SEC NEWS DIGEST Issue 2006-226 November 24, 2006 ENFORCEMENT PROCEEDINGS IN THE MATTER OF SCOTT BROCKOP On November 22, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing (Order) against Scott W. Brockop of Edison, New Jersey. The Division of Enforcement (Division) alleges in the Order that on Oct. 26, 2006, in the civil action entitled SEC v. iShopNoMarkup.com, Inc., et al., Civil Action Number 04-CV-4057, the U.S. District Court for the Eastern District of New York entered a final judgment by default against Brockop permanently enjoining him from violating Sections 5 and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Exchange Act, and Rule 10b-5 thereunder. The complaint in the civil action alleged that from approximately December 1999 through June 2000, Brockop acted as an unregistered broker. Specifically, Brockop served as Vice President of Sales and Marketing for iShopNoMarkup.com, Inc. (iShop), a start-up Nevada corporation. Brockop's primary responsibility was to direct iShop's efforts to solicit investors to purchase stock in iShop's private placements. Specifically, iShop ran a "boiler room" operation, where permanent and temporary employees cold-called potential investors. Brockop directed the daily operations of this "boiler room." IShop's salespeople, including Brockop, actively solicited investors to purchase iShop stock. Brockop and the salespeople he supervised made material misrepresentations to investors to induce them to purchase iShop stock. Through the offerings, iShop sold approximately 6,748,600 shares of stock to over 350 investors, and obtained proceeds of approximately $2.3 million. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Respondent Brockop an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate and in the public interest pursuant to Section 15(b) of the Exchange Act. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. For more information see Litigation Release Nos. 18890 (Sept. 20, 2004) and 19892 (Oct. 30, 2006) (Rel. 34-54814; File No. 3-12485) SEC v. U.S. GAS & ELECTRIC, INC., ET AL. The Commission announced that the Honorable Joan A. Lenard, U.S. District Judge for the Southern District of Florida entered judgments as to two of the Defendants in this case. On Nov. 16, 2006, Judge Lenard entered an Amended Order of Default Judgment of Permanent Injunction and Other Relief as to Defendants Larry Webman and his brother Melvin Webman. Both defendants were enjoined from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act), and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 promulgated thereunder. The Court ordered civil money penalties, disgorgement, and prejudgment interest against each of the Webmans in amounts to be determined later by the Court. The Court also ordered penny stock bars against each Defendant. The complaint in this matter alleged that between March 2002 and August 2003 U.S. Gas, acting through Larry Webman, Melvin Webman, and the other co-defendants, raised more than $6.8 million from investors in a series of unregistered offerings of securities. The Defendants used a boiler room of telemarketers to offer and sell securities to approximately 180 investors throughout the United States, many of whom were senior citizens. The complaint alleged that U.S. Gas, Larry Webman, Melvin Webman, and others misrepresented to investors in two of the offerings that U.S. Gas would register an initial public offering and that its stock would trade publicly, which would result in generous returns for investors. In addition, they falsely represented to investors in three of the securities offerings that investors should expect to receive annual returns ranging from 25% to 50% for decades. Moreover, U.S. Gas, through the Webmans and others, failed to disclose to investors that excessive commissions were being paid to the boiler room telemarketers out of the offering proceeds, and made misrepresentations to investors in one of the offerings regarding the amount of management fees that would be paid out. According to the complaint, Melvin Webman, with the help of Larry Webman, also misappropriated monies raised in one of the offerings. In addition to alleging antifraud charges, the Commission's complaint also alleged that Larry and Melvin Webman violated the registration provisions of the federal securities laws by failing to file registration statements in connection with the offerings. The complaint further