SEC NEWS DIGEST Issue 2004-19 January 29, 2004 COMMISSION ANNOUNCEMENTS CLOSED MEETING CANCELLED The closed meeting announced in yesterday's Digest, scheduled for Wednesday, February 4, 2004, at 11:00 a.m. has been cancelled. ENFORCEMENT PROCEEDINGS IN THE MATTER OF RONALD PINTO On January 28, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Ronald W. Pinto. The Order finds that Pinto was enjoined by the U.S. District Court for the Southern District of New York (SEC v. Anthony Dong-Yin Shen, et al., Civil Action Number 01 Civ. 2438 (GBD)) from violating, directly or indirectly, and aiding and abetting any violation of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and from violating Section 17(a) of the Securities Act of 1933. The Commission's complaint alleged, among other things, that Respondent engaged in a scheme in which he gave kickbacks, cash payments, and other improper gifts and gratuities to bond traders at New York Life Insurance Company, Inc. (New York Life). In return, the bond traders sent Respondent a flow of securities transactions on behalf of New York Life, frequently at prices that favored his employer, Nomura, at the expense of New York Life. The Order also finds that Pinto had earlier pleaded guilty to one count of securities fraud in violation of, among other provisions, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder before the United States District Court for the Southern District of New York, in U.S. v. Ronald Pinto, 01 Cr. 249 (SWK). Based on the above, the Order bars Pinto from association with any broker or dealer. Pinto consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-49139; File No. 3-11384) COMMISSION INSTITUTES ADMINISTRATIVE PROCEEDINGS AGAINST BROKER ASSOCIATED WITH PONZI SCHEME On January 29, the Commission issued an order instituting administrative proceedings against Mark Deyak (Respondent) pursuant to Section 15(b) of the Securities Exchange act of 1934. The Division of Enforcement alleges that Deyak was associated with the Rocky Point, New York branch of American Investment Services, Inc., a registered broker-dealer. On July 11, 2003, a final judgment was entered by default against Deyak, permanently enjoining him from future violations of Section 17(a) of the Securities Act and Sections 10(b), 15(a) and 15(c) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled SEC v. Von Christopher Cummings, et al., Civil Action Number C2 02 629, in the U.S. District Court for the Southern District of Ohio. Deyak was also ordered to pay disgorgement of $184,500, plus prejudgment interest thereon, and a $120,000 civil penalty. (Rel. 34-49143; File No. 3-11385) COMMISSION ISSUES FINDINGS AND ORDER IN SETTLED ADMINISTRATIVE PROCEEDINGS AGAINST BROKER ASSOCIATED WITH PONZI SCHEME On January 29, the Commission issued an Order Instituting Administrative Proceeding Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Michael J. Louis (Respondent). As set forth in the Order, Louis agreed to be barred from association with any broker or dealer. Louis was associated with the Rocky Point, New York branch of American Investment Services, Inc., a registered broker-dealer. On July 11, 2003, a final judgment was entered by default against Louis, permanently