SEC NEWS DIGEST Issue 2005-249 December 29, 2005 ENFORCEMENT PROCEEDINGS SCHULTZ INVESTMENT ADVISORS, INC. AND SCOTT SCHULTZ DISCIPLINED FOR FRADULENT MARKING-THE-CLOSE TRANSACTIONS On December 28, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 against Schultz Investment Advisors, Inc. and Scott Schultz. The Order finds that, from at least June 2002 through December 2003, Scott Schultz, President and founder of Schultz Investment, fraudulently engaged in marking-the-close transactions by regularly placing large, end-of-the- quarter trades in four thinly-traded closed-end funds within five minutes of market close. Schultz did this to boost the closing prices of the funds. As a result, he reported better quarterly performance results for his clients' portfolios. Schultz Investment benefited by collecting more management fees from its clients. Schultz Investment also misrepresented the investment strategies of its portfolios that it offered to clients and, as a beneficial owner of more than 5% of two closed-end funds, failed to file the required Schedule 13G with the Commission. Based on the above, the Order requires Schultz Investment. and Scott Schultz to cease and desist from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, Sections 206(1), 206(2), 206(4) of the Advisers Act, and Rule 206(4)-1(a)(5) thereunder, and Schultz Investment to cease and desist from future violations of Section 13(d) of Exchange Act and Rule 13d-1 thereunder, to pay, jointly and severally, disgorgement and prejudgment interest in the amount of $14,534.00 and a civil penalty in the amount of $100,000, and to comply with the following undertakings: (1) not to advertise or distribute marketing materials for one year; (2) to retain an independent consultant to review on a quarterly basis all trading by Schultz Investment and submit a quarterly report to the Commission's staff for a period of two years; and (3) to distribute the Order to all existing and new clients for a period of two years. Schultz Investment and Scott Schultz consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rels. 33-8650; 34-53029; IA-2470; File No. 3-12136) IN THE MATTER OF PHILIP PHILLIPS On December 28, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Philip D. Phillips (Phillips). The Order finds that Phillips, age 61, has been a Commission-registered broker-dealer since 1985. On Sept. 15, 2005, a final judgment was entered against Phillips, individually and doing business as American Heartland Sagebrush Securities Investments, Inc., and Sagebrush Securities, American Heartland, Inc. (Sagebrush) permanently enjoining him from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action captioned Securities and Exchange Commission v. Philip D. Phillips, et al., Civil Action Number: 2:05CV- 107-J (USDC/NDTX- Amarillo Division). The Commission's Complaint alleged that Phillips induced at least 39 investors, including certain of his long-time brokerage customers, to invest as much as $2.5 million with Sagebrush, which he falsely portrayed as a registered broker-dealer with accounts insured by the Securities Investor Protection Corporation (SIPC). Based on the above, the Order bars Phillips from association with any