SEC NEWS DIGEST Issue 2002-58 March 26, 2002 ENFORCEMENT PROCEEDINGS ACTION FILED AND SETTLED AGAINST FIRST FLORIDA COMMUNICATIONS AND DOUGLAS COSTA On March 25, the Commission instituted and simultaneously settled actions against First Florida Communications, Inc. (FFCI) and its president and CEO, Douglas E. Costa. Without admitting or denying the Commission's allegations, FFCI consented to the entry of an order revoking the registration of its common stock and Costa consented to the entry of a cease-and-desist order against him. In the order regarding Costa, the Commission found that from at least December 1998 through June 11, 1999, FFCI maintained an internet website which overstated FFCI's total asset value. Although Costa knew or should have known that FFCI's website misrepresented FFCI's assets, the Commission found that Costa made no attempt to revise or delete the false and misleading information contained on FFCI's web pages. Further; the Commission found that Costa was present at a meeting in May 1999 when FFCI's chairman of the board misrepresented to prospective shareholders that FFCI's value had been appraised at $50 million. Although Costa knew or should have known that the statement was false and misleading, the Commission found that he failed to inform the prospective shareholders of the falsehood. Based upon this conduct, the Commission ordered Costa to cease and desist from committing or causing any violation and any future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule l 0b-5 thereunder. The Commission also instituted a settled order against FFCI, finding that the company failed to file required annual and quarterly reports since at least December 1999, in violation of Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder. Without admitting or denying the findings, FFCI consented to the entry of an Order, pursuant to Section 12(j) of the Exchange Act, revoking the registration of FFCI's securities. (Rels. 33-8075; 34-45635; File No. 3-10737) PUBLIC PROCEEDINGS INSTITUTED AGAINST ROBERT PAPARIELLA, HARVEST FINANCIAL CORPORATION AND FRANK RUSCETTI On March 25, the Commission announced that it has instituted public administrative and cease-and-desist proceedings against Robert A. Papariella (Papariella) of Incline Village, Nevada, and public administrative proceedings against Harvest Financial Corporation (Harvest) and its president, Frank D. Ruscetti (Ruscetti) of Pittsburgh, Pennsylvania. Papariella was a registered representative employed by Harvest from May 1999 through March 2001. In the Commission's Order Instituting Public Administrative and Cease- and-Desist Proceedings, the Division of Enforcement alleges that during his employment at Harvest, Papariella engaged in a scheme to defraud investors by recommending and executing an unsuitable, aggressive trading strategy in four customer accounts at Harvest in contradiction of the customers' conservative investment objectives. He also misrepresented or omitted to disclose to them the risks inherent in this strategy. Furthermore, Papariella churned the accounts of those four customers. He advanced his own interests to the detriment of his customers and generated gross commissions totaling over $132,600 from his fraudulent trading activity in these accounts. The Division also alleges that Harvest and Ruscetti, as the president of Harvest, failed reasonably to supervise Papariella because they failed to establish written procedures or a system for applying such procedures, which were reasonably designed to detect or prevent Papariella's violations of the securities laws. For instance, Harvest's written procedures did not delegate supervisory responsibilities among Harvest's principals, nor did they describe any of those supervisory responsibilities. The firm also had