enjoining him from future violations of Section 17(a) of the Securities Act and Sections 10(b), 15(a) and 15(c) of the Exchange Act and Rule 10b- 5 thereunder, in the civil action entitled SEC v. Von Christopher Cummings, et al., Civil Action Number C2 02 629, in the U.S. District Court for the Southern District of Ohio. Louis was also ordered to pay disgorgement of $159,500, plus prejudgment interest thereon, and a $120,000 civil penalty. (Rel. 34-49144; File No. 3-11386) FORMER REGISTERED REPRESENTATIVE TO PAY $500,000 FINE TO SETTLE FRAUD ACTION ARISING FROM KICKBACK SCHEME The Commission announced today that on January 21 the U.S. District Court for the Southern District of New York entered final judgment against Ronald W. Pinto, former registered representative with Nomura Securities International, Inc. The Commission had charged Pinto with defrauding New York Life Insurance Company, Inc. (New York Life) by giving commission kickbacks and gratuities to two former New York Life employees. In exchange, the two former employees directed securities trades on behalf of New York Life to Pinto, sometimes at prices favorable to Nomura and disadvantageous to New York Life. Pinto consented to the final judgment without admitting or denying the allegations in the Commission's complaint. The judgment permanently restrains and enjoins Pinto from violating antifraud provisions of the federal securities, 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 judgment orders Pinto to pay $1,800,000 in disgorgement, which is deemed satisfied by his earlier payment of that amount to New York Life in a private settlement. The judgment also orders Pinto to pay a $500,000 civil penalty. On January 28, the Commission also instituted and settled administrative proceedings against Pinto. Pinto consented to an order, based on the entry of final judgment against him in the Commission's civil enforcement action and on his prior criminal conviction, that bars him from association with any broker-dealer. Pinto had pleaded guilty to criminal charges of securities fraud arising from the same scheme. In November 2002, the criminal court sentenced him to serve twenty-one months in prison. The criminal court did not order restitution in view of Pinto's $1,800,000 settlement payment to New York Life. With this settlement, the Commission's has concluded this action against three of the five original defendants. The two former New York Life employees who had received kickbacks and gratuities settled the Commissions claims against them in November 2003. Both also pleaded guilty to criminal securities fraud charges and are serving their sentences. The Commission also charged that two other registered representatives, at different broker-dealers, gave kickbacks or gratuities to one or both of the former New York Life employees in exchange of a flow of New York Life securities trades and favorable prices. The Commission's civil action against those two registered representatives continues. One has pleaded guilty to criminal charges and is serving her sentence. The other was not criminally charged. [SEC v. Anthony Dong-Yin Shen, Srinivas Anumolu, Ronald W. Pinto, Deborah J. Breckenridge, and Dominick J. Savino, 01 Civ. 2438 (GBD) SDNY] (LR-18556) SEC SUES ORLANDO-BASED W.L. WARE ENTERPRISES AND INVESTMENTS, INC. AND WARREN WARE FOR $16.5 MILLION AFFINITY FRAUD AIMED AT AFRICAN AMERICANS AND CHRISTIANS The Commission announced that on January 27 it filed an emergency action to halt an affinity fraud conducted by Orlando-based W.L. Ware Enterprises and Investments, Inc. (Ware Enterprises) and its principal, Warren L. Ware (Ware), that has raised at least $16.5 million. According to the SEC's Complaint, the affinity fraud targeted African Americans and Christians, and has been ongoing since at least 2000. Also on January 27, Judge G. Kendall Sharp, U.S. District Judge for the Middle District of Florida, issued various emergency orders against the defendants, including temporary restraining orders, asset freezes, and other emergency relief. The SEC's complaint alleges that Ware Enterprises and Ware falsely guarantee investors 10% monthly interest payments on their investments for the first ten months followed by a 5% perpetual monthly return. According to the SEC's complaint, Ware entices potential investors portraying the Company as a "private clientele group investment firm" whose Dreamkeeper Program is "engineered for the not so wealthy to have a chance to make the same type of percentages on their money that the wealthy have been enjoying for centuries." The defendants also falsely represent that Ware Enterprises has over $100 million in assets, when, according to the SEC's complaint, its bank account records actually reflect balance of only $2 million. The SEC's complaint also alleges that, although Ware Enterprises and Ware claim to generate returns for investors by making investments in, among other things, commercial and residential real estate, small businesses, and the "markets of the world," in reality, the defendants conducted a typical Ponzi scheme by using new investors' investments to make interest payments to existing investors. The SEC's complaint charges Ware Enterprises and Ware with violating 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, and Ware with violating Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. Those sections and rules prohibit certain transactions in securities not registered with the Commission, prohibit fraud in the offer and sale, and in connection with the purchase and sale, of securities, and prohibit investment advisers from defrauding clients. Investors are advised to read the SEC's "Affinity Fraud" Investor Alert, which provides tips on how to avoid being a victim in an affinity fraud. This and other investor alerts can be found on the SEC's web site, at www.sec.gov. [SEC v. W.L. Ware Enterprises, Inc., et al. and Warren L. Ware, Case No. 6:04 CV-112 ORL-18-JGG, MD Fla.] (LR-18557) CIVIL ACTION AGAINST J. SCOTT ESKIND, LORUS INVESTMENTS, INC. AND CAPITAL MANAGEMENT FUND, LIMITED PARTNERSHIP On January 20, the Honorable Marvin H. Shoob, U.S. District Judge for the Northern District of Georgia, entered a Final Judgment as to defendants J. Scott Eskind (Eskind), Lorus Investments, Inc. (Lorus) and Capital Management Fund, Limited Partnership (Capital), enjoining them from further 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, and enjoining Eskind and Lorus