SEC NEWS DIGEST Issue 2006-178 September 14, 2006 ENFORCEMENT PROCEEDINGS JONATHAN PAPA BARRED FROM ASSOCIATION WITH ANY BROKER OR DEALER On September 14, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Jonathan Curtis Papa. The Order finds that on June 1, 1999, the U.S. District Court for the Central District of California entered a Judgment of Permanent Injunction and Other Relief by consent against Papa. The Judgment permanently enjoined Papa from future violations of Section 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. On March 8, 2000, a Final Judgment of Disgorgement and Imposing Civil Penalties was entered against Papa, ordering him to pay $3,074,621 in disgorgement, $422,876.81 in prejudgment interest, and a $110,000 civil penalty, for a total of $3,607,497.81. At the time of the conduct, Papa, both individually and through Papa Holdings, Inc. (PHI), acted as an unregistered broker-dealer and engaged in the unregistered offer and sale of preferred stock in PHI and four of its restaurant subsidiaries. In addition, the Commission found that Papa made material misrepresentations and omissions to prospective investors concerning the use of investor proceeds and operated a fraudulent scheme. Based on the above, the Order bars Papa from association with any broker or dealer. Papa consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-54441; File No. 3-12417) FINAL JUDGMENT SETTING DISGORGEMENT AND IMPOSING PREJUDGMENT INTEREST AND CIVIL PENALTY ENTERED AGAINST DEFENDANT BRAD NIRENBERG The Commission announced that on Aug. 28, 2006, the Honorable Daniel T.K. Hurley, U.S. District Judge for the Southern District of Florida, entered a Final Judgment Setting Disgorgement and Imposing Prejudgment Interest and a Civil Penalty against Defendant Brad M. Nirenberg. The Final Judgment orders Nirenberg to pay disgorgement in the amount of $191,807.78, prejudgment interest of $86,661.06 and a civil penalty of $191,807. On April 5, 2005, the Court had entered a Judgment of Permanent Injunction with the consent of Nirenberg, which permanently enjoined him from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Judgment also barred Nirenberg from participating in an offering of a penny stock. [SEC v. Jeffrey R. Senger, Brad M. Nirenberg and Norman F. Piatti, Case No. 02-80766-CIV-HURLEY/LYNCH] (LR-19830) DISTRICT COURT GRANTS PARTIAL SUMMARY JUDGMENT IN FAVOR OF THE SEC AND ENTERS FINAL PARTIAL JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST DEFENDANT PAUL JOHNSON The Commission announced that on Aug. 21, 2006, the Honorable Daniel T.K. Hurley, U.S. District Judge for the Southern District of Florida issued an order partially granting summary judgment in favor of the Commission and against Defendant Paul R. Johnson and entering a Judgment of Permanent Injunction against Johnson. The Court found Johnson liable, under the application of collateral estoppel principles, for violations of the securities registration and antifraud provisions of Sections 5(a), 5(c) and 17(a) the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. These charges alleged the same violations that led to Johnson's conviction on fourteen substantive securities fraud counts