broker or dealer. Phillips consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-53033; File No. 3-12137) LARRY STOCKETT CONVICTED ON CHARGES OF SECURITIES FRAUD AND WIRE FRAUD The Commission announced that on December 20 Larry Stockett (Stockett) was convicted of one count of securities fraud, one count of interstate transportation in execution of a scheme to defraud, and two counts of wire fraud in connection with a "pump and dump" scheme involving Hightec, Inc. (Hightec) a former publicly traded company of which Stockett was the sole officer and director. The criminal violations were, in part, the subject of a successful enforcement action brought in Las Vegas, Nevada against Stockett by the Commission in 2002. The Commission filed a civil complaint alleging that Stockett orchestrated a fraudulent scheme regarding Hightec and The S.I.N.C.L.A.R.E. Group, Inc., a second former publicly traded company he controlled, in which Stockett, among other things, issued numerous false press releases and other public statements concerning the companies and unlawfully sold his restricted shares of Hightec stock in unregistered transactions. A final judgment in the Commission's litigation was entered against Stockett on March 4, 2004, permanently enjoining him from violating numerous provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, prohibiting him from acting as an officer or director of a public company, ordering disgorgement and prejudgment interest totaling $1,836,181.56, and ordering a civil penalty of $120,000. For further information see SEC v. Larry A. Stockett, No. CV-S-02-1446-KJD-LRL (USDC D. Nevada). [U.S. v. Larry A. Stockett, No. CR-S-03-0430-HDM- PAL, USDC D. Nevada] (LR-19516) INVESTMENT ADVISERS ACT RELEASES GREENHOUSE ASSOCIATES, LLC AND SUPERIOR PARTNERS, LLC A notice has been issued giving interested persons until Jan. 20, 2006, to request a hearing on an application filed by Greenhouse Associates, LLC and Superior Partners, LLC (Applicants) for an order under Section 205(e) of the Investment Advisers Act of 1940. The order would permit registered investment advisers to charge Applicants performance-based advisory fees. (Rel. IA-2469 - December 28) INVESTMENT COMPANY ACT RELEASES FIRSTHAND FUNDS, ET AL. An order has been issued on an application filed by Firsthand Funds, et al. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-27199 - December 28) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2005-152) filed by the National Association of Securities Dealers relating to Manning price- improvement standards for decimals 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 Jan. 2, 2006. (Rel. 34-53026) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NASD-2005-117) filed by the National Association of Securities Dealers regarding a proposal seeking permanent approval of NASD Rule 2210(c)(3) and Interpretive Material 2210-5 concerning bond mutual fund volatility ratings prior to the expiration of the pilot on Dec. 29, 2005. Publication of the order is expected in the Federal Register during the week of Jan. 2, 2006. (Rel. 34-53027) 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-3ASR FOSTER WHEELER LTD, PERRYVILLE CORPORATE PARK, SERVICE ROAD