SEC NEWS DIGEST Issue 2006-161 August 21, 2006 COMMISSION ANNOUNCEMENTS ECONOMIC FELLOW APPOINTED TO THE OFFICE OF ECONOMIC ANALYSIS The Securities and Exchange Commission's Office of Economic Analysis today announced the appointment of Dr. Alan Durell as an Economic Fellow for a term ending in June 2007. Before joining the Commission, Dr. Durell served on the faculty of Harvard's Kennedy School of Government and Dartmouth's Department of Economics. He earned his Ph.D. in economics from Harvard and his B.S. in operations research and industrial engineering from Cornell. His research focuses on applying behavioral and experimental economics approaches to improving our understanding of economic decision-making. He is particularly interested in how individuals evaluate investment performance and form return expectations in the face of uncertainty. While at the Commission, Dr. Durell will work on various issues related to corporate disclosure. (Press Rel. 2006-144) ENFORCEMENT PROCEEDINGS IN THE MATTER OF GO ONLINE NETWORKS CORP., ET AL. An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default against Five Respondents (Default Order) in Go Online Networks Corp., et al. The Order Instituting Proceedings alleged that Respondents Go Online Networks Corp., Integrated Communication Networks, Inc., Keystone Energy Services, Inc., Scottsdale Technologies, Inc., and Sienna Broadcasting Corp. failed repeatedly to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to these Respondents and revokes the registrations of each class of registered securities they have with the Commission, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-54331; File No. 3-12381) SEC CHARGES ONE WALL STREET, INC., DONTE JARVIS, ALAN BROWN, WILLIS "BILL" WHITE III, AND CECIL BAPTISTE A/K/A JOHN LATORRI TO HALT ONGOING FRAUD AGAINST SENIOR CITIZENS The Commission announced today that it filed an emergency enforcement action against One Wall Street, Inc., Donte C. Jarvis, Alan Brown, Willis "Bill" White III, and Cecil Baptiste a/k/a John Latorri to halt an ongoing fraudulent offering of One Wall Street stock. The Commission also charged Jarvis' wife, La Shondra Hatter, as Relief Defendant. The Commission's complaint, filed in the Eastern District of New York, alleges that from March 2003 until the present, the Defendants raised at least $1.6 million from at least 64 investors - mostly senior citizen - who purchased unregistered One Wall Street stock. To induce these sales, Defendants made numerous oral and written false and misleading statements, including that: (i) One Wall Street would soon conduct an initial public offering; (ii) E*TRADE Financial Corporation was negotiating to merge with One Wall Street; and (iii) One Wall Street would use the investment proceeds for marketing to create exposure for the company, to acquire distressed financial research companies, to expand into international markets, and to expand the company's information technology infrastructure. Each of these representations was false and misleading. Defendants have not pursued an IPO of One Wall Street, nor has E*Trade ever engaged in any business discussions with One Wall Street whatsoever, and One Wall Street did not use investor proceeds in the manner the Defendants