SEC NEWS DIGEST Issue 2002-34 February 20, 2002 ENFORCEMENT PROCEEDINGS SAN FRANCISCO PORTFOLIO MANAGER SANCTIONED Charles K. Seavey, of the San Francisco, California, area, has been fined for his role in a misleading report to investors in a hedge fund. The fine and other sanctions were imposed after a hearing before an administrative law judge. Seavey had been employed by Morgan Fuller Capital Management LLC, a now-defunct investment adviser, to manage the portfolio of its hedge fund, Paradigm Capital Fund LP,in 1997. The hedge fund went into receivership in 2000 as a result of a fraud perpetrated by one of Morgan Fuller's co-owners, Alexander Lushtak, who is now serving a seventy-one month sentence for money laundering. The hedge fund's strategy had been to invest in out-of-favor investments as a hedge against its investors' otherwise conservative portfolios. The strategy caused steep losses, which Morgan Fuller determined to reverse by purchasing shares in a Lithuanian bank in a transaction arranged by Lushtak. The transaction turned out to be fraudulent. The fund paid $239,000 to an account, which, unbeknownst to Morgan Fuller, Lushtak controlled. Five months later Morgan Fuller had not received the shares, despite diligent efforts by Seavey, with various excuses being provided by individuals in Lithuania. Lushtak had kept the $239,000 and not delivered the shares. Nonetheless, Seavey prepared and signed a performance report to the hedge fund's investors that included the bank stock, causing the fund's performance to appear vastly more favorable than reality. Thus, the law judge concluded, Seavey aided and abetted violations of the antifraud provisions of the securities laws. The law judge censured him, fined him $10,000, and imposed a thirty-day suspension and cease-and-desist order. (Initial Decision No. 200; File No. 3-10336) SEC CHARGES REAL ESTATE MANAGEMENT AND DEVELOPMENT COMPANY AND THREE OF ITS FORMER OFFICERS WITH DISCLOSURE VIOLATIONS The Commission announced today that it filed a settled civil action alleging that J. Donald Nichols of Atlanta, GA, Jeb L. Hughes of Atlanta, GA, and C. Sheldon Whittelsey, IV of Marietta, GA, violated anti-fraud, periodic reporting, books and records, and proxy provisions of the federal securities laws while officers of JDN Realty Corp. of Atlanta, GA. The Commission also announced today that it instituted and simultaneously settled cease-and-desist proceedings against JDN Realty. JDN Realty is a real estate investment trust listed on the New York Stock Exchange. In the federal court action, the Commission's complaint alleges that the three defendants, all former officers of JDN Realty, arranged for cash and property to be transferred to Hughes and Whittelsey from third parties who sold real estate to JDN Realty. Nichols, Hughes, and Whittelsey failed to inform JDN Realty's accounting department of this compensation arrangement, and they also failed to disclose certain other related-party transactions. As a result, JDN Realty's public filings failed to disclose the executive officer compensation and related-party transactions, and by not properly accounting for the compensation, JDN Realty materially misstated its 1994 through 1997 annual financial statements and two quarterly financial statements in 1998. Nichols, without admitting or denying the allegations in the Complaint, consented to the entry of a final judgment permanently enjoining him from future violations of Section 17(a) of the Securities Act; Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 14(a) of the Exchange Act; and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2-1, 13b2-2, and 14a-9 thereunder. Nichols also agreed to pay a civil penalty of $110,000. Hughes and Whittelsey, without admitting or denying the allegations in the Complaint, consented to the entry of final judgments permanently enjoining them from future violations of Section 17(a) of the Securities