SEC NEWS DIGEST Issue 2006-230 November 30, 2006 ENFORCEMENT PROCEEDINGS DENNIS MARTIN BARRED Dennis A. Martin (Martin) has been barred from association with a broker-dealer. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court- ordered injunction against Martin in September 2006. Martin, of Marietta, Georgia, is permanently enjoined from violating the antifraud provisions of the federal securities laws. The injunction was based on Martin's misappropriation of more than $2.5 million of customer funds between February 2005 and May 2006 while he was associated with Linsco/Private Ledger Corp., a broker-dealer. Specifically, Martin recommended that customers sell variable annuity contracts that they owned and re-invest the proceeds. After the customers authorized the transactions, Martin submitted forged documents to the variable annuity companies, directing them to mail the proceeds to him. He then forged the customers' names on the checks and deposited them into a bank account he owned. Martin also provided customers with false statements and confirmations. (Rel. 34-54828; File No. 3-12457) IN THE MATTER OF VINCENT NAPOLITANO On November 29, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Vincent Napolitano. The Order alleges that on November 13, Napolitano was enjoined from future violations of Sections 17(a) and (b) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Rule 102 of Regulation M, ordered to disgorge $4,709,828.04 together with prejudgment interest in the amount $1,833,847.78 and to pay a civil penalty of $100,000.00. The Commission's complaint in the civil action in which the injunction was entered alleged that between 1997 and 1999, Napolitano sold large blocks of microcap stock while recommending that investors purchase the same stocks in an Internet newsletter. In the instant proceeding, a hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Napolitano an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate with respect to Napolitano's participation in any offering of penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. The administrative law judge must issue an initial decision within 210 days after the Order has been served on Napolitano. (Rel. 34-54836; File No. 3-12488) COMMISSION ISSUES CEASE-AND-DESIST ORDER AND CENSURE AGAINST FCA CORP AND ROBERT SCHARAR FOR IMPROPER BORROWING AND MISLEADING DISCLOSURE On November 29, the Commission instituted and simultaneously settled administrative and cease-and-desist proceedings against Houston-based investment adviser FCA Corp (FCA) and its president Robert W. Scharar (Scharar). The Commission found that FCA and Scharar aided and abetted and caused violations of Section 13(a) of the Investment Company Act by borrowing money contrary to the recitals of policy contained in the registration statements of the Commonwealth International Series Trust (Commonwealth), a registered investment company. The Commission also found that FCA and Scharar violated Section 34(b) of the Investment Company Act by making materially misleading statements regarding borrowing in Commonwealth's Commission filings. From late 2002 through 2004, two of the Commonwealth funds, the Australia/New Zealand Fund (ANZ Fund) and the Japan Fund, suffered extraordinary levels of "market-timing" activity. FCA and Scharar caused Commonwealth to obtain a line of credit and permitted the ANZ Fund and the Japan Fund to borrow more often, and in greater amounts, than allowed by