SEC NEWS DIGEST Issue 2004-125 June 30, 2004 ENFORCEMENT PROCEEDINGS BANC ONE INVESTMENT ADVISORS CORPORATION AGREES TO PAY $50 MILLION TO SETTLE SEC FRAUD CHARGES FOR MARKET-TIMING ABUSES; EXECUTIVE CONSENTS TO TWO-YEAR BAR On June 29, the Commission filed settled administrative and cease-and- desist proceedings against Banc One Investment Advisors Corporation (BOIA), a registered investment adviser based in Columbus, Ohio, and Mark A. Beeson, age 46, of Westerville, Ohio, former President and CEO of One Group Mutual Funds (One Group) and Senior Managing Director of BOIA. The Commission found that BOIA violated, and Beeson aided and abetted and caused violations of, the federal securities laws by: (1) allowing excessive short-term trading in One Group funds by hedge-fund manager Edward J. Stern in the hope of attracting additional business, which created a conflict of interest because the trading increased BOIA's advisory fees but was potentially harmful to One Group funds; (2) failing to charge Stern redemption fees as required by One Group's international-fund prospectuses when other investors were charged the redemption fees; (3) having no written procedures in place to prevent the nonpublic disclosure of One Group portfolio holdings and improperly providing confidential portfolio holdings to Stern when other shareholders were not provided the same information; and (4) causing One Group funds to participate in joint transactions (a BOIA affiliate loaned money to Stern for the purpose of market-timing), raising a conflict of interest. The Commission also found, among other things, that BOIA allowed excessive short-term trading in One Group funds by a Michigan market timer in violation of fund prospectuses and failed to collect required redemption fees from a Texas hedge fund. The Commission ordered BOIA to pay disgorgement of $10 million and a civil penalty of $40 million and ordered Beeson to pay a civil penalty of $100,000. BOIA also consented to a cease-and-desist order and a censure, and agreed to undertake certain compliance and mutual-fund governance reforms. In addition, Beeson consented to a bar from the mutual-fund industry with the right to reapply in two years, and a three- year prohibition from employment with any investment company and from serving as an officer or director of an investment adviser. In the Order, the Commission found that: * The One Group's fund prospectuses stated that One Group restricted excessive exchange activity in all One Group funds. BOIA enforced those provisions. But despite the prospectuses' language, Beeson entered into an agreement with Stern through which Stern executed approximately 300 exchange transactions within certain One Group funds. This agreement was made in the hope that it would lead to additional business from Stern for various BOIA affiliates. The transactions, which occurred between June 2002 and May 2003, earned Stern a profit of approximately $5.2 million. * In connection with transactions in One Group international funds, BOIA and Beeson failed to charge Stern approximately $4 million in redemption fees, as required by those funds' prospectuses. * Despite the language of the One Group's fund prospectuses, from June 1999 to December 2001, BOIA allowed a Michigan market timer to execute approximately 100 exchange transactions in