alleged that both Webmans violated the broker registration provisions of the federal securities laws. [SEC v. U.S. Gas & Electric, Inc., et al., USDC, SDFL, Civil Action No. C-06-22440- CIV-LENARD] (LR-19923) SEC BRINGS EMERGENCY ACTION TO HALT AN ONGOING FRAUD INVOLVING OIL AND GAS LIMITED PARTNERSHIPS AND A FORMER COMMODITIES BROKER-DEALER SEEKING TEMPORARY RESTRAINING ORDERS AND ASSET FREEZES The Commission announced today that on November 21 it filed an emergency civil action to halt an ongoing offering fraud involving interests in oil and gas partnerships and investments in a private placement of a former commodities broker-dealer, Mercer Capital, Inc., by their principal Robert L. Flickinger II and sales agents he directed. The action was filed against Mercer Capital, its subsidiary Mercer Capital Management, Inc., two purported oil and gas companies Tri-State Energy Group I, Ltd., Tri-State Energy Group II, Ltd. (collectively, the Tri-State Companies), their general partner, Tri- State Energy Group, LLC, and Flickinger. Acting on the Commission's request for emergency relief, on November 21, Judge Donald M. Middlebrooks of the U.S. District Court for the Southern District of Florida, issued temporary restraining orders, asset freezes and other relief against the defendants. The Court also appointed Daniel S. Newman, Esq. as Receiver over all of the entities named in the Commission's complaint. The Commission's complaint alleges that from at least 2004 to the present, Flickinger and sales agents he directed have raised at least $2 million from investors through three securities offerings, two in the Tri-State Companies and another in Mercer Capital. According to the complaint, the Tri-State Companies, Mercer Capital Management, and Flickinger have falsely stated that the Tri-State Companies have business relationships and contracts with well-established oil and gas companies. These defendants have also falsely portrayed the prior investment performance and rates of return of those unrelated oil and gas companies as the Tri-State Companies' own. In connection with the Mercer Capital offering, Mercer Capital and Flickinger have grossly overstated Mercer Capital's earnings and assets to potential investors, made baseless price projections for Mercer Capital's stock in a subsequent proposed resale of approximately one million of its shares, and have omitted disclosing they have an extensive disciplinary history with regulatory agencies. Finally, in attempting to trade Mercer Capital's stock publicly on the Over-the-Counter Bulletin Board, Flickinger and Mercer Capital have filed fraudulent registration and amended registration statements with the Commission that misrepresented and omitted material facts regarding Mercer Capital's regulatory history and registration status. The Commission's complaint alleges that defendants violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. In addition to the emergency relief obtained on Nov. 21, 2006, the Commission's civil action is seeking, among other things, preliminary and permanent injunctions, an order that the defendants disgorge all ill-gotten gains, with pre-judgment interest, an order imposing civil money penalties, and an officer and director bar against Flickinger. The Commission acknowledges the assistance in this case of the National Futures Association and the Pennsylvania Securities Commission. [SEC v. Mercer Capital, Inc, et al., Case No. 06-81080- Middlebrooks/Johnson, USDC, SDFL] (LR-19924) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2006-20) to accelerate the expiration date of American-style equity options that have been adjusted to call for cash-only delivery. Publication is expected in the Federal Register during the week of November 27. (Rel. 34-54793) A proposed rule change (SR-CBOE-2006-92) has been filed by the Chicago Board Options Exchange relating to the penny pilot program under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 27. (Rel. 34-54805) The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2006-53) and Amendment No. 1 thereto relating to assignments in options based on root symbol pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 27. (Rel. 34-54807) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2006-18) under Section 19(b)(1) of the Exchange Act, which proposed rule change became effective upon filing, to amend certain administrative provisions of the rules