represented. Rather than apply the proceeds collected from the investors towards legitimate business expenses, Jarvis used, and is continuing to use, investor funds to pay his personal expenses, including jewelry purchases, gambling and "adult entertainment" services, and payments for child day care, car loans and mortgages. He has also given investor funds to his wife, Hatter, and fellow defendants. Essentially, Jarvis is using One Wall Street's account as a personal piggy bank. The complaint charges the Defendants with violating Sections 5(a), 5(c), and 17 (a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In its emergency enforcement action, the Commission is seeking, among other emergency relief, temporary restraining orders (i) prohibiting Defendant from committing further violations of the federal securities laws; and (ii) freezing the Defendants' and Relief Defendant's assets. In addition to this emergency relief, the Commission also seeks orders enjoining the Defendants, preliminarily and permanently, from committing future violations of the foregoing federal securities laws, and a final judgment (i) ordering the Defendants and Relief Defendant to disgorge ill-gotten gains, and (ii) assessing civil penalties against the Defendants. [SEC v. One Wall Street, Inc., et al., Civil Action No. 06 CV 4217 (NGG) (EDNY)] (LR-19809; Press Rel. 2006-143) INVESTMENT COMPANY ACT RELEASES AMERICAN INTERNATIONAL GROUP, INC., ET AL. The Commission has issued an order to American International Group, Inc., et al., under Section 9(c) of the Investment Company Act with respect to a securities-related injunction issued by the U.S. District Court for the Southern District of New York on or about Feb. 21, 2006. The order extends a temporary exemption from Section 9(a) of the Act until the earlier of Feb. 21, 2007, or until the Commission takes final action on the application for a permanent order. (Rel. IC-27446 - August 18) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Amex-2006-63) filed by the American Stock Exchange relating to transaction based fees for Supplemental Registered Options Traders (SROTs) has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 21. (Rel. 34-54324) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-3ASR Adams Respiratory Therapeutics, Inc., 4 MILL RIDGE LANE, CHESTER, NJ, 07930, (908) 879-1400 - 0 ($0.00) Equity, (File 333-136709 - Aug. 18) (BR. 01C) S-1 PICIS INC, 100 QUANNAPOWITT PARKWAY, STE 405, WAKEFIELD, MA, 01880, 781-557-3000 - 0 ($86,250,000.00) Equity, (File 333-136710 - Aug. 18) (BR. 03) S-8 FGBC Bancshares, Inc., 101 MAIN STREET, FRANKLIN, GA, 30217, (770) 830-1233 - 593,849 ($4,991,868.20) Equity, (File 333-136711 - Aug. 18) (BR. 07A) S-8 FGBC Bancshares, Inc., 101 MAIN STREET, FRANKLIN, GA, 30217, (770) 830-1233 - 479,719 ($4,144,772.16) Equity, (File 333-136712 - Aug. 18) (BR. 07A) S-3ASR PNM RESOURCES INC, ALVARADO SQUARE, NEW MEXICO, ALBUQUERQUE, NM, 87158, 5052412700 - 0 ($0.00) Equity, (File 333-136713 - Aug. 18) (BR. 02A) N-2 Kohlberg Capital, LLC, 295 MADISON AVENUE, 6TH FLOOR, NEW YORK, NY, 10017, 212-455-8300 - 0 ($225,000,000.00) Equity, (File 333-136714 - Aug. 18) (BR. 18) S-8 ION MEDIA NETWORKS INC., 601 CLEARWATER PK RD, WEST PALM BEACH, FL, 33401, 5616594122 - 0 ($47,000,000.00) Equity, (File 333-136717 - Aug. 18) (BR. 11B) S-8 NANOGEN INC, 10398 PACIFIC CENTER COURT, SAN DIEGO, CA, 92121, 858 410 4600 - 1,923,270 ($3,346,490.00) Equity, (File 333-136718 - Aug. 18) (BR. 10B) S-8 SABA SOFTWARE INC, 2400 BRIDGE PARKWAY, SIOTE 150, REDWOOD SHORES, CA, 94065-1166, 6506963822 - 1,420,797 ($7,516,016.13) Equity, (File 333-136723 - Aug. 18) (BR. 03C) S-3ASR ADVANTA CORP, P.O. BOX 844, WELSH & MCKEAN ROADS, SPRING HOUSE, PA, 19477, 2154445341 - 0 ($350,000,000.00) Debt, (File 333-136724 - Aug. 18) (BR. 07C) S-8 1ST INDEPENDENCE FINANCIAL GROUP, INC., 104 SOUTH CHILES, HARRODSBURG, KY, 40330-1620, (859) 734-5452 - 80,500 ($1,388,625.00) Equity, (File 333-136725 - Aug. 18) (BR. 07A) S-3ASR ADVANCED MEDICAL OPTICS INC, 1700 E. ST. ANDREW PL., SANTA ANA, CA, 92705, 714-247-8200 - 0 ($500,000,000.00) Debt Convertible into Equity, (File 333-136726 - Aug. 18) (BR. 10A) S-8 PMI GROUP INC, 3003 OAK ROAD, WALNUT CREEK, CA, 94597-2098, 925-658-7878 - 600,000 ($25,149,000.00) Equity, (File 333-136727 - Aug. 18) (BR. 01B) S-8 IsoRay, Inc., 350 HILLS STREET,, SUITE 106, RICHLAND, WA, 99354, (509) 375-1202 - 1,000,000 ($3,050,000.00) Equity, (File 333-136728 - Aug. 18) (BR. 10B) S-8 Vocalscape Networks, Inc., 305 - 1847 W. BROADWAY, VANCOUVER, A1, V6J 1Y6, (604) 696-6313 - 1,522,600 ($456,780.00) Equity, (File 333-136729 - Aug. 18) (BR. 03A) S-8 Armor Electric, Inc., 201 LOMAS SANTA FE, #420, SOLANA BEACH, CA, 92075, 858-720-0123 - 5,000,000 ($450,000.00) Equity, (File 333-136730 - Aug. 18) (BR. 09A) S-8 CITRIX SYSTEMS INC, 851 WEST CYPRESS CREEK ROAD, FORT LAUDERDALE, FL, 33309, 9542673000 - 318,015 ($8,953,276.40) Equity, (File 333-136731 - Aug. 18) (BR. 03A) SB-2 MODERN TECHNOLOGY CORP, 1237 STATE ROAD 30, ., ETTA, MS, 38627, 6622365928 - 20,000,000 ($5,086,532.92) Debt Convertible into Equity, 20,000,000 ($4,000,000.00) Equity, (File 333-136732 - Aug. 18) (BR. 08B) S-4 MARKWEST ENERGY PARTNERS L P, 1515 ARAPAHOE STREET, TOWER 2, SUITE 700, DENVER, CO, 80202-2126, 303-925-9200 - 0 ($200,000,000.00) Debt, (File 333-136733 - Aug. 18) (BR. 04A) S-3ASR CROSSTEX ENERGY INC, C/O CROSSTEX ENERGY, INC., 2501 CEDAR SPRINGS STE 600, DALLAS, TX, 75201, 2149539500 - 0 ($228,197,264.80) Asset-Backed Securities, (File 333-136734 - Aug. 18) (BR. 04A) S-1 NETLIST INC, 0 ($57,500,000.00) Equity, (File 333-136735 - Aug. 18) (BR. ) S-8 ULTRALIFE BATTERIES INC, 2000 TECHNOLOGY PARKWAY, NEWARK, NY, 14513, 3153327100 - 750,000 ($7,305,000.00) Equity, (File 333-136737 - Aug. 18) (BR. 10C) S-8 ULTRALIFE BATTERIES INC, 2000 TECHNOLOGY PARKWAY, NEWARK, NY, 14513, 3153327100 - 48,000 ($467,520.00) Equity, (File 333-136738 - Aug. 18) (BR. 10C) S-3 ITERIS, INC., 1515 S. MANCHESTER AVE., ANAHEIM, CA, 92802, 7147745000 - 0 ($221,391.00) Equity, (File 333-136739 - Aug. 18) (BR. 11A) S-3 WorldSpace, Inc, 2400 N STREET, NW, WASHINGTON, DC, 20037, (202)969-6000 - 0 ($23,966,065.80) Equity, (File 333-136740 - Aug. 18) (BR. 11C) S-3 BOND SECURITIZATION LLC, 1 BANK ONE PLAZA, CHICAGO, IL, 60670, 3127820600 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-136741 - Aug. 18) (BR. 05) S-3 ULTRALIFE BATTERIES INC, 2000 TECHNOLOGY PARKWAY, NEWARK, NY, 14513, 3153327100 - 4,029,580 ($39,248,109.20) Equity, (File 333-136742 - Aug. 18) (BR. 10C) S-1 