EST 173, CLINTON, NJ, 08809, 9087304270 - 9,893,037 ($366,141,299.00) Equity, (File 333-130720 - Dec. 28) (BR. 06C) S-3D COMMUNITY BANK SHARES OF INDIANA INC, 101 W SPRING ST, P O BOX 939, NEW ALBANY, IN, 47150, 8129496844 - 100,000 ($2,343,000.00) Equity, (File 333-130721 - Dec. 28) (BR. 07B) SB-2 Nuevo Financial Center, Inc., 9348 BASILE ROUTHIER, MONTREAL QUEBEC, CANADA H2M 1T8, A8, 00000, 5142586441 - 0 ($23,662,618.00) Equity, (File 333-130722 - Dec. 28) (BR. 09B) SB-2 ICOA INC, 111 AIRPORT RD, WARWICK, RI, 02889, 4017399205 - 525,215,959 ($22,584,286.00) Equity, (File 333-130723 - Dec. 28) (BR. 11B) S-3 HORIZON OFFSHORE INC, HORIZON OFFSHORE INC, 2500 CITY WEST BLVD., STE. 2200, HOUSTON, TX, 77042, 7133612600 - 60,000,015 ($26,550,006.64) Equity, (File 333-130724 - Dec. 28) (BR. 04C) SB-2 Arthro Pharmaceuticals, Inc., 3316 WEST 1ST AVENUE, VANCOUVER, A1, V6R 1G4, 604-732-8455 - 3,920,909 ($137,231.82) Equity, (File 333-130729 - Dec. 28) (BR. 09) S-8 INTERVOICE INC, 17811 WATERVIEW PKWY, DALLAS, TX, 75252, 9724548000 - 0 ($32,497,675.00) Equity, (File 333-130734 - Dec. 28) (BR. 11B) S-3 APARTMENT INVESTMENT & MANAGEMENT CO, 4582 SOUTHULSTER ST PARKWAY, DENVER, CO, 80237, 3037578101 - 0 ($339,689,678.00) Equity, (File 333-130735 - Dec. 28) (BR. 08A) S-3ASR WELLPOINT INC, 120 MONUMENT CIRCLE, INDIANAPOLIS, IN, 46204, 3174886000 - 0 ($0.00) Other, (File 333-130736 - Dec. 28) (BR. 01A) S-8 DESWELL INDUSTRIES INC, UNIT 516-517 HONG LEONG INDUSTRIAL, COMPLEX #4 WANG KWONG RD, KOWLOON BAY KOWLOON, K3, 2127320030 - 500,000 ($5,192,500.00) Equity, (File 333-130738 - Dec. 28) (BR. 06A) S-4 DOANE PET CARE CO, 210 WESTWOOD PL, SUITE 400, BRENTWOOD, TN, 37027, 4176246166 - 0 ($152,000,000.00) Non-Convertible Debt, (File 333-130739 - Dec. 28) (BR. 04C) S-8 REPUBLIC BANCORP INC /KY/, REPUBLIC CORPORATE CENTER, 601 WEST MARKET ST, LOUISVILLE, KY, 40202, 5025843600 - 0 ($10,955,000.00) Equity, (File 333-130740 - Dec. 28) (BR. 07B) S-3 INDEVUS PHARMACEUTICALS INC, 33 HAYDEN AVENUE, LEXINGTON, MA, 02421, 6178618444 - 10,000,000 ($49,500,000.00) Equity, (File 333-130741 - Dec. 28) (BR. 01A) S-8 SuperDirectories Inc., 5337 ROUTE 374, MERRILL, NY, 12955, 518-425-0320 - 7,605,000 ($76,050.00) Other, (File 333-130742 - Dec. 28) (BR. 09) S-8 WELLPOINT INC, 120 MONUMENT CIRCLE, INDIANAPOLIS, IN, 46204, 3174886000 - 2,457,213 ($191,883,763.17) Equity, (File 333-130743 - Dec. 28) (BR. 01A) 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 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 ------------------------------------------------------------------------------------------------------- 110 MEDIA GROUP, INC. DE 2.01,5.01,9.01 12/22/05 AASTROM BIOSCIENCES INC MI 1.01,5.02,9.01 12/27/05 ACCUPOLL HOLDING CORP NV 5.02 12/23/05 ACE Securities Corp., Home Equity Loa DE 8.01,9.01 11/25/05 AMEND ADAPTEC INC DE 1.01,2.05,9.01 12/23/05 AEROCENTURY CORP DE 1.01,2.01 12/28/05 ALEXANDERS J CORP TN 1.01,9.01 12/21/05 ALIGN TECHNOLOGY INC DE 1.01,1.02,9.01 12/22/05 ALKERMES INC PA 8.01,9.01 12/27/05 Alternative Loan Trust 2005-86CB 9.01 12/28/05 AMANASU ENVIRONMENT CORP NV 8.01,9.01 12/27/05 AMBASSADORS INTERNATIONAL INC DE 1.01,3.02,5.02,9.01 12/27/05 AMERICAN HOME MORTGAGE INVESTMENT TRU DE 8.01,9.01 