SEC NEWS DIGEST Issue 2003-222 November 21, 2003 ENFORCEMENT PROCEEDINGS COMMISSION INSTITUTES ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS AGAINST LOS ANGELES INVESTMENT ADVISER FIRM AND ITS MANAGER On November 20, the Commission instituted administrative and cease-and-desist proceedings against Kaufman, Bernstein, Oberman, Tivoli & Miller, LLC (Kaufman) and Howard M. Bernstein (Bernstein). Kaufman is a registered investment adviser based in Los Angeles, California that acts as the business manager for clients who are employed in the entertainment industry. Bernstein is the manager and part owner of Kaufman. The Commission simultaneously accepted Kaufman's and Bernstein's Offer of Settlement wherein, without admitting or denying the Commission's findings, they consented to the entry of an order that: (1) orders Kaufman and Bernstein to cease and desist from committing or causing any violations and any future violations of Section 206(4) of the Advisers Act and Rule 206(4)-2(a) thereunder; (2) censures Kaufman and Bernstein; (3) orders Kaufman and Bernstein each to pay a civil penalty of $12,500 pursuant to Section 203(i) of the Advisers Act; and (4) orders Kaufman to comply with undertakings requiring it to retain an independent consultant to review and recommend improvements to the firm's compliance policies and procedures with respect to the custody provisions of the Advisers Act. Section 206(4) of the Advisers Act and Rule 206(4)-2 thereunder make it a fraudulent act for any registered investment adviser who has custody of client funds or securities to take any action with respect to such funds or securities unless, among other things, an independent public accountant conducts an examination of those funds and securities without prior notice during each calendar year. Kaufman and Bernstein violated the custody provisions by taking action with respect to client funds and securities in light of the following deficiencies. First, Kaufman's accountant failed to conduct the annual examinations in nine of the ten examinations between 1991 and 2001. In addition, from 1998 through 2001, Kaufman's accountant did not conduct the examinations without prior notice. (Rel. IA-2194; File No. 3-11341) SEC ACCUSES ADAM KRUGER AND KRUGER, MILLER AND TUMMILLO, INC. OF STEALING INVESTOR FUNDS On November 19, the Commission filed an emergency injunctive action in the U.S. District Court for the Northern District of Illinois against Kruger, Miller & Tummillo, Inc. (KMT), a corporation located in Illinois, and its president Adam G. Kruger, age 22 and resident of Roselle, Illinois. The action seeks to halt a fraud relating to the offer and sale of interests in at least two investment schemes promoted by Kruger and KMT. On the same day, Judge Samuel Der-Yeghiayan issued a temporary restraining order restraining Kruger and KMT from moving assets, destroying evidence and raising additional funds for investments. The complaint alleges that, since approximately August 2000, Kruger raised at least $908,750 from twelve known investors by telling those investors that he would pool their money to day-trade various securities or to purchase stock in a privately-held company. For these