Bristow Group Inc, 2000 W SAM HOUSTON PARKWAY SOUTH, SUITE 1700, HOUSTON, TX, 77042, 7132677600 - 0 ($230,000,000.00) Equity, (File 333-136743 - Aug. 18) (BR. 05B) S-8 COMPREHENSIVE CARE CORP, 3405 W. DR. MARTIN LUTHER KING JR. BLVD., SUITE 101, TAMPA, FL, 33607, 813-288-4808 - 750,000 ($1,725,000.00) Equity, (File 333-136744 - Aug. 18) (BR. 01C) S-4 Community Bancorp, 400 S. 4TH STREET, SUITE 215, LAS VEGAS, NV, 89101, 702-878-0700 - 0 ($104,660,488.00) Equity, (File 333-136746 - Aug. 18) (BR. 07A) S-8 TEKELEC, 5200 PARAMOUNT PARKWAY, MORRISVILLE, NC, 27560, 919-460-5500 - 0 ($17,070,000.00) Equity, (File 333-136747 - Aug. 18) (BR. 11A) S-3 EMAGIN CORP, 2070 ROUTE 52, SUITE 2000, HOPEWELL JUNCTION, NY, 12533, 845 838 7900 - 41,088,445 ($11,093,879.88) Equity, (File 333-136748 - Aug. 18) (BR. 10B) S-8 RPM ADVANTAGE, INC., 31847 SH 249, PINEHURST, TX, 77362, 281-252-9311 - 16,000,000 ($800,000.00) Equity, (File 333-136749 - Aug. 18) (BR. 11A) N-2 Clough Global Opportunities Fund, 1625 BROADWAY, SUITE 2200, DENVER, CO, 80202, 303-623-2577 - 0 ($1,000,000.00) Equity, (File 333-136751 - Aug. 18) (BR. 18) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- AAC Group Holding Corp. DE 1.01,9.01 08/18/06 ABERCROMBIE & FITCH CO /DE/ DE 2.02,8.01,9.01 08/15/06 AMEND ACROSS AMERICA REAL ESTATE CORP CO 7.01,9.01 08/18/06 Adams Respiratory Therapeutics, Inc. DE 1.01,8.01,9.01 08/14/06 ADVANCED CELL TECHNOLOGY, INC. DE 1.01,5.02,9.01 08/17/06 ADVANCED OXYGEN TECHNOLOGIES INC DE 4.01 08/04/06 AMEND AETNA INC /PA/ PA 7.01 08/18/06 Aircastle LTD D0 1.01,2.01,9.01 08/17/06 AKSYS LTD DE 2.05,9.01 08/14/06 ALASKA AIR GROUP INC DE 7.01 08/18/06 ALIGN TECHNOLOGY INC DE 8.01 08/10/06 ALKERMES INC PA 4.02 08/10/06 AMEND ALLIANCE DATA SYSTEMS CORP DE 5.02 08/17/06 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 7.01,9.01 08/18/06 Alpha Natural Resources, Inc. DE 1.01,2.02,9.01 08/14/06 AMARU INC NV 8.01 08/17/06 AMERICAN EDUCATION CORP NV 8.01,9.01 08/17/06 AMERICAN FINANCIAL REALTY TRUST 1.01,1.02,5.02,9.01 08/16/06 American Holding Investments, Inc. NV 8.01 08/17/06 AMERICAN ITALIAN PASTA CO DE 5.02 08/14/06 AMERICAN ORIENTAL BIOENGINEERING INC CO 2.02,9.01 08/14/06 ANALYSTS INTERNATIONAL CORP 1.01 08/17/06 ANDAIN, INC. NV 1.01,3.02,8.01,9.01 07/03/06 AMEND ANGIODYNAMICS INC DE 1.01 08/14/06 ANNALY CAPITAL MANAGEMENT INC MD 1.01,9.01 08/16/06 ANNTAYLOR STORES CORP DE 2.02,9.01 08/18/06 ANVIL HOLDINGS INC DE 8.01 08/18/06 APPLIED IMAGING CORP DE 2.02,9.01 08/14/06 ARCADIA RESOURCES, INC NV 5.03,8.01,9.01 08/18/06 ARDEN GROUP INC DE 8.01 08/17/06 ARMSTRONG HOLDINGS INC /PA/ PA 1.03,9.01 08/15/06 ASTRALIS LTD CO 4.01 08/09/06 ASYST TECHNOLOGIES INC CA 3.01,9.01 08/14/06 ATMEL CORP DE 2.02,9.01 08/17/06 BAIRNCO CORP /DE/ DE 8.01 08/18/06 BALLY TECHNOLOGIES, INC. NV 5.02,9.01 08/16/06 BANK OF THE JAMES FINANCIAL GROUP INC VA 5.03,9.01 08/15/06 BEAR STEARNS COMPANIES INC DE 2.03 08/15/06 Bear Stearns Mortgage Funding Trust 2 DE 9.01 07/31/06 BECTON DICKINSON & CO NJ 7.01,9.01 08/14/06 AMEND BERMAN CENTER, INC. DE 1.01,9.01 08/14/06 BICO INC/PA PA 2.01,3.02,3.03,5.01,5.02,9.01 08/14/06 BIOPURE CORP DE 2.02,9.01 08/17/06 BLYTH INC DE 1.01 08/14/06 BOMBAY COMPANY INC DE 1.01 08/18/06 BOSTON BEER CO INC MA 7.01 08/15/06 BOSTON COMMUNICATIONS GROUP