One Group international funds, resulting in a profit to the market timer of approximately $1.24 million. * In March 2003, BOIA allowed a Texas hedge fund to execute two exchange transactions in One Group international funds without collecting approximately $840,000 in redemption fees required by the prospectuses. * Beeson provided listings of the confidential portfolio holdings of several One Group funds to Stern when that information was not provided to the public, to the possible detriment of the funds and their shareholders. * BOIA provided listings of the confidential portfolio holdings of many One Group funds to favored clients (including Stern), prospective clients, and consultants when that information was not provided to the public, to the possible detriment of the funds and their shareholders. * BOIA and Beeson caused certain One Group funds to enter into joint arrangements whereby Bank One loaned money to Stern with the express understanding that the loan proceeds would be invested in One Group funds. In addition, Bank One loaned money to a Michigan market-timer to market-time mutual funds. Bank One earned interest on those loans and BOIA generated mutual-fund sales and associated fees by allowing approved timing activity in One Group funds. By contrast, the affected One Group funds obtained little or no benefit from this unauthorized activity. The Commission's Order further finds that BOIA willfully violated, and Beeson aided and abetted and caused violations of, Sections 204A, 206(1), and 206(2) of the Investment Advisers Act and Sections 17(d) and 34(b) of the Investment Company Act and Rule 17d-1 thereunder, and requires them to cease and desist from violating these provisions. BOIA and Beeson consented to the entry of the Commission's Order without admitting or denying the findings. This enforcement action has been coordinated with The Office of the New York Attorney General. (Rels. IA-2254; IC-26490; File No. 3-11530; Press Rel. 2004-90) COMMISSION SANCTIONS TWO UNLICENSED BROKERS FOR $33 MILLION PONZI SCHEME On June 30, the Commission issued an Order Instituting Administrative Proceeding Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Daniel J. Berardi, Jr. and an Order Instituting Administrative Proceeding Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Thomas Hawkesworth (Orders). The Orders find that the U.S. District Court for the Central District of California enjoined the two men from future violations of the registration and antifraud provisions of the federal securities laws, specifically Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act) and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission's complaint in the civil action alleged that Berardi and Hawkesworth, operating as unlicensed brokers, took more than $33.6 million from investors residing across the United States through their unregistered offer and sale of notes in Mx Factors, LLC. The Mx Factors notes purported to pay a "guaranteed" return of 12% in 60 or 90 days. Acting with and through Mx Factors, BBH Resources, LLC, and their sales agents, the defendants represented to investors that their funds would be used to provide accounts receivable financing for large construction projects backed or funded by the government. According to the complaint, these representations were false. Mx