of the Government Securities Division and the Mortgage-Backed Securities Division. Publication is expected in the Federal Register during the week of November 27. (Rel. 34-54794) A proposed rule change (SR-CBOE-2006-98) filed by the Chicago Board Options Exchange relating to the adoption of a Hybrid Electronic Quoting Fee 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 November 27. (Rel. 34-54804) A proposed rule change (SR-NSX-2006-15) filed by the National Stock Exchange to add a rule regarding third-party routing services in respect of orders entered into NSX BLADE has become 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 November 27. (Rel. 34-54808) A proposed rule change (SR-ISE-2006-63) filed by the International Securities Exchange relating to fee changes has become 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 November 27. (Rel. 34-54809) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NYSEArca-2006-85) submitted by NYSE Arca relating to a six-month pilot program to adopt new initial and continued listing standards. Publication is expected in the Federal Register during the week of November 27. (Rel. 34-54796) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NASD-2006-104) and Amendments Nos. 1 and 2 thereto submitted by the National Association of Securities Dealers to reflect the complete separation of Nasdaq Stock Market, Inc. from the NASD upon The NASDAQ Stock Market LLC's operation as a national securities exchange for non-Nasdaq exchange- listed securities. Publication is expected in the Federal Register during the week of November 27. (Rel. 34-54798) The Commission approved a proposed rule change (SR-NYSE-2005-90) and Amendment No.1 thereto submitted by the New York Stock Exchange to amend NYSE Rule 409 (Statements of Accounts to Customers) to allow certain institutional customers to elect not to receive account statements. Publication is expected in the Federal Register during the week of November 27. (Rel. 34-54810) The Commission approved a proposed rule change (SR-NASD-2006-066) and Amendment No.1 thereto submitted by the National Association of Securities Dealers to amend NASD Rule 2340 (Customer Account Statements) to allow certain institutional customers to elect not to receive account statements. Publication is expected in the Federal Register during the week of November 27. (Rel. 34-54811) 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 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 6,095,332 ($240,338,941.00) Equity, (File 333-138889 - Nov. 22) (BR. 01A) S-1 COLUMBUS ACQUISITION CORP, 590 MADISON AVENUE, NEW YORK, NY, 10022, 212-418-9600 - 0 ($232,250,100.00) Equity, (File 333-138890 - Nov. 22) (BR. 09) S-8 HENRY JACK & ASSOCIATES INC, PO BOX 807, 663 HWY 60, MONETT, MO, 65708-0807, 4172356652 - 1,000,000 ($22,570,000.00) Equity, (File 333-138891 - Nov. 22) (BR. 03A) S-8 ODYSSEY RE HOLDINGS CORP, 300 FIRST STAMFORD PL, STAMFORD, CT, 06902, 2039778000 - 0 ($18,780,000.00) Equity, (File 333-138892 - Nov. 22) (BR. 01B) S-3 NOVAVAX INC, 508 LAPP ROAD, MALVERN, PA, 19355, 4849131200 - 0 ($100,000,000.00) Equity, (File 333-138893 - Nov. 22) (BR. 01B) S-1 SYNTA PHARMACEUTICALS CORP, 45 HARTWELL AVE, LEXINGTON, MA, 02421, 781-274-8200 - 0 ($115,000,000.00) Equity, (File 333-138894 - Nov. 22) (BR. 01C) S-1 COMMUNITY FIRST INC, 501 SOUTH JAMES CAMPBELL BLVD., COLUMBIA, TN, 38401, 9313802265 - 0 ($10,500,000.00) Equity, (File 333-138897 - Nov. 22) (BR. 07A) S-8 MAXYGEN INC, 515 GALVESTON DRIVE, REDWOOD CITY, CA, 94063, 6502985300 - 11,037,824 ($1.00) Equity, (File 333-138898 - Nov. 22) (BR. 01B) S-8 DELTA GALIL INDUSTRIES LTD, 2 KAUFMAN ST, TEL AVIV, L3, 67021, 1,400,000 ($11,596,139.00) Equity, (File 333-138899 - Nov. 22) (BR. 02C) S-4 Atlantic Southern Financial Group, Inc., 4077 FORSYTH ROAD, MACON, GA, 31210, 478-757-8181 - 0 ($16,459,020.00) Equity, (File 333-138900 - Nov. 22) (BR. 07B) S-8 MOLEX INC, 2222 WELLINGTON CT, LISLE, IL, 60532, 6309694550 - 529,800 ($15,768,576.00) Equity, (File 333-138901 - Nov. 22) (BR. 10B) SB-2 International American Technologies, Inc., 601 CIEN STREET, SUITE 235, KEMAH, TX, 77565, 281-334-9479 - 44,999,999 ($17,999,999.60) Equity, (File 333-138902 - Nov. 22) (BR. 09A) S-8 CVD EQUIPMENT CORP, 1860 SMITHTOWN AVE, RONKONKOMA, NY, 11779-7321, 6319817081 - 300,000 ($1,332,000.00) Equity, (File 333-138903 - Nov. 22) (BR. 10A) F-3 BONTAN CORP INC, 47 AVENUE ROAD, SUITE 200, TORONTO, A6, M5R 