no written procedures regarding review of registered representatives' activities. Moreover, Harvest did not have any written procedures concerning the retention of correspondence and information pertinent to customer accounts. The Division further alleges that Ruscetti failed reasonably to supervise Papariella because he failed to respond meaningfully to indications of questionable activity by Papariella. In summary, Ruscetti knew that four customer complaints had been previously filed against Papariella, that two of Papariella's previous employers had permitted him to resign, that the State of Ohio had denied his license to sell securities, that three state securities agencies placed him on notice of possible irregularities in Papariella's employment history, and that Papariella employed frequent trading based on technical analysis indicators. Ruscetti was specifically aware of Papariella's frequent trading in 18-20 Harvest customer accounts, as well as the large amounts of commissions paid by the account holders, and at least one customer complaint stating that Papariella was trading too frequently in an account with conservative objectives. Yet, Ruscetti took no meaningful action to inquire into Papariella's trading activity or stop it until March 2001, after he received a second complaint from the same customer. Based upon the above-described conduct, the Division alleges that Papariella willfully violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule l0b-5 thereunder. The Division further alleges that Harvest and Ruscetti failed reasonably to supervise Papariella within the meaning of Section 15(b)(4)(E) of the Exchange Act, with a view to preventing Papariella's violations of the federal securities laws and the rules thereunder, and that Harvest willfully violated the books and records requirements of Section 17(a) of the Exchange Act and Rule 17a-4 thereunder. A hearing will be scheduled to determine whether the allegations contained in the Order are true, and if so, to determine what sanctions, if any, are appropriate and in the public interest. (Rels. 33-8077; 34- 45637; File No. 3-10739) SEC v. INTERNET CAPITAL HOLDINGS, INC., ET AL. The Commission announced that on January 7, 2002, the Honorable Daniel T.K. Hurley of the United States District Court for the Southern District of Florida dismissed the SEC's case against defendant Peter J. Buzanis, who was killed in June 2001. On October 5, 2001, the Court entered a Final Judgment of Permanent Injunction against defendant William E. Griffis. Griffis was enjoined from future violations of Sections 5(a) and 5(c), and Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule l0b-5 thereunder, and Section 15(a)(1) of the Exchange Act. On January 8, 2002, the Court approved the settlement between the SEC and defendant Griffis. Under the terms of the settlement, Griffis agreed to disgorge $111,274, waiving all but $14,549.50, which he paid to the Receiver. On July 27, 2001, the Court entered a Final Judgment of Permanent Injunction against the court appointed Receivership Entities, Internet Capital Holdings, Inc. and Internet Capital Holdings, II, Inc. The Receivership Entities were enjoined from future violations of Sections 5(a), 5(c), and Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule l0b-5 thereunder, and Section 7(a) of the Investment Company Act and ordered to pay disgorgement and civil penalties. On January 22, 2002, the Court also dismissed the SEC's claim for disgorgement and civil money penalties against the Receivership Entities and relief defendant, Internet Capital Consultants. For additional information, see LR-16803 (November 17, 2000). [SEC v. Internet Capital Holdings. Inc., et al., Case No. 009028-CIV-HURLEY, S.D. Fla.] (LR-17433) TEXAS COMPANY, ITS DIRECTORS, AND