11/25/05 AMEND ANIMAS CORP DE 1.01,9.01 12/22/05 ANVIL HOLDINGS INC DE 5.02 12/27/05 APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01,9.01 12/28/05 APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01,9.01 12/28/05 APOGEE TECHNOLOGY INC DE 1.01 12/21/05 APPLIED IMAGING CORP DE 1.01 12/21/05 ARC WIRELESS SOLUTIONS INC UT 7.01,9.01 12/27/05 ARCH CHEMICALS INC VA 7.01,9.01 12/28/05 ARDEN REALTY INC MD 1.01,8.01,9.01 12/21/05 ARDEN REALTY LIMITED PARTNERSHIP MD 1.01,8.01,9.01 12/21/05 ARGENT SECURITIES INC., ASSET-BACKED 9.01 12/28/05 Arlington Tankers Ltd. D0 1.02,2.03 12/21/05 ARRAY BIOPHARMA INC DE 1.01,2.03 12/22/05 ARROW FINANCIAL CORP NY 1.01 12/21/05 ASHFORD HOSPITALITY TRUST INC MD 1.01,2.03,9.01 12/23/05 Ashlin Development Corp FL 3.02,4.01,9.01 12/15/05 AMEND ASPEN INSURANCE HOLDINGS LTD D0 8.01,9.01 12/28/05 Asset Backed Pass-Through Certificate 8.01 12/27/05 ATLAS AIR WORLDWIDE HOLDINGS INC DE 7.01,9.01 12/28/05 AURA SYSTEMS INC DE 1.01,9.01 12/21/05 AUTOBYTEL INC DE 8.01 12/15/05 Aviza Technology, Inc. DE 1.01,9.01 12/21/05 AZUREL LTD 7.01,8.01,9.01 12/28/05 BANC OF AMERICA FUNDING CORP DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 Banc of America Mortgage Securities M DE 8.01,9.01 12/27/05 BEA SYSTEMS INC DE 1.01 12/21/05 BEHRINGER HARVARD REIT I INC MD 1.01,9.01 12/28/05 BERRY PETROLEUM CO DE 7.01,9.01 12/28/05 BIOPHAN TECHNOLOGIES INC NV 1.01,2.01,2.03,3.02,5.02,9.01 12/21/05 BKF CAPITAL GROUP INC DE 1.01,9.01 12/21/05 BMW VEHICLE OWNER TRUST 2003-A 9.01 12/27/05 BMW Vehicle Owner Trust 2004-A 9.01 12/27/05 BMW Vehicle Owner Trust 2005-A 9.01 12/27/05 BOE FINANCIAL SERVICES OF VIRGINIA IN VA 1.01 12/22/05 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 1.01,9.01 12/23/05 BRISTOL MYERS SQUIBB CO DE 8.01,9.01 12/21/05 BSD MEDICAL CORP DE 7.01,9.01 12/27/05 BV Financial, Inc. X1 8.01,9.01 12/23/05 CAL MAINE FOODS INC DE 2.01,9.01 10/12/05 AMEND CALBATECH INC NV 9.01 11/30/04 AMEND CANANDAIGUA NATIONAL CORP NY 1.01 12/28/05 CANWEST PETROLEUM CORP 1.01,3.02,8.01,9.01 12/12/05 CAPITAL LEASE FUNDING INC 2.01,2.03,9.01 12/21/05 CAPTEC FRANCHISE CAPITAL PARTNERS L P DE 1.01,9.01 12/20/05 CARMAX INC VA 1.01,9.01 12/23/05 CASCADE BANCORP OR 1.01,3.02,5.02,9.01 12/27/05 CBRL GROUP INC TN 7.01,9.01 12/28/05 CDMC MORTGAGE PASS-THROUGH CERTIFICAT DE 9.01 12/19/05 CELGENE CORP /DE/ DE 5.02,8.01,9.01 12/28/05 Centale, Inc. NY 5.03,9.01 11/17/05 CENTENNIAL COMMUNICATIONS CORP /DE DE 1.01,2.03,9.01 12/21/05 CHARYS HOLDING CO INC 1.01,2.01,2.03,3.02,9.01 10/03/05 AMEND CHESAPEAKE ENERGY CORP OK 5.03,9.01 12/23/05 CHINA CONTINENTAL INC /UT/ UT 4.01,9.01 12/19/05 CHINA FINANCE, INC. UT 8.01,9.01 12/28/05 CHL Mortgage Pass-Through Trust 2005- DE 9.01 12/28/05 CIPHERGEN BIOSYSTEMS INC DE 2.02,5.02,9.01 12/21/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 12/27/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 12/27/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 12/27/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 12/27/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 12/27/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 12/27/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 12/27/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 