Factors actually was operating a Ponzi scheme and at least $19.9 million in new investor funds was used to pay existing investors. Additionally, the complaint alleges that Berardi and Hawkesworth misappropriated investor funds and collected undisclosed commissions of at least 12%. The Commission's complaint also alleged that these defendants made material misrepresentations to prospective investors concerning the due diligence they had conducted prior to recommending the investment to prospective investors. The Orders bar Berardi and Hawkesworth from association with any broker or dealer. The men consented to the issuance of these Orders without admitting or denying the Commission's findings. [SEC v. Mx Factors, LLC, et al., Case No. EDCV-04-223-VAP (SGLx) (C.D. Cal.)] (LR-18599, LR- 18619) (Hawkesworth - Rel. 34-49944; File No. 3-11531); (Berardi - Rel. 34-49945; File No. 3-11532); FORMER OFFICERS OF HAMILTON BANCORP, INC. INDICTED FOR, AMONG OTHER THINGS, WIRE FRAUD, SECURITIES FRAUD AND MAKING FALSE FILINGS The Commission and the U.S. Attorney for the Southern District of Florida announced that on June 22, 2004, the U.S. Attorney's Office issued a 42-count federal indictment charging Eduardo Masferrer, Juan Carlos Bernace and John M.R. Jacobs with, among other things, conspiracy, wire fraud, securities fraud and making false filings with the Commission. Masferrer was also charged with insider trading. Masferrer, Bernace and Jacobs are the former senior executive officers of Hamilton Bancorp, Inc (Hamilton). If convicted, defendants face a maximum term of imprisonment of thirty (30) years and a fine of up to $1 million on each wire fraud count, a maximum term of ten (10) years imprisonment and a fine of $1 million on each securities fraud count, and a maximum term of five years' imprisonment and a fine of up to $250,000 for each count of conspiracy and the other charges contained in the Indictment. The Indictment charges that in 1998 and 1999, Masferrer, Bernace, and Jacobs engaged in swap transactions to hide Hamilton's losses, including $22 million-plus losses in 1998, and falsely accounted for the transactions to make it appear that no losses had been incurred. As a result, the Indictment alleges that Masferrer, Bernace, and Jacobs fraudulently inflated the reported results of operations and financial condition of Hamilton Bancorp and defrauded the investing public and bank and securities regulators, so that they would unjustly enrich and benefit themselves through higher salaries, bonuses, and stock options. The indictment derives from the same activity that led to the Commission's filing of its complaint against Masferrer, Bernace and Jacobs in the U.S. District Court for the Southern District of Florida on Sept. 25, 2003. The Commission's complaint alleged that, as a result of the conduct described above, the defendants violated the antifraud, reporting and books and records provisions of the Securities Exchange Act of 1934. The Commission sought permanent injunctions, officer and director bars, disgorgement of ill-gotten gains, plus prejudgment interest, and the imposition of civil money penalties against the defendants. On April 6, 2004, the Court entered, with Bernace's consent, a Final Judgment of Permanent Injunction and Other Relief as to Bernace. The Judgment permanently enjoined