2G3, 416-929-1806 - 21,840,000 ($7,644,000.00) Equity, (File 333-138904 - Nov. 22) (BR. 04B) S-4 SANDY SPRING BANCORP INC, 17801 GEORGIA AVE, OLNEY, MD, 20832, 3017746400 - 0 ($31,128,471.40) Equity, (File 333-138905 - Nov. 22) (BR. 07B) S-1 GRAYBAR ELECTRIC CO INC VOTING TRUST, P O BOX 7231, ST LOUIS, MO, 63177, (314)512-9 - 6,322,000 ($126,440,000.00) Equity, (File 333-138907 - Nov. 22) (BR. 10B) S-8 CUTTER & BUCK INC, 701 N. 34TH ST., SUITE 400, SEATTLE, WA, 98103, 2066224191 - 0 ($6,153,000.00) Equity, (File 333-138908 - Nov. 22) (BR. 02B) S-3 MORTGAGE ASSET SECURITIZATION TRANSACTIONS INC, 1285 AVE OF THE AMERICAS, NEW YORK, NY, 10019, 2127132000 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-138909 - Nov. 22) (BR. 05D) SB-2 BioSolar Inc, 27936 Lost Canyon Road, Suite 202, Santa Clarita, CA, 91387, 6612510001 - 26,500,000 ($2,650,000.00) Equity, (File 333-138910 - Nov. 22) (BR. ) SB-2 ITRONICS INC, 6490 SO. MCCARRAN BLVD., BLDG C STE 23, RENO, NV, 89509, 7756897696 - 75,000,000 ($1,425,000.00) Equity, (File 333-138911 - Nov. 22) (BR. 04A) S-8 AMAZON BIOTECH INC, 43 WEST 33RD STREET, SUITE 405, NEW YORK, NY, 84107, (212) 695-3003 - 7,000,000 ($630,000.00) Equity, (File 333-138913 - Nov. 22) (BR. 01A) S-8 DECORATOR INDUSTRIES INC, 10011 PINES BLVD SUITE 201, PEMBROKE PINES, FL, 33024, 3054368909 - 250,000 ($2,192,500.00) Equity, (File 333-138914 - Nov. 22) (BR. 02A) S-8 GLOBECOMM SYSTEMS INC, 45 OSER AVENUE, HAUPPAUGE, NY, 11788, 5162319800 - 0 ($7,653,200.00) Equity, (File 333-138915 - Nov. 22) (BR. 11C) S-4 Sabine Pass LNG, L.P., 717 TEXAS AVENUE, SUITE 3100, HOUSTON, TX, 77002, (713) 659-1361 - 0 ($2,032,000,000.00) Non-Convertible Debt, (File 333-138916 - Nov. 22) (BR. ) S-8 Averion International Corp., 505 LOMAS SANTA FE DRIVE, SUITE 200, SOLANA BEACH, CA, 92075, 858-366-0970 - 75,000,000 ($13,050,000.00) Equity, (File 333-138917 - Nov. 22) (BR. 01A) SB-2 ACE MARKETING & PROMOTIONS INC, 457 ROCKAWAY AVENUE, VALLEY STREAM, NY, 11581, 516-256-7766 - 1,427,363 ($2,997,462.30) Equity, (File 333-138918 - Nov. 22) (BR. 06A) S-3ASR INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 0 ($0.00) Equity, (File 333-138919 - Nov. 22) (BR. 01A) F-10 AGNICO EAGLE MINES LTD, 145 KING STREET EAST, SUITE 500, TORONTO, A6, M5C 2Y7, 4169471212 - 0 ($500,000,000.00) Other, (File 333-138921 - Nov. 22) (BR. 04B) S-1 RAM ENERGY RESOURCES INC, 5100 E SKELLY DRIVE - SUITE 650, TULSA, OK, 74135, 918-663-2800 - 0 ($65,000,000.00) Equity, (File 333-138922 - Nov. 22) (BR. 04C) S-8 UNIVERSAL DETECTION TECHNOLOGY, 9300 WILSHIRE BOULEVARD, SUITE 308, BEVERLY HILLS, CA, 90212, 3102483655 - 37,500,000 ($300,000.00) Equity, (File 333-138923 - Nov. 22) (BR. 10C) S-3ASR COMERICA INC /NEW/, 500 WOODWARD AVENUE MC 3391, COMERICA TOWER AVE1ST FL, DETROIT, MI, 48226-3509, 313 222-9743 - 0 ($0.00) Equity, (File 333-138924 - Nov. 22) (BR. 07A) S-3 FIVE STAR QUALITY CARE INC, 617 796 8387 - 0 ($870,913,000.00) Unallocated (Universal) Shelf, (File 333-138926 - Nov. 22) (BR. 11C) SB-2 El Palenque Vivero, Inc., TABASCO NUMBER 10, COLONIA MARAVILLAS, CUERNAVACA, MORELOS, O5, 62320, 305-394-9730 - 2,750,000 ($110,000.00) Equity, (File 333-138927 - Nov. 22) (BR. ) S-8 GTREX CAPITAL, INC., 43180 BUSINESS PARK DRIVE SUITE 202, TEMECULA, X1, 92590, 951-587-9100 - 140,000,000 ($420,000.00) Equity, (File 333-138928 - Nov. 22) (BR. 22) S-3 FIVE STAR QUALITY CARE INC, 617 796 8387 - 0 ($126,500,000.00) Equity, (File 333-138930 - Nov. 22) (BR. 11C) S-3 NISSAN AUTO RECEIVABLES CORP II, C/O NISSAN NORTH AMERICA, INC., 990 WEST 190TH STREET, MAILSTOP M8A, TORRANCE, CA, 90502, 3107198583 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-138931 - Nov. 22) (BR. 05D) F-1 Kodiak Oil & Gas Corp, SUITE 330 1625 BROADWAY, DENVER, CO, 90202, 303-592-8070 - 0 ($42,205,000.00) Equity, (File 333-138932 - Nov. 22) (BR. 04) 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 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT ACE LTD D0 1.01,1.02,2.03 11/17/06 ACTION PRODUCTS INTERNATIONAL INC FL 8.01,9.01 11/22/06 ACTIS GLOBAL VENTURES INC NV 8.01,9.01 11/22/06 ADELPHIA COMMUNICATIONS CORP DE 7.01 11/22/06 ADM TRONICS UNLIMITED INC/DE DE 7.01 11/22/06 Advance America, Cash Advance Centers DE 1.01,5.02,9.01 11/16/06 ADVANCED MEDICAL INSTITUTE INC. NV 1.01,9.01 09/08/06 AMEND AEC1 INC 8.01,9.01 11/21/06 AEROFLEX INC DE 5.02,9.01 11/21/06 Affinion Group, Inc. DE 5.02 11/21/06 AGL RESOURCES INC GA 5.02 