Act; Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(5), and 14(a) of the Exchange Act; and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2-1, and 14a-9 thereunder. Hughes and Whittelsey also agreed to pay civil penalties of $60,000 each and to be prohibited for a period of five (5) years from acting as an officer or director of any publicly traded company. In the cease-and-desist proceedings, JDN Realty consented to the entry of a cease-and-desist order against it without admitting or denying the Order's findings. In its Order, the Commission found that JDN Realty's former chief executive officer authorized two vice presidents to receive cash or property in connection with certain real estate transactions. The three officers failed to inform JDN Realty's accounting department of this compensation arrangement, and they also failed to disclose certain other related-party transactions. As a result, JDN Realty's public filings failed to disclose the executive officer compensation and related-party transactions, and by not properly accounting for the compensation, JDN Realty materially misstated its 1994 through 1997 annual financial statements and two quarterly financial statements in 1998. The chief executive officer and two vice presidents resigned from their respective offices on February 14, 2000. The Commission found that JDN Realty committed violations of Sections 13(a), 13(b)(2)(A), 13(b)(2)(B), and 14(a) of the Exchange Act and Rules 13a-1, 13a-13, 13b2- 1, and 14a-9. [SEC v. J. Donald Nichols, Jeb L. Hughes, and C. Sheldon Whittelsey, IV, United States District Court for the Northern District of Georgia, Civil Action No. 1:02-CV-478] (LR-17366, AAE Rel. 1508); Administrating Proceedings In the Matter of JDN Realty Corporation - Rel. 34-45458, AAE Rel. 1507, File No. 3-10704) COMMISSION IMPOSES BAR FROM ASSOCIATION WITH ANY BROKER OR DEALER AGAINST RUSSELL TUREK AND ORDERS TUREK TO CEASE AND DESIST, DISGORGE COMMISSIONS, AND PAY PENALTY On February 20, the Commission sanctioned Russell C. Turek (Turek), a former registered representative with Norwest Investment Services, Inc., now known as Wells Fargo Brokerage Services, LLC, successor by merger (NISI), after finding that between February and August 1999, Turek engaged in various sales practice violations, including forging the signatures of his assistant and a customer, intentionally avoiding breakpoints, and engaging in unauthorized trading and improper mutual fund switching. Additionally, the Commission found that Turek engaged in these practices for the purpose of generating commissions. The Commission ordered Turek to cease and desist from committing or causing any violation and any future violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, to disgorge $1,412.55 plus prejudgment interest, representing the amount of the commissions Turek received as a result of his misconduct that had not been repaid, and to pay a $10,000 civil money penalty. The Commission also barred Turek from association with any broker or dealer with the right to reapply for association after two years. Turek consented to the entry of the Order without admitting or denying its findings. (Rel. 34-45459; File No. 3-10705) NORWEST INVESTMENT SERVICES, INC., NOW KNOWN AS WELLS FARGO BROKERAGE SERVICES, LLC, CHARGED WITH FAILURE TO SUPERVISE On February 20, the Commission sanctioned Norwest Investment Services, Inc., now known as Wells Fargo Brokerage Services, LLC, successor by merger (NISI), after finding that NISI's written procedures relating to mutual fund switching were not reasonably designed to prevent and detect inappropriate mutual fund switching in 1999. Additionally, the Commission found that NISI did not have a system in place to communicate, implement, and enforce effectively its switching policies and procedures. In the Order, the Commission found that, from February through August 1999, on at least seven occasions, a former NISI registered