Bernace from violating the above provisions of the federal securities laws, permanently barred Bernace from acting as an officer or director of a public company, and ordered Berance to pay a civil money penalty of $110,000 and disgorgement of ill- gotten profits, plus prejudgment interest, in the amount of $93,452.40. The Commission's case against Masferrer and Jacobs continues to be litigated. [SEC v. Eduardo Masferrer, Juan Carlos Bernace and John M.R. Jacobs, Case No. 03-22524-CIV-JORDAN/Brown, USDC/SD FL] (LR-18772) INVESTMENT COMPANY ACT RELEASES WELLS FARGO FUNDS TRUST, ET AL. A notice has been issued giving interested persons until July 22, 2004, to request a hearing on an application filed by Wells Fargo Funds Trust, et al. for an order under Section 6(c) of the Investment Company Act exempting applicants from Section 15(f)(1)(A) of the Act. The order would permit a registered open-end investment company not to reconstitute its board of directors following the acquisition of the assets of certain other registered open-end investment companies. (Rel. IC-26489 - June 29) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Amex-2004-04) and Amendment Nos. 1, 2, and 3 thereto submitted by the American Stock Exchange relating to automatic execution for exchange traded funds and Nasdaq securities traded on an unlisted basis. Publication of the order in the Federal Register is expected during the week of June 28. (Rel. 34-49921) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-ISE-2004-24) submitted by the International Stock Exchange relating to the interaction of market maker quotations. Publication of the order in the Federal Register is expected during the week of July 5, 2004. (Rel. 34-49931) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-PCX-2004-57) filed by the Pacific Exchange relating to the system phase-in of PCX Plus has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the order in the Federal Register is expected during the week of July 5, 2004. (Rel. 34-49933) PROPOSED RULE CHANGE The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2004-079) and Amendment Nos. 1 and 2 thereto to provide for the web publication of summaries of interpretations issued under NASD Rule 4550. Publication of the notice is expected in the Federal Register during the week of July 5, 2004. (Rel. 34-49935) DELISTINGS GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the class A common stock, $.01 par value, of Friedman's Inc., effective at the opening of business on June 30. (Rel. 34-49936) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (each representing ten shares of common stock), of Chilesat Corp. S.A., effective at the opening of business on June 30. (Rel. 34-49937) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (each representing one share of class A common stock), of TRICOM, S.A., effective at the opening of business on June 30. (Rel. 34-49938) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $6.25 par value, of Oneida Ltd., effective at the opening of business on June 30. (Rel. 34-49939) APPROVAL OF EXTENSION OF TEMPORARY REGISTRATION AS A CLEARING AGENCY The Commission issued an order extending the Fixed Income Clearing Corporation's temporary registration as a clearing agency through June 30, 2005. Publication of the order is expected in the Federal Register