SEC NEWS DIGEST Issue 2002-206 October 24, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS OPEN MEETING - FRIDAY, OCTOBER 25, 2002 - 2:30 P.M. The Commission will hold an open meeting on Friday, Oct. 25, at 2:30 p.m., in Room 1C30, the William O. Douglas Room, to consider appointments to the Public Company Accounting Oversight Board. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS COMMISSION DISMISSES APPLICATION OF WARREN MINTON TO REVIEW 1999 NASD DISCIPLINARY ACTION The Commission dismissed Warren B. Minton, Jr.'s application for review of NASD disciplinary action. In 1999, the NASD defaulted Minton, finding that Minton had failed to respond to NASD requests for information. It barred Minton from association with any member, censured him, and imposed a $25,000 fine. In 2001, he moved the NASD to set aside the default, but the NASD denied his motion. Before the Commission, Minton argued that he did not receive any of the NASD's requests for information or the NASD's complaint. The Commission found that Minton had been the subject of customer complaints for unauthorized trading. He left his member firm and, over the next several months, moved numerous times. He did not report his change of address to the Central Registration Depository (CRD) as he was required to do. He also did not notify the post office of a forwarding address. The NASD sent several requests for information and its complaint to Minton's CRD address and to two other addresses identified by the NASD staff. The Commission has previously stated that it would not accept late applications to review disciplinary action absent extraordinary circumstances. The Commission concluded that there was no basis to disturb the NASD's action. By sending its requests for information to Minton at both his CRD address and to the additional addresses identified by the staff, the NASD made exhaustive efforts to serve Minton and had followed its rules. Minton's failure to receive the notices and the complaint was due to his repeated failure to update his address. (Rel. 34-46709; File No. 3-10636) COMMISSION DENIES PETITION OF DANIEL HOWARD FOR RECONSIDERATION The Commission has denied the petition of Daniel Richard Howard for reconsideration of its decision sustaining disciplinary action taken against Howard by the NASD. The NASD suspended Howard from association with any NASD member for two years and fined him $25,000. Howard was a general securities representative employed in the Boston office of H.J. Meyers & Co., Inc., a former NASD member firm. The Commission found that Howard violated NASD rules by making unsuitable recommendations to a customer, by giving a false response to a question on his Uniform Application for Securities Industry Registration, and by failing to amend that misstatement thereafter. In seeking reconsideration, Howard did not question the Commission's findings of misconduct or the sanctions imposed on him. Instead, he raised a number of procedural arguments, most of which the Commission had already considered and rejected. The Commission found Howard's additional contentions equally lacking in merit. (Rel. 34-46707; File No. 3-10392) DANIEL MANOFF BARRED The Commission has barred Daniel D. Manoff from associating with an NASD member in any capacity. The Commission determined that Manoff, formerly a registered representative with Guardian Investor Services Corporation, a wholly-owned subsidiary of Guardian Life Insurance Company and an NASD member firm, engaged in conduct inconsistent with just and equitable principles of trade and high standards of commercial honor when he made unauthorized charges to a co-worker's credit cards. The Commission sustained the NASD's findings and the bar it imposed. (Rel. 34-46708; File No. 3-10499) COMMISSION VACATES LAW JUDGE'S ORDER AND DISMISSES WITHOUT PREJUDICE ADMINISTRATIVE PROCEEDING AGAINST ERNST & YOUNG LLP The Commission has issued an order vacating the July 2, 2002, order of an administrative law judge. The law judge had granted the motion of Ernst & Young LLP for summary disposition, and dismissed without prejudice the Commission's administrative proceeding against the firm, on the ground that the administrative proceeding was not lawfully authorized. The administrative proceeding was instituted by a Commissioner acting as duty officer under Rule 43 of the Commission's rules, 17 CFR 200.43 (2002). In addition to vacating the law judge's order, the Commission's order dismisses the administrative proceeding without prejudice. Rule 43(c) provides that the Commission may, in its discretion and at any time, review any unaffirmed action taken by a duty officer. The law judge nonetheless concluded that the Commission's Rules of Practice afforded her a vehicle to review the duty officer action. However, the first of these rules, Rule 100, specifies that the Rules of Practice do not govern actions taken by the duty officer pursuant