in a parallel criminal case U.S. v. Paul Johnson, Case No. 02- 60012-CR-Middlebrooks. In addition, the Judgment bars Johnson from acting as an officer or director of any issuer that has securities registered pursuant to Section 12 of the Exchange Act or that is required to file reports pursuant to Section 15(d) of the Exchange Act. The Court deferred ruling on the imposition of a civil monetary penalty against Johnson. The SEC began this action by filing its complaint on Dec. 12, 2001, against Johnson, among others. [SEC v. Paul R. Johnson, et al., Case No. 01-7874-CIV-HURLEY (S.D. Fla.)] (LR-19831) SEC CHARGES FORMER EMPLOYEE OF A WILLBROS GROUP, INC. SUBSIDIARY WITH FCPA VIOLATIONS Today the Commission filed a civil action against Jim Bob "J.B." Brown, a former employee of a subsidiary of Willbros Group, Inc., alleging that Brown violated and aided and abetted violations of the anti-bribery provisions of the Foreign Corrupt Practices Act (FCPA), the prohibitions against circumventing internal controls and falsifying records, and the books and records and internal controls provisions of the Securities Exchange Act of 1934 (Exchange Act). Willbros Group is a global provider of construction and engineering services in the oil and gas industry. It has a class of securities that is registered under Section 12(b) of the Exchange Act and that trades on the New York Stock Exchange. Brown has agreed to settle the charges against him, without admitting or denying the allegations in the Commission's complaint. The Commission alleges in its complaint that Brown, a former supervisory employee in Willbros's Nigerian and Latin American operations, participated in three separate schemes to bribe foreign officials. First, the complaint alleges that, in February and March 2005, Brown procured $1 million on behalf of a Willbros affiliate and delivered that money as partial payment of previously-made commitments to Nigerian government officials and to employees of the operator of a joint venture majority owned by an arm of the Nigerian government. He also assisted, according to the complaint, in the payment of an additional $550,000 that was also used to satisfy the earlier commitments. Second, Brown, in return for the granting to Willbros of a $3 million contract, knowingly assisted a scheme to pay a $300,000 bribe to officials of an oil and gas company owned by the government of Ecuador and its subsidiary. Finally, Brown knowingly assisted a long-running scheme in which employees of Willbros affiliates used fabricated invoices to procure cash from the company's administrative headquarters in Houston that was used to, among other things, bribe Nigerian tax and court officials. The Commission alleges that, through these activities, Brown violated Sections 13(b)(5) and 30A of the Exchange Act and Rule 13b2-1 thereunder. In addition, the complaint alleges that Brown aided and abetted violations of Sections 13(b)(2)(A), 13(b)(2)(B) and 30A of the Exchange Act. Without admitting or denying the allegations in the complaint, Brown consented to the entry of a judgment that permanently enjoins him from future violations of these provisions. Pursuant to the judgment, the Court will