INC MA 3.01,9.01 08/17/06 BRANDYWINE OPERATING PARTNERSHIP LP / DE 3.02,5.03,8.01,9.01 08/15/06 BRANDYWINE REALTY TRUST MD 3.02,8.01,9.01 08/15/06 BRISTOL MYERS SQUIBB CO DE 8.01 08/17/06 BROADCOM CORP CA 3.01,9.01 08/14/06 BROOKMOUNT EXPLORATIONS INC NV 7.01,8.01,9.01 08/04/06 BUCA INC /MN MN 4.01 08/14/06 C H ROBINSON WORLDWIDE INC DE 5.02,9.01 08/17/06 C-COR INC PA 2.02,9.01 08/17/06 CAGLES INC GA 2.01,9.01 08/18/06 CALGON CARBON CORPORATION DE 1.01,1.02,2.03,3.02,9.01 08/18/06 CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 08/18/06 CAPITAL TRUST INC MD 1.01 08/15/06 CARLISLE COMPANIES INC DE 8.01,9.01 08/15/06 CELEBRATE EXPRESS, INC. 5.02 08/14/06 CENTRAL VALLEY COMMUNITY BANCORP CA 8.01 08/16/06 CFC INTERNATIONAL INC DE 2.02,9.01 08/14/06 CHAMPION COMMUNICATION SERVICES INC DE 2.02,9.01 08/15/06 CHART INDUSTRIES INC DE 2.02,9.01 08/17/06 CHINA FUND INC MD 7.01,9.01 07/01/06 CIPHERGEN BIOSYSTEMS INC DE 1.01,9.01 08/14/06 CISCO SYSTEMS INC CA 5.02 08/14/06 Citi Trends Inc 1.01,2.02,7.01,9.01 08/15/06 CLEAN HARBORS INC MA 5.02 08/18/06 CLEVELAND CLIFFS INC OH 1.01,5.02 08/17/06 CNH WHOLESALE RECEIVABLES LLC DE 8.01,9.01 08/15/06 COACTIVE MARKETING GROUP INC DE 4.01,9.01 07/20/06 AMEND COHU INC DE 1.01 08/17/06 COMFORCE CORP DE 1.01,7.01,8.01,9.01 08/16/06 COMMERCE GROUP INC /MA MA 5.02,9.01 08/18/06 Commerce Planet UT 5.02,9.01 08/18/06 COMVERSE TECHNOLOGY INC/NY/ NY 3.01,9.01 08/18/06 CONSTELLATION BRANDS, INC. DE 1.01,9.01 08/15/06 CONSTELLATION ENERGY GROUP INC MD 3.01 08/14/06 COOPER INDUSTRIES LTD 8.01,9.01 08/15/06 CORINTHIAN COLLEGES INC 8.01,9.01 08/18/06 CORVEL CORP DE 4.01,9.01 08/17/06 COUSINS PROPERTIES INC GA 1.01,9.01 08/14/06 CPAC INC NY 5.02 08/15/06 CRAWFORD & CO GA 1.01,9.01 08/15/06 Crawford Lake Mining Inc. NV 5.02,9.01 08/17/06 CROWN CASTLE INTERNATIONAL CORP DE 2.03 08/17/06 CT COMMUNICATIONS INC /NC NC 4.01,9.01 08/14/06 CV THERAPEUTICS INC DE 8.01,9.01 08/18/06 CYBERTEL CAPITAL CORP NV 9.01 06/30/06 DARLING INTERNATIONAL INC DE 9.01 05/15/06 AMEND DEBT RESOLVE INC DE 5.02 08/14/06 dELiAs, Inc. DE 1.01,2.03,9.01 08/14/06 DELTA & PINE LAND CO DE 1.01,8.01,9.01 08/14/06 DELTA APPAREL INC GA 2.02,7.01,9.01 08/18/06 DESIGN WITHIN REACH INC DE 2.02,9.01 08/14/06 DEVRY INC DE 2.02,9.01 08/17/06 DHB INDUSTRIES INC DE 4.02,9.01 08/17/06 DIRT MOTOR SPORTS, INC. DE 1.01,5.02,9.01 08/18/06 Discovery Holding CO DE 7.01 08/18/06 DIVIDEND CAPITAL TRUST INC MD 1.01,3.02 08/14/06 DOLLAR GENERAL CORP TN 2.02,7.01,9.01 08/18/06 DOMINION RESOURCES BLACK WARRIOR TRUS DE 2.02,9.01 08/18/06 Dynamic Biometric Systems, Inc. NV 1.01,7.01,8.01,9.01 08/16/06 DYNAMIC LEISURE CORP MN 1.01,3.02,9.01 08/16/06 DYNAVAX TECHNOLOGIES CORP DE 1.01,5.02,9.01 08/15/06 EATON VANCE CORP MD 7.01 08/18/06 ECC Capital CORP 1.01,9.01 08/14/06 EDULINK INC NV 1.01,2.01,5.01,5.02, 08/11/06 AMEND 5.03,5.06,9.01 EGAMES INC PA 1.01 08/16/06 EL CAPITAN PRECIOUS METALS INC NV 5.02,9.01 08/15/06 ELECTRIC CITY CORP DE 1.01,9.01 08/15/06 ELECTRO ENERGY INC FL 5.02,9.01 08/14/06 ELKCORP DE 2.02,9.01 08/17/06 EMAGIN CORP DE 5.02,9.01 08/15/06 ENDOVASC INC NV 8.01 08/18/06 ENERGIZER HOLDINGS INC MO 1.01 08/17/06 ENERGY CONVERSION DEVICES INC DE 5.02,9.01 08/17/06 ENERTECK CORP 4.02,8.01 08/15/06 Ensource Energy Income Fund LP DE 8.01,9.01 08/18/06 