investment restrictions contained in the Funds' registration statements. The improper borrowing caused the ANZ Fund and the Japan Fund to incur additional interest costs in the amounts of $11,875 and $5,531, respectively, which FCA has since repaid to the Funds plus interest. The Commission censured FCA and Scharar and ordered them to cease and desist from committing or causing any violations and any future violations of Section 34(b) of the Investment Company Act and from aiding and abetting or causing any violations and any future violations of Section 13(a)(2) of the Investment Company Act. The Commission ordered FCA and Scharar to pay civil money penalties of $25,000 each. FCA and Scharar consented to the entry of the order without admitting or denying any of its findings. (Rels. IA-2569; IC- 27586; File No. 3-12489) IN THE MATTER OF KELSEY GARMAN On November 30, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 Making Findings and Imposing Remedial Sanctions (Order) against Kelsey L. Garman. The Order finds that Garman represented to investors in four funds he directed that those funds were earning substantial profits when in fact the funds had generally sustained trading losses. Based on the above, the Order bars Kelsey Garman from association with any investment adviser. Kelsey Garman consented to the issuance of the Order without admitting or denying the Commission's findings in the order. (Rel. IA-2570; File No. 3-12490) SEC CHARGES PETER DAWSON, BMG ADVISORY SERVICES, INC., AND ETHAN THOMAS CO., INC. TO HALT ONGOING FRAUD AGAINST SENIOR CITIZENS The Commission announced today that it filed an emergency enforcement action against Peter J. Dawson, BMG Advisory Services, Inc., and Ethan Thomas Co., Inc. to halt an ongoing misappropriation of investor funds. The Commission's complaint, filed in the Eastern District of New York, alleges that the Defendants misappropriated more than $2 million from at least seven investment advisory clients. Dawson, the president and sole shareholder of BMG and Ethan Thomas, targeted primarily elderly investors living on Long Island, and advised these clients to surrender existing variable annuity policies, mortgage their residences, and transfer the proceeds to Ethan Thomas for Dawson to manage through BMG, his investment advisory firm. In connection with Dawson's advisory services, Dawson made materially false and misleading statements to his clients about their investments and the use of their funds. Dawson promised between a 12 and 15 percent guaranteed return on each investment, and he assured clients that he would arrange to pay their mortgages and/or pay monthly "returns" on the investments. To the extent that the 12 to 15 percent return exceeded the client's mortgage obligation, Dawson promised that excess return would be accrued in the client's account. As recently as Oct. 25, 2006, Dawson (through BMG) assured investors in writing that their accounts contained a "certified balance" of the initial funds entrusted to him plus the guaranteed interest. Rather than investing the money as promised, Dawson abused his clients' trust and misappropriated, and is continuing to misappropriate, their funds for his own use. Dawson withdrew over $100,000 of his clients' funds for his own benefit. At the same time, Dawson failed to make investors' mortgage payments as he had promised. During the past month, because some investors received notices that their mortgages were not being paid, they complained to Dawson, who has since refused to return their calls and closed BMG's office. The Complaint charges the Defendants with violating Section 17 (a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Complaint also charges Dawson and BMG with violating Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. 