services, Kruger told investors that he would not take any money. The complaint asserts, however, that Kruger and KMT only used a small part of the money they raised to invest and, in fact, used a significant amount to pay Kruger's personal expenses. Kruger and KMT concealed their misuse of investor funds and obtained additional investment dollars by providing false reports to investors that greatly overstated the value of their investments. The Complaint also alleges that KMT's and Kruger's actions are ongoing in that Kruger has recently represented to investors that he will pay back their original investment amounts from money obtained through new investment and business deals. The complaint asserts that Kruger and KMT violated 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 asserts that KMT violated Sections 206(1) and 206(2) of the Investment Advisers Act and that Kruger aided and abetted such violations. The Court ordered a preliminary injunction hearing for November 26 at 9 a.m.. In a related case, Kruger was arrested on November 19. The Commission thanks the U.S. Attorney's Office for the Northern District of Illinois and the U.S. Postal Inspection Service for their assistance in this matter. [SEC v. Adam G. Kruger and Kruger, Miller and Tummillo, Inc., Civil Action No. 03 CV 8288 N.D. Ill.] (LR-18473) SEC OBTAINS PRELIMINARY INJUNCTIONS AGAINST EIGHT INDIVIDUALS AND FOUR COMPANIES ENGAGED IN $28 MILLION PONZI SCHEME The Commission today announced that on November 20 Judge John D. Tinders of the U.S. District Court for the Southern District of Indiana entered orders of preliminary injunction against Missouri-based Branson City Limits, Inc., Nevada-based Resort Hotels, Inc., Patrick L. Ballinger (Ballinger), Dennis R. Weaver (Weaver) of Jackson, Tennessee, Kosta S. Kovachev (Kovachev) of Lake Worth, Florida, Lee E. Larscheid (Larscheid) of Branson, Missouri, Benny G. Morris (Morris) of Palm Harbor, Florida, Darin W. Roberts (Roberts) of Branson, Missouri, Linda M. Sears (Sears) of Seminole, Florida, Todd R. Walker (Walker) of Tampa, Florida, Missouri-based Ozark Ticket and Travel, Inc. (Ozark Ticket) and Nevada-based Universal Financial Leasing, Inc. (Universal Leasing) (collectively, Defendants), pursuant to their consent, enjoining the Defendants from violating the registration and antifraud provisions of the federal securities laws for their alleged roles in ongoing Ponzi schemes that collectively have raised at least $28 million. On November 10, the Commission filed an emergency action against the Defendants to halt ongoing Ponzi schemes. Later that day, Chief Judge Larry J. McKinney entered temporary restraining orders (TRO) and asset freezes against the Defendants, among other things. The Commission's Complaint alleged that, from at least September 2000 to the present, the Defendants offered and sold securities nominally structured as hotel timeshare rental interests in unregistered transactions to approximately 600 investors in 30 states. In connection with these offerings, the Defendants made false and misleading statements concerning, among other things, the use of investor funds, the source of investors' promised high returns, and the return of