EPIX Pharmaceuticals, Inc. 2.01 08/16/06 AMEND EXCO RESOURCES INC TX 7.01,9.01 08/18/06 EXECUTE SPORTS INC NV 2.02,9.01 08/15/06 EXPRESS SCRIPTS INC DE 7.01 08/18/06 FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 08/17/06 FAMILYMEDS GROUP, INC. NV 7.01,9.01 08/18/06 Federal Home Loan Bank of Seattle 7.01,9.01 08/18/06 FERRELLGAS PARTNERS L P DE 1.01,9.01 08/15/06 FIBERNET TELECOM GROUP INC\ DE 1.01,9.01 08/17/06 FIRST MIDWEST BANCORP INC DE 1.01,5.03,9.01 08/18/06 FIRST MONTAUK FINANCIAL CORP NJ 8.01,9.01 08/17/06 FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 08/17/06 FMC CORP DE 5.02 08/18/06 FMC TECHNOLOGIES INC DE 1.01,5.02,9.01 08/16/06 FOOT LOCKER INC NY 2.02,9.01 08/17/06 FOOT LOCKER INC NY 8.01,9.01 08/18/06 FORD MOTOR CO DE 8.01,9.01 08/18/06 FORD MOTOR CREDIT CO DE 8.01,9.01 08/18/06 FORGENT NETWORKS INC DE 3.01,9.01 08/17/06 FPL GROUP INC FL 8.01,9.01 08/18/06 FREESTAR TECHNOLOGY CORP NV 8.01 08/14/06 FREZER, INC. NV 4.02 08/10/06 G/O BUSINESS SOLUTIONS, INC. CO 8.01,9.01 08/15/06 GCO Education Loan Funding Trust-I DE 8.01,9.01 08/15/06 GENERAL METALS CORP DE 5.02 08/16/06 GENESIS BIOVENTURES INC NY 8.01,9.01 08/18/06 GLOBAL GOLD CORP DE 1.01,2.01 08/16/06 GLOBALSANTAFE CORP 1.01,2.03,7.01,9.01 08/15/06 GRAYBAR ELECTRIC CO INC NY 1.01 08/15/06 GREAT PLAINS ENERGY INC MO 7.01 08/18/06 GREAT PLAINS ENERGY INC MO 8.01 08/18/06 Green Mountain Capital Inc. 1.02 08/14/06 GRYPHON GOLD CORP NV 7.01,9.01 08/17/06 GSAMP Trust 2006-S5 DE 9.01 08/18/06 GTSI CORP DE 3.01,9.01 08/14/06 GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 5.02,8.01,9.01 08/16/06 HANCOCK HOLDING CO MS 8.01,9.01 08/17/06 HARBOR GLOBAL CO LTD 1.01,1.02,8.01,9.01 08/18/06 Hill International, Inc. DE 4.01 08/14/06 HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 8.01 08/17/06 HYPERDYNAMICS CORP DE 1.01,9.01 08/14/06 ICON CASH FLOW PARTNERS L P SEVEN DE 7.01,9.01 08/18/06 ICT TECHNOLOGIES INC 4.01 08/18/06 IMAGEWARE SYSTEMS INC DE 2.02,9.01 08/15/06 IMAGIN MOLECULAR CORP DE 5.02 08/18/06 IMPAX LABORATORIES INC DE 1.01,1.02,5.02,9.01 08/14/06 IMPERIAL INDUSTRIES INC DE 2.02,7.01,9.01 08/15/06 India Globalization Capital, Inc. MD 2.02,4.02,9.01 08/14/06 IndyMac INDX Mortgage Loan Trust 2006 8.01,9.01 08/16/06 INLAND REAL ESTATE CORP MD 8.01,9.01 08/18/06 INN OF THE MOUNTAIN GODS RESORTS & CA 2.02 08/15/06 AMEND INNOVATIVE FOOD HOLDINGS INC CO 5.02 08/14/06 INTERNATIONAL ISOTOPES INC TX 1.01,9.01 08/15/06 International Securities Exchange, In DE 8.01,9.01 08/11/06 INTERSTATE BAKERIES CORP/DE/ DE 5.02,9.01 08/15/06 IONATRON, INC. DE 1.01,3.02,5.02,9.01 08/18/06 IRONCLAD PERFORMANCE WEAR CORP 7.01,9.01 08/15/06 ISONICS CORP CA 7.01,9.01 08/14/06 IsoRay, Inc. MN 3.02,9.01 08/17/06 ITC Holdings Corp. MI 1.01,9.01 08/16/06 J2 GLOBAL COMMUNICATIONS INC DE 3.01,9.01 08/17/06 JACLYN INC DE 1.01,9.01 08/06/06 KENDLE INTERNATIONAL INC OH 1.01,2.01,2.03,7.01,9.01 08/16/06 KENTUCKY BANCSHARES INC /KY/ KY 5.02 08/18/06 Key Hospitality Acquisition CORP DE 4.02 08/11/06 AMEND LA PETITE ACADEMY INC DE 1.01,2.04 08/17/06 LAMAR ADVERTISING CO/NEW DE 1.01,2.03,9.01 08/17/06 LBI MEDIA HOLDINGS INC 2.02,9.01 08/18/06 LEUCADIA NATIONAL CORP NY 8.01 08/18/06 LEVITT CORP FL 7.01 08/18/06 LIBERTY BANCORP INC MO 1.01 08/16/06 LIFECELL CORP DE 1.01,9.01 