to Rule 43, and an explanatory comment to this rule notes that certain agency processes, including an appeal from a decision of a duty officer, are specifically excluded from the scope of the Rules. The Commission, reading Rule 43 and Rule 100 together, underscored in its order its conclusion that the exclusive means for a party to seek Commission review of an unaffirmed decision made by a duty officer is to request review by the Commission under Rule 43. (Rel. 34-46710; AAE Rel. 1654; File No. 3-10786) COMMISSION DECLARES DECISION AS TO G. BRADLEY TAYLOR FINAL The decision of an administrative law judge with respect to G. Bradley Taylor has become final. The law judge sanctioned Taylor based on findings that Taylor willfully violated antifraud provisions of the federal securities laws by making material omissions in the sale of securities to his customers. The law judge barred Taylor from associating with a broker or dealer. The decision further ordered that Taylor cease and desist from committing or causing any violations or 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 10b-5. (Rel. 33-8140; 34-46711; File No. 3-9955) SEC SEEKS TO ENFORCE SUBPOENA AGAINST FORMER OFFICER OF LANTRONIX On Oct. 22, the Commission filed an application with the United States District Court for the Central District of California, Southern Division, for an order to enforce an investigative subpoena served on Steven V. Cotton, the former Chief Financial Officer and Chief Operating Officer of Irvine, California-based Lantronix, Inc. The subpoena seeks documents from Cotton regarding, among other things, Cotton's financial and brokerage information. The Commission's application alleges that Cotton has not fully complied with the subpoena issued by the Commission and that Cotton has no valid justification for his failure to comply. A hearing on the Commission's application has not yet been scheduled. [SEC v. Steven V. Cotton, Case No. SA CV 02-973 (DOC)(MLGx)(C.D. Cal.)] (LR-17799) COURT ISSUES PERMANENT INJUNCTION AGAINST FORMER BROKER DENNIS HERULA IN CONNECTION WITH FRAUDULENT OFFERING SCHEME The Commission announced that it has obtained a permanent injunction in a civil fraud action against Dennis Herula, who participated in a fraudulent offering scheme that raised at least $52 million from investors. In addition to being permanently enjoined from future violations of the federal securities laws, Herula was ordered to pay disgorgement, plus prejudgment interest, in the total amount of $18,941,665.63, and was assessed a $250,000 civil monetary penalty. The Commission filed its action against Herula and eight other defendants and a relief defendant on April 1, 2002, alleging that individuals associated with an entity formerly known as Brite Business Corporation made fraudulent representations to investors, promising exorbitant returns through a high yield trading program. According to the Commission's complaint, most of the Brite Business investor funds were maintained in a brokerage account at the Cranston, Rhode Island office of Raymond James Financial Services, where Herula worked as a broker. The complaint alleges that Herula was the designated representative for the Brite Business account. The complaint further alleges that, between 1999 and 2001, Herula and others associated with Brite Business misappropriated, transferred or lost approximately $20 million in investor funds. On April 3, 2002, the federal court in Rhode Island entered a temporary restraining order and asset freeze against Herula, and on May 8, 2002, the court entered a written preliminary injunction against him. The court orally granted the Commission's motion for the entry of final judgment by default against Herula on October 10, 2002, and issued a written memorandum and order against him on October 17, 2002, permanently enjoining Herula from future violations of the antifraud provisions of the federal securities laws [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 memorandum and order, the court found that Herula made intentional misrepresentations to investors, including misrepresenting the nature of an investment program, its overall risk and the status of funds. Herula was also found to have sent forged brokerage account statements to an investor's representative and created false documents on stationery of a brokerage firm indicating that an account was frozen when in fact it was never frozen. In addition, the court found that approximately $6 million of investor funds that were transferred to accounts controlled by Herula and his wife were used by them to purchase personal items such as jewelry, art, antiques and real estate. See Litigation Release No. 17800. For further information, please see Litigation Release Numbers 17793 (October 18, 2002) [preliminary injunction and asset freeze against Herula and others in a separate action filed in federal district court in the Northern