investors' principal. While the issuers, promoters, and sales force represented to investors that they would use the funds collected in the offerings to refurbish the timeshare units and pay an 11% return from subleasing the units, in fact, they used new investors' funds to pay returns to old investors as well as their personal and business expenses. The Commission sought TROs, preliminary and permanent injunctions, civil penalties, asset freezes, an order preserving evidence and appointment of a receiver, if necessary. The Order entered by Judge Tinders on November 20, 2003 continues the asset freeze entered by Chief Judge McKinney on November 10. [SEC v. Patrick Ballinger, Dennis R. Weaver, Kosta S. Kovachev, Lee E. Larscheid, Benny G. Morris, Darin W. Roberts, Linda M. Sears, Todd F. Walker, Branson City Limits, Inc., Resort Hotels, Inc., Universal Financial Leasing, Inc., and Ozark Ticket and Travel, Inc., Civil Action No. 1:03 CV-1659 LJN-WTL (S.D. Ind.) (McKinney, C.J.)] (LR-18476) _____________________________ HOLDING COMPANY ACT RELEASES _____________________________ CONECTIV CORP., ET AL. A supplemental order has been issued a proposal by Conectiv Corp. (Conectiv), a registered holding company, PHI Service Company, both wholly owned subsidiaries of Pepco Holdings, Inc., a registered holding company, Atlantic City Electric Company, a public utility subsidiary of Conectiv, and Atlantic City Electric Transition Funding LLC, (together, Applicants). Applicants request that the Commission release jurisdiction over the issuance of an additional $152 million in transition bonds through May 31, 2006. (Rel. 35-27765) KEYSPAN CORP., ET AL. A notice has been issued giving interested persons until Dec. 14, 2003, to request a hearing on a proposal by KeySpan Corp. (Keyspan), a registered holding company and its utility and nonutility subsidiaries (Applicants). Applicants request authority to engage in various financing transactions, reorganizations, provision of services and other activities through Dec. 31, 2006. (Rel. 35-27766) ______________________________ SELF-REGULATORY ORGANIZATIONS ______________________________ IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASD-2003-150) filed by the National Association of Securities Dealers to establish a "Pegged" order in Nasdaq's SuperMontage System 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 November 24. (Rel. 34-48798) A proposed rule change (SR-NASD-2003-167) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to raise ACT fees for users of the "browse/query" function during the trade comparison process has become immediately effective pursuant to Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934 and subparagraph (e) of Rule 19b-4 under the Act. (Rel. 34- 48809) PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change (SR-Amex-2002-116), and Amendment Nos. 1, 2, 3, and 4 thereto, relating to specialist stabilization requirements for derivative products. Publication of the proposal is expected in the Federal Register during the week of November 24. (Rel. 34-48800) The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc. (Nasdaq), filed a proposed rule change (SR-NASD-2003-161) under Section 19(b)(1) of