from violating or aiding and abetting violations of Section 206 of the Investment Advisers Act of 1940. Eskind, Lorus and Capital consented to the entries of the judgment without admitting or denying any of the allegations of the Commission's complaint. Further, the court ordered joint and several disgorgement and prejudgment interest against defendants in the respective amounts of $3,661,786 and $808,403. The court ordered each defendant to pay a civil penalty of $120,000. Defendants were also ordered to transfer to the court appointed special master $94,584.64 currently held in brokerage accounts frozen by previous court order. Eskind was also ordered to comply with a prior order of the Commission barring him from association with an investment adviser. The Commission's complaint, filed on Sept. 3, 2002, alleged that Eskind was a recidivist violator who was preliminarily enjoined in June 1997 and permanently enjoined on Jan. 12, 1998, from violating the antifraud provisions of the federal securities laws. Eskind was subsequently barred by the Commission from association with any investment adviser. That case was based upon allegations of fraudulent conduct by Eskind which included misappropriating investors' funds, failing to disclose that Eskind had been suspended by the New York Stock Exchange (NYSE) in 1991, and inducing at least five investors to invest at least $500,000 in what was falsely represented to the investors to be a specified limited partnership. The complaint further alleged that subsequent to being enjoined, and continuing until the filing of the complaint, Eskind raised at least $3 million through sales of limited partnership units in Capital. Capital purportedly does business by trading in securities through initial or secondary public offerings. The sales materials misrepresented to investors Eskind's broker-dealer experience, and did not disclose his 1991 NYSE suspension, the Commission's 1997 civil action or the Commission's 2000 order barring him from association with an investment adviser. The complaint alleged that investors were told that IRA accounts had been opened for them at a trust company which serves as an IRA custodian and that investors had received statements from Lorus indicating their funds in those accounts. In fact, no such accounts were opened. The sales materials falsely stated that a major law firm provided legal representation for Lorus. Finally, the complaint alleged that Lorus is an investment adviser and Eskind's continuing association with Lorus was a violation of the Commission's 2000 order. [SEC v. J. Scott Eskind, Lorus Investments, Inc., and Capital Management Fund, Limited Partnership, USDC for the Northern District of Georgia, Civil Action No. 1:02-CV-2429-MHS] (LR-18558) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2003-23) under Section 19(b)(1) of the Exchange Act, which became effective upon filing, to (i) adjust the fees NSCC charges for trade recording, (ii) establish fees for the Cost Basis Reporting Service, and (iii) eliminate Archival Microfiche fees. Publication of the proposal is expected in the Federal Register during the week of January 26. (Rel. 34-49122) A proposed rule change (SR-NASD-2004-12) filed by the