ITS FOREIGN ASSOCIATES CHARGED WITH FRAUD AND SALE OF UNREGISTERED SECURITIES IN CONNECTION WITH INTERNATIONAL GOLD TRADING SCHEME On March 22, the Commission filed a civil fraud suit in United States District Court in Dallas, Texas, against Big Country AGS, Inc. d/b/a AGS, Inc., Ardis Gaither, John Temple, Mark Tuley, Africa Gemstone Corporation, and Godfried Sarpong, alleging that those defendants sold unregistered securities, in violation of Sections 5(a) and 5(c) of the Securities Act of 1933; and committed securities fraud, in violation of 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. In its complaint, the Commission requested that the defendants be enjoined from future securities violations and be ordered to disgorge their illegal profits and pay civil money penalties. The complaint specifically alleged that, between February 2000 and January 2001, the defendants raised over $1.3 million by offering and selling unregistered AGS promissory notes to investors in several states, and promising the investors returns of 5% or 10% per month, which Sarpong and Africa Gemstone purportedly would generate by trading gold bullion in Ghana and the United Kingdom. The SEC alleges that AGS, Gaither, Temple and Tuley made false and misleading claims and failed to disclose material facts about the risks of the investment and the results the investors could expect. The SEC further alleges that Sarpong and Africa Gemstone misappropriated approximately $1 million worth of gold and money that belonged to the investors. Simultaneously with the filing of its action, the Commission accepted an offer of settlement from AGS, Gaither, Temple and Tuley, in which they agreed, without admitting or denying the allegations in the Commission's complaint, to the entry of an order enjoining them from further violations of the securities laws; to pay civil money penalties of $20,000 each; and to pay disgorgement of $200,000 in illegal profits, plus $22,840 in prejudgment interest. [SEC v. Big Country AGS, Inc. d/b/a AGS, Inc., et al., Defendants, Civil Action No. 3-02CV-606-L, USDC, NDTX] (LR-17434) WASTE MANAGEMENT, INC. FOUNDER AND FIVE OTHER FORMER TOP OFFICERS SUED FOR MASSIVE EARNINGS MANAGEMENT FRAUD The Commission today filed a complaint charging the founder and five other former top officers of Waste Management, Inc. with perpetrating a massive financial fraud lasting more than five years. The Commission alleged that, beginning in 1992 and continuing into 1997, defendants engaged in a systematic scheme to falsify and misrepresent Waste Management's financial results and thereby enrich themselves and keep their jobs. The scheme was orchestrated and implemented by Waste Management's most senior officers: * Dean L. Buntrock - Waste Management's founder, chairman of the Board of Directors, and chief executive officer during most of the relevant period; * Phillip B. Rooney - president and chief operating officer, director, and CEO for a portion of the relevant period; * James E. Koenig - executive vice president and chief financial officer; * Thomas C. Hau - vice president, corporate controller, and chief accounting officer; * Herbert Getz - senior vice president, general counsel, and secretary; and * Bruce D. Tobecksen - vice president of finance. The Commission brought its action in the United States District Court for the Northern District of Illinois. The complaint alleges that the defendants violated, and aided and abetted violations of, antifraud, reporting, and record-keeping provisions of the federal securities laws. As relief, the Commission seeks final judgments permanently enjoining defendants from further violations of these provisions, ordering disgorgement of defendants' ill-gotten gains plus prejudgment thereon, imposing civil money penalties, and