the Securities Exchange Act of 1934 to establish a Nasdaq Official Opening Price. Publication of the proposal is expected in the Federal Register during the week of November 24. (Rel. 34-48810) _____________________________ 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-3 GP STRATEGIES CORP, 777 WESTCHESTER AVENUE, FOURTH FLOOR, WHITE PLAINS, NY, 10604, 914-249-9700 - 937,500 ($6,731,250.00) Equity, (File 333-110611 - Nov. 20) (BR. 08) S-11 WINDROSE MEDICAL PROPERTIES TRUST, 0 ($59,754,000.00) Equity, (File 333-110612 - Nov. 20) (BR. 08) S-8 WATERS CORP /DE/, 34 MAPLE ST, MILFORD, MA, 01757, 5084782000 - 5,697,290 ($172,855,778.60) Equity, (File 333-110613 - Nov. 20) (BR. 36) S-3 EQUIFIN INC, 1011 HWY 71, SPRINGLAKE, NJ, 07762, 7322821411 - 0 ($5,819,855.34) Equity, (File 333-110614 - Nov. 20) (BR. 36) F-1 CHINA LIFE INSURANCE CO LTD, 0 ($2,500,000,000.00) Equity, (File 333-110615 - Nov. 20) (BR. 01) S-4 PERRY ELLIS INTERNATIONAL INC, 3000 NW 107TH AVENUE, MIAMI, FL, 33172, 3055922830 - 139,000,000 ($139,000,000.00) Non-Convertible Debt, (File 333-110616 - Nov. 20) (BR. 02) S-8 EGAN SYSTEMS INC, 4904 WATERS EDGE DRIVE, SUITE 160, RALEIGH, NC, 27606, 9198512239 - 575,000 ($718,750.00) Equity, (File 333-110617 - Nov. 20) (BR. 03) S-8 UNITED INDUSTRIAL CORP /DE/, 570 LEXINGTON AVENUE, NEW YORK, NY, 10017, 2127528787 - 300,000 ($5,029,500.00) Equity, (File 333-110619 - Nov. 20) (BR. 36) S-8 GENIO GROUP INC, 1120 AVENUE OF THE AMERICAS,, SUITE 4020, NEW YORK, NY, 10036, (212) 626-6702 - 200,000 ($760,000.00) Equity, (File 333-110620 - Nov. 20) (BR. 09) F-6 CHINA LIFE INSURANCE CO LTD, 0 ($7,500,000.00) ADRs/ADSs, (File 333-110622 - Nov. 20) (BR. 01) S-3 MIKOHN GAMING CORP, 920 PILOT ROAD, LAS VEGAS, NV, 89119, 7028963890 - 10,531,247 ($47,179,986.56) Equity, (File 333-110623 - Nov. 20) (BR. 06) S-4 LOCKHEED MARTIN CORP, 6801 ROCKLEDGE DR, BETHESDA, MD, 20817, 3018976000 - 0 ($200,000,000.00) Other, (File 333-110625 - Nov. 20) (BR. 05) S-3 FIDELITY FEDERAL BANCORP, 8124692100 - 2,500,000 ($2,500,000.00) Other, (File 333-110627 - Nov. 20) (BR. 07) S-8 NATIONWIDE FINANCIAL SERVICES INC/, ONE NATIONWIDE PLAZA, COLUMBUS, OH, 43215, 6142497111 - 17,500,000 ($559,475,000.00) Equity, (File 333-110628 - Nov. 20) (BR. 01) S-3 WEBMD CORP /NEW/, RIVER DRIVE CENTER 2, 669 RIVER DR, ELMWOOD PARK, NJ, 07407, 4088765000 - 0 ($350,000,000.00) Debt Convertible into Equity, (File 333-110629 - Nov. 20) (BR. 03) SB-2 HARTVILLE GROUP INC, 6505882678 - 10,625,263 ($28,688,210.10) Equity, (File 333-110630 - Nov. 20) (BR. 09) S-3 DREW INDUSTRIES INCORPORATED, 200 MAMARONECK AVE, WHITE PLAINS, NY, 10601, 9144289098 - 565,000 ($14,342,525.00) Equity, (File 333-110631 - Nov. 20) (BR. 06) SB-2 GEMINI PARTNERS INC, 0 ($13,950,000.00) Equity, (File 333-110632 - Nov. 20) (BR. ) S-8 SERACARE LIFE SCIENCES INC, 1935 AVENIDA DEL ORO, SUITE F, OCEANSIDE, CA, 92056, 7608068922 - 1,000,000 ($10,755,000.00) Other, (File 333-110633 - Nov. 20) (BR. 01) N-2 EATON VANCE TAX ADVANTAGED GLOBAL DIVIDEND INCOME FUND, EATON VANCE BUILDING, 255 STATE STREET, BOSTON, MA, 02109, 6174828260 - 50,000 ($1,000,000.00) Equity, (File 333-110634 - Nov. 20) (BR. 16) S-8 WACHOVIA CORP NEW, ONE FIRST UNION CTR, CHARLOTTE, NC, 