11/21/06 AKAMAI TECHNOLOGIES INC DE 8.01,9.01 11/17/06 Alarion Financial Services Inc 5.02 11/13/06 ALBERTO CULVER CO DE 1.01,1.02,2.03,3.03, 11/16/06 5.01,5.02,5.03,9.01 ALCOA INC PA 2.05,2.06,9.01 11/21/06 ALDERWOODS GROUP INC DE 8.01,9.01 11/22/06 Aleris International, Inc. DE 7.01,9.01 11/22/06 ALEXION PHARMACEUTICALS INC DE 8.01,9.01 11/21/06 ALLIANCE IMAGING INC /DE/ DE 8.01,9.01 11/20/06 ALLIED WASTE INDUSTRIES INC DE 1.01,8.01,9.01 11/22/06 ALPHARMA INC DE 7.01,9.01 11/22/06 AMEDISYS INC DE 7.01,9.01 11/22/06 AMEREN CORP MO 8.01 11/21/06 AMERICAN EXPRESS CO NY 5.02,9.01 11/20/06 AMERICAN MORTGAGE ACCEPTANCE CO MA 8.01,9.01 11/17/06 AMSCAN HOLDINGS INC DE 2.02,9.01 11/22/06 Amtrust Financial Services, Inc. DE 7.01,9.01 11/22/06 ANESIVA, INC. DE 1.01,9.01 11/21/06 ANTHRACITE CAPITAL INC MD 8.01,9.01 11/22/06 AON CORP DE 8.01,9.01 11/20/06 APOGEE ENTERPRISES INC MN 5.02,9.01 11/20/06 Apple REIT Seven, Inc. VA 1.02 11/20/06 ARROW INTERNATIONAL INC PA 8.01 11/21/06 ASHWORTH INC DE 5.02,9.01 11/16/06 ASTRALIS LTD CO 2.02,9.01 11/21/06 ATLANTIC AMERICAN CORP GA 3.01 11/20/06 ATLAS AMERICA INC DE 7.01 11/21/06 ATLAS PIPELINE PARTNERS LP DE 7.01,9.01 11/22/06 Aventura Holdings Inc. FL 4.01,9.01 10/31/06 BACK YARD BURGERS INC DE 3.01,9.01 11/20/06 BANTA CORP WI 1.01,2.03,9.01 11/20/06 BARRY R G CORP /OH/ OH 5.02,9.01 11/17/06 Bear Stearns Asset Backed Securities 9.01 11/09/06 BEAR STEARNS COMPANIES INC DE 8.01,9.01 11/15/06 bebe stores, inc. CA 1.01,9.01 11/17/06 BENIHANA INC DE 2.02,9.01 11/22/06 BIG LOTS INC OH 2.02,9.01 11/16/06 BioScrip, Inc. DE 8.01,9.01 11/22/06 BLUE COAT SYSTEMS INC DE 5.02 11/17/06 Boardwalk Pipeline Partners, LP DE 1.01,2.03,9.01 11/22/06 BOEING CO DE 1.01,2.03 11/17/06 BOLT TECHNOLOGY CORP CT 5.02,9.01 11/21/06 BON TON STORES INC PA 8.01,9.01 11/22/06 BOSTON PROPERTIES INC DE 1.01 11/17/06 BOSTON PROPERTIES LTD PARTNERSHIP 1.01 11/17/06 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 5.02 11/16/06 Branded Media CORP NV 4.01,9.01 11/10/06 AMEND BRICKMAN GROUP LTD 1.01,5.02,9.01 11/16/06 BRT REALTY TRUST MA 2.02,9.01 11/22/06 C&D TECHNOLOGIES INC DE 3.02,7.01,9.01 11/21/06 C2 Global Technologies Inc FL 4.01,9.01 11/17/06 CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 11/15/06 CALA CORP OK 5.02 11/22/06 CALIFORNIA MICRO DEVICES CORP CA 5.02 11/17/06 Capital One Auto Finance Trust 2006-C DE 8.01,9.01 11/22/06 CARDIODYNAMICS INTERNATIONAL CORP CA 8.01,9.01 11/21/06 CARNIVAL CORP DE 8.01 11/17/06 CELLEGY PHARMACEUTICALS INC CA 8.01,9.01 11/22/06 CERUS CORP DE 8.01,9.01 11/21/06 CHAMPION ENTERPRISES INC MI 1.02 11/19/06 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/21/06 CHATTEM INC TN 1.01,2.03,3.02,8.01,9.01 11/16/06 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 11/20/06 CHENIERE ENERGY INC DE 1.01,8.01 11/16/06 China International Enterprises Corp. DE 8.01 11/13/06 CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01,9.01 11/20/06 CHINA SOFTWARE TECHNOLOGY GROUP CO LT CA 8.01 11/13/06 CINTEL CORP NV 4.02 11/17/06 CIT FUNDING CO, LLC 8.01,9.01 11/21/06 CIT FUNDING CO, LLC 8.01 11/22/06 CITADEL BROADCASTING CORP DE 1.01,8.01,9.01 11/19/06 CITIGROUP INC DE 9.01 11/22/06 CKRUSH, INC. DE 1.01,9.01 11/16/06 CLARIENT, INC DE 5.02,9.01 11/17/06 CMS ENERGY CORP MI 8.01 11/21/06 COACTIVE MARKETING GROUP INC DE 3.01,4.02 11/17/06 COGENT COMMUNICATIONS GROUP INC 5.02 11/22/06 COLLECTORS UNIVERSE INC DE 1.01 11/17/06 COLLINS & AIKMAN CORP DE 8.01 11/20/06 COLOMBIA GOLDFIELDS LTD 4.02 11/20/06 COMLINK COMMUNICATIONS CO NV 8.01 11/22/06 Compass Diversified Trust DE 1.01,1.02,2.03,9.01 11/21/06 COMPUDYNE CORP NV 1.01,9.01 11/21/06 COMVERSE TECHNOLOGY INC/NY/ NY 1.02,5.02,9.01 11/16/06 CONSOLIDATED CONTAINER CO LLC DE 8.01,9.01 11/22/06 Copano Energy, L.L.C. DE 8.01,9.01 11/22/06 CORINTHIAN COLLEGES INC 8.01,9.01 11/22/06 CORNELL COMPANIES INC DE 8.01 11/21/06 CORNELL COMPANIES INC DE 8.01 11/22/06 CORPORATE BOND BACKED CERT TR SER 199 DE 8.01,9.01 11/15/06 COTHERIX INC 1.01,5.02,7.01,9.01 11/19/06 COUNTRYWIDE FINANCIAL CORP DE 1.01,1.02,9.01 11/17/06 CRAY INC WA 7.01,8.01,9.01 11/21/06 CRC Health CORP DE 1.01,2.01,2.03,5.02,8.01,9.01 11/17/06 CROSSTEX ENERGY INC DE 5.02,7.01,9.01 11/16/06 CROSSTEX ENERGY LP DE 5.02,7.01,9.01 11/16/06 CV THERAPEUTICS INC DE 8.01,9.01 11/22/06 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 09/29/06 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 11/08/06 CYBER DEFENSE SYSTEMS INC FL 5.01,9.01 