12/27/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 12/27/05 CITIGROUP MORTGAGE LOAN TRUST 2005-6 8.01 12/27/05 Citigroup Mortgage Loan Trust Inc, Mo 8.01 12/27/05 CITIGROUP MORTGAGE LOAN TRUST INC. 20 8.01 12/27/05 Citigroup Mortgage Loan Trust Inc. 20 8.01 12/27/05 Citigroup Mortgage Loan Trust Inc. As 8.01 12/27/05 Citigroup Mortgage Loan Trust Inc. As 8.01 12/27/05 CITIGROUP MORTGAGE LOAN TRUST INC. MO 8.01 12/27/05 Citigroup Mortgage Loan Trust Inc., S 8.01 12/27/05 Citigroup Mortgage Loan Trust Inc., S 8.01 12/27/05 Citigroup Mortgage Loan Trust Inc., S 8.01 12/27/05 Citigroup Mortgage Loan Trust Inc., S 8.01 12/27/05 CITIZENS FINANCIAL CORP /KY/ KY 1.01,2.03,9.01 12/23/05 CNB BANCORP INC /NY/ NY 8.01,9.01 12/22/05 COLDWATER CREEK INC DE 1.01,5.02 12/22/05 COLOMBIA GOLDFIELDS LTD 5.02 12/23/05 COLUMBIA BANCORP MD 1.02,9.01 12/21/05 COMPUCREDIT CORP GA 1.01,3.02,9.01 12/21/05 CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 12/28/05 Cornerstone Core Properties REIT, Inc MD 5.03,9.01 12/23/05 CORPORATE BOND BACKED CERT TR SER 199 DE 8.01,9.01 11/15/05 CROSS A T CO RI 1.01,2.03 12/21/05 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 12/22/05 CRYOLIFE INC FL 5.02,5.03,8.01,9.01 12/27/05 CWABS INC DE 8.01,9.01 12/22/05 CWABS INC DE 8.01,9.01 12/22/05 CWABS INC DE 8.01,9.01 12/28/05 CWABS INC DE 8.01,9.01 12/28/05 CWALT INC 8.01,9.01 12/28/05 CWALT INC 8.01,9.01 12/27/05 CWALT INC 9.01 12/28/05 CWALT INC 8.01,9.01 12/28/05 CWALT INC 9.01 12/28/05 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 12/28/05 DECKERS OUTDOOR CORP DE 5.02,7.01,9.01 12/21/05 DEL GLOBAL TECHNOLOGIES CORP NY 1.01,2.01,3.02,8.01,9.01 12/22/05 DEL MONTE FOODS CO DE 7.01,9.01 12/28/05 DENDREON CORP DE 1.01,9.01 12/22/05 DIGITAL GENERATION SYSTEMS INC DE 1.01 12/21/05 DYNEGY INC /IL/ IL 1.01,1.02,2.03,7.01,9.01 12/23/05 EAST WEST BANCORP INC 1.01,9.01 12/28/05 ELECTRONIC CONTROL SECURITY INC NJ 8.01,9.01 12/27/05 Emergency Medical Services CORP DE 8.01,9.01 12/21/05 EMPIRE GLOBAL CORP. DE 5.02 12/21/05 EQUINIX INC DE 1.01,2.03 12/22/05 EXPRESSJET HOLDINGS INC DE 8.01,9.01 12/28/05 FBR Securitization, Inc. 8.01,9.01 12/27/05 FIDELITY SOUTHERN CORP GA 1.01 11/17/05 FINANCIAL INSTITUTIONS INC NY 1.01 12/21/05 FIRST CENTURY BANKSHARES INC WV 1.01 12/20/05 First Franklin Mortgage Loan Trust 20 DE 2.01,9.01 12/07/05 First Franklin Mortgage Loan Trust 20 DE 2.01,8.01,9.01 12/07/05 FIRST NATIONAL FUNDING LLC NE 8.01,9.01 12/15/05 FIRST SECURITY GROUP INC/TN TN 1.01 12/21/05 FIRSTMERIT CORP /OH/ OH 1.01,9.01 12/27/05 FOOT LOCKER INC NY 1.01,9.01 12/21/05 FORWARD INDUSTRIES INC NY 1.01,9.01 12/27/05 FOSTER WHEELER LTD D0 8.01,9.01 12/27/05 FOSTER WHEELER LTD D0 8.01,9.01 10/28/05 FOX & HOUND RESTAURANT GROUP DE 8.01 12/28/05 FOX & HOUND RESTAURANT GROUP DE 1.01,9.01 12/28/05 GARTNER INC DE 1.01,9.01 12/21/05 GENCORP INC OH 2.06,7.01,9.01 12/22/05 GENERAL MARITIME CORP/ 8.01,9.01 12/27/05 GREENVILLE FIRST BANCSHARES INC SC 1.01,1.02,2.03,2.06,9.01 12/22/05 Greenwich HarborView Mortgage Loan Tr DE 8.01,9.01 12/19/05 GREY WOLF INC TX 1.01,5.02,9.01 12/28/05 GS MORTGAGE SECURITIES CORP DE 8.01 12/05/05 HARBORVIEW MORTGAGE LOAN PASS-THROUGH DE 8.01,9.01 12/19/05 HarborView Mortgage