28288-0013, 7043746565 - 0 ($175,000,000.00) Non-Convertible Debt, (File 333-110635 - Nov. 20) (BR. 07) S-8 GAYLORD ENTERTAINMENT CO /DE, ONE GAYLORD DR, NASHVILLE, TN, 37214, 6153166000 - 0 ($15,867,008.00) Equity, (File 333-110636 - Nov. 20) (BR. 08) S-8 DOUBLECLICK INC, 450 W 33RD ST, 16TH FL, NEW YORK, NY, 10001, 2126830001 - 0 ($10,000,000.00) Other, (File 333-110637 - Nov. 20) (BR. 03) S-1 MIDWEST EXPRESS HOLDINGS INC, 6744 S HOWELL AVE, OAK CREEK, WI, 53154, 4147474000 - 5,000,000 ($25,000,000.00) Equity, (File 333-110639 - Nov. 20) (BR. 05) __________________ 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 ------------------------------------------------------------------------------------------------ 10CHARGE INC DE X 11/14/03 AAMES FINANCIAL CORP/DE DE X X 11/20/03 ADVANCE AUTO PARTS INC DE X X 11/20/03 ADVANCED MAGNETICS INC DE X 11/20/03 ADVANTA BUSINESS RECEIVABLES CORP X 11/20/03 AEROPOSTALE INC X X 11/20/03 AGILE SOFTWARE CORP DE X X 11/20/03 AKORN INC LA X X 11/06/03 ALABAMA POWER CO AL X X 11/14/03 ALEXANDERS INC DE X X 11/20/03 ALLIED HEALTHCARE PRODUCTS INC DE X X 11/17/03 AMERCO /NV/ NV X X 09/05/03 AMEND AMERICAN NATURAL ENERGY CORP OK X 11/20/03 AMERIQUEST MORTGAGE SEC INC ASSET/PAS DE X X 10/22/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 11/20/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 11/20/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 11/20/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 11/20/03 AMERISOURCEBERGEN CORP DE X X 11/19/03 ANDREA ELECTRONICS CORP NY X 11/13/03 ANTEON INTERNATIONAL CORP DE X X 11/20/03 APPLIED DIGITAL SOLUTIONS INC MO X X 11/19/03 ARADIGM CORP CA X X 11/14/03 ARAMARK CORP/DE DE X 11/19/03 ARMSTRONG WORLD INDUSTRIES INC PA X X 11/20/03 ASTA FUNDING INC DE X X 11/20/03 ATCHISON CASTING CORP KS X X 11/19/03 AUTODESK INC DE X X 11/20/03 AVISTA CORP WA X 11/18/03 BANC ONE HELOC 1999-1 OH X X 11/20/03 BANC ONE HELOC TRUST 1998-1 OH X X 11/20/03 BANK OF AMERICA CORP /DE/ DE X X 11/13/03 BANK ONE AUTO SECURITIZATION TRUST 20 DE X X 11/20/03 BETHLEHEM STEEL CORP /DE/ DE X 11/20/03 BLOUNT INTERNATIONAL INC DE X X 11/20/03 BORDERS GROUP INC DE X X 10/26/03 BOSTON BEER CO INC MA X 11/19/03 BRE PROPERTIES INC /MD/ MD X 11/20/03 BROCADE COMMUNICATIONS SYSTEMS INC DE X X X 11/20/03 BULLDOG TECHNOLOGIES INC NV X 11/18/03 C&D TECHNOLOGIES INC DE X X 11/20/03 CABLE DESIGN TECHNOLOGIES CORP DE X X X 11/19/03 CAGLES INC GA X 11/19/03 CALGON CARBON CORPORATION DE X 11/19/03 CALPINE CORP DE X 11/20/03 CAPITOL REVOLVING HOME EQUITY LOAN TR MD X 11/20/03 CATALINA LIGHTING INC FL X X 11/20/03 CATALYST SEMICONDUCTOR INC DE X X 11/20/03 CATHAY GENERAL BANCORP DE X 11/18/03 CATO CORP DE X X X 11/18/03 CBRE HOLDING INC DE X X 11/19/03 CBRL GROUP INC TN X X X 11/20/03 CEF EQUIPMENT HOLDING LLC DE X 11/20/03 CELLEGY PHARMACEUTICALS INC CA X X 11/14/03 AMEND CENTRAL GARDEN & PET COMPANY DE X X 11/20/03 CHAMPIONSHIP AUTO RACING TEAMS INC DE X X 11/19/03 CHARMING SHOPPES INC PA X X 11/20/03 CITY NATIONAL CORP DE X X X 11/20/03 CLAIRES STORES INC DE X X 11/20/03 CLAIRES STORES INC DE X X 11/20/03 COHESANT TECHNOLOGIES INC DE X X 11/19/03 COMMUNITY BANCSHARES INC /DE/ DE X X 11/20/03 COMPEX TECHNOLOGIES INC MN X X 