representative, engaged in various sales practice violations, including fraudulent mutual fund switching in at least seven customer accounts. The Commission found that NISI failed reasonably to supervise the registered representative to prevent or detect his mutual fund switching violations. Specifically, the Commission found that although NISI's written policy required managerial pre-approval of mutual fund switches, NISI failed to communicate effectively to branch managers or enforce its pre-approval requirement. The Commission also found that NISI did not have a system to monitor whether its branch managers were reviewing switches before the switch was processed or to alert the branch manager that a mutual fund trade involved a switch. Additionally, the Commission found that NISI's procedures required an analytical review by the compliance department of the switches identified in a switch report; however, no such review took place. The Commission censured NISI for failing reasonably to supervise the registered representative and ordered it to pay a civil money penalty of $150,000 and to pay disgorgement of $2,625.17 plus prejudgment interest, representing the amount of commissions it retained following the misconduct of its registered representative. The Commission also ordered NISI to engage an independent consultant to review NISI's revised mutual fund switching procedures to ensure they are adequate and have been effectively implemented, maintained, and followed. NISI consented to the entry of the Order without admitting or denying its findings. (Rel. 34-45460; File No. 3-10706) SEC ANNOUNCES PERMANENT INJUNCTION AGAINST FORMER INSURANCE COMPANY CEO Today, the Commission announced that the United States District Court for the District of Columbia entered a Final Judgment of Permanent Injunction against Don Haywood Pace on January 28, 2002. Don Pace was the chief executive officer and a director of Pace American Group, Inc., a holding company that wrote surety bonds and insurance products through wholly-owned subsidiaries. Pace American and its chief financial officer had previously been sanctioned in settled actions. The Commission filed this civil lawsuit against Pace in October 1996. The complaint alleged violations of the antifraud, proxy, books and records and other provisions of the federal securities laws. The Commission's lawsuit was stayed for several years pending the outcome of Pace's criminal trial in U.S. District Court in Tucson, Arizona on related criminal charges. After a jury trial in the criminal case in late 2000, Pace was convicted on some wire fraud and tax fraud charges, and acquitted on others. He was found to have diverted for his own use more than $36,000 in bond premiums that a Mexican surety insurance company had deposited into two of the company's corporate financial accounts in Mexico. On July 23, 2001, the criminal court sentenced Pace to serve four months in prison and four months house arrest, and it ordered him to pay restitution of the $36,659.28 that he was found to have taken from Pace American. Pace has appealed his criminal conviction. Following the criminal trial, the Commission amended its civil complaint, leaving the two allegations on which Pace was tried criminally. The Commission then sought summary judgment on the allegation related to the criminal conviction. On November 29, 2001, United States District Judge James Robertson granted summary judgment in favor of the Commission on that allegation. The court ruled that Pace had committed antifraud violations by failing to disclose in Pace American's annual reports, proxy materials and registration statements filed with the Commission that he had received these bond premiums, and that Pace had caused Pace American to maintain false books and records because he failed to have the company's books and records reflect that he diverted these bond premiums to his personal bank account. Accordingly, on January 28, 