11/22/06 DAVEY TREE EXPERT CO OH 2.03 11/21/06 DEL GLOBAL TECHNOLOGIES CORP NY 3.03,5.03,9.01 11/17/06 DEL GLOBAL TECHNOLOGIES CORP NY 1.01 11/17/06 DENTAL PATIENT CARE AMERICA INC UT 1.01,9.01 11/17/06 DG FastChannel, Inc DE 1.01,1.02,3.02,9.01 11/20/06 DILLARDS INC DE 7.01,9.01 11/21/06 Directed Electronics, Inc. FL 5.02,9.01 11/22/06 DISCOVERY LABORATORIES INC /DE/ DE 1.01,3.02,9.01 11/22/06 DOCUCORP INTERNATIONAL INC DE 2.02,9.01 11/21/06 DOLLAR FINANCIAL CORP DE 1.01,5.02 11/17/06 DYCOM INDUSTRIES INC FL 2.02,9.01 11/20/06 DYNATRONICS CORP UT 2.02,9.01 11/09/06 Eagle Rock Energy Partners, L.P. DE 8.01,9.01 11/21/06 EARTHWORKS ENTERTAINMENT INC DE 5.02 11/16/06 ECLIPSYS CORP DE 5.02 11/22/06 EDGE PETROLEUM CORP DE 1.01,2.03,7.01,9.01 11/16/06 EDISON INTERNATIONAL CA 3.03 11/21/06 EL PASO ELECTRIC CO /TX/ TX 5.02 11/16/06 ENCORE ACQUISITION CO DE 5.02,9.01 11/16/06 ENDOVASC INC NV 3.02 11/16/06 EnerJex Resources, Inc. NV 1.01,2.01,3.02,5.01,5.02, 07/31/06 AMEND 5.03,5.06,8.01,9.01 EP MEDSYSTEMS INC NJ 8.01,9.01 11/17/06 EQUITY RESIDENTIAL MD 5.02 11/20/06 ESB FINANCIAL CORP PA 5.02,9.01 11/21/06 EXABYTE CORP /DE/ DE 5.02 11/20/06 F&M BANK CORP VA 4.01,9.01 11/17/06 FACEPRINT GLOBAL SOLUTIONS INC WY 5.02,9.01 11/21/06 FEDERAL TRUST CORP FL 8.01,9.01 11/22/06 Film & Music Entertainment, Inc. NV 4.01,5.02 11/15/06 Financial Media Group, Inc. NV 9.01 11/10/06 AMEND FIRST COMMONWEALTH FINANCIAL CORP /PA PA 7.01,9.01 11/22/06 FIRST COMMUNITY FINANCIAL CORP PA 5.02 11/21/06 FIRST FINANCIAL CORP /IN/ IN 8.01,9.01 11/22/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 11/20/06 FIRST INTERSTATE BANCSYSTEM INC MT 5.02 11/16/06 FIRST KEYSTONE FINANCIAL INC 2.02,9.01 11/22/06 FIRST METROPLEX CAPITAL INC 2.02,9.01 11/21/06 FIVE STAR QUALITY CARE INC 8.01 11/22/06 FIVE STAR QUALITY CARE INC 8.01 10/11/06 AMEND FLAGSTAR BANCORP INC MI 8.01,9.01 11/21/06 Ford Credit Auto Owner Trust 2006-C DE 8.01,9.01 11/22/06 Fortress America Acquisition CORP DE 4.02 11/16/06 FOUR OAKS FINCORP INC NC 8.01 11/22/06 Fresh Harvest Products, Inc. 4.02 11/16/06 Friendlyway CORP NV 1.01,1.02,2.01,8.01,9.01 11/17/06 FUEGO ENTERTAINMENT, INC. NV 1.01,9.01 11/20/06 GAMMACAN INTERNATIONAL INC DE 1.01,2.03,9.01 11/20/06 GeNOsys, Inc. UT 7.01,9.01 11/14/06 GENTEX CORP MI 5.02 11/16/06 GENUINE PARTS CO GA 5.02,8.01 11/22/06 GEOCOM RESOURCES INC NV 7.01,9.01 11/20/06 GLACIER BANCORP INC DE 5.02,9.01 11/21/06 GLOBETEL COMMUNICATIONS CORP DE 5.02,8.01 11/17/06 GOODYEAR TIRE & RUBBER CO /OH/ OH 1.01,2.03,8.01,9.01 11/16/06 Granite Master Issuer plc X0 8.01,9.01 11/21/06 GRAYSON BANKSHARES INC VA 4.01,9.01 11/17/06 GREAT SOUTHERN BANCORP INC MD 8.01,9.01 11/21/06 Great Wolf Resorts, Inc. DE 5.02,9.01 11/20/06 GREATER COMMUNITY BANCORP NJ 5.03,9.01 11/21/06 GREYSTONE LOGISTICS, INC. 5.02 11/18/06 HANOVER DIRECT INC DE 8.01,9.01 11/17/06 HARLEYSVILLE NATIONAL CORP PA 7.01,9.01 11/22/06 HAROLDS STORES INC OK 2.02,9.01 10/28/06 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,5.02,7.01,9.01 11/17/06 HEALTH ENHANCEMENT PRODUCTS INC NV 3.01 11/22/06 HEALTH ENHANCEMENT PRODUCTS INC NV 3.01 11/22/06 AMEND HEARST ARGYLE TELEVISION INC DE 1.01,2.03,5.02,9.01 11/16/06 HEMACARE CORP /CA/ CA 2.02,9.01 11/14/06 Heritage Financial Group DC 5.02,7.01,9.01 11/17/06 HERZFELD CARIBBEAN BASIN FUND INC MD 9.01 11/16/06 AMEND HESPERIA HOLDING INC 4.01 11/14/06 Hill International, Inc. DE 9.01 08/31/06 AMEND HINES REAL ESTATE INVESTMENT TRUST IN 7.01,8.01,9.01 11/16/06 HORMEL FOODS CORP /DE/ DE 2.02,9.01 11/22/06 HUNGARIAN TELEPHONE & CABLE CORP DE 5.02 11/17/06 HyperSpace Communications, Inc. CO 1.01,1.02,2.03,9.01 11/16/06 I A EUROPE GROUP INC DE 8.01 11/21/06 IBERIABANK CORP LA 3.02,9.01 11/16/06 IBT BANCORP INC /MI/ MI 5.03,9.01 11/20/06 ICO INC TX 1.01,9.01 11/21/06 IDEARC INC. DE 1.01,9.01 11/17/06 AMEND IFSA Strongman, Inc. DE 1.01,2.03,9.01 11/17/06 IMAGE ENTERTAINMENT INC DE 1.01,5.02 11/20/06 IMAGEWARE SYSTEMS INC DE 2.02,9.01 11/20/06 IMMUCOR INC GA 5.02,9.01 11/16/06 ImmunoCellular Therapeutics, Ltd. DE 1.01,2.01,3.02,5.01,5.02 11/17/06 INNUITY, INC. /UT/ UT 3.02 11/21/06 Intcomex, Inc. DE 5.02,9.01 11/16/06 Integrated Healthcare Holdings Inc NV 1.02,5.02 11/16/06 INTERCELL INTERNATIONAL CORP NV 5.03 11/20/06 Intermec, Inc. DE 5.02,9.01 11/16/06 INTERNATIONAL MONETARY SYSTEMS LTD /W WI 1.01,2.01,9.01 11/17/06 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 11/22/06 Intersearch Group Inc FL 2.01 09/15/06 