Loan Trust 2005-1 DE 8.01,9.01 12/19/05 HARBORVIEW MORTGAGE LOAN TRUST 2005-1 DE 8.01,9.01 12/19/05 HarborView Mortgage Loan Trust 2005-1 DE 8.01,9.01 12/19/05 HarborView Mortgage Loan Trust 2005-2 DE 8.01,9.01 12/19/05 HarborView Mortgage Loan Trust 2005-3 DE 8.01,9.01 12/19/05 HARDINGE INC NY 1.01,9.01 12/22/05 HARSCO CORP DE 1.01,9.01 12/23/05 HAUPPAUGE DIGITAL INC DE 2.02,9.01 12/23/05 HEALTH DISCOVERY CORP TX 1.01,9.01 12/28/05 Henry Bros. Electronics, Inc. DE 2.01,9.01 10/10/05 AMEND HERTZ CORP DE 1.01,1.02,2.03,3.03, 12/28/05 5.01,5.02,5.03 HIBBETT SPORTING GOODS INC DE 1. 01 12/23/05 HOKU SCIENTIFIC INC DE 4.01,9.01 12/21/05 Home Equity Mortgage Trust 2005-5 DE 8.01,9.01 12/27/05 HOME INTERIORS & GIFTS INC TX 1.01,9.01 12/22/05 HUTCHINSON TECHNOLOGY INC MN 1.01,2.03,9.01 12/21/05 HYDROGEN ENGINE CENTER, INC. NV 9.01 12/28/05 IGIA, Inc. DE 1.01,2.03,3.02,9.01 12/22/05 Ignis Petroleum Group, Inc. 1.01,3.02,9.01 12/22/05 IHEALTH INC DE 8.01,9.01 12/23/05 IKONA GEAR INTERNATIONAL INC NV 1.01,9.01 12/15/05 INDEPENDENCE HOLDING CO DE 7.01,9.01 12/28/05 INFINIUM LABS INC DE 4.01,9.01 01/05/04 AMEND INNODATA ISOGEN INC DE 1.01,5.02,9.01 12/22/05 INTERPOOL INC DE 1.01,2.03,8.01,9.01 12/21/05 INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 12/27/05 InZon CORP NV 9.01 09/24/04 AMEND IPAYMENT INC DE 1.01,9.01 12/27/05 ISLANDS BANCORP SC 7.01,9.01 12/20/05 ISLE OF CAPRI CASINOS INC DE 8.01 12/28/05 ISLE OF CAPRI CASINOS INC DE 8.01,9.01 12/28/05 IT&E INTERNATIONAL GROUP 2.03,3.02,9.01 12/22/05 IVAX DIAGNOSTICS INC DE 1.02 12/21/05 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 12/28/05 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 12/28/05 JMAR TECHNOLOGIES INC DE 8.01,9.01 12/21/05 JUPITERMEDIA CORP DE 1.01,2.01,7.01,9.01 12/23/05 JUPITERMEDIA CORP DE 1.01 12/23/05 JUPITERMEDIA CORP DE 1.01,1.02,2.03,7.01,9.01 12/22/05 KINDRED HEALTHCARE, INC DE 1.01,7.01,9.01 12/27/05 KNOVA SOFTWARE, INC. DE 1.01,2.03 12/21/05 KONA GRILL INC DE 7.01,9.01 12/28/05 LANDMARK BANCORP INC DE 8.01,9.01 12/28/05 LASERSCOPE CA 1.01,9.01 12/21/05 LEESPORT FINANCIAL CORP PA 1.01,5.02,9.01 12/21/05 LINENS N THINGS INC DE 7.01,9.01 12/27/05 LOUISIANA-PACIFIC CORP DE 1.01,2.03,7.01,9.01 12/21/05 MADISON RIVER CAPITAL LLC DE 4.01,9.01 12/28/05 MAGELLAN PETROLEUM CORP /DE/ DE 8.01,9.01 12/23/05 MAINSOURCE FINANCIAL GROUP IN 9.01 12/28/05 MAJESTIC STAR CASINO LLC IN 2.01,2.03,9.01 12/21/05 MARSH SUPERMARKETS INC IN 1.02 12/21/05 MATRIX SERVICE CO DE 8.01,9.01 12/21/05 MATTEL INC /DE/ DE 1.01,9.01 12/28/05 MCDERMOTT INTERNATIONAL INC R1 1.01,9.01 12/22/05 MEDICINES CO /DE DE 1.01 12/23/05 MERCURY COMPUTER SYSTEMS INC MA 1.01,9.01 12/22/05 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 12/28/05 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 12/28/05 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 12/28/05 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 12/28/05 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 07/25/05 AMEND MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 06/27/05 AMEND MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 10/25/05 AMEND MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 09/26/05 AMEND METRIS MASTER TRUST DE 