11/19/03 COMPUTER NETWORK TECHNOLOGY CORP MN X 11/20/03 COOPER INDUSTRIES LTD X X 11/20/03 CREDIT SUISSE FIRST BOSTON MORTGAGE A DE X X 11/19/03 CRITICAL PATH INC CA X X 11/18/03 CSFB ACCEPTANCE CORP HOME EQUITY LOAN DE X X 11/19/03 CTI INDUSTRIES CORP DE X X 11/19/03 CWABS INC DE X X 11/20/03 DATARAM CORP NJ X X 11/20/03 DATAWATCH CORP DE X 11/20/03 DEB SHOPS INC PA X X 11/20/03 DEERE JOHN RECEIVABLES INC DE X X 11/20/03 DIGITAL THEATER SYSTEMS INC DE X X 11/20/03 DITECH COMMUNICATIONS CORP DE X 11/20/03 DOCENT INC DE X X 10/20/03 AMEND DOCUMENT SCIENCES CORP DE X X 11/18/03 DREYERS GRAND ICE CREAM HOLDINGS INC DE X 11/17/03 DVI INC DE X 11/20/03 DYNEX CAPITAL INC VA X 09/30/03 EARTHLINK INC DE X 11/18/03 ECHOSTAR COMMUNICATIONS CORP NV X 11/17/03 EDUCATION MANAGEMENT CORPORATION X X 11/20/03 ELDERTRUST MD X X 11/20/03 ELDERTRUST MD X X 11/19/03 ELINEAR INC DE X X 11/19/03 ENCORE ACQUISITION CO DE X X 11/19/03 ENERGY EAST CORP NY X X 11/13/03 EQUIDYNE CORP DE X X 11/20/03 EQUINIX INC DE X 11/20/03 ESCAGENETICS CORP DE X X X 10/05/03 ESCO TECHNOLOGIES INC MO X X X 11/20/03 EVERCEL INC DE X 11/19/03 EXXON MOBIL CORP NJ X 11/20/03 FARMLAND INDUSTRIES INC KS X X 11/20/03 FINLAY ENTERPRISES INC /DE DE X X 11/20/03 FINLAY FINE JEWELRY CORP DE X X 11/20/03 FIRST COMMUNITY BANCORP /CA/ CA X X 11/19/03 FIRST LITCHFIELD FINANCIAL CORP DE X 11/20/03 FIRST NILES FINANCIAL INC DE X X 11/19/03 FIRST POTOMAC REALTY TRUST MD X X X 11/19/03 FIRST YEARS INC MA X X 11/19/03 FLEET HOME EQUITY LOAN LLC DE X 11/20/03 FLEETWOOD ENTERPRISES INC/DE/ DE X 11/19/03 FOOT LOCKER INC NY X X 11/19/03 FOOT LOCKER INC NY X X 11/19/03 FREDS INC TN X X 11/20/03 GAP INC DE X X X 11/20/03 GAYLORD ENTERTAINMENT CO /DE DE X X 11/20/03 GENCORP INC OH X X 11/20/03 GENCORP INC OH X X 11/19/03 GENERAL CABLE CORP /DE/ DE X X 11/18/03 GENESCO INC TN X X 11/20/03 GLOBAL LIFE SCIENCES INC X X 11/17/03 GLOBAL LIFE SCIENCES INC X X 11/20/03 GOODYEAR TIRE & RUBBER CO /OH/ OH X 11/19/03 GOODYEAR TIRE & RUBBER CO /OH/ OH X 11/19/03 GOTTSCHALKS INC DE X 11/18/03 HAND BRAND DISTRIBUTION INC FL X X X 10/28/03 AMEND HARLEYSVILLE NATIONAL CORP PA X 11/17/03 HEALTH CARE PROPERTY INVESTORS INC MD X X 11/19/03 HEALTH GRADES INC DE X 11/13/03 HECLA MINING CO/DE/ DE X 11/20/03 HEPALIFE TECHNOLOGIES INC FL X X X X 11/20/03 HIBBETT SPORTING GOODS INC DE X X 11/20/03 IBT BANCORP INC PA X X 11/18/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X X 11/06/03 INCARA PHARMACEUTICALS CORP DE X X 11/20/03 INDYMAC ABS INC HOME EQ MORT LN ASST DE X 09/25/03 INDYMAC ABS INC HOME EQ MORT LN ASST DE X 10/27/03 INTERNATIONAL RECTIFIER CORP /DE/ DE X 11/19/03 INVERESK RESEARCH GROUP INC DE X X 11/19/03 INVERESK RESEARCH GROUP INC DE X X 11/20/03 INVERNESS MEDICAL INNOVATIONS INC DE X 09/30/03 AMEND ISOLAGEN INC DE X 11/20/03 JDS UNIPHASE CORP /CA/ DE X 11/20/03 JLG INDUSTRIES INC PA X X 11/20/03 JMAR TECHNOLOGIES INC DE X X 11/13/03 JOHNSON CONTROLS INC WI X X 11/19/03 JOHNSON OUTDOORS INC WI X X 11/20/03 KERR MCGEE CORP /DE DE X X 11/20/03 KIRLIN HOLDING CORP DE X X 11/17/03 KNOT INC DE X X 11/20/03 KOS PHARMACEUTICALS INC FL X X 11/19/03 KULICKE & SOFFA INDUSTRIES INC PA X X 11/20/03 KULICKE & SOFFA INDUSTRIES INC PA X X 11/20/03 LABARGE