National Association of Securities Dealers to extend operation of NASD's Alternative Display Facility on a pilot basis has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of January 26. (Rel. 34-49131) PROPOSED RULE CHANGES The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2003-11) that would allow NSCC to amend the criteria it uses to place members on surveillance status and to eliminate member and applicant financial responsibility and operational capability questionnaires. Publication of the proposal is expected in the Federal Register during the week of January 26. (Rel. 34-49123) A proposed rule change (SR-CHX-2003-27) has been filed by the Chicago Stock Exchange relating to the execution of limit orders when the primary market is trading at the limit price. Publication of the proposal is expected in the Federal Register during the week of February 2, 2004. (Rel. 34-49130) EXTENSION OF COMMENT PERIOD AND DESIGNATION OF LONGER PERIOD FOR COMMISSION ACTION ON A PROPOSED RULE CHANGE The Commission has extended the comment period and designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NASD-2003-176) filed by the National Association of Securities Dealers relating to Chief Executive Officer and Chief Compliance Officer certification. Publication is expected in the Federal Register during the week of February 2. (Rel. 34-49129) JOINT INDUSTRY PLAN - 13A AMENDMENT TO THE NASDAQ UTP PLAN The Commission noticed the 13A Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis (File No. S7-24-89). Publication of notice is expected in the Federal Register during the week of February 2, 2004. (Rel. 34-49137). SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 GLOBAL LINKS CORP, 949-451-4518 - 0 ($1,125,000.00) Equity, (File 333-112265 - Jan. 28) (BR. 03) SB-2 HIGH GRADE MINING CORP, 885 PYRFORD RD, WEST VANCOUVER, BRITISH COLUMBIA, CANADA, A1, V7S2A2, 6049250220 - 2,000,000 ($200,000.00) Equity, (File 333-112266 - Jan. 28) (BR. 09) S-8 MEDTRONIC INC, 710 MEDTRONIC PKWY, MS LC300, MINNEAPOLIS, MN, 55432, 7635144000 - 0 ($2,922,600,000.00) Equity, (File 333-112267 - Jan. 28) (BR. 36) S-8 U S GOLD CORP, 2201 KIPLING ST, STE 100, LAKEWOOD, CO, 80215-1545, 3032381438 - 1,000,000 ($1,050,000.00) Equity, (File 333-112269 - Jan. 28) (BR. 04) S-1 CITADEL BROADCASTING CORP, 7201 W LAKE MEAD BLVD, SUITE 400, LAS VEGAS, NV, 89128, 7028048204 - 0 ($664,930,000.00) Equity, (File 333-112270 - Jan. 28) (BR. 37) S-8 BIB HOLDINGS LTD, 101 E. PANTANO RD, TUCSON, AZ, 85710, 5208859207 - 300,000 ($52,500.00) Equity, (File 333-112275 - Jan. 28) (BR. 02) S-8 LUMINENT MORTGAGE CAPITAL INC, 909 MONTGOMERY STREET, SUITE 500, SAN FRANCISCO, CA, 94133, 415-486-6500 - 0 ($14,092,250.00) Equity, (File 333-112277 - Jan. 28) (BR. 08) SB-2 DIAMOND POWERSPORTS INC, 5150 NW 109TH AVE., SUITE 4, SUNRISE, FL, 33351, (954)749-8606 - 3,045,450 ($1,334,544.00) Equity, (File 333-112278 - Jan. 28) (BR. 05) S-4 HUNTSMAN LLC, 0 ($455,400,000.00) Non-Convertible Debt, (File 333-112279 - Jan. 28) (BR. ) S-1 SIGMATEL INC, 3815 SOUTH CAPITAL OF TEXAS HIGHWAY, SUITE 300, BUILDING 3, AUSTIN, TX, 78704, 512-381-3700 - 0 ($247,516,728.66) Equity, (File 333-112280 - Jan. 28) (BR. 36) S-3 EXTREME NETWORKS INC, 3585 MONROE STREET, SANTA