determine, at a later date upon motion by the Commission, whether to order Brown to pay a civil penalty and the amount of such penalty. The Commission's investigation into the events underlying these violations is ongoing. The Commission acknowledges the assistance of the Department of Justice in the Commission's investigation. [SEC v. Jim Bob Brown, Civil Action No. 06-CV-2919, USDC, SDTX (Houston Division)] (LR-19832) INVESTMENT COMPANY ACT RELEASES MARSHALL FUNDS, INC. AND M&I INVESTMENT MANAGEMENT CORP. A notice has been issued giving interested persons until Oct. 10, 2006, to request a hearing on an application filed by Marshall Funds, Inc. and M&I Investment Management Corp. for an order exempting applicants from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grant relief from certain disclosure requirements. (Rel. IC-27480 - September 13) SELF-REGULATORY ORGANIZATIONS EFFECTIVENESS OF NMS PLAN AMENDMENT Changes made in Amendment No. 17 to the Reporting Plan for Nasdaq- Listed Securities traded on exchanges on an Unlisted Trading Privilege basis, submitted by NYSE Arca., the American Stock Exchange, the Boston Stock Exchange, the Chicago Stock Exchange, the Chicago Board Options Exchange, the International Securities Exchange, the National Association of Securities Dealers, the National Stock Exchange, the Philadelphia Stock Exchange, and The NASDAQ Stock Market, have become effective under Section 11A(a)(3)(B) of the Securities Exchange Act of 1934. (File No. S7-24-89). Publication is expected in the Federal Register during the week of September 18. (Rel. 34-54426) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NYSE-2006-58) filed by the New York Stock Exchange to amend the definition of Crowd and to clarify the requirements of Exchange Rule 70.20(f) has become effective under Section 19(b)(3)(A) of the Act. Publication is expected in the Federal Register during the week of September 18. (Rel. 34-54427) PROPOSED RULE CHANGE The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2006-52) and Amendment No. 1 thereto relating to quoting obligations pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 18. (Rel. 34-54429) 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-3 MICROMET, INC., 2110 RUTHERFORD, ROAD, CARLSBAD, CA, 92008, 7604944200 - 0 ($16,275,120.57) Equity, (File 333-137268 - Sep. 13) (BR. 01A) SB-2 PROTON LABORATORIES INC, 1135 ATLANTIC AVE, SUITE 101, ALAMEDA, CA, 94501, 5108656412 - 5,846,250 ($3,858,525.00) Equity, (File 333-137269 - Sep. 13) (BR. 02C) SB-2 ICOP DIGITAL, INC, 16801 WEST 116TH STREET, LENEXA, KS, 66219, 913-338-5550 - 3,450,000 ($14,605,000.00) Equity, (File 333-137270 - Sep. 13) (BR. 11A) SB-2 SUN NEW MEDIA INC., FOURTH FLOOR, 1120 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 001 212 626 6744 - 16,421,321 ($51,234,521.52) Equity, (File 333-137271 - Sep. 13) (BR. 08C) S-1 Obagi Medical Products, Inc., 310 GOLDEN SHORE, LONG BEACH, CA, 90802, 562-628-1007 - 0 ($86,250,000.00) Equity, (File 333-137272 - Sep. 13) (BR. 01) S-8 CARRIZO OIL & GAS INC, 1000 LOUISIANA STREET, SUITE 1500, HOUSTON, TX, 77002, 7133281000 - 450,000 ($12,784,500.00) Equity, (File 333-137273 - Sep. 13) (BR. 04C) S-8 ANSYS INC, 