AMEND Ispat Inland L.P. DE 8.01,9.01 11/17/06 ISRAMCO INC DE 1.01,9.01 11/15/06 ITRON INC /WA/ WA 7.01 11/21/06 Ivivi Technologies, Inc. NJ 8.01,9.01 11/22/06 J P MORGAN CHASE & CO DE 9.01 11/20/06 JMAR TECHNOLOGIES INC DE 3.01,9.01 11/20/06 JONES LANG LASALLE INC MD 8.01,9.01 11/22/06 KNOT INC DE 9.01 09/08/06 AMEND KRONOS INC MA 1.01,5.02 11/16/06 LAKELAND INDUSTRIES INC DE 2.01 11/22/06 LANCASTER COLONY CORP OH 8.01 11/21/06 LCA VISION INC DE 8.01,9.01 11/21/06 LEGEND INTERNATIONAL HOLDINGS INC DE 8.01 11/22/06 LEHMAN BROTHERS HOLDINGS INC DE 9.01 11/17/06 LIFECORE BIOMEDICAL INC MN 5.02,9.01 11/16/06 LL&E ROYALTY TRUST TX 7.01,9.01 11/22/06 LOCKHEED MARTIN CORP MD 5.02 11/16/06 Long Beach Mortgage Loan Trust 2006-1 DE 8.01,9.01 11/09/06 LUBYS INC DE 4.01,5.03,9.01 11/17/06 LUNA INNOVATIONS INC 5.02 11/16/06 M&T BANK CORP NY 5.02,9.01 11/21/06 Maidenform Brands, Inc. DE 1.01,9.01 11/20/06 MAINSOURCE FINANCIAL GROUP IN 5.02,9.01 11/20/06 Marine Park Holdings, Inc. DE 5.01,5.02,8.01,9.01 11/16/06 MARTEK BIOSCIENCES CORP DE 5.02 11/16/06 MAXIMUS INC VA 2.02,9.01 11/16/06 MDC HOLDINGS INC DE 5.02,8.01 04/24/06 AMEND MDU RESOURCES GROUP INC DE 5.02,5.03,9.01 11/16/06 MediQuip Holdings, INC UT 8.01 11/22/06 Mercantile Bancorp, Inc. DE 8.01,9.01 11/22/06 MERCANTILE BANK CORP MI 5.02,9.01 11/16/06 MERIDIAN HOLDINGS INC CO 3.01 11/22/06 MERIT MEDICAL SYSTEMS INC UT 7.01,9.01 11/21/06 MESA AIR GROUP INC NV 2.02,9.01 11/21/06 MET PRO CORP PA 2.02,9.01 11/21/06 MOBILEPRO CORP DE 8.01 11/16/06 MONSTER WORLDWIDE INC DE 8.01,9.01 11/22/06 MOODYS CORP /DE/ DE 1.01,2.01,9.01 11/20/06 Morgan Stanley ABS Capital I Inc. Tru DE 2.01,9.01 10/10/06 MOTHERS WORK INC DE 5.02 11/15/06 AMEND MPLC, Inc. DE 8.01,9.01 11/22/06 MULTI COLOR CORP OH 8.01,9.01 11/22/06 MULTIBAND CORP MN 7.01,9.01 11/14/06 MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,2.03,9.01 11/22/06 MUTUALFIRST FINANCIAL INC MD 8.01,9.01 11/21/06 MVP Network, Inc. NV 1.01,7.01,9.01 11/22/06 NASDAQ STOCK MARKET INC DE 5.02 11/17/06 NATIONAL BANCSHARES CORP /OH/ OH 8.01,9.01 11/22/06 NATIONAL BANCSHARES CORP /OH/ OH 5.02,9.01 11/22/06 NATIONAL ENERGY GROUP INC DE 8.01,9.01 11/21/06 NETWORK ENGINES INC DE 5.02 11/16/06 NEW JERSEY RESOURCES CORP NJ 1.01,9.01 08/31/06 New Sally Holdings, Inc. 1.01,2.03,3.02,3.03,5.01, 11/16/06 5.02,5.03,8.01,9.01 NEWCASTLE INVESTMENT CORP MD 2.03 11/16/06 NEWMARKET CORP VA 8.01,9.01 11/21/06 NEWPOWER HOLDINGS INC DE 8.01,9.01 11/22/06 Nissan Auto Lease Trust 2006-A 1.01,9.01 11/21/06 NORFOLK SOUTHERN CORP VA 1.01 11/22/06 NORTHWEST BIOTHERAPEUTICS INC DE 2.03 11/21/06 NOVASTAR FINANCIAL INC MD 8.01 11/21/06 NYER MEDICAL GROUP INC FL 1.01,2.03,9.01 11/22/06 NYMEX HOLDINGS INC DE 8.01,9.01 11/20/06 OAK HILL FINANCIAL INC OH 5.02,9.01 11/21/06 OAKLEY INC WA 1.01,9.01 11/22/06 OCONEE FINANCIAL CORP GA 4.01,9.01 11/20/06 ODYNE CORP 4.01 11/22/06 AMEND OMTOOL LTD DE 3.01,9.01 11/17/06 OSCIENT PHARMACEUTICALS CORP MA 5.02 11/20/06 OSHKOSH TRUCK CORP WI 8.01,9.01 11/21/06 Ottawa Savings Bancorp, Inc. X1 5.02,8.01,9.01 11/21/06 OXFORD MEDIA, INC. NV 1.01,2.02,2.03,2.04,3.02, 11/16/06 3.03,5.02,9.01 Pachinko World, Inc. NV 5.02,8.01,9.01 11/20/06 PACIFIC BIOMETRICS INC DE 8.01 11/17/06 PACIFICORP /OR/ OR 5.02 11/22/06 PARLUX FRAGRANCES INC DE 5.02 11/16/06 PARLUX FRAGRANCES INC DE 3.01,9.01 11/16/06 PARTNERRE LTD 2.04 11/21/06 PATRON SYSTEMS INC DE 1.01,3.02 11/16/06 PATTERSON COMPANIES, INC. MN 2.02,9.01 11/22/06 PEERLESS MANUFACTURING CO TX 5.02 11/16/06 PENN TREATY AMERICAN CORP PA 8.01,9.01 11/16/06 PERFORMANCE FOOD GROUP CO TN 5.02,9.01 11/16/06 PetroHunter Energy Corp MD 7.01,9.01 10/25/06 AMEND PHH CORP MD 2.06,8.01,9.01 11/20/06 PINNACLE ENTERTAINMENT INC DE 1.01,2.01,2.03,9.01 11/16/06 POSSIS MEDICAL INC MN 9.01 11/22/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/17/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/17/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/17/06 PRINTRONIX INC DE 8.01,9.01 11/22/06 PROCERA NETWORKS INC NV 8.01,9.01 11/20/06 PROGINET CORP DE 2.02,9.01 11/21/06 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 11/21/06 PROVIDENT FINANCIAL SERVICES INC DE 5.02,9.01 11/21/06 PRUDENTIAL FINANCIAL INC NJ 4.01,9.01 11/21/06 PURADYN FILTER TECHNOLOGIES INC DE 4.01,9.01 11/20/06 PURE BIOFUELS CORP NV 5.02 11/21/06 PYR ENERGY CORP DE 2.02,7.01,9.01 11/22/06 QCR HOLDINGS INC DE 3.02,3.03 11/22/06 Rackable Systems, Inc. DE 5.02 11/17/06 RAINIER PACIFIC FINANCIAL