08/14/06 LONE STAR STEAKHOUSE & SALOON INC DE 8.01,9.01 08/18/06 LYONDELL CHEMICAL CO DE 9.01 08/16/06 AMEND Magyar Bancorp, Inc. DE 8.01,9.01 08/16/06 MAINE & MARITIMES CORP ME 5.02,9.01 08/18/06 MAJESTIC STAR CASINO LLC IN 1.01,9.01 08/14/06 MARCUS CORP WI 1.01,9.01 08/15/06 MARKLAND TECHNOLOGIES INC FL 1.01,2.03,5.03,9.01 08/09/06 MASSEY ENERGY CO DE 1.01,9.01 08/15/06 MAXCO INC MI 8.01,9.01 08/16/06 Maysia Resources CORP 1.01,9.01 08/11/06 MB FINANCIAL INC /MD MD 7.01 08/18/06 MBIA INC CT 3.01 08/14/06 McAfee, Inc. DE 8.01 08/15/06 MCCORMICK & CO INC MD 5.02 08/16/06 MDU RESOURCES GROUP INC DE 8.01 08/18/06 MEADE INSTRUMENTS CORP DE 1.01,5.02 08/16/06 MEDAREX INC NJ 2.02,3.01,4.02,9.01 08/18/06 MELLON FINANCIAL CORP PA 1.01,8.01,9.01 08/17/06 MEMRY CORP DE 1.01,5.02,9.01 08/14/06 MESA ROYALTY TRUST/TX TX 7.01,9.01 08/18/06 METROPOLITAN HEALTH NETWORKS INC FL 1.01,1.02,9.01 08/18/06 MEWBOURNE ENERGY PARTNERS 01-A LP 4.01,9.01 08/11/06 MEWBOURNE ENERGY PARTNERS 02-A LP DE 4.01,9.01 08/11/06 MEWBOURNE ENERGY PARTNERS 03-A LP DE 4.01,9.01 08/11/06 MEWBOURNE ENERGY PARTNERS 04-A LP 4.01,9.01 08/11/06 MEWBOURNE ENERGY PARTNERS 05-A LP 4.01,9.01 08/11/06 MEXICAN RESTAURANTS INC TX 7.01,9.01 08/17/06 MGE ENERGY INC WI 8.01,9.01 08/18/06 MONSANTO CO /NEW/ DE 1.01,8.01,9.01 08/14/06 MONTGOMERY REALTY GROUP INC NV 1.01,9.01 08/14/06 Morgan Stanley Capital I Trust 2006 - DE 8.01,9.01 08/17/06 MULTIBAND CORP MN 3.01 08/18/06 NATIONAL PRESTO INDUSTRIES INC WI 8.01 08/11/06 NATUREWELL INC CA 5.02 08/14/06 NATUS MEDICAL INC DE 1.01,8.01,9.01 08/17/06 NETWORK INSTALLATION CORP NV 1.01 08/14/06 NEW CENTURY FINANCIAL CORP MD 5.03,8.01,9.01 08/15/06 NOCOPI TECHNOLOGIES INC/MD/ MD 5.02 08/10/06 NORTHFIELD LABORATORIES INC /DE/ DE 5.02,9.01 07/28/06 AMEND NTS REALTY HOLDINGS LP DE 1.01,9.01 08/16/06 OLD SECOND BANCORP INC DE 8.01 08/18/06 Onstream Media CORP FL 8.01,9.01 08/17/06 OPEN ENERGY CORP NV 1.01,9.01 08/18/06 Optelecom-NKF, Inc. DE 1.01,5.02,9.01 08/15/06 Oracle Healthcare Acquisition Corp. 4.02 08/08/06 AMEND OREGON STEEL MILLS INC DE 5.02 08/14/06 Ottawa Savings Bancorp, Inc. X1 8.01,9.01 08/17/06 OXIGENE INC DE 5.02 08/14/06 P B FINANCIAL SERVICES CORP GA 8.01 08/17/06 PACIFICNET INC DE 2.02,9.01 08/14/06 PATH 1 NETWORK TECHNOLOGIES INC DE 2.02,9.01 08/14/06 PATIENT INFOSYSTEMS INC DE 5.02,9.01 08/16/06 PEGASUS COMMUNICATIONS CORP / DE 1.01,1.02 08/14/06 PETROQUEST ENERGY INC DE 1.01,9.01 08/17/06 PHOTOMEDEX INC DE 5.02,9.01 08/16/06 PIERRE FOODS INC NC 1.01 08/18/06 PINNACLE WEST CAPITAL CORP AZ 8.01 08/17/06 PLACER SIERRA BANCSHARES CA 1.01,1.02,5.02,5.03,7.01,9.01 08/14/06 PNM RESOURCES INC NM 7.01 07/31/06 PONIARD PHARMACEUTICALS, INC. WA 8.01,9.01 08/17/06 PRIMAL SOLUTIONS INC DE 4.02 08/11/06 PROSPERO MINERALS CORP. NV 4.01 08/15/06 PROTALEX INC DE 8.01 08/18/06 PROTEIN POLYMER TECHNOLOGIES INC DE 1.01 08/18/06 RAM Holdings Ltd. D0 5.02 08/15/06 Rand Logistics, Inc. DE 7.01,9.01 08/17/06 AMEND RAVEN INDUSTRIES INC SD 2.02,9.01 08/17/06 RCN CORP /DE/ DE 1.01,9.01 08/17/06 RED HAT INC DE 9.01 06/02/06 AMEND REPROS THERAPEUTICS INC. DE 8.01,9.01 08/17/06 ROCHESTER MEDICAL CORPORATION MN 9.01 06/02/06 AMEND ROCKFORD CORP AZ 5.02,7.01,9.01 08/16/06 ROWAN COMPANIES INC DE 7.01,9.01 08/17/06 RPM ADVANTAGE, INC. NV 2.01 05/15/06 RR