CLARA, CA, 95051, 4085792800 - 2,577,794 ($23,870,372.44) Equity, (File 333-112281 - Jan. 28) (BR. 03) S-8 INTEGRATED ELECTRICAL SERVICES INC, 1800 WEST LOOP SOUTH, SUITE 500, HOUSTON, TX, 77027, 7138601500 - 1,000,000 ($10,350,000.00) Equity, (File 333-112282 - Jan. 28) (BR. 06) SB-2 FTS APPAREL INC, ONE OXFORD VALLEY, SUITE 810, LANGHORNE, PA, 19047, 215-741-5883 - 15,000,000 ($2,625,000.00) Equity, (File 333-112283 - Jan. 28) (BR. 02) S-4 LEUCADIA NATIONAL CORP, 315 PARK AVE S, NEW YORK, NY, 10010, 2124601900 - 50,000,000 ($50,000,000.00) Non-Convertible Debt, (File 333-112284 - Jan. 28) (BR. 01) S-3 ABGENIX INC, 6701 KAISER DRIVE, FREMONT, CA, 94555, 5106086500 - 0 ($100,000,000.00) Equity, (File 333-112285 - Jan. 28) (BR. 01) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ 1ST CENTENNIAL BANCORP CA X X 01/28/04 1ST STATE BANCORP INC VA X X 01/28/04 724 SOLUTIONS INC X X 12/31/03 AARON RENTS INC GA X X 01/28/04 ABN AMRO MORT CORP MULTI CLASS MORT P DE X 01/01/04 ABN AMRO MORT CORP MULTI-CLASS MORT P DE X 01/01/04 ABN AMRO MORTGAGE CORP MORT PS THR CR DE X 01/01/04 ABN AMRO MORTGAGE CORP MUILTI CL MORT DE X 01/01/04 ABN AMRO MORTGAGE CORP MUL CL MORT PA DE X 01/01/04 ABN AMRO MORTGAGE CORP MUL CLASS MOR DE X 01/01/04 ABN AMRO MORTGAGE CORP MULTI CL MORT DE X 01/01/04 ABN AMRO MORTGAGE CORP MULTI CLA MOR DE X 01/01/04 ACLARA BIOSCIENCES INC DE X X 01/28/04 ACOLA CORP DE X 01/27/04 ACTIVISION INC /NY DE X X 01/28/04 ADVANCED MEDICAL OPTICS INC DE X X 01/27/04 ADVANCEPCS DE X 01/27/04 AEI INCOME & GROWTH FUND XXII LTD PAR MN X X 01/13/04 AEP INDUSTRIES INC DE X 01/26/04 AEP INDUSTRIES INC DE X X 01/27/04 AETHER SYSTEMS INC DE X X 01/28/04 AFFILIATED COMPUTER SERVICES INC DE X X 01/27/04 AFFILIATED MANAGERS GROUP INC DE X X 01/28/04 AFFYMETRIX INC DE X X 01/28/04 AGL RESOURCES INC GA X X 01/28/04 AGL RESOURCES INC GA X 01/26/04 ALASKA AIR GROUP INC DE X 01/28/04 ALLERGAN INC DE X X 01/28/04 ALLIANCE BANCORP OF NEW ENGLAND INC DE X 01/28/04 ALLIANCE DATA SYSTEMS CORP DE X 01/28/04 ALLIANCE FIBER OPTIC PRODUCTS INC CA X 01/28/04 ALTRIA GROUP INC VA X X 01/28/04 ALTRIA GROUP INC VA X X 01/28/04 ALTUS EXPLORATIONS INC NV X 01/21/04 AMC ENTERTAINMENT INC DE X X X 01/01/04 AMERADA HESS CORP DE X X X 01/28/04 AMERICAN ACHIEVEMENT CORP DE X X 01/27/04 AMERICAN ITALIAN PASTA CO DE X X 01/27/04 AMERIGAS PARTNERS LP DE X X 01/28/04 AMERISERV FINANCIAL INC /PA/ PA X 01/28/04 AMETEK INC/ DE X X 01/28/04 AMKOR TECHNOLOGY INC DE X X 01/28/04 AMR CORP DE X 01/28/04 AMSOUTH AUTO RECEIVABLES LLC X X 01/15/04 ANADIGICS INC DE X X 01/27/04 ANCHOR BANCORP WISCONSIN INC WI X X 01/28/04 APEX SILVER MINES LTD X 01/27/04 APPLERA CORP DE X X 01/28/04 ARIBA INC DE X X 01/28/04 ARIZONA PUBLIC SERVICE CO AZ X X 01/27/04 ART BOUTIQUE INC WY X 01/23/04 ARVINMERITOR INC IN X X 01/28/04 ASB FINANCIAL CORP /OH OH X X 01/27/04 ASHFORD HOSPITALITY TRUST INC MD X X 01/27/04 ASK JEEVES INC DE X X 01/28/04 AT&T WIRELESS SERVICES INC DE X 01/27/04 ATLANTIC REALTY TRUST CA X 01/28/04 ATNG INC NV X X 01/27/04 AVISTA CORP WA X X 01/28/04 AVISTAR COMMUNICATIONS CORP DE X X 01/22/04 AVNET INC NY X 01/27/04 AXCELIS TECHNOLOGIES INC DE X 12/31/03 BACKWEB TECHNOLOGIES LTD X X 01/28/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 