during the week of July 5, 2004. (Rel. 34-49940) 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: . SB-2 QUIET TIGER INC, 6022677500 - 96,291,414 ($9,147,589.00) Other, (File 333-116939 - Jun. 29) (BR. 08) S-3 VISTA MEDICAL TECHNOLOGIES INC, 5451 AVENIDA ENCINAS, SUITE A, CARLSBAD, CA, 92008, 7606039120 - 10,573,497 ($16,917,596.00) Equity, (File 333-116940 - Jun. 29) (BR. 36) SB-2 FRONT PORCH DIGITAL INC, 1810 CHAPEL AVE W, SUITE 130, CHERRY HILL, NJ, 08002, 8566333500 - 25,871,860 ($9,572,588.20) Equity, (File 333-116942 - Jun. 29) (BR. 08) SB-2 VERDISYS INC, 25025 I-45 NORTH, SUITE 525, THE WOODLANDS, TX, 77380, (281) 364-6999 - 3,337,502 ($6,923,332.79) Equity, (File 333-116943 - Jun. 29) (BR. 09) SB-2 VITACUBE SYSTEMS HOLDINGS INC, 480 S HOLLY ST, DENVER, CO, 80246, 303 316 8577 - 0 ($11,150,164.00) Other, (File 333-116944 - Jun. 29) (BR. 09) S-8 EXFO ELECTRO OPTICAL ENGINEERING INC, 400 GODIN AVENUE, VANIER, A8, G1M 2K2, 4186830211 - 1,835,192 ($7,928,030.00) Equity, (File 333-116945 - Jun. 29) (BR. 36) SB-2 VERIDIUM CORP, 8,757,161 ($1,751,432.00) Debt Convertible into Equity, (File 333-116946 - Jun. 29) (BR. 06) SB-2 WINDSORTECH INC, 70 LAKE DRIVE, -, HIGHTSTOWN, NJ, 08520, 609-426-4666 - 28,604,750 ($52,918,787.50) Equity, (File 333-116947 - Jun. 29) (BR. 08) SB-2 MAXIMUM DYNAMICS INC, 2 N CASCADE AVE, STE 1100, COLORADO SPRINGS, CO, 80903, 7193811728 - 38,832,489 ($6,989,848.02) Equity, (File 333-116948 - Jun. 29) (BR. 03) S-8 KERR MCGEE CORP /DE, KERR-MCGEE CENTER, 123 ROBERT S. KERR AVENUE, OKLAHOMA CITY, OK, 73102, 4052701313 - 0 ($55,910,761.92) Equity, (File 333-116950 - Jun. 29) (BR. 04) S-8 VICAL INC, 10390 PACIFIC CENTER COURT, ., SAN DIEGO, CA, 92121-4340, 858-646-1100 - 500,000 ($2,695,000.00) Equity, (File 333-116951 - Jun. 29) (BR. 01) S-8 WALT DISNEY CO/, 500 SOUTH BUENA VISTA ST, BURBANK, CA, 91521, 8185601000 - 250,000 ($6,157,500.00) Equity, (File 333-116952 - Jun. 29) (BR. 05) S-8 WALT DISNEY CO/, 500 SOUTH BUENA VISTA ST, BURBANK, CA, 91521, 8185601000 - 2,625,000 ($64,653,750.00) Equity, (File 333-116953 - Jun. 29) (BR. 05) S-8 IVI COMMUNICATIONS INC, 6171 WEST CENTURY BLVD, SUITE 140, LOS ANGELES, CA, 90045, 3108021744 - 4,500,000 ($225,000.00) Equity, (File 333-116954 - Jun. 29) (BR. 09) S-8 ABLE LABORATORIES INC, 6 HOLLYWOOD COURT, ., SOUTH PLAINFIELD, NJ, 07080, 908-754-2253 - 1,170,500 ($22,298,025.00) Equity, (File 333-116955 - Jun. 29) (BR. 01) SB-2 INTERNATIONAL CARD ESTABLISHMENT INC, 300 ESPLANADE DRIVE, SUITE 1950, OXNARD, CA, 93030, 800-400-0206 - 12,741,461 ($11,849,558.73) Equity, (File 333-116956 - Jun. 29) (BR. 03) S-8 PERVASIVE SOFTWARE INC, 12365 RIATA TRACE PARKWAY, AUSTIN, TX, 78727, 5122316000 - 0 ($4,802,771.40) Equity, (File 333-116957 - Jun. 29) (BR. 03) S-11 Wellbrook Properties, Inc., 2450 ATLANTA HIGHWAY, SUITE 904, CUMMING, GA, 30040, (678) 455-1109 - 0 ($20,000,000.00) Equity, (File 333-116958 - Jun. 29) (BR. ) S-8 CONCEPTUS INC, 1021 HOWARD AVE, SAN CARLOS, CA, 94070, 4158027240 - 0 ($7,481,500.00) Equity, (File 333-116959 - Jun. 29) (BR. 36) S-8 CONCEPTUS INC, 1021 HOWARD AVE, SAN CARLOS, CA, 94070, 4158027240 - 0 ($5,051,140.00) Equity, 0 ($3,000,000.00) Other, (File 333-116960 - Jun. 29) (BR. 36) S-3 NORTHERN BORDER PARTNERS LP, 4024927300 - 2,710,000 ($107,370,200.00) Equity, (File 333-116961 - Jun. 29) (BR. 02) S-8 ISIS