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' 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 to disgorge ill-gotten gains, and (ii) assessing civil penalties against the Defendants. [SEC v. Peter J. Dawson, et al., Civil Action No. CV 06-6360 (ADS) (EDNY)] (LR- 19927; Press Rel. 2006-197) JONATHAN PAPA SENTENCED TO THREE YEARS IMPRISONMENT FOR RUNNING A MULTI-MILLION DOLLAR PONZI SCHEME On November 6, U.S. District Judge Dean D. Pregerson in Los Angeles sentenced Jonathan Curtis Papa to 36 months imprisonment based on Papa's guilty plea to four counts of mail fraud against the elderly and two counts of money laundering. Judge Pregerson also ordered Papa to pay nearly $9.2 million in restitution, but waived additional fines based on Papa's inability to pay. In May 1999, the Commission filed a civil action against Papa alleging that he conducted an offering fraud from 1995 to 1999. Papa fled the U.S. in 1999 but was arrested in Hong Kong in August 2005 and extradited to the U.S. in April 2006. In his plea agreement, Papa admitted that he and his staff of salespeople solicited investors to purchase investments in Papa Holdings, Inc. and four restaurant subsidiaries from December 1995 through February 1999. Papa was the chief executive officer, chief financial officer, secretary, and/or chairman of the board of directors of Papa Holdings and certain restaurant subsidiaries. Papa acknowledged that a large portion of the money raised to open new restaurants was instead transferred to operating subsidiaries to fund operations at existing restaurants, which were losing money. In the plea agreement, Papa also admitted that he misled investors about the amount of commissions paid on stock sales, the financial health of his companies, and the security of the investment. The Commission's complaint alleged that from November 1995 to January 1999, Papa and Papa Holdings raised over $21 million from about 1,300 investors in several unregistered stock offerings for Papa Holdings and four restaurants subsidiaries. According to the Commission's complaint, Papa and Papa Holdings failed to disclose sales commissions of 30% to 48% and misrepresented that money from the restaurant subsidiaries' offerings would be used to develop open new restaurants, when in fact the money was used to pay for losses at existing restaurants. On June 1, 1999, with Papa's consent in the Commission's action, the District Court permanently enjoined Papa and Papa Holdings from future violations of 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 securities registration provisions of Section 5(a) and 5(c) of the Securities Act, and the broker-dealer registration provisions of Section 15(a) of the Exchange Act. On March 8, 2000, the District Court ordered Papa to pay over $3.6 million in disgorgement, prejudgment interest, and civil penalties. On September 14, 2006, the Commission barred Papa from association with any broker or dealer. For further information, see Litigation Release Nos. 16470 (March 16, 2000) and 16141 (May 13, 1999) and Exchange Act Release No. 54441. [U.S. v. Jonathan Curtis Papa, CR 03-537 (C.D. Cal.)] (LR-19928) 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-8 ETERNAL TECHNOLOGIES GROUP INC, 200 SOUTH KNOWLES AVE, WINTER PARK, FL, 32790, 4076222040 - 4,400,000 ($2,728,000.00) Equity, (File 333-138988 - Nov. 29) (BR. 04A) SB-2 SEA 2 SKY CORP, RPO 75156, WHITE ROCK, A1, V4B 5L4, 604.313.5410 - 880,000 ($88,000.00) Equity, (File 333-138989 - Nov. 29) (BR. ) S-11 Resource Capital Corp., 712 FIFTH AVENUE, 10TH FLOOR, NEW YORK, NY, 10019, 212-974-1708 - 0 ($125,000,000.00) Equity, (File 333-138990 - Nov. 29) (BR. 08C) S-8 PORTEC RAIL PRODUCTS INC, 150,000 ($1,608,750.00) Equity, (File 333-138991 - Nov. 29) (BR. 05C) S-11 SUPERTEL HOSPITALITY INC, 309 NORTH FIFTH STREET, NORFOLK, NE, 68701, 4023712520 - 8,050,000 ($55,303,500.00) Equity, (File 333-138992 - Nov. 29) (BR. 08B) S-4 INTERNAP NETWORK SERVICES CORP, 601 UNION STREET SUITE 1000, SEATTLE, WA, 98101, 2064418800 - 0 ($253,005,215.00) Equity, (File 333-138993 - Nov. 29) (BR. 03A) SB-2 FBO AIR, INC., 101 HANGAR ROAD, WILKES-BARRE/SCRANTON INTERN'T'L AIRPORT, AVOCA, PA, 18641, 570.414.1400 - 0 ($3,964,754.00) Equity, (File 333-138994 - Nov. 29) (BR. 05B) SB-2 EVERTON CAPITAL CORP, 1166 ALBERNI STREET, SUITE 1201, VANCOUVER, A1, V6E 3Z3, (604) 781-0221 - 2,000,000 ($200,000.00) Equity, (File 333-138995 - Nov. 29) (BR. ) N-2 HARRIS & HARRIS GROUP INC /NY/, 111 WEST 57TH STREET, SUITE 1100, NEW YORK, NY, 10019, 212-582-0900 - 4,000,000 ($57,440,000.00) Equity, (File 333-138996 - Nov. 29) (BR. 16) S-4 WHITNEY HOLDING CORP, 228 ST CHARLES AVE, NEW ORLEANS, LA, 70130, 5045867570 - 0 ($1.00) Equity, (File 333-138997 - Nov. 29) (BR. 07B) S-8 NOVASTAR FINANCIAL INC, 8140 WARD PARKWAY, STE 300, KANSAS CITY, MO, 64114, 8162377000 - 275,000 ($8,236,250.00) Equity, (File 333-138998 - Nov. 29) (BR. 08C) S-3 ENVIRONMENTAL POWER CORP, ONE CATE STREET, 4TH FLOOR, PORTSMOUTH, NH, 03801, 6034311780 - 4,387,360 ($30,097,289.60) Equity, (File 333-138999 - Nov. 29) (BR. 02A) S-8 NOVASTAR FINANCIAL INC, 8140 WARD PARKWAY, STE 300, KANSAS CITY, MO, 64114, 8162377000 - 10,000,000 ($10,000,000.00) Debt, 10,000,000 ($14,975,000.00) Equity, (File 333-139000 - Nov. 29) (BR. 08C) S-3 FEI CO, 5350 NE DAWSON CREEK DRIVE, HILLSBORO, OR, 97124, 503-726-7500 - 0 ($202,080,408.00) Equity, (File 333-139001 - Nov. 29) (BR. 10B) N-2 Central Park Group Multi-Event Fund, C/O CENTRAL PARK GROUP, LLC, 12 EAST 49TH STREET, NEW YORK, NY, 10017, 212-317-9200 - 12,500,000 ($150,000,000.00) Equity, (File 333-139002 - Nov. 29) (BR. ) SB-2 EXCELLENCY INVESTMENT REALTY TRUST, INC., 270 LAUREL STREET, FIRST FLOOR OFFICE, HARTFORD, CT, 06105, (860) 246-7672 - 6,573,000 ($24,780,210.00) Equity, (File 333-139003 - Nov. 29) (BR. 08C) S-8 FIRST NIAGARA FINANCIAL GROUP INC, 6950 SOUTH TRANSIT ROAD, PO BOX 514, LOCKPORT, NY, 14095, 7166257500 - 5,862,031 ($83,955,233.00) Equity, (File 333-139004 - Nov. 29) (BR. 07B) S-4 SBA COMMUNICATIONS CORP, ONE TOWN CENTER RD, THIRD FLOOR, BOCA RATON, FL, 33486, 5619957670 - 0 ($113,720,000.00) Equity, (File 333-139005 - Nov. 29) (BR. 11B) S-8 SBA COMMUNICATIONS CORP, ONE TOWN CENTER RD, THIRD FLOOR, BOCA RATON, FL, 33486, 5619957670 - 0 ($71,075,000.00) Equity, (File 333-139006 - Nov. 29) (BR. 11B) S-8 Somanta Pharmaceuticals Inc., 19200 VON KARMAN AVENUE, SUITE 400, IRVINE, CA, 92612, 9494778090 - 8,000,000 ($11,400,000.00) Equity, (File 333-139007 - Nov. 29) (BR. 01A) SB-2 Jomar Specialties, Inc., 3129 TYRONE BOULEVARD, ST. PETERSBURG, FL, 33710, 727-381-2658 - 2,508,000 ($1,254,000.00) Equity, (File 333-139008 - Nov. 29) (BR. ) S-8 ALCATEL, 54 RUE LA BOETIE, 2288 BH, PARIS FRANCE, I0, 75008, 3314076101 - 6,280,535 ($96,406,212.25) Equity, (File 333-139009 - Nov. 29) (BR. 11A) S-8 ONE IP VOICE, INC., 22 PRESTIGE PARK CIRCLE, EAST HARTFORD, CT, 06108, 8606106000 - 2,000,000 ($1,130,960.00) Equity, (File 333-139010 - Nov. 29) (BR. 11B) 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 3COM CORP DE 1.01,9.01 11/27/06 ABFC 2006-OPT1 Trust DE 6.04 11/27/06 ABFC 2006-OPT3 Trust DE 8.01,9.01 11/14/06 ACE Securities Corp. Home Equity Loan DE 9.01 11/29/06 ACORDA THERAPEUTICS INC 1.01,2.03,9.01 11/28/06 ADDVANTAGE TECHNOLOGIES GROUP INC OK 7.01,9.01 11/29/06 Advanced BioEnergy, LLC DE 1.01,2.03,9.01 11/20/06 AEROPOSTALE INC 7.01,9.01 11/29/06 AEROPOSTALE INC 7.01,9.01 11/29/06 AFC ENTERPRISES INC MN 1.01,5.02,9.01 11/28/06 ALBANY INTERNATIONAL CORP /DE/ DE 8.01 11/22/06 ALDILA INC DE 4.01 11/27/06 Aleris International, Inc. DE 7.01,9.01 11/29/06 ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 11/29/06 ALTIRIS INC DE 1.01,3.02 11/17/06 AMEND AMCON DISTRIBUTING CO DE 7.01,9.01 11/28/06 American Home Mortgage Investment Tru DE 8.01,9.01 11/27/06 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 7.01 11/29/06 AMERICAN REALTY INVESTORS INC NV 2.01 11/21/06 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 1.01,3.02,9.01 11/28/06 AMERICAN VANGUARD CORP DE 1.01,2.01,2.03,8.01,9.01 11/27/06 AMERITRANS CAPITAL CORP DE 5.02 11/28/06 AMS HEALTH SCIENCES INC OK 5.02,9.01 11/27/06 Answers CORP 1.01,9.01 11/27/06 APOLLO RESOURCES INTERNATIONAL INC UT 1.01,7.01,9.01 11/22/06 ARAMARK CORP/DE DE 1.01 11/22/06 ARCH CAPITAL GROUP LTD. 8.01 11/29/06 Ascent Solar Technologies, Inc. DE 1.01,9.01 11/22/06 ATP OIL & GAS CORP TX 1.01,3.03,5.03,7.01,9.01 11/22/06 AUXILIUM PHARMACEUTICALS INC 1.01,2.03,9.01 11/22/06 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 11/29/06 AVP INC DE 5.02 11/29/06 BALLISTIC RECOVERY SYSTEMS INC MN 1.01,3.02 11/22/06 Banc of America Commercial Mortgage I DE 8.01,9.01 11/29/06 Banc of America Funding 2006-8T2 Trus DE 9.01 11/29/06 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 11/29/06 BCSB BANKCORP INC 5.02 11/27/06 Bear Stearns Mortgage Funding Trust 2 DE 8.01,9.01 11/29/06 BON TON STORES INC PA 2.02,9.01 11/29/06 BOWNE & CO INC DE 8.01 11/29/06 Brand Energy & Infrastructure Service DE 8.01,9.01 11/28/06 BRANDYWINE OPERATING PARTNERSHIP LP / DE 1.02,8.01 11/24/06 BRANDYWINE REALTY TRUST MD 1.02,8.01 11/24/06 BRINKER INTERNATIONAL INC DE 5.02,9.01 11/27/06 BROWN SHOE CO INC NY 7.01,9.01 11/29/06 BSD MEDICAL CORP DE 7.01,9.01 11/29/06 BUILDING MATERIALS HOLDING CORP DE 3.01,9.01 11/28/06 CABLEVISION SYSTEMS CORP /NY DE 5.02,9.01 11/22/06 CABOT MICROELECTRONICS CORP DE 5.02 11/28/06 CALLISTO PHARMACEUTICALS INC DE 1.01,3.02,9.01 11/22/06 CAMELOT CORP CO 5.01,9.01 11/28/06 Canyon Bancorp 8.01,9.01 11/28/06 Capital One Auto Finance Trust 2006-C DE 8.01,9.01 11/22/06 CATUITY INC DE 1.01,2.03,3.02,5.03,9.01 11/22/06 CBRL GROUP INC TN 7.01,9.01 11/28/06 Celanese CORP DE 8.01,9.01 11/29/06 CENTRAL PARKING CORP TN 8.01,9.01 11/28/06 CHAD THERAPEUTICS INC CA 4.01,9.01 11/29/06 CHARYS HOLDING CO INC 1.01,9.01 09/29/06 CHATTEM INC TN 1.01,8.01,9.01 11/22/06 CHESAPEAKE ENERGY CORP OK 8.01,9.01 11/27/06 CHESAPEAKE UTILITIES CORP DE 8.01,9.01 11/27/06 CHICOS FAS INC FL 2.02,9.01 11/28/06 CHINA BIOPHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 11/29/06 CHINA SECURITY & SURVEILLANCE TECHNOL D8 1.01,3.02,8.01,9.01 11/27/06 CIGNA CORP DE 7.01 11/28/06 CIRTRAN CORP NV 1.01,2.03,9.01 11/15/06 Citicorp Residential Mortgage Trust S DE 9.01 11/29/06 CKX Lands Inc LA 5.02 11/28/06 CMALT (CitiMortgage Alternative Loan DE 9.01 11/29/06 COMMONWEALTH BIOTECHNOLOGIES INC VA 1.01,3.02,9.01 11/24/06 COMMUNITY FINANCIAL SHARES INC DE 1.01,5.02,7.01,9.01 11/28/06 COOPERATIVE BANKSHARES INC NC 8.01,9.01 11/29/06 CORAUTUS GENETICS INC DE 3.01 11/22/06 CSAB Mortgage-Backed Trust 2006-4 DE 8.01,9.01 11/29/06 CWALT INC DE 9.01 11/29/06 CWALT INC DE 9.01 11/29/06 CWHEQ Home Equity Loan Trust, Series 8.01,9.01 11/29/06 CWMBS INC DE 9.01 11/29/06 CYBERONICS INC DE 8.01 11/29/06 DCT Industrial Trust Inc. MD 8.01 11/23/06 DETTO DE 1.01,3.02 11/22/06 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 11/29/06 AMEND DOLLAR GENERAL CORP TN 2.02,2.05,2.06,7.01,9.01 11/28/06 DOLLAR GENERAL CORP TN 7.01,9.01 11/29/06 DSW Inc. OH 2.02,9.01 11/29/06 DUKE REALTY CORP IN 1.01,2.03,3.02,9.01 11/22/06 DUKE REALTY LIMITED PARTNERSHIP/ IN 1.01,2.03,3.02,9.01 11/22/06 DUQUESNE LIGHT HOLDINGS INC PA 1.01,9.01 11/22/06 DURECT CORP DE 1.01,9.01 11/29/06 EARTH BIOFUELS INC DE 1.01,7.01,9.01 11/22/06 EDUCATE INC DE 1.01,2.03,9.01 11/27/06 EMDEON CORP DE 5.02,8.01 11/22/06 ENCYSIVE PHARMACEUTICALS INC DE 8.01 11/22/06 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 11/29/06 ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01 11/29/06 ENOVA SYSTEMS INC CA 4.02 11/22/06 Enterprise GP Holdings L.P. DE 8.01,9.01 09/30/06 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 09/30/06 EOG RESOURCES INC DE 7.01 11/28/06 EPIX Pharmaceuticals, Inc. 7.01,8.01,9.01 11/29/06 EPLUS INC DE 3.01,7.01,9.01 11/22/06 EXCELSIOR LASALLE PROPERTY FUND INC 8.01 11/29/06 EXPRESS SYSTEMS CORP 1.01 11/24/06 FARMER BROTHERS CO CA 7.01,8.01,9.01 11/27/06 Federal Home Loan Bank of Topeka 5.02,7.01,9.01 11/29/06 FEDERATED DEPARTMENT STORES INC /DE/ DE 1.01,2.03,9.01 11/29/06 FIELDSTONE INVESTMENT CORP 7.01,9.01 11/24/06 AMEND FINISAR CORP DE 5.02,9.01 11/29/06 FIRST BANCORP /NC/ NC 7.01,9.01 11/29/06 FIRST COMMUNITY CORP /TN/ TN 4.01,9.01 11/14/06 FIRST NATIONAL COMMUNITY BANCORP INC PA 8.01,9.01 11/29/06 FIRST NATIONAL FUNDING LLC NE 8.01,9.01 11/15/06 FIRSTBANK CORP MI 8.01,9.01 11/29/06 FORD MOTOR CO DE 7.01,8.01,9.01 11/29/06 FORD MOTOR CO DE 8.01,9.01 11/29/06 FORLINK SOFTWARE CORP INC NV 5.02 11/27/06 FURIA ORGANIZATION INC /DE/ DE 5.01,5.02,9.01 11/28/06 Georgia Exploration, Inc. NV 1.01,8.01,9.01 11/28/06 GETTY IMAGES INC DE 8.01 11/22/06 Global Resource CORP CO 1.01,9.01 11/28/06 GMACM Home Equity Loan Trust 2006-HE1 DE 8.01,9.01 11/29/06 GMACM Home Equity Loan Trust 2006-HE4 DE 8.01,9.01 11/29/06 GMACM Home Equity Loan Trust 2006-HE5 DE 8.01,9.01 11/28/06 Granite Master Issuer plc X0 9.01 11/29/06 GREAT CHINA MINING, INC NV 8.01,9.01 11/29/06 GREEN PLAINS RENEWABLE ENERGY, INC. IA 5.02,9.01 11/28/06 GREER BANCSHARES INC SC 8.01 11/16/06 GUITAR CENTER INC DE 1.01,9.01 11/22/06 H&E Equipment Services, Inc. DE 7.01,9.01 11/29/06 H2Diesel Holdings, Inc FL 1.01 11/27/06 Hanesbrands Inc. MD 8.01,9.01 11/29/06 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,1.02,5.02,9.01 11/28/06 HOUSERAISING, INC. NC 5.02 11/27/06 HOUSERAISING, INC. NC 1.01 11/28/06 HUDSON VALLEY HOLDING CORP NY 5.02,8.01,9.01 11/28/06 IAC/INTERACTIVECORP DE 5.02 11/27/06 ICAD INC DE 1.01 11/22/06 Index Oil & Gas Inc. NV 1.01,2.01,3.02,5.01, 01/20/06 AMEND 