prohibiting defendants from serving as officers or directors of public companies. [SEC v. Dean L. Buntrock, Phillip B. Rooney, James E. Koenig, Thomas C. Hau, Herbert A. Getz, and Bruce D. Tobecksen, Civil Action No. 02C 2180, Judge Manning, N.D. Ill., March 26, 2002] (LR-17435; AAER-1532; Press Rel. 2002-44) INVESTMENT COMPANY ACT RELEASES ALPHA SELECT FUNDS, ET AL. An order has been issued on an application filed by Alpha Select Funds, et al. granting an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-25495 - March 22) VANTAGEPOINT FUNDS AND VANTAGEPOINT INVESTMENT ADVISERS, LLC An order has been issued on an application filed by Vantagepoint Funds and Vantagepoint Investment Advisers, LLC, granting relief from Sections 10(f), 12(d)(3), 17 (a) and 17(e) of the Investment Company Act and from Rule 17e-1 under the Act. The order permits certain registered open-end management investment companies advised by several investment advisers to engage in principal and brokerage transactions with a broker-dealer affiliated with one of the investment advisers and to purchase securities in certain underwritings. The transactions would be between the broker-dealer and a portion of the investment company's portfolio not advised by the adviser affiliated with the broker-dealer. The order also permits these investment companies not to aggregate certain purchases from an underwriting syndicate. Further, the order permits a portion of an investment company's portfolio to purchase securities issued by a broker-dealer that is an affiliated person of an investment adviser to another portion, subject otherwise to the limits in Rule 12d3- 1 under the Act. (Rel. IC-25496 - March 22) JACKSON NATIONAL LIFE INSURANCE COMPANY, ET AL. An order has been issued on an application filed by Jackson National Life Insurance Company (Jackson National), Jackson National Separate Account - I (the JNL Separate Account), and Jackson National Life Distributors, Inc., granting exemptions from the provisions of Sections 2(a)(32) and 27(i)(2)(A) of the Investment Company Act and Rule 22c-1 thereunder, to the extent necessary to permit the recapture, under specified circumstances, of certain credit enhancements applied to purchase payments made under the flexible premium, deferred variable annuity contract described in the application that Jackson National will issue through the JNL Separate Account (Contract), as well as other contracts that Jackson National may issue in the future through its existing or future separate accounts that are substantially similar in all material respects to the Contract. (Rel. IC-25497 - March 22) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2002-14) filed by the Philadelphia Stock Exchange relating to modified capitalization weighting methodology for index options has become 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 March 25. (Rel. 34- 45622) A proposed rule change (SR-NASD-2002-36) filed by the National Association of Securities Dealers through its subsidiary, the Nasdaq Stock Market, Inc., relating to certificates of designation for preferred stock of the Nasdaq Stock Market, Inc. has become 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 March 25. (Rel. 34-45638) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change submitted by the American Stock Exchange (SR-Amex-2002-18) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to the listing and trading of Oil and Natural Gas Notes. Publication of the proposal is expected in the Federal Register during the week of March 25. (Rel. 34- 45639) PROPOSED RULE CHANGE The Chicago Board Options Exchange filed a proposed rule change (SRCBOE- 2002-03) under Rule 19b-4 of the Securities Exchange Act of 1934. Under the proposed rule change, CBOE would be permitted to implement a two- year