01/27/04 BANK OF NEW YORK CO INC NY X 01/26/04 BANK ONE CORP DE X X 01/14/04 BANKATLANTIC BANCORP INC FL X 01/27/04 BANTA CORP WI X X 01/24/04 BARD C R INC /NJ/ NJ X 01/28/04 BEAR STEARNS ASSET BACKED SECURITIES DE X X 01/27/04 BEAR STEARNS ASSET BACKED SECURITIES DE X 01/01/04 BEAR STEARNS ASST ASSET BACKED CERTS DE X 01/01/04 BIKINI TEAM INTERNATIONAL INC UT X X 01/28/04 BIOSPHERE MEDICAL INC DE X 01/28/04 BLUE COAT SYSTEMS INC DE X 11/14/03 AMEND BLUEGREEN CORP MA X 01/26/04 BOK FINANCIAL CORP ET AL OK X X 12/31/03 BOSTON PROPERTIES INC DE X X 01/27/04 BOSTON PROPERTIES LTD PARTNERSHIP X X 01/27/04 BOTTOMLINE TECHNOLOGIES INC /DE/ DE X 01/28/04 BOUNDLESS MOTOR SPORTS RACING INC CO X 01/27/04 BRILLIAN CORP DE X 01/28/04 BRUSH ENGINEERED MATERIALS INC X 01/28/04 BUTLER NATIONAL CORP DE X X 01/28/04 BWC FINANCIAL CORP CA X 01/27/04 CADENCE DESIGN SYSTEMS INC DE X X 01/28/04 CALLISTO PHARMACEUTICALS INC DE X X 01/21/04 CANDELA CORP /DE/ DE X 01/27/04 CAPITAL SENIOR LIVING CORP DE X 01/28/04 CAPITOL FEDERAL FINANCIAL X X 01/28/04 CATHAY GENERAL BANCORP DE X X 01/27/04 CENTER FINANCIAL CORP CA X X 01/27/04 CENTERPOINT PROPERTIES TRUST MD X X 01/22/04 CENTRAL COAST BANCORP CA X X 01/27/04 CENTRAL COAST BANCORP CA X X 01/27/04 CERTEGY INC GA X X 01/28/04 CEVA INC DE X 01/27/04 CHAMPPS ENTERTAINMENT INC DE X 12/28/03 CHARTER ONE FINANCIAL INC DE X 01/28/04 CHASE MORTGAGE FINANCE CORP DE X X 01/27/04 CHEESECAKE FACTORY INCORPORATED DE X 01/28/04 CHIRON CORP DE X 01/28/04 CHOICEONE FINANCIAL SERVICES INC MI X X 01/27/04 AMEND CHOICEPOINT INC GA X X 01/28/04 CINEMARK USA INC /TX TX X 01/28/04 CITIZENS SOUTH BANKING CORP DE X X 01/26/04 CLASSIC BANCSHARES INC DE X X 01/28/04 CLECO CORP LA X 01/28/04 COLLEGIATE PACIFIC INC DE X 01/27/04 COLONIAL TRUST CO /AZ AZ X 12/31/03 COLUMBIA BANCORP \OR\ OR X X 01/27/04 COMMERCIAL CAPITAL BANCORP INC NV X X 01/25/04 COMMERCIAL NATIONAL FINANCIAL CORP /M MI X X 01/27/04 COMMUNICATIONS & POWER INDUSTRIES INC DE X X 01/23/04 COMMUNITY WEST BANCSHARES / CA X 01/28/04 COMPASS MINERALS INTERNATIONAL INC DE X 01/28/04 COMSTOCK RESOURCES INC NV X X 12/31/03 COMTECH TELECOMMUNICATIONS CORP /DE/ DE X X 01/28/04 CONCUR TECHNOLOGIES INC WA X 01/28/04 CONE MILLS CORP NC X X 01/28/04 CONEXANT SYSTEMS INC DE X 01/28/04 CONOCOPHILLIPS DE X X 01/28/04 CONSOL ENERGY INC X 01/28/04 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA X 11/10/03 CONSOLIDATED GRAPHICS INC /TX/ TX X X X 01/28/04 CONSOLIDATED GRAPHICS INC /TX/ TX X X 01/28/04 CONTANGO OIL & GAS CO DE X 01/26/04 COOPER CAMERON CORP DE X X 01/28/04 COOPERATIVE BANKSHARES INC NC X X 01/28/04 CORINTHIAN COLLEGES INC X 01/28/04 CORIO INC DE X X 01/28/04 COUNTRYWIDE FINANCIAL CORP DE X 12/31/03 COVENANT TRANSPORT INC NV X X 01/27/04 COVENTRY HEALTH CARE INC DE X 01/28/04 CREDIT SUISSE FIRST BOSTON MORT SEC C DE X X 01/26/04 CROWN MEDICAL SYSTEMS INC NV X X X 01/20/04 AMEND CSS INDUSTRIES INC DE X X 01/28/04 CULLEN FROST BANKERS INC TX X 01/28/04 CUMMINS INC IN X X 01/28/04 CVB FINANCIAL CORP CA X 01/27/04 CWABS INC DE X X 01/26/04 CWABS INC ASSET BACKED CERTS SERIES 2 DE X X 11/25/03 CWALT INC X 01/28/04 CWMBS INC DE X X 01/28/04 CYBER PUBLIC RELATIONS INC X X X X 01/21/04 CYTYC CORP DE X X 01/28/04 D & K HEALTHCARE RESOURCES