Donnelley & Sons Co DE 5.04,9.01 07/05/06 AMEND SAFENET INC DE 3.01,8.01,9.01 08/14/06 SALESFORCE COM INC DE 7.01 08/18/06 SALTON INC DE 1.01,3.02,9.01 08/15/06 SANDERS MORRIS HARRIS GROUP INC TX 8.01,9.01 08/18/06 SAPIENT CORP DE 3.01,9.01 08/14/06 Securitized Asset Backed Receivables 8.01,9.01 08/03/06 SEMITOOL INC MT 1.01,9.01 08/15/06 Shire plc 8.01,9.01 08/17/06 Shire plc 8.01,9.01 08/18/06 SIERRA PACIFIC RESOURCES /NV/ NV 8.01 08/15/06 AMEND SIPEX CORP DE 2.04,8.01,9.01 08/15/06 SKINS INC. NV 2.01,9.01 03/20/06 AMEND SKYE INTERNATIONAL, INC NV 5.02 08/14/06 SL GREEN REALTY CORP MD 1.01 08/14/06 SMUCKER J M CO OH 2.02,9.01 08/18/06 SoftBrands, Inc. DE 1.01,2.01,2.03,3.02, 08/14/06 3.03,5.03,9.01 SOLAR ENERGY SOURCES INC. 1.01,9.01 08/15/06 SOTHEBYS DE 1.01 08/16/06 SOUTHWEST WATER CO DE 8.01,9.01 08/18/06 SPARE BACKUP, INC. DE 1.01,9.01 08/02/06 SPECTRX INC DE 1.01,2.03 08/18/06 SRKP 8 INC 1.01 08/11/06 STAGE STORES INC NV 2.02,7.01,9.01 08/16/06 STELLAR TECHNOLOGIES, INC. CO 1.01,3.02,9.01 08/14/06 STERLING BANCORP NY 8.01 08/17/06 STRATEX NETWORKS INC DE 1.01,9.01 08/15/06 STRONGHOLD TECHNOLOGIES INC NV 1.01,2.03,3.02,5.02 08/14/06 Structured Asset Mortgage Investments DE 9.01 08/18/06 Sub-Urban Brands, Inc. NV 1.01,2.03,9.01 08/15/06 SUPREME REALTY INVESTMENTS, INC. 5.02 08/16/06 Swank, Inc. DE 3.02,9.01 08/17/06 TARGACEPT INC 5.02 08/16/06 TARGETED GENETICS CORP /WA/ WA 5.02 08/15/06 TEAM INC TX 1.02,5.02 08/14/06 TechAlt, Inc. NV 1.02 08/15/06 TELEPLUS ENTERPRISES INC 2.02,4.02,5.02,9.01 08/18/06 TELETOUCH COMMUNICATIONS INC DE 1.01,2.01,8.01,9.01 08/14/06 TEXAS PACIFIC LAND TRUST 8.01,9.01 08/17/06 TIDEWATER INC DE 8.01,9.01 08/17/06 TORCH ENERGY ROYALTY TRUST DE 2.02 08/18/06 TORRENT ENERGY CORP CO 5.02 08/17/06 TRANS WORLD ENTERTAINMENT CORP NY 2.02,7.01,9.01 08/17/06 TRIZETTO GROUP INC DE 1.01 08/14/06 TRUSTMARK CORP MS 8.01 08/17/06 Tube Media Corp. CO 1.01,2.03,3.02,9.01 08/14/06 TULLYS COFFEE CORP 5.02,9.01 08/15/06 ULTICOM INC NJ 3.01,9.01 08/18/06 UNION DRILLING INC DE 2.02,5.02,7.01,9.01 08/09/06 UNISOURCE ENERGY CORP AZ 8.01,9.01 08/18/06 UNITED FUEL & ENERGY CORP NV 5.02 08/14/06 UNITED INDUSTRIAL CORP /DE/ DE 1.01,9.01 08/16/06 UNIVERSAL ENERGY CORP. 1.01,9.01 08/14/06 UROLOGIX INC MN 2.02,9.01 08/16/06 Valley Commerce Bancorp CA 2.01 08/16/06 VCG HOLDING CORP CO 8.01,9.01 08/17/06 VIISAGE TECHNOLOGY INC DE 3.01,8.01 08/18/06 VISTEON CORP DE 1.01,1.02,2.03,9.01 08/14/06 VITALSTREAM HOLDINGS INC NV 1.01,5.02,7.01,9.01 08/14/06 VIVUS INC CA 8.01,9.01 08/16/06 WaMu Asset Acceptance Corp. DE 6.01 08/18/06 WASTE SERVICES, INC. A6 5.02,9.01 08/17/06 WEST COAST BANCORP /NEW/OR/ OR 1.01 08/15/06 WESTAFF INC DE 2.02,9.01 08/17/06 WESTERN RESERVE BANCORP INC 8.01 08/18/06 WET SEAL INC DE 1.01,2.02,2.03,9.01 08/14/06 Whos Your Daddy Inc NV 1.02,3.02 04/27/06 AMEND WILLBROS GROUP INC R1 5.02 08/14/06 WILLIAMS SONOMA INC CA 1.01 08/15/06 WIMAX EU, LTD NV 4.01,9.01 08/14/06 WINMARK CORP MN 8.01,9.01 08/15/06 WINNER MEDICAL GROUP INC NV 9.01 08/14/06 WINNER MEDICAL GROUP INC NV 8.01 08/14/06 Winsted Holdings, Inc. FL 4.01 08/16/06 WITNESS SYSTEMS INC DE 3.01 08/14/06 WYNDHAM WORLDWIDE CORP DE 7.01,9.01 08/17/06 Xenonics Holdings, Inc. NV 2.02,9.01 08/18/06 XEROX CORP NY 8.01,9.01 08/18/06 YAHOO INC DE 8.01 08/16/06