District of California alleging similar fraudulent scheme]; 17737 (September 19, 2002) [civil contempt hearing against Herula in Rhode Island action]; 17514 (May 13, 2002) [preliminary injunction and asset freeze against Herula and others in Rhode Island action]; 17461 (April 5, 2002) [temporary restraining order and asset freeze against Herula and others in Rhode Island action]. [SEC v. Dennis Herula, et al., USDC, District of Rhode Island, C.A. No. 02 154 ML] (LR-17800) SEC OBTAINS JUDGMENTS IN SEC v. EMSANET The Commission announced that the Honorable Arthur D. Spatt, United States District Judge for the Eastern District of New York, entered final judgments against Stefan Abel, Emsanet Internet Services, Inc., Peter Restivo, Inc. d/b/a U.S. Funding, Peter C. Restivo, Nicola A. Liantonio, Jr. and Cesare J. Iori, Jr. The judgments permanently enjoin them from further violations of the registration and antifraud provisions of the federal securities laws (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 additionally enjoin U.S. Funding, Restivo, Liantonio and Iori from acting as unregistered brokers (Section 15(a) of the Exchange Act). The judgments also order the Defendants to disgorge the following illicit profits: Abel and Emsanet, jointly, $2,805,265 plus $536,448 in prejudgment interest; U.S. Funding, $465,000 plus $88,921.63 in prejudgment interest; and Restivo, Liantonio and Iori each, $155,000 plus $29,640.54 in prejudgment interest. Finally, the judgments order the Defendants to pay the following civil penalties: Abel and Emsanet, jointly, $100,000; U.S. Funding, $465,000; and Restivo, Liantonio and Iori each, $155,000. The Commission's complaint, filed on January 24, 2002, charged that Emsanet and its President, Abel, hired U.S. Funding, an unregistered broker-dealer, to sell shares of Emsanet stock in an unregistered private placement offering, and that Abel, Emsanet, U.S. Funding and its principles, Restivo, Liantonio and Iori, made materially false and misleading statements to investors in connection with the offer and sale of shares of Emsanet stock. The Defendants consented to the judgments without admitting or denying the allegations in the Commission's complaint. [SEC v. Emsanet Internet Services, Inc., Stefan Abel, Peter Restivo, Inc. d/b/a U.S. Funding, Peter C. Restivo, Nicola A. Liantonio, Jr., and Cesare J. Iori, Jr., CV 02-532, ADS, EDNY] (LR- 17801) ORDER SETTING DISGORGEMENT, PREJUDGMENT INTEREST AND CIVIL PENALTIES ISSUED AGAINST GEORGIA INVESTMENT ADVISER AND ITS CONTROLLING SHAREHOLDER AS A RESULT OF FRAUDULENT ACTIVITIES, AND ORDER SETTING DISGORGEMENT AND PREJUDGMENT INTEREST ISSUED AGAINST RELIEF DEFENDANT The Commission announced today that on Oct. 16 the Honorable Robert L. Vining of the United States District Court for the Northern District of Georgia issued an order setting disgorgement, prejudgment interest and civil penalties against defendants John Raymond Linney Clain (Clain) and his investment adviser firm, Saint James Asset Management, Inc. (St. James), both of Alpharetta, Georgia, and ordered disgorgement and prejudgment interest against relief defendant Clain Family Corporation (CFC), a corporation controlled by Clain. In an earlier order, the Court permanently enjoined permanently enjoined Clain and Saint James 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 Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. In its recent order, the Court ordered Clain and St. James to pay disgorgement, jointly and severally in the amount of $927,000, along with prejudgment interest thereon, ordered Clain and St. James to pay "third tier" statutory civil penalties in the amounts of $110,000 and $550,000 respectively. The Court also ordered CFC to pay disgorgement in the amount of $32,000 along with prejudgment interest thereon. The Court's Order directed that disgorgement, prejudgment interest and civil penalties be paid into the registry of the Court within thirty days from the entry of the Order. The Commission's complaint alleged that Clain and Saint James obtained the funds from sixteen clients between January 1998 and October 2000 by misrepresenting that the clients' money would be used to purchase various securities. Without the clients' knowledge or permission, Clain used the money primarily to fund the operations for an Augusta, Georgia company in which Clain had an interest, Alternate Energy Resources, Inc. The complaint also alleged that Clain used misappropriated funds to purchase two cars and a diamond ring, and to pay the mortgage on his house. Clain Family Corporation, which is controlled by Clain, owns one of the cars. The complaint also alleged that the defendants' misconduct included providing clients with materially false and misleading periodic account statements that represented falsely that they had bought specific securities for the clients, when in fact they had not. [SEC v. Saint James