5.02,5.03,5.06,9.01 IndyMac INDX Mortgage Loan Trust 2006 9.01 11/29/06 INDYMAC MBS INC 9.01 11/29/06 INNKEEPERS USA TRUST/FL MD 8.01,9.01 11/28/06 INTERNATIONAL SHIPHOLDING CORP DE 8.01,9.01 11/27/06 INTERNET CAPITAL GROUP INC DE 8.01,9.01 11/29/06 J CREW GROUP INC DE 5.02,9.01 11/29/06 J P MORGAN CHASE & CO DE 9.01 11/27/06 J.P. Morgan Alternative Loan Trust 20 DE 8.01,9.01 11/29/06 J.P. Morgan Alternative Loan Trust 20 DE 8.01,9.01 11/29/06 JABIL CIRCUIT INC DE 1.01,7.01,9.01 11/22/06 JPMAC 2006-CH1 DE 8.01,9.01 11/29/06 KENEXA CORP 1.01,5.02,9.01 11/26/06 KMG America CORP VA 7.01,9.01 11/29/06 LAMSON & SESSIONS CO OH 7.01,9.01 11/29/06 LANDAUER INC DE 7.01,9.01 11/29/06 LANNETT CO INC DE 2.02,9.01 11/08/06 Liberty Global, Inc. 8.01 11/28/06 Liberty Global, Inc. 7.01 11/29/06 Liberty Global, Inc. 7.01 11/29/06 LINN ENERGY, LLC DE 5.02,9.01 11/22/06 LTX CORP MA 5.02 11/28/06 Lusora Healthcare Systems Inc. NV 2.01,3.02,5.01,5.02,5.06,9.01 11/29/06 MACK CALI REALTY CORP MD 1.01 11/22/06 MCCLATCHY CO DE 5.02 11/27/06 MEADE INSTRUMENTS CORP DE 3.01,8.01,9.01 11/28/06 MedAire, Inc. NV 8.01 11/28/06 MEDICAL PROPERTIES TRUST INC 5.02,7.01,9.01 11/28/06 MEDICINOVA INC DE 3.03,9.01 11/24/06 MEDSTRONG INTERNATIONAL CORP 3.02,5.02,9.01 11/22/06 MELT INC NV 5.02 11/13/06 MENTOR CORP /MN/ MN 1.01,9.01 11/28/06 METALICO INC 8.01,9.01 11/29/06 MIDNIGHT HOLDINGS GROUP INC DE 4.01,9.01 11/29/06 MILLS CORP DE 1.01,2.06,3.02,5.02, 11/22/06 5.03,8.01,9.01 MINERA ANDES INC /WA 8.01,9.01 11/20/06 MISSION COMMUNITY BANCORP CA 8.01,9.01 11/27/06 MMC ENERGY, INC. DE 1.01,1.02,9.01 11/22/06 MOLINA HEALTHCARE INC DE 1.01 11/22/06 MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.03,9.01 11/22/06 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 11/29/06 MORGAN STANLEY CAPITAL I INC HOME EQ NY 8.01,9.01 11/27/06 Morgans Hotel Group Co. DE 1.01,9.01 11/28/06 MOSCOW CABLECOM CORP DE 2.02,9.01 11/28/06 MOVENTIS CAPITAL, INC. DE 1.01,2.01,2.03,3.02,9.01 11/22/06 NATIONAL CITY AUTO RECEIVABLES TRUST 8.01,9.01 11/15/06 NATIONAL CITY CREDIT CARD MASTER TRUS 8.01,9.01 11/15/06 Natural Nutrition Inc. NV 4.02 11/27/06 NETWORK CN INC DE 1.01,9.01 11/26/06 NISOURCE INC/DE DE 1.01,1.02,3.03,5.02, 11/28/06 5.03,5.05,8.01,9.01 NOBLE CORP 7.01,9.01 11/29/06 Northstar Neuroscience, Inc. WA 5.02,9.01 11/27/06 Novelis Inc. A6 5.02 11/22/06 NYSE Group, Inc. DE 1.01,8.01,9.01 11/24/06 O REILLY AUTOMOTIVE INC MO 8.01 11/28/06 O2DIESEL CORP 1.01,3.02,9.01 11/22/06 ODYSSEY MARINE EXPLORATION INC NV 3.02,9.01 11/22/06 ODYSSEY RE HOLDINGS CORP DE 1.01,2.03 11/28/06 OIL DRI CORPORATION OF AMERICA DE 2.02,9.01 11/28/06 OIL STATES INTERNATIONAL, INC DE 8.01,9.01 11/28/06 ONEOK INC /NEW/ OK 7.01,9.01 11/28/06 ONEOK Partners LP DE 7.01,9.01 11/28/06 OPEN ENERGY CORP NV 1.01,4.01,9.01 11/15/06 OPSWARE INC DE 2.02,9.01 11/29/06 ORTEC INTERNATIONAL INC DE 1.01,8.01 11/29/06 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 11/29/06 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 11/28/06 Patient Safety Technologies, Inc DE 4.01 11/21/06 PEABODY ENERGY CORP DE 7.01,9.01 11/29/06 PENTON MEDIA INC DE 8.01,9.01 11/28/06 PEOPLES LIBERATION INC DE 5.02 11/22/06 PEP BOYS MANNY MOE & JACK PA 2.02,8.01,9.01 11/14/06 AMEND PHHMC Series 2006-4 Trust DE 9.01 11/29/06 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 11/29/06 PLAINS ALL AMERICAN PIPELINE LP DE 9.01 09/30/06 PLATINA ENERGY GROUP INC. DE 1.01,3.02 11/29/06 PLURISTEM LIFE SYSTEMS INC NV 7.01 10/30/06 POTASH