275 TECHNOLOGY DRIVE, SOUTHPOINTE, CANONSBURG, PA, 15317, 4127643304 - 2,000,000 ($89,000,000.00) Equity, (File 333-137274 - Sep. 13) (BR. 03C) S-8 TUPPERWARE BRANDS CORP, 14901 S ORANGE BLOSSOM TRAIL, ORLANDO, FL, 32837-6600, (407) 826-5050 - 0 ($5,280,373.83) Equity, (File 333-137275 - Sep. 13) (BR. 06C) S-8 TUPPERWARE BRANDS CORP, 14901 S ORANGE BLOSSOM TRAIL, ORLANDO, FL, 32837-6600, (407) 826-5050 - 0 ($42,056,074.76) Equity, (File 333-137276 - Sep. 13) (BR. 06C) SB-2 DYNAMIC AUTOMOTIVE, INC., 10620 SOUTHERN HIGHLANDS PARKWAY, SUITE 110-433, LAS VEGAS, NV, 89141, 909-593-1254 - 1,500,000 ($75,000.00) Equity, (File 333-137277 - Sep. 13) (BR. 09) S-8 MEDIS TECHNOLOGIES LTD, 805 THIRD AVENUE, NEW YORK, NY, 10022, 2129358484 - 2,000,000 ($32,915,358.00) Equity, (File 333-137281 - Sep. 13) (BR. 10B) S-8 RAVEN MOON ENTERTAINMENT INC, 2005 TREE FORK LANE, STE 101, LONGWOOD, FL, 32750, 407-774-4462 - 4,000,000,000 ($400,000.00) Equity, (File 333-137283 - Sep. 13) (BR. 05C) SB-2 Advanced BioPhotonics Inc., 12-8 TECHNOLOGY DRIVE, ., EAST SETANKET, NY, 11733, 631-689-3781 - 9,234,942 ($2,308,735.50) Debt Convertible into Equity, (File 333-137288 - Sep. 13) (BR. 10A) S-3 AMERICAN TECHNOLOGY CORP /DE/, 13114 EVENING CREEK DRIVE SOUTH, SAN DIEGO, CA, 92128, 6196792114 - 0 ($21,722,174.96) Equity, (File 333-137289 - Sep. 13) (BR. 11B) S-8 TIME WARNER INC, ONE TIME WARNER CENTER, NEW YORK, NY, 10019, 2124848000 - 150,000,000 ($2,518,500,000.00) Equity, (File 333-137291 - Sep. 13) (BR. 05C) S-8 TIME WARNER INC, ONE TIME WARNER CENTER, NEW YORK, NY, 10019, 2124848000 - 5,000,000 ($83,950,000.00) Equity, (File 333-137292 - Sep. 13) (BR. 05C) SB-2 EXOTACAR, INC., 2132 HORSE PRAIRIE DR., HENDERSON, NV, 89052, 702-769-8290 - 450,000 ($45,000.00) Equity, (File 333-137293 - Sep. 13) (BR. ) S-1 MSB FINANCIAL CORP., 1902 LONG HILL ROAD, MILLINGTON, NJ, 07946, 908 647-4000 - 2,529,281 ($25,292,810.00) Equity, (File 333-137294 - Sep. 13) (BR. ) S-4 LEXINGTON CORPORATE PROPERTIES TRUST, 355 LEXINGTON AVE, NEW YORK, NY, 10017, 2126927260 - 15,500,000 ($252,262,500.00) Equity, (File 333-137296 - Sep. 13) (BR. 08B) S-1 Petrie Parkman & Co., Inc., 475 17TH STREET, SUITE 1100, DENVER, CO, 80202, (303)292-3877 - 0 ($115,000,000.00) Equity, (File 333-137297 - Sep. 13) (BR. ) N-2 GABELLI EQUITY TRUST INC, ONE CORP CENTER, RYE, NY, 10580, 9149215070 - 0 ($1,000,000.00) Equity, (File 333-137298 - Sep. 13) (BR. 22) SB-2 Advanced BioEnergy, LLC, 4424 SOUTH 179TH ST., OMAHA, NE, 68135, (612)616-9637 - 0 ($75,000,000.00) Other, (File 333-137299 - Sep. 13) (BR. 06B) 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 AASTROM BIOSCIENCES INC MI 1.01 09/07/06 AASTROM BIOSCIENCES INC MI 2.02,9.01 09/13/06 ABC Funding, Inc 4.01,9.01 09/12/06 ABERCROMBIE & FITCH CO /DE/ DE 7.01 09/07/06 Abraxis BioScience, Inc. DE 8.01 09/08/06 ACE COMM CORP MD 9.01 09/13/06 ACXIOM CORP DE 8.01,9.01 09/13/06 ADSOUTH PARTNERS, INC. NV 1.01,5.02,9.01 09/05/06 Advanced BioEnergy, LLC DE 4.02 09/12/06 ADVO INC DE 8.01,9.01 09/13/06 AETHER HOLDINGS INC DE 1.01,5.02,9.01 09/12/06 AFFYMETRIX INC DE 2.05 09/07/06 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 09/12/06 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 