8.01,9.01 12/20/05 MINRAD INTERNATIONAL, INC. 1.01,2.03 12/28/05 MOOG INC NY 8.01,9.01 12/28/05 MORTGAGE LOAN PASS-THROUGH CERTIFICAT DE 8.01,9.01 12/19/05 MULTI FINELINE ELECTRONIX INC 8.01,9.01 12/28/05 NATIONAL HEALTH INVESTORS INC MD 1.01 12/27/05 NATIONAL HEALTHCARE CORP DE 1.01 12/27/05 NATIONAL HOUSING PARTNERSHIP REALTY F MD 8.01,9.01 12/28/05 NATIONAL RV HOLDINGS INC DE 8.01 12/09/05 NATIONWIDE FINANCIAL SERVICES INC/ DE 8.01,9.01 12/28/05 NATIONWIDE LIFE INSURANCE CO OH 8.01,9.01 12/28/05 NATURAL HEALTH TRENDS CORP DE 1.01,2.01,9.01 12/21/05 NEBS Bancshares, Inc. MD 8.01,9.01 12/28/05 NEENAH FOUNDRY CO WI 2.02,9.01 12/27/05 Nelnet Student Loan Trust 2002-2 8.01,9.01 12/27/05 New Century Home Equity Loan Trust Se DE 9.01 12/15/05 NEW ENGLAND BANCSHARES INC 8.01,9.01 12/28/05 NEWPARK RESOURCES INC DE 5.02,9.01 12/15/05 NEWS CORP 8.01,9.01 12/28/05 NEWS CORP 1.01,2.03 12/23/05 NII HOLDINGS INC DE 1.01 12/22/05 NOBILITY HOMES INC FL 2.02,9.01 12/22/05 NOBLE CORP 1.01,2.01,2.03,7.01,9.01 12/22/05 NORTHLAND CABLE TELEVISION INC WA 2.03 12/27/05 NRG ENERGY, INC. DE 1.01,7.01,9.01 12/27/05 OGE ENERGY CORP OK 8.01,9.01 12/28/05 OKLAHOMA GAS & ELECTRIC CO OK 8.01,9.01 12/28/05 OPENWAVE SYSTEMS INC DE 1.01 12/22/05 OPTICARE HEALTH SYSTEMS INC DE 5.02 12/22/05 ORCHID CELLMARK INC 1.01 12/21/05 ORTHOLOGIC CORP DE 1.01,1.02,9.01 12/27/05 ORTHOVITA INC 1.01,9.01 12/22/05 OSI PHARMACEUTICALS INC DE 2.03,3.02,8.01,9.01 12/21/05 OSPREY GOLD CORP NV 3.02 12/28/05 AMEND PACIFIC FINANCIAL CORP WA 1.01,2.03,9.01 12/21/05 PACIFIC GAS & ELECTRIC CO CA 1.01,5.03,8.01,9.01 12/28/05 PACIFIC GAS & ELECTRIC CO CA 5.02 12/28/05 AMEND PACIFIC GAS & ELECTRIC CO CA 5.02 12/28/05 AMEND PER SE TECHNOLOGIES INC DE 8.01,9.01 12/28/05 PETROLEUM DEVELOPMENT CORP NV 8.01 12/27/05 PG&E CORP CA 1.01,5.03,8.01,9.01 12/28/05 PG&E CORP CA 5.02 12/28/05 AMEND PG&E CORP CA 5.02 12/28/05 AMEND PHC INC /MA/ MA 8.01,9.01 12/28/05 PHH CORP MD 1.01,9.01 12/21/05 PHHMC MORTGAGE PASS-THROUGH CERTIFICA DE 9.01 12/19/05 PHHMC MORTGAGE PASS-THROUGH CERTIFICA DE 9.01 12/19/05 PHHMC MORTGAGE PASS-THROUGH CERTIFICA DE 9.01 12/19/05 PHHMC MORTGAGE PASS-THROUGH CERTIFICA DE 9.01 12/19/05 PHHMC MORTGAGE PASS-THROUGH CERTIFICA DE 9.01 12/19/05 PNC FINANCIAL SERVICES GROUP INC PA 2.02,8.01,9.01 12/28/05 PortalPlayer, Inc. DE 1.01,5.02,9.01 12/26/05 PortalPlayer, Inc. DE 1.01,2.03,9.01 12/23/05 POWERHOUSE TECHNOLOGIES GROUP INC DE 1.01,3.02,9.01 12/23/05 PRIDE INTERNATIONAL INC DE 4.02 11/10/05 AMEND PROGENICS PHARMACEUTICALS INC DE 1.01,2.01,3.02,9.01 12/22/05 PUBLIC MEDIA WORKS INC 1.01,1.02,2.01,3.02,5.02 12/21/05 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 8.01 12/22/05 PXRE GROUP LTD 1.01,9.01 12/27/05 REMEDENT, INC. NV 1.01 12/21/05 REMY INTERNATIONAL, INC. DE 1.01,2.03,9.01 12/27/05 RENT A CENTER INC DE DE 1.01 12/21/05 RENTRAK CORP OR 1.01 12/21/05 RFMSI Series 2005-S9 Trust DE 8.01,9.01 12/28/05 ROBBINS & MYERS INC OH 1.01,2.03,9.01 12/23/05 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 8.01,9.01 12/22/05 RPM INTERNATIONAL INC/DE/ DE 2.02,9.01 12/27/05 RURAL METRO CORP AZ 1.01,9.01 12/27/05 RURAL/METRO CORP /DE/ DE 1.01,9.01 12/27/05 SALTON INC DE 1.01,9.01 12/23/05 Samurai Energy Corp. DE 4.01 12/08/05 AMEND