PHARMACEUTICALS INC, 2292 FARADAY AVE, CARLSBAD, CA, 92008, 7609319200 - 0 ($18,560,000.00) Equity, (File 333-116962 - Jun. 29) (BR. 01) S-8 BROOKFIELD HOMES CORP, 12865 POINTE DEL MAR, SUITE 200, DEL MAR, CA, 92014, 858-481-8500 - 2,000,000 ($52,240,000.00) Equity, (File 333-116963 - Jun. 29) (BR. 06) S-8 RADVISION LTD, 24 RAOUL WALLENBERG ST, TEL AVIV ISRAEL, TEL AVIV, L4, 00000, 0119723645 - 1,025,290 ($11,847,186.64) Equity, (File 333-116964 - Jun. 29) (BR. 03) SB-2 INTERCHANGE CORP, 24422 AVENIDA DE LA CARLOTA, SUITE 120, LAGUNA HILLS, CA, 92653, (949) 784-0800 - 0 ($28,750,000.00) Equity, (File 333-116965 - Jun. 29) (BR. ) S-8 MEASUREMENT SPECIALTIES INC, 710 ROUTE 46 EAST, SUITE 206, FAIRFIELD, NJ, 07004, 973-808-3020 - 1,000,000 ($20,250,000.00) Equity, (File 333-116966 - Jun. 29) (BR. 36) S-3 MEASUREMENT SPECIALTIES INC, 710 ROUTE 46 EAST, SUITE 206, FAIRFIELD, NJ, 07004, 973-808-3020 - 918,628 ($18,602,217.00) Equity, (File 333-116967 - Jun. 29) (BR. 36) SB-2 PACIFIC BIOMETRICS INC, 220 WEST, HARRISON STREET, SEATTLE, WA, 98119, 2062980068 - 0 ($4,162,626.98) Equity, (File 333-116968 - Jun. 29) (BR. 01) S-8 I FLOW CORP /DE/, 20202 WINDROW DRIVE, LAKE FOREST, CA, 92630, 9292062700 - 0 ($19,538,750.00) Equity, (File 333-116969 - Jun. 29) (BR. 36) S-8 EATON CORP, EATON CTR, 1111 SUPERIOR AVE, CLEVELAND, OH, 44114-2584, 2165235000 - 0 ($431,725,000.00) Equity, (File 333-116970 - Jun. 29) (BR. 06) S-8 QUIDEL CORP /DE/, 10165 MCKELLAR CT, SAN DIEGO, CA, 92121, 8585521100 - 0 ($11,480,000.00) Equity, (File 333-116971 - Jun. 29) (BR. 01) S-3 PANTRY INC, 1801 DOUGLAS DR, PO BOX 1410, SANFORD, NC, 27330, 9197746700 - 0 ($165,440,000.00) Equity, (File 333-116972 - Jun. 29) (BR. 02) S-3 INSITE VISION INC, 965 ATLANTIC AVE, --, ALAMEDA, CA, 94501, 5108658800 - 51,234,294 ($30,228,233.46) Equity, (File 333-116973 - Jun. 29) (BR. 01) S-8 EATON CORP, EATON CTR, 1111 SUPERIOR AVE, CLEVELAND, OH, 44114-2584, 2165235000 - 0 ($46,256,250.00) Equity, (File 333-116974 - Jun. 29) (BR. 06) S-4 LENNAR CORP /NEW/, 700 NW 107TH AVENUE, SUITE 400, MIAMI, FL, 33172, 3055594000 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-116975 - Jun. 29) (BR. 06) 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 ------------------------------------------------------------------------------------------------ AAR CORP DE X X 06/29/04 ABRAXAS PETROLEUM CORP NV X 06/29/04 ADELPHIA COMMUNICATIONS CORP DE X X 06/28/04 ADVANCED MARKETING SERVICES INC DE X X 06/29/04 AERO MARINE ENGINE INC NV X 06/09/04 AIRTRAN HOLDINGS INC NV X 06/28/04 ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE X X 06/29/04 AMERALIA INC UT X 06/25/04 AMERICAN GREETINGS CORP OH X X 06/29/04 AMERICAN SCIENCE & ENGINEERING INC MA X X 06/28/04 ANTARES PHARMA INC MN X 06/22/04 ASA INTERNATIONAL LTD DE X 06/22/04 ASHFORD HOSPITALITY TRUST INC MD X 06/28/04 ATA HOLDINGS CORP IN X X 06/29/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 06/29/04 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 06/17/04 BANKATLANTIC BANCORP INC FL X 06/29/04 BEAR STEARNS ASSET-BACKED CERTIFICAT DE X 06/25/04 BEVERLY ENTERPRISES INC DE X 06/28/04 BIZCOM USA INC FL X X 05/27/04 BODISEN BIOTECH, INC DE X X X 06/29/04 AMEND BROOKE CORP KS X X 05/28/04 C-CHIP TECHNOLOGIES CORP NV X X 06/29/04 CADENCE RESOURCES CORP UT X X 06/29/04 CALPINE CORP DE X 06/29/04 CAMDEN