pilot system for portfolio margining and cross-margining for certain customer accounts. Publication of the proposal is expected in the Federal Register during the week of March 25. (Rel. No. 34-45630) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-Amex-2001-94) submitted under Rule 19b-4 of the Securities Exchange Act of 1934 by the American Stock Exchange increasing the maximum order size eligible for automatic execution on AUTO-EX to 250 contracts. Publication of the order is expected in the Federal Register during the week of March 25. (Rel. 34-45628) The Commission approved a proposed rule change (SR-Phlx-2001-89) and Amendment No. 1 thereto submitted under Rule 19b-4 of the Securities Exchange Act of 1934 by the Philadelphia Stock Exchange relating to an increase in the maximum guaranteed size for AUTO-X eligible orders in options on the Nasdaq- 100 Index Tracking Stock (QQQ) from 100 contracts to 250 contracts. Publication of the proposal is expected in the Federal Register during the week of March 25. (Rel. 34-45629) 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 CHELL GROUP CORP, 14 METEOR DR, BLDG 18, ETOBICOKE ONTARIO, A6, M9W 1A4, 4166756666 - 911,107 ($911,107.00) Equity, (File 333-84824 - Mar. 25) (BR. 37) S-3 L 3 COMMUNICATIONS HOLDINGS INC, 600 THIRD AVENUE, 34TH FLOOR, NEW YORK, NY, 10016, 2126971111 - 0 ($1,000,000,000.00) Debt Convertible into Equity, 0 ($55,630,000.00) Equity, (File 333-84826 - Mar. 25) (BR. 37) S-3 DYNEGY INC /IL/, 1000 LOUISIANA, STE 5800, HOUSTON, TX, 77002, 7133677600 - 0 ($2,537,088,408.80) Other, (File 333-84828 - Mar. 25) (BR. 04) S-8 JUNUM INC, 1590 CORPORATE DRIVE, COSTA MESA, CA, 92626, 3531679022 - 5,000,000 ($1,750,000.00) Equity, (File 333-84830 - Mar. 25) (BR. 05) SB-2 TWO THOUSAND & ONE INC, 5 MORNINGSIDE ROAD, STATEN ISLAND, NY, 10302, 7183517273 - 800,000 ($400,000.00) Equity, (File 333-84832 - Mar. 25) (BR. ) S-3 AMERIGON INC, 5462 IRWINDALE AVENUE, IRWINDALE, CA, 91760-, 6268157400 - 0 ($29,252,295.36) Equity, (File 333-84840 - Mar. 25) (BR. 05) S-8 REPUBLIC BANCORP INC, 1070 EAST MAIN STREET, OWOSSO, MI, 48867, 5177257337 - 1,500,000 ($20,925,000.00) Equity, (File 333-84842 - Mar. 25) (BR. 07) S-8 MDU RESOURCES GROUP INC, 918 EAST DIVIDE AVENUE, BISMARCK, ND, 58506-5650, 7012227900 - 100,000 ($2,970,000.00) Equity, (File 333-84844 - Mar. 25) (BR. 02) S-8 HYPERION SOLUTIONS CORP, 1344 CROSSMAN AVE, SUNNYVALE, CA, 94089, 4087449500 - 1,200,000 ($29,700,000.00) Equity, (File 333-84846 - Mar. 25) (BR. 03) S-8 CACHE INC, 1460 BROADWAY, NEW YORK, NY, 10036, 2128404242 - 550,000 ($1,424,500.00) Equity, (File 333-84848 - Mar. 25) (BR. 02) S-8 UBIQUITEL INC, 1 BALA PLAZA SUITE 402, BALA CYNWYD, PA, 19004, 6106609510 - 0 ($2,320,000.00) Equity, (File 333-84852 - Mar. 25) (BR. 37) S-3 COMPUDYNE CORP, 7249 NATIONAL DRIVE, HANOVER, MD, 21076, 4107120275 - 0 ($619,742.00) Equity, (File 333-84854 - Mar. 25) (BR. 05) S-8 HALL KINION & ASSOCIATES INC, 2570 NORTH FIRST STREET, SUITE 400, SAN JOSE, CA, 95131-1018, 408-895-5200 - 0 ($3,833,590.00) Equity, (File 333-84856 - Mar. 25) (BR. 03) S-8 AOL TIME WARNER INC, 75 ROCKEFELLER PLAZA, NEW YORK, NY, 10019, 2124848000 - 8,779,595 ($358,209,846.40) Equity, (File 333-84858 - Mar. 25) (BR. 03) S-4 COMPUDYNE CORP, 7249 NATIONAL DRIVE, HANOVER, MD, 21076, 4107120275 - 865,964 ($952,560.40) Equity, (File 333-84860 - Mar. 25) (BR. 05) S-8 CHEMICAL FINANCIAL CORP, 333 E MAIN ST, MIDLAND, MI, 48640, 5176313310 - 75,000 ($2,100,000.00) Equity, (File 333-84862 - Mar. 25) (BR. 07) S-8 EMERGENCY FILTRATION PRODUCTS INC/ NV, 4334 S INDUSTRIAL RD, STE 440, LAS VEGAS, NV, 89103, 7027984541 - 321,000 ($128,400.00) Equity, (File 333-84864 - Mar. 25) (BR. 37) S-3 COHERENT INC, 5100 PATRICK HENRY DR, SANTA CLARA, CA, 95054, 4087644000 - 0 ($1,996,590.00) Equity, (File 