2002, the court entered a Final Judgment of Permanent Injunction enjoining Pace from violating Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(b)(5) and 14(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13b2-1 and 14a- 9 thereunder. Having obtained substantial injunctive relief, the Commission determined not to pursue the other allegation. This concludes the Commission's actions against Pace, Pace American and other associated parties. [SEC v. Don Haywood Pace, Civil Action No. 96-2416 (JR) (USDC/DC)] (LR-17365) SEC CHARGES ANTHONY BURGES AND BURGES ASSET MANAGEMENT WITH DEFRAUDING LIMITED PARTNERSHIP INVESTORS The Commission announced today that it filed an enforcement action charging Anthony P. Burges and his related company, Burges Asset Management, Inc. (Burges Asset) with defrauding investors in two limited partnerships, Burges Capital, L.P. and Burges Investment Partners, L.P. (Burges Funds or the Funds). The Complaint, filed on February 19th, in the United States District Court for the Southern District of New York, alleges that from at least March 2001 until at least June 2001, Burges and Burges Asset sold interests in the Funds, which purportedly invested and traded in foreign currency, and that they did so by means of false representations about the use of investors' funds and Burges' prior trading performance. The Complaint names as defendants: * Anthony P. Burges, is a 33-year-old resident of Manhattan. Burges graduated from law school in 1997 and passed the New York state bar examination but is not admitted to the bar in New York or any other state. Since graduating from law school, Burges has periodically been employed as a law clerk or tax accountant. As of November 2001, Burges was purportedly working as an independent consultant, providing tax and securities advice. * Burges Asset Management is a purported Turks & Caicos Island Exempt Company, with its principal place of business in Manhattan. Burges Asset was founded and is run by Burges, and is the general partner of Burges Capital and Burges Investment. The Complaint charges the defendants with violating Section 17(a) of the Securities Act, Section 10(b) of the Securities Exchange Act, and Rule 10b-5 thereunder, and seeks permanent injunctive relief, disgorgement, and civil penalties. At the same time it filed the Complaint, the Commission also filed an application for an order permitting expedited discovery, prohibiting the destruction of documents, and requiring the defendants to provide an accounting (Application). According to the Complaint and the declaration filed in support of the Application: * From at least March until at least June 2001, Burges raised approximately $136,000 for the Burges Funds from at least twenty investors. * In soliciting investments in the Funds, Burges represented that Funds' assets would be used to invest and trade in foreign currency, including Euro and Yen. Burges also told prospective investors that he had been highly successful investing in foreign currency in the past. In at least one instance he represented that he had achieved returns of about 50% a month on his trading. * Burges made similar performance claims to investors after they had invested, telling at least four of them that their investment was growing at the rate of approximately 50% per month. * These representations were false. It appears that Burges did not use investors' funds to trade foreign currency, but rather used them for personal expenses and other purposes not disclosed to investors. * All three foreign exchange brokers that Burges claims to have used to execute trades and hold the Funds' assets have stated that they had no accounts open for Burges or the Funds during 2001. * Two securities accounts maintained by Burges reflect the deposit of approximately $15,000 of investor funds and the use of those funds for purposes other than currency trading, including personal expenses of Burges. As of the end of 2001, there were virtually no funds or other assets in those accounts. * Although he promised to do so, Burges failed to provide the Commission with documents it requested to substantiate Burges' claimed use of investor funds and investment performance. The court granted the Commission's application, entering an order permitting expedited discovery, prohibiting the destruction of documents, and requiring the defendants to provide an accounting. The litigation is pending. (SEC v. Anthony Burges and Burges Asset Managemnt, Inc., Civil Action No. 02 Civ. 1284 (S.D.N.Y.)