GROUP INC WA 2.02,9.01 11/22/06 RAMTRON INTERNATIONAL CORP DE 1.01,5.02,9.01 11/20/06 RAYMOND JAMES FINANCIAL INC FL 5.02 11/22/06 RBC LIFE SCIENCES, INC. DE 2.02,9.01 11/20/06 Red Lion Hotels CORP WA 5.02,9.01 11/21/06 Red Mile Entertainment Inc 3.02,9.01 11/20/06 REDENVELOPE INC DE 5.02,9.01 11/20/06 REFLECT SCIENTIFIC INC UT 7.01,9.01 11/17/06 Regency Energy Partners LP DE 8.01,9.01 11/22/06 Regency Energy Partners LP DE 8.01,9.01 11/14/06 AMEND Remote Dynamics Inc DE 1.01,2.03,5.02,9.01 11/16/06 SAIA INC DE 8.01,9.01 11/20/06 SAIA INC DE 7.01,9.01 11/20/06 SALIX PHARMACEUTICALS LTD 8.01,9.01 11/22/06 SANDISK CORP DE 2.01,2.03,9.01 11/19/06 SANFILIPPO JOHN B & SON INC DE 4.02 11/17/06 SATCON TECHNOLOGY CORP DE 2.02,9.01 11/16/06 SAVANNAH BANCORP INC GA 8.01 11/21/06 SCBT FINANCIAL CORP SC 5.02,9.01 11/16/06 SCHOOL SPECIALTY INC WI 1.01,2.03,3.02,8.01,9.01 11/16/06 Scientigo, Inc. DE 8.01 11/13/06 SERVICE CORPORATION INTERNATIONAL TX 8.01,9.01 11/22/06 SERVICEMASTER CO DE 5.02,9.01 11/22/06 SES SOLAR INC. 7.01,9.01 11/22/06 SEVERN BANCORP INC MD 7.01 11/22/06 Shire plc 8.01,9.01 11/21/06 SIERRA PACIFIC RESOURCES /NV/ NV 2.03 11/22/06 SILVERSTAR HOLDINGS LTD B0 7.01,9.01 11/21/06 SKREEM ENTERTAINMENT CORP 1.01,9.01 11/20/06 SKYE INTERNATIONAL, INC NV 5.02 11/17/06 SOLOMON TECHNOLOGIES INC DE 1.01,2.03,3.02 11/17/06 Somaxon Pharmaceuticals, Inc. DE 7.01,9.01 11/20/06 Soundview Home Loan Trust 2006-WF1 DE 2.01,9.01 10/25/06 SOUTHERN CO DE 5.02,9.01 11/16/06 SPARK NETWORKS PLC X0 5.02,8.01,9.01 11/20/06 Spheris Inc. DE 5.02,9.01 11/16/06 SPHERIX INC DE 2.02,9.01 11/13/06 STANDARD MANAGEMENT CORP IN 2.02,9.01 11/21/06 STEM CELL INNOVATIONS, INC. DE 1.01,3.02,9.01 11/16/06 STERLING BANCSHARES INC TX 5.02,9.01 11/20/06 STOCKERYALE INC MA 3.01 11/16/06 STRATS SM TRUST FOR AT&T CORP SEC S 8.01,9.01 11/15/06 STREAMLINE HEALTH SOLUTIONS INC. DE 5.02,9.01 11/21/06 SUNPOWER CORP CA 1.01,9.01 11/15/06 AMEND SUPERIOR GALLERIES INC DE 1.01,2.01,9.01 11/21/06 SUPERTEL HOSPITALITY INC VA 9.01 08/18/06 AMEND SUPREME REALTY INVESTMENTS, INC. 2.02,9.01 11/20/06 Sweet Success Enterprises, Inc NV 4.01,9.01 11/22/06 Synutra International, Inc. DE 5.02 11/22/06 TAPESTRY PHARMACEUTICALS, INC DE 1.02 11/16/06 TAYLOR CAPITAL GROUP INC DE 5.02,9.01 11/22/06 TD BANKNORTH INC. DE 1.01,3.01,5.02,9.01 11/19/06 AMEND TEMECULA VALLEY BANCORP INC CA 3.02,9.01 11/21/06 TENET HEALTHCARE CORP NV 8.01 11/22/06 TESSERA TECHNOLOGIES INC DE 5.02 11/15/06 AMEND THQ INC DE 3.01 11/16/06 TOREADOR RESOURCES CORP DE 4.02 11/16/06 TRANSCOMMUNITY FINANCIAL CORP VA 2.02,4.02,9.01 08/11/06 AMEND TREE TOP INDUSTRIES, INC. NV 8.01,9.01 11/21/06 TRICELL INC NV 2.01,9.01 11/21/06 AMEND TRIMAS CORP DE 1.02,5.02,9.01 11/17/06 TRIPOS INC UT 8.01 11/22/06 TRIQUINT SEMICONDUCTOR INC DE 5.03,9.01 11/16/06 TRM CORP OR 3.01,9.01 11/16/06 TRM CORP OR 1.01,2.03,9.01 11/20/06 TRW AUTOMOTIVE HOLDINGS CORP DE 5.02 11/20/06 TUFCO TECHNOLOGIES INC DE 1.01,2.03 11/20/06 TVIA INC DE 2.02,3.01,9.01 11/21/06 TWEEN BRANDS, INC. DE 5.02 11/16/06 TXP CORP NV 1.01,3.02,9.01 11/15/06 TYSON FOODS INC DE 5.02,9.01 11/22/06 UNION NATIONAL FINANCIAL CORP / PA PA 5.02 11/22/06 UNITED BANKSHARES INC/WV WV 5.02 11/20/06 UNITED INDUSTRIAL CORP /DE/ DE 1.01,9.01 11/21/06 UNITED NATURAL FOODS INC DE 1.01,2.02,9.01 11/16/06 Universal Capital Management, Inc. DE 1.01,2.01,9.01 10/25/06 UNIVERSAL EXPRESS INC/ NV 4.01 05/15/06 AMEND UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 11/22/06 Uraniumcore CO DE 5.02 11/22/06 VALENTIS INC DE 1.02,9.01 11/17/06 VARIAN MEDICAL SYSTEMS INC DE 5.02 11/17/06 VARSITY GROUP INC 1.01,5.02,7.01,9.01 11/16/06 VECTOR GROUP LTD DE 2.05 11/21/06 VECTREN CORP IN 8.01 11/22/06 VEECO INSTRUMENTS INC DE 5.02,9.01 11/22/06 VILLAGEEDOCS INC CA 1.01,3.02,9.01 11/20/06 AMEND VioQuest Pharmaceuticals, Inc. DE 5.02 11/20/06 VIRAGEN INC DE 8.01,9.01 11/21/06 VIRAGEN INTERNATIONAL INC DE 8.01,9.01 11/21/06 Vyteris Holdings (Nevada), Inc. NV 8.01,9.01 11/17/06 WALTER INDUSTRIES INC /NEW/ DE 3.02 11/22/06 Washington Mutual Mortgage Pass-Throu DE 9.01 04/01/06 WCA WASTE CORP 8.01 11/22/06 WENDYS INTERNATIONAL INC OH 8.01,9.01 11/22/06 WESTBOROUGH FINANCIAL SERVICES INC MA 2.02,9.01 11/22/06 WHITTIER ENERGY CORP NV 8.01 11/22/06 WILEY JOHN & SONS INC NY 1.01,9.01 11/22/06 WILLIAMS COMPANIES INC DE 1.01,9.01 11/16/06 WMS INDUSTRIES INC /DE/ DE 1.01,9.01 11/21/06 WORLD HEART CORP A6 3.01,9.01 11/20/06 XFONE INC NV 1.01,9.01 11/20/06