INC DE X X 01/28/04 DALEEN TECHNOLOGIES INC DE X X 01/27/04 DENTSPLY INTERNATIONAL INC /DE/ DE X X 01/27/04 DEUTSCHE RECREATIONAL ASSET FUNDING C NV X X 12/31/03 DIAL CORP /NEW/ DE X X 01/27/04 DIAMONDCLUSTER INTERNATIONAL INC DE X 01/28/04 DIEBOLD INC OH X 01/28/04 DIEDRICH COFFEE INC CA X 01/28/04 DIGITAL RIVER INC /DE DE X X X 01/28/04 DISTRIBUTION FINANCIAL SERVICES MARIN NY X X 12/31/03 DISTRIBUTION FINANCIAL SERVICES RV MA NV X X 12/31/03 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 12/31/03 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 12/31/03 DJ ORTHOPEDICS INC DE X X 01/28/04 DND TECHNOLOGIES INC NV X 08/01/02 AMEND DOT HILL SYSTEMS CORP NY X X X 01/28/04 DOUBLECLICK INC DE X 01/28/04 DST SYSTEMS INC DE X X 01/27/04 DYNASTY INTERNATIONAL CORP INC NV X X X X 01/19/04 EDUCATION LOANS INC /DE DE X X 01/26/04 ELECSYS CORP KS X X 01/28/04 ELINEAR INC DE X X 01/14/04 ENBRIDGE ENERGY PARTNERS LP DE X X 01/22/04 ENDURANCE SPECIALTY HOLDINGS LTD X X 01/27/04 ENERGEN CORP AL X 12/31/03 ENSCO INTERNATIONAL INC DE X 01/28/04 ENTERPRISE BANCORP INC /MA/ MA X X X 01/28/04 EPICOR SOFTWARE CORP DE X X 01/28/04 ESSEX PROPERTY TRUST INC MD X 01/27/04 EUREKA FINANCIAL CORP X X 01/28/04 EVANS BANCORP INC NY X X 01/27/04 EXELON CORP PA X X 01/28/04 EXELON CORP PA X 01/27/04 EXTENDED STAY AMERICA INC DE X X 01/23/04 EXTENDED STAY AMERICA INC DE X 01/27/04 FANSTEEL INC DE X X 01/27/04 FAUQUIER BANKSHARES INC VA X X 01/26/04 FEDERAL AGRICULTURAL MORTGAGE CORP X 01/27/04 FIDELITY NATIONAL FINANCIAL INC /DE/ DE X X 01/27/04 FIDELITY SOUTHERN CORP GA X 01/22/04 FIRST CHARTER CORP /NC/ NC X X 01/28/04 FIRST MARBLEHEAD CORP X X 01/28/04 FIRST MID ILLINOIS BANCSHARES INC DE X X 01/28/04 FIRSTFED AMERICA BANCORP INC DE X X 01/23/04 FIRSTFED FINANCIAL CORP DE X 12/31/03 FIRSTFED FINANCIAL CORP DE X 12/31/03 FISERV INC WI X X 01/27/04 FLAG TELECOM GROUP LTD X X 01/27/04 FOREST CITY ENTERPRISES INC OH X X 01/28/04 AMEND FORRESTER RESEARCH INC DE X X 01/28/04 FORTUNE DIVERSIFIED INDUSTRIES INC DE X X 01/28/04 FOSTER L B CO PA X 01/28/04 FOSTER WHEELER LTD D0 X X 01/26/04 FOSTER WHEELER LTD D0 X X 01/28/04 FOUNDRY NETWORKS INC DE X X 01/28/04 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA X X 01/28/04 FTI CONSULTING INC MD X 01/28/04 GALYANS TRADING CO INC IN X 01/27/04 GASEL TRANSPORTATION LINES INC OH X 01/20/04 AMEND GENCORP INC OH X X 01/28/04 GENERAL CABLE CORP /DE/ DE X X 01/28/04 GENERAL CABLE CORP /DE/ DE X X 01/28/04 GENERAL EMPLOYMENT ENTERPRISES INC IL X X 01/27/04 GEORGIA PACIFIC CORP GA X X 01/28/04 GLEN BURNIE BANCORP MD X 01/26/04 GLENBOROUGH REALTY TRUST INC MD X X 01/28/04 GLOBALSANTAFE CORP X 01/28/04 GOLD BANC CORP INC KS X X X 01/23/04 GREAT NORTHERN IRON ORE PROPERTIES MN X X 01/28/04 GREENE COUNTY BANCSHARES INC TN X X X 01/28/04 HANCOCK JOHN LIFE INSURANCE CO MA X X 01/26/04 AMEND HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 01/15/04 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 01/15/04 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 01/15/04 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 01/15/04 HARMAN INTERNATIONAL INDUSTRIES INC / DE X X X 12/31/03 HAWTHORNE FINANCIAL CORP CA X X 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