(VM)] (LR- 17366) HOLDING COMPANY ACT RELEASES ALABAMA POWER COMPANY, ET. AL. A notice has been issued giving interested persons until March 12, 2002, to request a hearing on a proposal by Alabama Power Company, Georgia Power Company, Gulf Power Company, Mississippi Power Company, and Savannah Electric and Power Company (collectively, Operating Companies), all wholly owned public-utility subsidiary companies of The Southern Company, a registered holding company, for the Operating Companies to lease railcars to nonaffiliates. (Rel. 35-27492) SCANA CORPORATION ET AL. A notice has been issued giving interested persons until March 12, 2002, to request a hearing on a request by SCANA Corporation (SCANA), a registered holding company, and South Carolina Electric & Gas Company (SCE&G), one of SCANA's public-utility subsidiary companies, for a one- year extension of time to divest a bus system being operated by SCE&G. (Rel. 35-27492) PROGRESS ENERGY INC., ET AL. A notice has been issued giving interested persons until March 12, 2002, to request a hearing on a proposal by Progress Energy Inc. (Progress), a registered holding company, and its public utility subsidiaries, Carolina Power & Light Company, North Carolina Natural Gas Corporation and Florida Power Corporation (Florida Power). Progress requests authority to modify existing financing orders (HCAR No. 27297, December 12, 2000, and HCAR No. 27440, September 20, 2001) to: (1) increase from $5 billion to $7.5 billion the aggregate amount of common stock, preferred stock or other forms of preferred securities and unsecured long-term debentures having maturities of up to 50 years that Progress may issue and have outstanding through September 30, 2003; (2) eliminate a $6 billion overall indebtedness limit for the aggregate principal amount that may be outstanding at any time of short-term debt, debentures, and acquisition debt incurred by Progress to finance its acquisition of Florida Progress; and (3) increase from $750 million to $2 billion the principal or stated amount of guarantees that Progress may provide at any one time with respect to the obligations of its subsidiaries. Except for the modifications described above, Progress is not seeking any other changes or modifications to the terms, conditions or limitations applicable under the existing financing orders. (Rel. 35- 27492) PNM RESOURCES, INC. A notice has been issued giving interested persons until March 12, 2002, to request a hearing on a proposal by PNM Resources, Inc. (PNM Resources), a public utility holding company exempt under Section 3(a)(1) under Rule 2 and its wholly owned public utility subsidiary company, Public Service Company of New Mexico (PNM) to acquire the voting securities of DCC Project Finance Two, Inc. from Dana Commercial Credit Corporation. (Rel. 35-27492) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change submitted by the New York Stock Exchange amending Paragraph (l) of the Guidelines to Exchange Rule 105 to permit approved persons of specialists to act as a specialist with respect to an option on a specialty stock (SR-NYSE-2001-43). (Rel. 34-45454) PROPOSED RULE CHANGE The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2002-24) relating to anti-money laundering compliance programs. Publication of the notice in the Federal Register is expected during the week of February 25. (Rel. 