09/12/06 ALLIANT TECHSYSTEMS INC DE 8.01,9.01 09/12/06 Alpha Natural Resources, Inc. DE 7.01,9.01 09/13/06 AMERCO /NV/ NV 7.01 09/13/06 AMERICAN BILTRITE INC DE 8.01,9.01 09/07/06 AMERICAN SCIENCE & ENGINEERING INC MA 1.01,9.01 09/13/06 AMERICREDIT CORP TX 1.01,8.01,9.01 09/13/06 AMERIVEST PROPERTIES INC MD 1.01,9.01 09/07/06 AMERUS GROUP CO/IA IA 2.03,7.01 09/11/06 ANADARKO PETROLEUM CORP DE 1.02,9.01 09/08/06 ANDRX CORP /DE/ DE 8.01,9.01 09/13/06 ANTS SOFTWARE INC DE 7.01 09/12/06 APPLICA INC FL 7.01,8.01 09/12/06 APPLIED MATERIALS INC /DE DC 7.01,9.01 09/13/06 APPLIED MATERIALS INC /DE DC 1.01 09/13/06 ARCH CAPITAL GROUP LTD. 7.01,8.01,9.01 09/07/06 Argent Securities Trust 2006-M2 2.01,9.01 08/15/06 ASHWORTH INC DE 1.01,5.02,8.01,9.01 09/12/06 ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 09/11/06 ATS MEDICAL INC MN 1.01 09/07/06 AURIGA LABORATORIES, INC. DE 1.01 09/13/06 AUTHENTIDATE HOLDING CORP DE 2.02,9.01 09/13/06 BALLY TOTAL FITNESS HOLDING CORP DE 1.01,9.01 09/08/06 BANK OF NEW YORK CO INC NY 7.01,9.01 09/13/06 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 09/13/06 BB&T CORP NC 8.01 09/13/06 BERLINER COMMUNICATIONS INC DE 1.01 09/08/06 BIOPURE CORP DE 8.01,9.01 09/12/06 BISYS GROUP INC DE 1.01,9.01 09/08/06 BONUSAMERICA WORLDWIDE CORP. NV 5.03,9.01 09/11/06 BOWLIN TRAVEL CENTERS INC NV 2.02,9.01 09/13/06 BOYKIN LODGING CO OH 8.01,9.01 09/13/06 BSD MEDICAL CORP DE 7.01,9.01 09/13/06 Buckeye GP Holdings L.P. DE 1.01,5.02,9.01 09/13/06 BUSINESS OBJECTS S.A. 8.01,9.01 09/12/06 BUTLER NATIONAL CORP DE 2.02,8.01,9.01 09/13/06 CALIFORNIA PIZZA KITCHEN INC DE 8.01,9.01 09/13/06 CALPINE CORP DE 7.01,9.01 07/31/06 CapitalSouth Bancorp DE 8.01,9.01 09/12/06 CBRL GROUP INC TN 7.01,9.01 09/13/06 CELLEGY PHARMACEUTICALS INC CA 1.02,8.01 09/08/06 CERADYNE INC DE 7.01,9.01 09/12/06 CHAMPION ENTERPRISES INC MI 1.01 09/08/06 CHEVIOT FINANCIAL CORP 8.01,9.01 09/13/06 CHICOS FAS INC FL 1.01,9.01 09/12/06 CHINA AGRITECH INC 1.01,7.01,9.01 09/12/06 CHINA DIRECT TRADING CORP FL 8.01,9.01 09/07/06 CHINA DIRECT TRADING CORP FL 8.01 07/13/06 AMEND CHIPOTLE MEXICAN GRILL INC 1.01,5.02,8.01,9.01 09/07/06 CLEARCOMM L P DE 5.02 09/07/06 CLEVELAND CLIFFS INC OH 8.01 09/12/06 Coleman Cable, Inc. DE 1.01,8.01,9.01 09/13/06 COLLECTORS UNIVERSE INC DE 2.02,9.01 09/13/06 COLONIAL BANCGROUP INC DE 7.01,9.01 09/13/06 COMERICA INC /NEW/ DE 7.01,9.01 09/13/06 CONTINUCARE CORP FL 1.01,5.03,9.01 09/12/06 CORDIA CORP NV 8.01 09/12/06 CORNERSTONE REALTY FUND LLC CA 2.01,9.01 06/28/06 AMEND CORONADO INDUSTRIES INC NY 3.02 09/08/06 CRAFTMADE INTERNATIONAL INC DE 2.02,7.01,9.01 09/13/06 Crystal River Capital, Inc. MD 2.02,9.01 09/07/06 CURIS INC DE 7.01,9.01 09/12/06 CYTOKINETICS INC 8.01,9.01 09/13/06 DECODE GENETICS INC DE 5.02 09/12/06 DECTRON INTERNATIONALE INC 8.01,9.01 09/13/06 DELTA FINANCIAL CORP DE 4.01,9.01 09/12/06 DIGITAL RECORDERS INC NC 8.01 09/13/06 Dolce Ventures, Inc UT 1.01,2.01,3.02,3.03,4.01, 09/07/06 5.01,5.06,8.01,9.01 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 09/13/06 DUKE CAPITAL LLC DE 1.01,9.01 09/07/06 Duke Energy CORP DE 1.01,9.01 09/07/06 EASTGROUP PROPERTIES INC MD 1.01,9.01 09/07/06 ELECTRIC & GAS TECHNOLOGY INC TX 8.01 09/08/06 ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 09/13/06 ERGO SCIENCE CORP /DE/ DE 5.02 09/11/06 ETHAN ALLEN INTERIORS INC DE 8.01,9.01 09/13/06 ETHANEX ENERGY, INC. NV 2.01,4.01,9.01 09/01/06 AMEND EXAR CORP DE 1.01,9.01 09/07/06 EXTENDICARE HEALTH SERVICES INC DE 8.01 09/12/06 FINOVA GROUP INC DE 2.06,8.01 09/11/06 FIRST ACCEPTANCE CORP /DE/ DE 2.02,7.01,9.01 09/13/06 First Franklin Mortgage Loan Trust 20 DE 8.01,9.01 08/30/06 FIRST INDIANA CORP IN 7.01,9.01 09/13/06 Florida East Coast Industries, Inc. 7.01,9.01 09/13/06 FOXHOLLOW TECHNOLOGIES, INC. DE 2.01,9.01 09/12/06 FREMONT GENERAL CORP NV 7.01 09/13/06 Frontier Airlines Holdings, Inc. DE 1.01 09/07/06 GALTECH SEMICONDUCTOR MATERIALS CO UT 2.01,9.01 09/08/06 George Foreman Enterprises Inc DE 1.01,9.01 09/07/06 Georgetown Bancorp, Inc. X1 5.02,5.03,9.01 09/07/06 GOLDEN PATRIOT CORP NV 8.01,9.01 08/28/06 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 8.01 09/12/06 Hanesbrands Inc. MD 2.05,7.01,9.01 09/13/06 HANMI FINANCIAL CORP DE 7.01,9.01 09/13/06 HARRIS INTERACTIVE INC DE 7.01,9.01 09/07/06 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 09/13/06 HEALTH NET INC DE 5.02 09/07/06 HELMERICH & PAYNE INC DE 1.01,9.01 09/11/06 HERSHA HOSPITALITY TRUST MD 8.01,9.01 09/12/06 HOKU SCIENTIFIC INC DE 1.01,9.01 09/07/06 HOUSE OF BRUSSELS CHOCOLATES INC NV 2.04,2.06,5.02 09/08/06 ICAD INC DE 1.01,5.02,9.01 09/07/06 ICO Global Communications (Holdings) DE 8.01 09/13/06 IDT CORP DE 1.01,7.01,9.01 09/07/06 IMMUCOR INC GA 1.01,5.02,5.03,9.01 09/07/06 INDYMAC BANCORP INC DE 7.01,9.01 09/13/06 IndyMac MBS Home Equity Mortgage Loan 9.01 09/06/06 INNOFONE COM INC NV 1.01,2.03,3.02,9.01 09/07/06 Integrated Media Holdings, Inc. 3.02 09/13/06 INTERNATIONAL CARD ESTABLISHMENT INC DE 5.02 09/11/06 International Coal Group, Inc. DE 7.01,9.01 09/12/06 International Coal Group, Inc. DE 7.01,9.01 09/13/06 INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 09/12/06 INTEVAC INC CA 7.01,9.01 09/13/06 INYX INC NV 2.01,7.01,9.01 09/11/06 Ispat Inland L.P. DE 8.01,9.01 09/12/06 ISTAR FINANCIAL INC MD 8.01,9.01 09/13/06 ISTAR FINANCIAL INC MD 8.01 09/13/06 J P MORGAN CHASE & CO DE 9.01 09/08/06 J P MORGAN CHASE & CO DE 7.01,9.01 09/13/06 KEYNOTE SYSTEMS INC DE 5.02 09/11/06 KFX INC DE 7.01,9.01 09/12/06 Kimball Hill, Inc. IL 1.01,3.02,5.02,7.01,9.01 09/12/06 KIMBALL INTERNATIONAL INC IN 2.05,2.06 09/12/06 KRAFT FOODS INC VA 8.01,9.01 09/12/06 LABARGE INC DE 7.01,9.01 09/12/06 LANDAMERICA FINANCIAL GROUP INC VA 8.01,9.01 09/08/06 LATTICE SEMICONDUCTOR CORP DE 9.01 09/13/06 LEADIS TECHNOLOGY INC DE 5.02 09/08/06 LEHMAN BROTHERS HOLDINGS INC DE 2.02,9.01 09/13/06 LEXINGTON CORPORATE PROPERTIES TRUST MD 1.01,5.03,9.01 09/08/06 LIQUIDITY SERVICES INC 1.01,9.01 09/12/06 Long Beach Mortgage Loan Trust 2006-7 DE 8.01,9.01 08/30/06 LUCENT TECHNOLOGIES INC DE 8.01 09/13/06 MAGELLAN PETROLEUM CORP /DE/ DE 2.02,9.01 09/13/06 MANATRON INC MI 2.02,9.01 09/13/06 MCDONALDS CORP DE 8.01,9.01 09/12/06 MEDIA SCIENCES INTERNATIONAL INC DE 2.02,9.01 09/13/06 MEDICAL STAFFING SOLUTIONS INC NV 8.01,9.01 09/12/06 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 09/01/06 MERRILL LYNCH DEPOSITOR INC PUBLIC ST DE 8.01,9.01 09/01/06 