NATIONAL CORP ME X 06/29/04 CHASE FUNDING INC NY X X 06/29/04 CHINDEX INTERNATIONAL INC DE X X 06/29/04 CITIGROUP GLOBAL MARKETS HOLDINGS INC NY X 06/23/04 CITY HOLDING CO WV X 06/28/04 COLE KENNETH PRODUCTIONS INC NY X 06/28/04 COLLEGIATE PACIFIC INC DE X 06/29/04 COMMERCE BANCORP INC /NJ/ NJ X 06/29/04 COMMUNITY BANCORP INC DE X X 06/28/04 COMMUNITY BANCORP OF NEW JERSEY NJ X 06/29/04 CONVERSION SERVICES INTERNATIONAL INC DE X X 06/07/04 CORPORATE VISION INC OK X X X X 03/17/04 CREDIT SUISSE FIRST BOSTON MORT SEC H DE X X 06/25/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 06/29/04 Credit Suisse First Boston Mortgage S DE X X 06/25/04 CRITICAL HOME CARE INC NV X X X X 06/22/04 CWABS INC DE X X 06/29/04 CWABS INC DE X X 06/29/04 CWABS INC DE X X 06/29/04 CWALT INC X 06/29/04 CWALT INC X 06/29/04 CWMBS INC DE X 06/29/04 CYCLE COUNTRY ACCESSORIES CORP NV X 06/25/04 CYTOMEDIX INC DE X X 06/29/04 DEARBORN BANCORP INC /MI/ MI X X 06/25/04 DECODE GENETICS INC DE X X 06/18/04 DORAL FINANCIAL CORP PR X X 06/29/04 DPAC TECHNOLOGIES CORP CA X X 06/29/04 EARTHSHELL CORP DE X X 06/28/04 EDUCATION LOANS INC /DE DE X X 06/25/04 EDUCATION LOANS INC /DE DE X X 06/25/04 EL PASO CGP CO DE X X 06/29/04 EL PASO CORP/DE DE X X 06/28/04 EL PASO CORP/DE DE X X 06/29/04 EL PASO PRODUCTION HOLDING CO DE X X 06/29/04 ELECTRO SCIENTIFIC INDUSTRIES INC OR X 06/29/04 EMPIRE FINANCIAL HOLDING CO FL X X 06/25/04 ENERGEN CORP AL X X 06/29/04 ENNIS, INC. TX X X X 06/25/04 ENVIRONMENTAL MONITORING & TESTING CO DE X 06/03/04 EPIQ SYSTEMS INC MO X X 01/30/04 AMEND EQUITY ONE MORTGAGE PASS-THROUGH TRUS DE X 06/25/04 Equity One Mortgage Pass-Through Trus DE X 06/25/04 FACTSET RESEARCH SYSTEMS INC DE X 06/29/04 FALCON FINANCIAL INVESTMENT TRUST MD X 06/29/04 FALCON PRODUCTS INC /DE/ DE X 06/29/04 FELCOR LODGING L P DE X 06/24/04 FELCOR LODGING TRUST INC MD X 06/24/04 FINANCE AMERICA MORTGAGE LOAN TRUST 2 DE X X 06/25/04 FINANCIAL ASSET SECURITIES CORP DE X X 06/29/04 FINANCIAL INDUSTRIES CORP TX X X 06/29/04 FINDWHAT COM INC NV X X X 02/09/04 AMEND FIRST FEDERAL FINANCIAL SERVICES INC X X 06/28/04 FIRST HORIZON ASSET SECURITIES INC DE X X 06/24/04 FIRST HORIZON ASSET SECURITIES INC DE X X 06/24/04 FORMULA FOOTWEAR INC UT X X X X 04/15/04 AMEND FRANKLIN RECEIVABLES LLC DE X 06/29/04 FREEDOM BANCSHARES INC X X 06/16/04 GK INTELLIGENT SYSTEMS INC DE X X 06/23/04 GREENPOINT MORTGAGE SECURITIES LLC DE X X 06/15/04 GS MORTGAGE SECURITIES CORP DE X X 06/25/04 GTREX INC DE X 06/25/04 AMEND HALLIBURTON CO DE X 06/29/04 HANCOCK JOHN LIFE INSURANCE CO MA X X 06/28/04 HAUSER INC DE X X 06/15/04 HEADLINERS ENTERTAINMENT GROUP, INC. DE X 06/25/04 HEARUSA INC DE X X 06/28/04 HOOPER HOLMES INC NY X X 06/24/04 HORIZON FINANCIAL CORP WA X X 06/23/04 HUTTIG BUILDING PRODUCTS INC DE X X 03/19/04 IBASIS INC DE X X 06/29/04 IMAGE ENTERTAINMENT INC CA X 06/28/04 AMEND INDYMAC MBS INC X X 06/29/04 INDYMAC MBS INC X X 06/29/04 INDYMAC MBS INC X X 06/29/04 INDYMAC MBS INC X X 06/29/04 INDYMAC MBS INC X X 06/28/04 INDYMAC MBS INC X X 06/29/04 INFORMATION HOLDINGS INC DE X X 06/28/04 INNOVATIVE DESIGNS INC DE X 06/22/04 INTEGRATED BIOPHARMA INC DE X X 06/29/04 INTEGRATED BUSINESS SYSTEMS & SERVICE SC X X 06/28/04 INTERDIGITAL COMMUNICATIONS CORP PA X 06/29/04 INTERPUBLIC GROUP OF COMPANIES, INC. 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