34-45457) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Phlx-2002-08) filed by the Philadelphia Stock Exchange extending a pilot program regarding its existing fee schedule for Electronic Communications Networks 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 February 25. (Rel. 34-45456) 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 AMERICAN COMMERCE SOLUTIONS, 1400 CHAMBER DRIVE, BARTOW, FL, 33830, 863-533-0326 - 2,055,000 ($390,450.00) Other, (File 333-82944 - Feb. 19) (BR. 02) SB-2 CARDINAL FINANCIAL CORP, 10641 LEE HIGHWAY, FAIRFAX, VA, 22030, 7039349200 - 0 ($19,500,000.00) Equity, (File 333-82946 - Feb. 19) (BR. 07) SB-2 CAPSTONE INTERNATIONAL CORP, 500 108TH AVE NE, SUITE 1710, BELLEVUE, WA, 98004, 6045998843 - 63,536 ($6,353.60) Other, (File 333-82948 - Feb. 19) (BR. 09) S-3 CAMINUS CORP, 747 THIRD AVE, NEW YORK, NY, 10017, 2128883600 - 0 ($72,200,565.00) Equity, (File 333-82980 - Feb. 19) (BR. 08) S-8 RAVEN MOON INTERNATIONAL INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 3,800,000 ($152,000.00) Other, (File 333-82984 - Feb. 19) (BR. 05) S-8 RAVEN MOON INTERNATIONAL INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 2,700,000 ($108,000.00) Other, (File 333-82986 - Feb. 19) (BR. 05) S-3 BAXTER INTERNATIONAL INC, ONE BAXTER PKWY, DF2-2W, DEERFIELD, IL, 60015, 8479482212 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-82988 - Feb. 19) (BR. 36) SB-2 SECURESTAFF SYSTEMS INC, 11 KODIAK CRESCENT, TORONTO, A6, M3J 3E5, 4166798688 - 1,248,849 ($3,122,122.50) Equity, (File 333-82990 - Feb. 19) (BR. ) S-3 SYLVAN LEARNING SYSTEMS INC, 1000 LANCASTER ST, BALTIMORE, MD, 21202, 4108438000 - 0 ($3,400,661.00) Equity, (File 333-82992 - Feb. 19) (BR. 08) S-8 IMPROVENET INC, 1286 ODDSTAD DRIVE, REDWOOD CITY, CA, 94063, 6507018000 - 0 ($155,054.00) Equity, (File 333-82994 - Feb. 19) (BR. 08) S-8 INDEPENDENT BANK CORP, 288 UNION STREET, ROCKLAND, MS, 02370, 7818786100 - 0 ($13,794,000.00) Equity, (File 333-82998 - Feb. 19) (BR. 07) SB-2 HOLLOW EGG ONE INC, 0 ($250,000.00) Equity, (File 333-83012 - Feb. 19) (BR. ) S-8 MICROS SYSTEMS INC, 12000 BALTIMORE AVE, BELTSVILLE, MD, 20705, 3012016000 - 0 ($14,552,996.00) Equity, (File 333-83014 - Feb. 19) (BR. 03) S-8 MEDIWARE INFORMATION SYSTEMS INC, 11711 W 79TH STREET, LENEXA, KS, 11747, 5164237800 - 1,600,000 ($9,200,000.00) Equity, (File 333-83016 - Feb. 19) (BR. 03) S-8 PROVANT INC, 67 BATTERYMARCH ST SUITE 600, BOSTON, MA, 02110, 6172611600 - 0 ($308,000.00) Equity, (File 333-83018 - Feb. 19) (BR. 08) S-8 PROVANT INC, 67 BATTERYMARCH ST SUITE 600, BOSTON, MA, 02110, 6172611600 - 0 ($536,204.40) Equity, (File 333-83020 - Feb. 19) (BR. 08) S-8 CENTRAL GARDEN & PET COMPANY, 3697 MT DIABLO BLVD SUITE 300, LAFAYETTE, CA, 94549, 9252834573 - 0 ($1,039,120.00) Equity, (File 333-83022 - Feb. 19) (BR. 02) S-3 TRIPATH TECHNOLOGY INC, 2041 MISSION COLLEGE BLVD 159, 408-567-3000, SANTA CLARA, CA, 95054, 0 ($27,251,850.00) Equity, (File 333-83024 - Feb. 19) (BR. 36) S-3 PINNACLE SYSTEMS INC, 280 N BERNARDO AVE, MOUNTAIN VIEW, CA, 94043, 6502371600 - 0 ($8,035,031.60) Equity, (File 333-83026 - Feb. 19) (BR. 36) S-8 RTI INTERNATIONAL METALS INC, 1000 WARREN AVE, NILES, OH, 44446, 2165447700 - 500,000 ($5,025,000.00) Equity, (File 333-83028 - Feb. 19) (BR. 06) S-1 ENOVA SYSTEMS INC, 19850 SOUTH MAGELLAN DR, SUITE 305, TORRANCE, CA, 90502, 3105272800 - 6,000,000 ($900,000.00) Equity, (File 333-83030 - Feb. 19) (BR. 05) S-8 DIGITAL IMPACT INC /DE/, 177 BOVER ROAD SUITE 200, SAN MATEO, CA, 94402, 6503563404 - 0 ($3,628,273.00) Equity, (File 333-83032 - Feb. 19) (BR. 08) S-3 DIGENE CORP, 1201 CLOPPER ROAD, GAITHERSBURG, MD, 20878, 3019447000 - 0 ($15,000,000.00) Equity, (File 333-83038 - Feb. 19) (BR. 01) S-3 US ENERGY CORP, 877 NORTH 8TH WEST, GLEN L LARSEN BLDG, RIVERTON, WY, 82501, 3078569271 - 20,000 ($52,400.00) Other, (File 333-83040 - Feb. 19) (BR. 04) 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 ------------------------------------------------------------------------------------- ACHIEVEMENT INVESTMENTS INC NV X X X 02/12/02 ADAM INC GA X X 12/03/01 AMEND ADVANCEPCS DE X X 02/12/02 AGTSPORTS INC CO X 02/08/02 ALLSTATE CORP DE X X 02/14/02 ALPHARMA INC DE X X 12/12/01 AMEND AMERICAN MORTGAGE ACCEPTANCE CO MA X X 02/19/02 ANTEON CORP VA X X 02/15/02 APPLIED IMAGING CORP DE X 01/31/02 APW LTD X X 02/13/02 ATC HEALTHCARE INC /DE/ DE X X 01/31/02 ATG INC CA X X 02/15/02 BADGER STATE ETHANOL LLC WI X X 02/14/02 BANCORPSOUTH INC MS X X 02/15/02 BEAR STEARNS HOME LN OWN TR 2001-A HO DE X X 02/15/02 BICO INC/PA PA X 02/19/02 BNS CO DE X 02/11/02 BRIGHAM EXPLORATION CO DE X X 02/19/02 BRIGHAM EXPLORATION CO DE X X 02/19/02 CAL DIVE INTERNATIONAL INC MN X X 02/18/02 CHAMPION INDUSTRIES INC WV X X 02/16/02 CIENA CORP DE X X 02/18/02 CINERGY CORP DE X 02/19/02 CLAYTON HOMES INC DE X X 02/19/02 CLAYTON WILLIAMS ENERGY INC /DE DE X X 02/19/02 CONSECO FINANCE SECURITIZATIONS CORP DE X X 02/15/02 CONSECO FINANCE SECURITIZATIONS CORP DE X X 02/15/02 CONSECO FINANCE SECURITIZATIONS CORP DE X X 02/15/02 CONSECO FINANCE SECURITIZATIONS CORP DE X X 02/15/02 CONSECO FINANCE SECURITIZATIONS CORP DE X X 02/15/02 CONSECO FINANCE SECURITIZATIONS CORP DE X X 02/15/02 CONSECO FINANCE SECURITIZATIONS CORP DE X X 02/15/02 CONSTELLATION 3D INC FL X X 02/19/01 COORS ADOLPH CO CO X 02/02/02 COX COMMUNICATIONS INC /DE/ DE X 02/19/02 CRYO CELL INTERNATIONAL INC DE X X 02/19/02 CULP INC NC X 01/27/02 CUMULUS MEDIA INC IL X X 02/19/02 CURIS INC DE X X 02/14/02 CYGNUS INC /DE/ DE X X 02/13/02 DAKOTA IMAGING INC NC X X X X X 02/01/02 AMEND DEALER AUTO RECEIVABLES CO LLC DE X X 02/15/02 DELTAGEN INC DE X X 02/19/02 DIGENE CORP DE X X 02/19/02 DIGITAL DESCRIPTOR SYSTEMS INC DE X X X 01/14/02 AMEND DQE INC PA X X 01/31/02 DYCOM INDUSTRIES INC FL X X 02/19/02 E SYNC NETWORKS INC DE X X 02/13/02 EAGLE WIRELESS INTERNATIONAL INC TX X 02/13/02 EMPYREAN COMMUNICATIONS INC NV X X X X X 11/20/01 ENSCO INTERNATIONAL INC DE X 02/18/02 EQUITY ONE ABS INC DE X X 02/19/02 ESAFETYWORLD INC NV X 02/14/01 EVEREST RE GROUP LTD C8 X X 12/31/01 EXELON CORP PA X 02/15/02 EXPEDITORS INTERNATIONAL OF WASHINGTO WA X 02/18/02 FINITY HOLDINGS INC DE X 01/28/02 AMEND FIRST MIDWEST BANCORP INC DE X X 02/19/02 FITZGERALDS GAMING CORP NV X X X 02/19/02 FLAG FINANCIAL CORP GA X X 02/15/02 FNANB CREDIT CARD MASTER TRUST X X 02/19/02 FNANB CREDIT CARD MASTER TRUST X X 05/31/01 AMEND GLOBALSTAR LP DE X X 02/15/02 GREEN TREE FLOORPLAN RECIEVABLES MAST MN X X 02/15/02 GREEN TREE FLOORPLAN RECIEVABLES MAST MN X X 02/15/02 GREEN TREE FLOORPLAN RECIEVABLES MAST MN X X 02/15/02 HANGER ORTHOPEDIC GROUP INC DE X X 02/15/02 HARMAN INTERNATIONAL INDUSTRIES INC / DE X X 01/31/02 HARVARD INDUSTRIES INC DE X 02/15/02 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 02/08/02 HEARTLAND TECHNOLOGY INC DE X 02/01/02 HEARTLAND TECHNOLOGY INC DE X 02/11/02 HMI INDUSTRIES INC DE X 02/19/02 HOLLYWOOD CASINO CORP DE X X 02/19/02 HOLLYWOOD ENTERTAINMENT CORP OR X X 02/19/02 HONEYWELL INTERNATIONAL INC DE X 02/19/02 HORTON D R INC /DE/ DE X X 02/15/02 HOVNANIAN ENTERPRISES INC DE X 02/13/02 AMEND HOWTEK INC DE X X 02/19/02 HPL TECHNOLOGIES INC DE X 12/05/01 AMEND HYPERCOM CORP DE X X 02/13/02 ICH CORP /DE/ DE X X 02/05/02 ICU MEDICAL INC/DE DE X 02/15/02 IMAGIS TECHNOLOGIES INC A1 X X X 01/22/02 IMCLONE SYSTEMS INC/DE DE X X 02/15/02 IMPSAT FIBER NETWORKS INC DE X 02/15/02 INTERNATIONAL FIBERCOM INC AZ X X X 02/12/02 INTERNATIONAL REMOTE IMAGING SYSTEMS DE X X 02/13/02 JORE CORP MT X 01/31/02 JUPITER ENTERPRISES INC NV X X 11/28/01 AMEND JUSTWEBIT COM INC NV X 09/30/01 AMEND K TRONIK INTERNATIONAL CORP X X X 02/07/02 KASPER A S L LTD DE X X 02/05/02 KEY PRODUCTION CO INC DE X 02/13/02 KEYSTONE AUTOMOTIVE INDUSTRIES INC CA X X 02/13/02 KITTY HAWK INC DE X X 02/19/02 MAGNUM HUNTER RESOURCES INC NV X 02/15/02 MAJESTIC STAR CASINO LLC IN X X 12/06/01 AMEND MANGOSOFT INC 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