333-84866 - Mar. 25) (BR. 36) S-3 HOLLINGER INTERNATIONAL INC, 401 N WABASH AVE, STE 740, CHICAGO, IL, 60611, 3123212299 - 0 ($8,000,464.58) Equity, (File 333-84868 - Mar. 25) (BR. 05) S-8 OXIGENE INC, 321 ARSENAL STREET, WATERTOWN, MA, 02472, 6176737800 - 475,977 ($1,104,267.00) Equity, (File 333-84870 - Mar. 25) (BR. 01) S-8 OXIGENE INC, 321 ARSENAL STREET, WATERTOWN, MA, 02472, 6176737800 - 208,541 ($483,816.00) Equity, (File 333-84872 - Mar. 25) (BR. 01) S-1 MOBILE SERVICES GROUP INC, 0 ($143,750,000.00) Equity, (File 333-84874 - Mar. 25) (BR. ) 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. 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 DATE COMMENT 99 CENTS ONLY STORE CA X 03/25/01 ABN AMRO MORTGAGE CORP SERIES 1998-2 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-3 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-4 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-5 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-2 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-3 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-4 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-5 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-7 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-1 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-2 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-3 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-4 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-1A DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 2002-1 DE X 03/01/02 ABN AMRO MORTGAGE CORP SERIES 2002-2 DE X 03/01/02 ACTION PERFORMANCE COMPANIES INC AZ X X 03/18/02 ADSTAR COM INC DE X X 03/18/02 ADVANCED MATERIALS GROUP INC NV X 03/25/02 AIRBORNE INC /DE/ DE X X 03/25/02 AMERIANA BANCORP IN X X 03/19/02 AMERICA FIRST ASSOCIATES CORP CO X 12/31/01 AMERICAN NATIONAL BANKSHARES INC VA X 03/25/02 ANDREA ELECTRONICS CORP NY X X 03/22/02 ANTHEM INC IN X 03/25/02 ASPI EUROPE INC X X 01/23/02 ASPI EUROPE INC X X 02/11/02 AUTHENTIDATE HOLDING CORP DE X X 03/15/02 BA MASTER CREDIT CARD TRUST / X 03/15/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 03/22/02 BARNETT AUTO TRUST 1997-A DE X X 03/05/02 BEAR STEARNS ASSET BACKED SECURITIES DE X X 03/25/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X 03/01/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X 03/01/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X 03/01/02 BMW VEHICLE LEASE TRUST 2000-A X 03/25/02 CAMBRIDGE HOLDINGS LTD CO X X 03/12/02 CAREER WORTH INC NV X X 02/28/02 CBRL GROUP INC TN X X 03/21/02 CHAMPION ENTERPRISES INC MI X X 03/25/02 CHASE MANHATTAN BANK /NY/ NY X X 03/15/02 CHASE MANHATTAN BANK USA DE X X 03/15/02 CHASE MANHATTAN BANK USA DE X X 03/15/02 CHASE MANHATTAN BANK USA DE X X 03/15/02 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 03/15/02 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 03/15/02 COLUMBIALUM STAFFING INC NV X X 03/18/02 COMPUDYNE CORP NV X 03/25/02 CONSUMER PORTFOLIO SERVICES INC CA X X X 03/08/02 CONVERA CORP DE X 01/31/03 COSTCO WHOLESALE CORP /NEW WA X X 03/20/02 CREDIT SUISSE FIRST BOSTON MORTGAGE A DE X X 03/25/02 CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 CTC COMMUNICATIONS GROUP INC DE X 03/21/02 DENBURY RESOURCES INC DE X X 03/21/02 DIAL CORP /NEW/ DE X X 03/21/02 EDISON BROTHERS STORES INC DE X X 03/14/02 EMCLAIRE FINANCIAL CORP PA X 03/21/02 EMERGENCY FILTRATION PRODUCTS INC/ NV NV X 03/25/02 ENTERGY ARKANSAS INC AR X X 03/25/02 EQUITY INNS INC TN X 03/25/02 ESSENTIAL THERAPEUTICS INC CA X X 03/11/02 EZCONY INTERAMERICA INC R1 X X X 03/25/02 FACTORY CARD OUTLET CORP DE X X X 03/20/02 FELCOR LODGING TRUST INC MD X X 02/06/02 FIDELITY D & D BANCORP INC PA X X 03/25/02 FIRST ALLIANCE CORP /DE/ DE X X 03/22/02 FIRST FINANCIAL BANKSHARES INC TX X 