCIAL TECHNOLOGIES LTD DE X X 05/15/03 ADAMS RESOURCES & ENERGY INC DE X X 05/15/03 ADDVANTAGE TECHNOLOGIES GROUP INC OK X 05/15/03 ADVANCED DIGITAL INFORMATION CORP WA X X 05/15/03 ADVANTA EQUIPMENT LEASING RECEIVABLES NV X 05/12/03 AIRNET COMMUNICATIONS CORP DE X X 05/15/03 ALADDIN SYSTEMS HOLDINGS INC NV X X 05/14/03 ALEXANDRIA REAL ESTATE EQUITIES INC MD X X 05/15/03 ALFA INTERNATIONAL CORP NJ X 05/15/03 ALL AMERICAN SEMICONDUCTOR INC DE X X 05/14/03 ALLEGHENY ENERGY INC MD X X 05/12/03 ALLEGIANCE TELECOM INC DE X X X 05/14/03 ALLIED FIRST BANCORP INC X X 05/15/03 ALLIED MOTION TECHNOLOGIES INC CO X 07/29/02 AMEND ALLIED PRODUCTS CORP /DE/ DE X X 04/01/03 ALMOST FAMILY INC DE X 03/31/03 AMERICAN ARCHITECTURAL PRODUCTS CORP DE X X 05/06/03 AMERICAN EAGLE OUTFITTERS INC DE X X 05/15/03 AMERICAN EXPRESS CENTURION BANK UT X X 04/15/03 AMERICAN EXPRESS CREDIT CORP DE X 05/14/03 AMERICAN EXPRESS MASTER TRUST DE X X 05/15/03 AMERICAN INTERNATIONAL ASSETS INC UT X 05/06/03 AMEND AMERICAN PHYSICIANS SERVICE GROUP INC TX X 05/15/03 AMERICAN TIRE DISTRIBUTORS INC DE X X 05/14/03 AMERUS GROUP CO/IA IA X 05/15/03 APPLIANCE RECYCLING CENTERS OF AMERIC MN X X 05/14/03 APPLIED DIGITAL SOLUTIONS INC MO X X 05/15/03 APPLIX INC /MA/ MA X 05/13/03 AQUILA INC DE X X 05/15/03 ASCONI CORP NV X X 05/14/03 ASHCROFT HOMES CORP CO X 05/06/03 AMEND ATLANTIC COAST AIRLINES HOLDINGS INC DE X 05/15/03 ATP OIL & GAS CORP TX X 05/15/03 AUCXIS CORP NV X 04/11/03 AUDIBLE INC X X 05/12/03 AUTOFUND SERVICING INC NV X X 03/31/03 AVATAR HOLDINGS INC DE X X 05/14/03 AXT INC DE X 05/14/03 AZUREL LTD X 04/25/03 BALLANTYNE OF OMAHA INC DE X X 05/15/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 05/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 05/10/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 05/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 05/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 05/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X 05/15/03 BARR LABORATORIES INC NY X 05/15/03 BASIC ENERGY INC UT X 05/12/03 BASIC ENERGY INC UT X 05/12/03 BASIC ENERGY INC UT X 05/12/03 BBJ ENVIRONMENTAL TECHNOLOGIES INC NV X X 05/15/03 BEAR STEARNS ASSET BACKED SEC INC ASS DE X 04/30/03 BEVERLY ENTERPRISES INC DE X 05/13/03 BINGO COM INC FL X 03/31/03 BIOANALYTICAL SYSTEMS INC IN X X 04/30/03 BLONDER TONGUE LABORATORIES INC DE X X X 05/09/03 BLUE VALLEY BAN CORP KS X X 04/14/03 BONGIOVI ENTERTAINMENT INC NV X 09/10/02 AMEND BROOKE CORP KS X X 05/05/03 BRUNSWICK CORP DE X X 05/15/03 BULL RUN CORP GA X X 05/15/03 BURKE MILLS INC NC X 03/29/03 BUTLER MANUFACTURING CO DE X 05/15/03 CABLEVISION SYSTEMS CORP /NY DE X X 05/13/03 CALDERA INTERNATIONAL INC/UT DE X 05/14/03 CALDERA INTERNATIONAL INC/UT DE X 05/14/03 CANTERBURY CONSULTING GROUP INC PA X 05/08/03 CAPSTEAD MORTGAGE CORP MD X 05/14/03 CBRL GROUP INC TN X X 05/15/03 CC MASTER CREDIT CARD TRUST II MD X 05/15/03 CENTRAL EUROPEAN MEDIA ENTERPRISES LT X 05/15/03 CERBCO INC DE X 05/14/03 CHASE CREDIT CARD MASTER TRUST NY X 05/14/03 CHASE CREDIT CARD MASTER TRUST NY X X 05/15/03 CHASE CREDIT CARD MASTER TRUST NY X X 05/15/03 CHASE MANHATTAN BANK USA DE X X 05/15/03 CHASE MANHATTAN BANK USA DE X X 05/15/03 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 05/15/03 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 05/15/03 CHILDRENS PLACE RETAIL STORES INC X X 05/15/03 CHINA XIN NETWORK MEDIA CORP FL X X 05/14/03 CHINDEX INTERNATIONAL INC DE X 03/31/03 CHYRON CORP NY X X 05/15/03 CIRCUIT CITY CREDIT CARD MASTER TRUST DE X X 04/30/03 CITADEL SECURITY SOFTWARE INC DE X 05/15/03 CLARUS CORP DE X X 05/15/03 CNB FINANCIAL CORP/PA PA X X 05/13/03 COEUR D ALENE MINES CORP ID X X 05/14/03 COLLEGIATE PACIFIC INC DE X 05/15/03 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