CORP OF SASKATCHEWAN INC 8.01,9.01 11/29/06 PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 11/29/06 PRG SCHULTZ INTERNATIONAL INC GA 3.02 11/22/06 PROTEIN POLYMER TECHNOLOGIES INC DE 4.01 11/22/06 RAINMAKER SYSTEMS INC CA 9.01 09/15/06 AMEND RALI Series 2006-QH1 Trust DE 8.01,9.01 11/29/06 RED ROBIN GOURMET BURGERS INC DE 5.02,9.01 11/28/06 REHABCARE GROUP INC DE 7.01,9.01 11/29/06 REVLON CONSUMER PRODUCTS CORP DE 7.01,9.01 11/29/06 REVLON INC /DE/ DE 7.01,9.01 11/29/06 RITA MEDICAL SYSTEMS INC DE 1.01,3.03,9.01 11/27/06 RONCO CORP DE 9.01 10/18/06 AMEND ROWAN COMPANIES INC DE 7.01,9.01 11/22/06 RYERSON INC. DE 7.01,9.01 11/28/06 SBARRO INC NY 1.01,9.01 11/22/06 Scientigo, Inc. DE 5.02,7.01,9.01 11/22/06 SCOTTISH RE GROUP LTD E9 1.01,3.02,9.01 11/28/06 SEITEL INC DE 7.01,9.01 11/28/06 SENTO CORP UT 3.01,9.01 11/22/06 SES SOLAR INC. 1.01,3.02 11/22/06 SHAW GROUP INC LA 5.02,8.01 11/27/06 SHEARSON FINANCIAL NETWORK INC NV 1.02,9.01 11/09/06 SIGMA DESIGNS INC CA 2.02,9.01 11/28/06 SIMTROL INC DE 1.01,2.03 11/22/06 SIRONA DENTAL SYSTEMS, INC. DE 1.01,9.01 11/22/06 SKILLSOFT PUBLIC LIMITED CO 9.01 11/28/06 AMEND SONTRA MEDICAL CORP MN 3.01 11/22/06 Specialty Underwriting & Residential DE 2.01,9.01 11/29/06 Specialty Underwriting & Residential DE 8.01,9.01 11/28/06 Standard Drilling, Inc. 2.03 11/27/06 STAR BUFFET INC DE 7.01,9.01 11/28/06 STAR ENERGY CORP NV 1.01,9.01 11/28/06 STRATOS INTERNATIONAL INC DE 2.02,9.01 11/27/06 STURM RUGER & CO INC DE 8.01,9.01 11/27/06 SULPHCO INC NV 1.01 11/29/06 SUMMIT ENVIRONMENTAL CORP INC TX 5.02,8.01 11/21/06 Sun American Bancorp DE 1.01,9.01 11/27/06 SUNOPTA INC 8.01,9.01 11/28/06 SUPREME REALTY INVESTMENTS, INC. 1.01,2.01,3.02,5.01,5.06,9.01 04/04/06 AMEND SYNOPSYS INC DE 2.02,9.01 11/29/06 TECHLABS INC FL 1.01,3.02 11/20/06 TERRA NOSTRA RESOURCES CORP. NV 5.02 11/28/06 Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 11/29/06 TIFFANY & CO DE 2.02,9.01 11/29/06 Timberline Resources Corp 5.02,8.01,9.01 11/21/06 TIVO INC DE 8.01 11/29/06 TIVO INC DE 2.02,9.01 11/29/06 TOR MINERALS INTERNATIONAL INC DE 1.01,2.03,9.01 11/29/06 TRANSCONTINENTAL REALTY INVESTORS INC NV 1.01,2.01,3.02,9.01 11/21/06 TRICO BANCSHARES / CA 8.01,9.01 11/27/06 TXP CORP NV 1.01,9.01 11/21/06 UNIFY CORP DE 1.01,2.01,5.02,9.01 11/20/06 UNITED AUTO GROUP INC DE 2.02,9.01 11/29/06 UNITED AUTO GROUP INC DE 7.01,9.01 11/29/06 UNITED REFINING CO PA 8.01,9.01 11/29/06 UNITED STATES STEEL CORP DE 8.01,9.01 11/29/06 UNIVERSAL HOSPITAL SERVICES INC MN 7.01,9.01 11/28/06 VALEANT PHARMACEUTICALS INTERNATIONAL DE 5.02,9.01 11/22/06 VIRGINIA COMMERCE BANCORP INC 5.02 11/22/06 WACHOVIA CORP NEW NC 8.01,9.01 11/29/06 Wachovia Mortgage Loan Trust, Series DE 6.01 11/29/06 WALTER INDUSTRIES INC /NEW/ DE 3.02,8.01 11/26/06 WebMD Health Corp. DE 5.02 11/22/06 Wells Fargo Mortgage Backed Securitie DE 9.01 11/29/06 Wells Fargo Mortgage Backed Securitie DE 9.01 10/29/06 Western Iowa Energy, L.L.C. IA 1.01 11/22/06 WHEELING PITTSBURGH CORP /DE/ DE 8.01,9.01 11/28/06 WILDER RICHMAN HISTORIC PROPERTIES II DE 2.01,8.01,9.01 11/14/06 Willdan Group, Inc. DE 1.01 11/22/06 WILLOWTREE ADVISOR, INC. NV 1.01,2.01,2.03,3.02, 11/22/06 5.01,5.02,5.03,9.01 WILSON HOLDINGS, INC. NV 7.01,9.01 11/29/06 WINDSTREAM CORP DE 7.01 11/29/06 WYNDHAM WORLDWIDE CORP DE 8.01,9.01 11/28/06 XYBERNAUT CORP DE 7.01,9.01 11/29/06 ZENITH NATIONAL INSURANCE CORP DE 8.01,9.01 11/28/06 Zumiez Inc 7.01,9.01 11/29/06 ZYNEX MEDICAL HOLDINGS INC NV 8.01,9.01 11/27/06