03/25/02 GASCO ENERGY INC NV X 03/25/02 GENERAL ELECTRIC CAPITAL CORP DE X 03/21/02 GENERAL ELECTRIC CAPITAL SERVICES INC DE X 03/21/02 GENERAL ELECTRIC CO NY X X 03/21/02 GENERAL MAGIC INC DE X X 03/11/02 GENETRONICS BIOMEDICAL CORP X X 03/25/02 AMEND GREEN MOUNTAIN POWER CORP VT X 03/25/02 GSE SYSTEMS INC DE X 03/25/02 HOMESIDE INTERNATIONAL INC DE X 03/25/02 HOMESIDE MORTGAGE SECURITIES INC /DE/ DE X 03/25/02 HONDA AUTO LEASE TRUST 1999A DE X X 02/28/02 HONDA AUTO RECEIVABLES 1999-1 OWNER T DE X X 02/28/02 HONDA AUTO RECEIVABLES 2000-1 OWNER T DE X X 02/28/02 HONDA AUTO RECEIVABLES 2001-1 OWNER T DE X X 02/28/02 HONDA AUTO RECEIVABLES 2001-2 OWNER T DE X X 02/28/02 HONDA AUTO RECEIVABLES 2001-3 OWNER T CA X X 02/28/02 HONDA AUTO RECEIVABLES 2002-1 OWNER T CA X X 02/28/02 HORTON D R INC /DE/ DE X 02/21/02 AMEND HOUSEHOLD AUTOMOBILE REVOLVING TRUST NV X 03/18/02 HOUSEHOLD AUTOMOTIVE TRUST III SERIES NV X 03/25/02 HOUSEHOLD DIRECT COM INC DE X 03/22/01 AMEND HOUSTON EXPLORATION CO DE X X 03/25/02 ILEX ONCOLOGY INC DE X X 03/21/02 INDYMAC MBS INC X X 03/21/02 INSILCO HOLDING CO DE X X 03/25/02 INSILCO TECHNOLOGIES INC DE X X 03/25/02 ISONICS CORP CA X 02/28/02 JACLYN INC DE X X 01/10/02 AMEND JAGNOTES COM NV X X 03/25/02 KERR MCGEE CORP /DE DE X X 03/22/02 LASON INC DE X X 03/20/02 M&I AUTO LOAN TRUST 2001-1 DE X X 03/20/02 MACROPORE INC DE X X 03/25/02 MCM CAPITAL GROUP INC DE X X 03/20/02 MEDIX RESOURCES INC CO X 03/18/02 MERRILL LYNCH MORT LN ASS BKD CERTS S DE X 03/01/02 N2H2 INC WA X 03/21/02 NANOPIERCE TECHNOLOGIES INC NV X 03/18/02 NATIONAL GLOBAL MBS MANAGER INC DE X 03/25/02 NATIONSBANK OF DELAWARE NA DE X X 03/15/02 NATIONSCREDIT GRANTOR TRUST 1996-1 DE X X 03/15/02 NATIONSCREDIT GRANTOR TRUST 1997-1 DE X X 03/15/02 NATIONSCREDIT GRANTOR TRUST 1997-2 DE X X 03/15/02 NEPTUNE SOCIETY INC/FL FL X X 03/22/02 NETWORK 1 SECURITY SOLUTIONS INC DE X X 03/11/02 NEW YORK HEALTH CARE INC NY X X 03/18/02 NUTRASTAR INC CA X X 03/07/02 AMEND NYFIX INC NY X X 03/12/02 OAKWOOD MORTGAGE INVESTORS INC OMI TR NC X X 03/25/02 OMNICOM GROUP INC NY X X 03/01/02 OPTIONS TALENT GROUP DE X X 01/31/02 AMEND ORGANOGENESIS INC DE X X 03/13/02 OUTSOURCING SERVICES GROUP INC DE X 03/25/02 OVERTURE SERVICES INC DE X X 03/20/02 PARTNERRE LTD X X 03/25/02 PENNZOIL QUAKER STATE CO DE X X 03/25/02 PEOPLES BANK CREDIT CARD MASTER TRUST CT X X 02/28/02 PINNACLE DATA SYSTEMS INC OH X 03/20/02 PINNACLE DATA SYSTEMS INC OH X X 03/20/02 PROVINCE HEALTHCARE CO DE X X 03/14/02 READERS DIGEST ASSOCIATION INC DE X X 03/21/02 REGISTER COM INC DE X X 03/08/02 RELIABLE POWER SYSTEMS INC CO X X X 03/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/22/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/22/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/25/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/25/02 SANGUINE CORP NV X X X 03/11/02 SEAVIEW VIDEO TECHNOLOGY INC NV X 03/21/02 SENIOR SUBORDINATED PASS THROUGH CERT NV X X 03/15/02 SIERRA PACIFIC RESOURCES /NV/ NV X X 03/22/02 STAFF LEASING INC FL X X 03/22/02 SYNAGRO TECHNOLOGIES INC DE X X 03/22/02 SYNAGRO TECHNOLOGIES INC DE X 03/22/02 TEL INSTRUMENT ELECTRONICS CORP NJ X 03/25/02 TERAFORCE TECHNOLOGY CORP DE X X 01/14/02 AMEND THINKA WEIGHT LOSS CORP NV X 02/11/02 TITAN CORP DE X 12/31/01 TRW INC OH X X 03/25/02 UNIDYN CORP NV X 03/22/02 UNITED SECURITY BANCSHARES INC DE X X 03/21/02 USINTERNETWORKING INC DE X X 03/22/02 VIA NET WORKS INC DE X X 03/15/02 VIRTUALFUND COM INC MN X 01/28/02 WACHOVIA COMMERCIAL MORTGAGE SECURITI NC X 03/01/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 03/22/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X X 03/25/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X X 03/25/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X X 03/25/02 WATERS CORP /DE/ DE X X 03/25/02