INC DE X X 11/19/03 LAIDLAW INTERNATIONAL INC DE X X 11/19/03 LAKES ENTERTAINMENT INC MN X X 11/20/03 LASALLE HOTEL PROPERTIES MD X X 11/20/03 LEARNING TREE INTERNATIONAL INC DE X X 11/20/03 LIFEPOINT INC DE X 11/19/03 LIMITED BRANDS INC DE X 11/20/03 LINCOLN LOGS LTD NY X X 11/20/03 LONG ISLAND FINANCIAL CORP DE X 11/20/03 LOUISIANA PACIFIC CORP DE X X 11/17/03 LTV CORP DE X X 11/20/03 MADISON RIVER CAPITAL LLC DE X X 11/20/03 MAGUIRE PROPERTIES INC MD X X 11/06/03 MEDCATH CORP DE X X 11/20/03 MEDICAL LICENSING INTERNATIONAL CORP DE X X 11/18/03 MEDINEX SYSTEMS INC DE X X X X 11/14/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/19/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/19/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/19/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/18/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/19/03 MET PRO CORP DE X X 10/31/03 MICROSEMI CORP DE X X 11/20/03 MILLENNIUM CHEMICALS INC DE X X 11/20/03 MISSION RESOURCES CORP DE X X 11/20/03 MOLECULAR DIAGNOSTICS INC DE X X 11/19/03 MTS SYSTEMS CORP MN X 11/19/03 NATIONAL CITY CORP DE X X 11/20/03 NCO GROUP INC PA X X 11/18/03 NELSON THOMAS INC TN X X 11/20/03 NEMATRON CORP MI X 11/14/03 NEMATRON CORP MI X 09/30/03 NEW CENTURY BANCORP INC NC X 11/20/03 NEW SOUTH BANCSHARES INC DE X 11/20/03 NEW YORK HEALTH CARE INC NY X X 11/13/03 NEWHALL LAND & FARMING CO /CA/ CA X X 11/18/03 NEXT INC/TN DE X X 11/20/03 NICHOLAS INVESTMENT CO INC NV X 11/14/03 NICOLET BANKSHARES INC WI X X 11/18/03 NORDSTROM INC WA X X 11/20/03 NORTHERN BORDER PARTNERS LP DE X X 11/20/03 NORTHWESTERN CORP DE X X 11/20/03 NOVELL INC DE X 11/20/03 NPS PHARMACEUTICALS INC DE X 11/20/03 NTS PROPERTIES IV KY X 11/20/03 NTS PROPERTIES IV KY X 11/20/03 AMEND ODD JOB STORES INC OH X X X 11/14/03 OLYMPIC RESOURCES LTD A1 X X 09/10/03 AMEND OPTELECOM INC DE X 11/14/03 OREGON STEEL MILLS INC DE X 03/31/03 AMEND OSI PHARMACEUTICALS INC DE X X 11/17/03 OXIS INTERNATIONAL INC DE X X 11/19/03 PACIFIC GAS & ELECTRIC CO CA X 11/19/03 PARALLAX ENTERTAINMENT INC TX X X 11/05/03 PATTERSON DENTAL CO MN X X 11/20/03 PDF SOLUTIONS INC DE X X 11/20/03 PENTON MEDIA INC DE X X X 11/20/03 PEPCO HOLDINGS INC DE X X 11/19/03 PERMIAN BASIN ROYALTY TRUST TX X X 11/17/03 PERRY ELLIS INTERNATIONAL INC FL X X 11/19/03 PETROLEUM DEVELOPMENT CORP NV X 11/20/03 PETSMART INC DE X 11/20/03 PG&E CORP CA X 11/19/03 PHARMCHEM INC DE X 11/20/03 PIVOTAL CORP X 11/19/03 PIVOTAL CORP X 11/20/03 POPE RESOURCES LTD PARTNERSHIP DE X X 11/20/03 PORTAL SOFTWARE INC DE X X 11/20/03 PORTLAND GENERAL ELECTRIC CO /OR/ OR X 11/10/03 POTOMAC ELECTRIC POWER CO VA X X 11/19/03 PREMIERWEST BANCORP OR X X 11/20/03 PULTE HOMES INC/MI/ MI X X 11/20/03 PUMATECH INC DE X X 11/20/03 QUEST DIAGNOSTICS INC DE X 02/26/03 AMEND R H DONNELLEY CORP DE X 11/20/03 R H DONNELLEY CORP DE X 11/20/03 REDWOOD TRUST INC MD X X 11/14/03 REGAL CINEMAS CORP DE X X 11/20/03 REPUBLIC BANCORP INC /KY/ KY X X 11/20/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 11/20/03 RESIDENTIAL ASSET SECURITIES CORP DE X X 11/20/03 RESTORATION HARDWARE INC CA X X X 11/20/03 RMH TELESERVICES INC PA X X 11/18/03 SABRE HOLDINGS CORP 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