METROLOGIC INSTRUMENTS INC NJ 1.01,9.01 09/12/06 MICROMED CARDIOVASCULAR INC DE 5.02,9.01 09/07/06 MICROMET, INC. DE 1.02 09/07/06 MIDWEST AIR GROUP INC WI 8.01,9.01 09/13/06 MIV THERAPEUTICS INC NV 1.01,9.01 09/05/06 MONTANA ACQUISITION CORP DE 2.02,7.01,8.01 09/13/06 MUNICIPAL MORTGAGE & EQUITY LLC DE 4.02,9.01 09/07/06 NANOSENSORS INC 1.01,8.01,9.01 09/11/06 NATIONAL HEALTH REALTY INC MD 8.01 09/11/06 NATIONAL HEALTHCARE CORP DE 8.01 09/11/06 NATIONAL RETAIL PROPERTIES, INC. MD 2.03,9.01 09/07/06 NationsHealth, Inc. DE 1.02,9.01 09/13/06 NATURAL HEALTH TRENDS CORP DE 4.01,9.01 09/07/06 NAVISITE INC DE 1.01,9.01 09/11/06 NAVISTAR FINANCIAL CORP DE 4.01 04/06/06 AMEND NAVISTAR INTERNATIONAL CORP DE 2.02,9.01 09/13/06 NAVISTAR INTERNATIONAL CORP DE 4.01,4.02 04/06/06 AMEND NBTY INC DE 7.01,9.01 09/13/06 NEOWARE INC DE 1.01 09/07/06 NESTOR INC DE 1.01,5.05 09/13/06 NET 1 UEPS TECHNOLOGIES INC 9.01 07/03/06 AMEND NEVADA GOLD & CASINOS INC NV 2.02,9.01 09/11/06 New Century Energy Corp. CO 1.01,9.01 09/06/06 New Century Energy Corp. CO 1.01,2.01,3.02,9.01 06/30/06 AMEND NEW CENTURY FINANCIAL CORP MD 1.01,9.01 09/07/06 NEW MEDIUM ENTERPRISES INC NV 2.03 09/12/06 AMEND NEWALLIANCE BANCSHARES INC 7.01,9.01 09/13/06 Newkirk Realty Trust, Inc. MD 1.01,8.01,9.01 09/11/06 NEWTEK BUSINESS SERVICES INC NY 8.01,9.01 09/11/06 NORFOLK SOUTHERN CORP VA 7.01 09/13/06 North American Insurance Leaders, Inc 5.02 09/13/06 NOVA OIL INC NV 1.01,5.03,7.01,9.01 09/12/06 NOVASTAR FINANCIAL INC MD 7.01,9.01 09/13/06 NU SKIN ENTERPRISES INC DE 5.02 09/07/06 OMNOVA SOLUTIONS INC OH 1.01,7.01,9.01 09/12/06 OPTIO SOFTWARE INC GA 2.02,7.01,9.01 09/12/06 ORIENTAL FINANCIAL GROUP INC PR 5.02 09/12/06 ORLEANS HOMEBUILDERS INC DE 1.01 09/07/06 OSCIENT PHARMACEUTICALS CORP MA 8.01,9.01 09/12/06 OSI SYSTEMS INC CA 2.02,9.01 09/13/06 OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 09/12/06 PALATIN TECHNOLOGIES INC DE 2.02,9.01 09/13/06 PATRIOT SCIENTIFIC CORP DE 4.02 09/08/06 PETROLEUM DEVELOPMENT CORP NV 7.01,9.01 09/06/06 PITNEY BOWES INC /DE/ DE 7.01,9.01 09/13/06 PLC SYSTEMS INC 7.01,9.01 09/13/06 PMI GROUP INC DE 8.01,9.01 09/13/06 POLYMEDICA CORP MA 1.01,2.03,8.01 09/12/06 POST PROPERTIES INC GA 3.01 09/12/06 POWER2SHIP INC NV 1.01 09/11/06 PREMIER EXHIBITIONS, INC. 1.02 09/07/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 09/08/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 09/08/06 PRINCIPAL LIFE INSURANCE CO IA 9.01 09/08/06 PROASSURANCE CORP DE 1.01,5.02,9.01 09/13/06 PROSPERO MINERALS CORP. NV 1.01,7.01,9.01 09/12/06 PROTECTIVE LIFE CORP DE 5.02 09/13/06 PROVIDENT FINANCIAL SERVICES INC DE 1.02,8.01,9.01 09/13/06 PRUDENTIAL FINANCIAL INC NJ 7.01,9.01 09/13/06 QUALSTAR CORP CA 2.02,9.01 09/13/06 R F INDUSTRIES LTD NV 2.02,9.01 09/13/06 RAMP Series 2006-RS5 Trust DE 8.01,9.01 09/13/06 RASER TECHNOLOGIES INC UT 4.01,9.01 09/13/06 REALTY INCOME CORP MD 8.01,9.01 09/08/06 REHABCARE GROUP INC DE 2.01,9.01 09/12/06 AMEND Residential Asset Securitization Trus 8.01,9.01 08/29/06 RURAL/METRO CORP /DE/ DE 2.02,9.01 09/13/06 SAMSONITE CORP/FL DE 2.02,9.01 09/13/06 SANFILIPPO JOHN B & SON INC DE 2.02,9.01 09/07/06 AMEND SANMINA-SCI CORP DE 4.02 09/13/06 SASCO 2006-BC2 DE 8.01,9.01 