SAPIENT CORP DE 1.01,9.01 07/20/05 SBA COMMUNICATIONS CORP FL 1.01,2.03,9.01 12/21/05 SCOTTISH RE GROUP LTD E9 2.03,9.01 12/21/05 SELECT MEDICAL CORP DE 1.01,9.01 12/23/05 SENETEK PLC /ENG/ 8.01,9.01 12/28/05 SFBC INTERNATIONAL INC DE 1.01,3.03,5.03,9.01 12/21/05 SG Mortgage Securities Trust 2005-OPT DE 8.01,9.01 12/27/05 Shire plc 8.01,9.01 12/23/05 SHOPKO STORES INC WI 8.01,9.01 12/28/05 SI INTERNATIONAL INC DE 7.01 06/23/05 AMEND SIERRA PACIFIC RESOURCES /NV/ NV 8.01,9.01 12/27/05 SIMULATIONS PLUS INC 8.01,9.01 12/27/05 SOCKET COMMUNICATIONS INC DE 1.01,9.01 12/28/05 SONIC AUTOMOTIVE INC DE 1.01 12/22/05 SONICBLUE INC DE 8.01,9.01 11/30/05 SONUS NETWORKS INC DE 1.01,9.01 12/21/05 SOURCECORP INC DE 7.01,9.01 12/28/05 SOUTH FINANCIAL GROUP INC SC 7.01,8.01,9.01 12/13/05 SPACEDEV INC CO 1.01,9.01 11/15/05 AMEND Spansion Inc. DE 1.01,9.01 12/26/05 SPX CORP DE 1.01,9.01 12/21/05 Star Maritime Acquisition Corp. DE 8.01,9.01 12/21/05 STEEL DYNAMICS INC IN 7.01,9.01 12/27/05 STEEL DYNAMICS INC IN 7.01,9.01 12/28/05 STEPAN CO DE 5.03,9.01 12/27/05 STERLING CONSTRUCTION CO INC DE 1.01,9.01 12/27/05 Structured Asset Investment Loan Trus DE 8.01 12/28/05 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 12/19/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 12/28/05 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 12/15/05 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 12/15/05 STRUCTURED PRODUCTS CORP CORTS TR II DE 8.01,9.01 12/15/05 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 12/15/05 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 12/15/05 SUNPOWER CORP CA 1.01 12/22/05 SUPPORTSOFT INC DE 1.01,9.01 12/21/05 Surge Global Energy, Inc. 1.01,2.03,3.02,8.01,9.01 12/21/05 SUSSEX BANCORP NJ 1.01 12/18/05 SUTRON CORP VA 1.01 12/22/05 SYNERTECK INC DE 5.02,5.03,9.01 12/23/05 TASKER CAPITAL CORP NV 5.02 12/23/05 TEDA TRAVEL INC FL 1.01,9.01 12/12/05 TEKELEC CA 5.02 12/21/05 TESSERA TECHNOLOGIES INC DE 7.01,9.01 12/27/05 THERMADYNE HOLDINGS CORP /DE DE 1.01,9.01 12/22/05 THORNBURG MORTGAGE INC MD 8.01,9.01 12/22/05 TITAN INTERNATIONAL INC IL 8.01 12/27/05 TITAN INTERNATIONAL INC IL 2.01,9.01 12/28/05 TRANSCEND SERVICES INC DE 1.01,2.03,3.02 12/21/05 TRANSTECHNOLOGY CORP DE 7.01,9.01 12/27/05 TRI-S SECURITY CORP GA 4.01,9.01 12/21/05 TRUSTCO BANK CORP N Y NY 8.01,9.01 12/28/05 U S CANADIAN MINERALS INC CA 8.01 12/28/05 UCBH HOLDINGS INC DE 1.01,9.01 12/28/05 UNION BANKSHARES INC VT 1.01 12/23/05 UNITED BANCORPORATION OF ALABAMA INC DE 2.02,9.01 12/07/05 UNITEDHEALTH GROUP INC MN 2.01,2.03 12/20/05 AMEND VENTURE FINANCIAL GROUP INC WA 1.01 12/28/05 VESTA INSURANCE GROUP INC DE 7.01,9.01 12/28/05 WABASH NATIONAL CORP /DE DE 1.01,3.03,5.03,9.01 12/28/05 WaMu Asset Acceptance Corp. DE 9.01 12/27/05 WASTE SERVICES, INC. A6 2.03,8.01,9.01 12/28/05 WATTS WATER TECHNOLOGIES INC DE 2.01,2.03,9.01 12/28/05 WCI COMMUNITIES INC 1.01,9.01 12/23/05 WEATHERFORD INTERNATIONAL LTD D0 8.01,9.01 12/28/05 WELLPOINT INC IN 1.01,2.01,2.03,5.02,9.01 12/28/05 WEYERHAEUSER CO WA 7.01 12/27/05 WHITEHALL JEWELLERS INC DE 8.01 12/27/05 WJ COMMUNICATIONS INC DE 1.01 12/21/05 WORLD HEALTH ALTERNATIVES INC FL 1.01,5.02,9.01 12/23/05 YARDVILLE NATIONAL BANCORP NJ 1.01,5.02,9.01 12/28/05