08/30/06 SASCO 2006-S3 DE 8.01,9.01 08/30/06 SCORES HOLDING CO INC UT 1.01,5.02,9.01 09/12/06 SELECT COMFORT CORP 7.01,9.01 09/13/06 Serino 4, Corp. NJ 1.01 10/31/05 SGX PHARMACEUTICALS, INC. DE 5.02 09/13/06 SIGMATRON INTERNATIONAL INC DE 2.02,9.01 09/13/06 SITEL CORP MN 1.01,9.01 09/07/06 SONIC INNOVATIONS INC DE 1.01,9.01 09/09/06 SPARK NETWORKS PLC X0 1.01,5.02,9.01 09/07/06 SPECTRX INC DE 8.01,9.01 09/13/06 ST JUDE MEDICAL INC MN 7.01 09/12/06 ST MARY LAND & EXPLORATION CO DE 8.01,9.01 09/13/06 STERIS CORP OH 1.01 09/07/06 STRATEGIC HOTELS & RESORTS, INC 2.01,7.01,9.01 09/07/06 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 09/01/06 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 09/01/06 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 09/01/06 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01 09/11/06 STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 09/01/06 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 09/01/06 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 09/01/06 STRUCTURED PRODUCTS CORTS TRUST FOR J DE 8.01,9.01 09/01/06 STURM RUGER & CO INC DE 8.01,9.01 09/13/06 Sunstone Hotel Investors, Inc. MD 8.01 09/12/06 SUNTRUST BANKS INC GA 7.01,9.01 09/13/06 SYMANTEC CORP DE 1.01 09/13/06 SYSCO CORP DE 1.01,8.01,9.01 09/07/06 SYSTEMAX INC DE 5.02 09/07/06 TANDY BRANDS ACCESSORIES INC DE 1.01,2.03 09/07/06 Tarpon Industries, Inc. MI 3.01,4.01,9.01 09/07/06 TAYLOR DEVICES INC NY 8.01 09/04/06 TECH DATA CORP FL 1.01,5.02,9.01 09/13/06 TECO ENERGY INC FL 8.01,9.01 09/13/06 TEKNOWLEDGE CORP DE 5.02 09/13/06 TELETOUCH COMMUNICATIONS INC DE 2.01,9.01 09/13/06 AMEND TESSCO TECHNOLOGIES INC DE 1.01,9.01 09/13/06 THERMOENERGY CORP AK 7.01,9.01 09/13/06 TOPPS CO INC DE 8.01,9.01 09/13/06 TRANS ENERGY INC NV 4.01,9.01 09/08/06 TRANSACTION SYSTEMS ARCHITECTS INC DE 5.02,7.01,9.01 08/28/06 Transnational Automotive Group, Inc. NV 5.02,8.01 08/28/06 Triton Distribution Systems, Inc. CO 8.01,9.01 09/07/06 TRIUMPH GROUP INC / DE 8.01,9.01 09/12/06 TRIZETTO GROUP INC DE 1.01,7.01,9.01 09/12/06 TRUMP ENTERTAINMENT RESORTS, INC. DE 1.01,7.01,9.01 09/07/06 UMPQUA HOLDINGS CORP OR 7.01,9.01 09/13/06 UNITED FUEL & ENERGY CORP NV 5.02 09/07/06 UNITED WESTERN BANCORP INC CO 8.01,9.01 09/13/06 UPSTREAM BIOSCIENCES INC. NV 8.01 09/11/06 URS CORP /NEW/ DE 1.01,9.01 09/08/06 USAutos Series 2004-1 Trust DE 8.01,9.01 09/03/06 VANGUARD HEALTH SYSTEMS INC DE 1.01 09/13/06 VirtualScopics, Inc. DE 5.02 08/10/06 VITALSTREAM HOLDINGS INC NV 8.01,9.01 09/12/06 Vyteris Holdings (Nevada), Inc. NV 5.02 09/07/06 Washington Mutual Mortgage Pass-Throu DE 9.01 08/29/06 WEBSTER FINANCIAL CORP DE 7.01 09/07/06 West Coast Car CO 5.02 09/12/06 WESTERN GOLDFIELDS INC ID 7.01,9.01 09/12/06 WGL HOLDINGS INC VA 8.01 09/11/06 WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 06/13/06 WHITEHALL LTD INC CO 4.01,9.01 08/07/06 AMEND WHITTIER ENERGY CORP NV 8.01 09/13/06 WINDROSE MEDICAL PROPERTIES TRUST MD 8.01,9.01 09/12/06 WOLVERINE TUBE INC DE 2.05,2.06,7.01,9.01 09/11/06 WorldSpace, Inc DE 3.02 09/12/06 Wright Express CORP 1.01,9.01 09/07/06 XETHANOL CORP CO 5.02 09/07/06 XILINX INC DE 7.01,9.01 09/13/06 ZENITH NATIONAL INSURANCE CORP DE 8.01,9.01 09/13/06