Asset Management, Inc. and John Raymond Linney Clain, Defendants and Clain Family Corporation, Relief Defendant, Civil Action File No. 1:02-CV-426, N.D. Ga.] (LR-17802) DC COURT BARS DAMATO AND ENJOINS FURTHER SECURITIES VIOLATIONS On Oct. 22, the District Court permanently enjoined Anthony M. Damato, the former president and CEO of Eagle Building Technologies, Inc., Boca Raton, Florida, from violating Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 12b-20, 13b2-1, and 13b2-2, and aiding and abetting Eagle Building's violations of Section 13(a) and 13(b)(2) of the Exchange Act and Rules 13a-1 and 13a-13 in connection with Damato's creation of false purchase orders and bank records which he provided to accountants to inflate revenues reported in Eagle Building's annual and quarterly reports filed with the SEC, and false press releases distributed to the public regarding the company's marketing of products to combat terrorism after September 11. The court also barred Damato from acting as an officer or director of any public company. Damato consented without admitting or denying the allegations of the Commission's complaint, which was filed on March 1, 2002. Issues relating to disgorgement, and civil penalties will be resolved at a later hearing. Previously on May 20, 2002, the court permanently enjoined Eagle Building from violating Sections 10(b), 13(a), and 13(b)(2) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-13, and 13b2-1, based on the consent of the company in which it neither admitted nor denied the allegations of the complaint. [SEC v. Eagle Building Technologies, Inc., et al., Civil Action No. 1:02CV00397 ESH, USDC, DDC] (LR-17803) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Boston Stock Exchange filed a proposed rule change (SR-BSE-2002-04) to amend its Minor Rule Violation Plan. Publication of the notice in the Federal Register is expected during the week of Oct. 28. (Rel. 34- 46705) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2002-149) to make permanent Nasdaq's Transaction Credit Pilot Program (Program) for exchange-listed securities and to increase the percentage of revenue available for distribution under the Program from 40% to 50%. Publication of the notice in the Federal Register is expected during the week of Oct. 28. (Rel. 34-46712) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the New York Stock Exchange relating to extension of the pilot with respect to exceptions to NYSE Rule 123(e) for orders in Exchange-Traded Funds (SR-NYSE-2002-48) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of Oct. 28. (Rel. 34-46713) APPROVAL OF PROPOSED RULE CHANGE The Commission granted approval of a proposed rule change (SR-EMCC-2002- 01) filed by the Emerging Markets Clearing Corporation under Section 19(b) of the Securities Exchange Act expanding the types of instruments eligible for processing to include certain corporate debt. Publication of the notice in the Federal Register is expected during the week of Oct. 28. (Rel. 34-46714) 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 FONAR CORP, 110 MARCUS DR, MELVILLE, NY, 11747, 5166942929 - 2,000,000 ($2,180,000.00) Equity, (File 333-100677 - Oct. 23) (BR. 01) S-8 NETPARTS COM, 3131 S W FREEWAY, HOUSTON, TX, 77098, 9492489561 - 2,500,000 ($125,000.00) Debt Convertible into Equity, (File 333-100678 - Oct. 23) (BR. 09) S-8 KNOWLEDGE NETWORKS INC, 24843 DEL PRADO, SUITE 318, DANA POINT, CA, 92629, 9492489561 - 2,500,000 ($125,000.00) Debt Convertible into Equity, (File 333-100679 - Oct. 23) (BR. 03) S-8 APPLIED INNOVATION INC, 5800 INNOVATION DRIVE, DUBLIN, OH, 43017, 6147982000 - 500,000 ($1,205,000.00) Equity, (File 333-100681 - Oct. 23) (BR. 37) S-8 CENTEX CORP, P O BOX 199000, 2728 N HARWOOD, DALLAS, TX, 75201, 214-981-5000 - 0 ($66,870,000.00) Equity, (File 333-100682 - Oct. 23) (BR. 06) S-1 MMCA AUTO RECEIVABLES TRUST II, PO BOX 6038, CYPRESS, CA, 90630-0038, 7142368157 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-100690 - Oct. 23) (BR. 05) S-8 TULARIK INC, TWO CORPORATE DRIVE, SOUTH SAN FRANCISCO, CA, 94080, 6508257300 - 0 ($17,722,089.60) Equity, (File 333-100693 - Oct. 23) (BR. 01) S-8 HARLAND JOHN H CO, 2939 MILLER RD, DECATUR, GA, 30035, 7709819460 - 0 ($1.00) Equity, (File 333-100694 - Oct. 23) (BR. 05) S-3 GMAC COMMERCIAL MORTGAGE SECURITIES INC, 650 DRESHER ROAD HORSHAM, PENNSYLVANIA, PA, 190444, 4108842000 - 0 ($1,000,000.00) Other, (File 333-100695 - Oct. 23) (BR. 05) S-8 OWNERTEL INC, 2870 PEACHTREE ROAD, SUITE 176, ATLANTA, GA, 30305, 4042378605 - 0 ($693,000.00) Equity, (File 333-100696 - Oct. 23) (BR. 37) S-3 EMERGING VISION INC, 100 QUENTIN ROOSEVELT BLVD, SUITE 508, GARDEN CITY, NY, 11530, 6462233600 - 100,000,000 ($4,000,000.00) Equity, (File 333-100697 - Oct. 23) (BR. 02) S-8 IGN ENTERTAINMENT INC, 3240 BAYSHORE BLVD, BRSBANE, CA, 94005, 4155082706 - 0 ($535,500.00) Equity, (File 333-100698 - Oct. 23) (BR. 03) N-2 PIMCO CORPORATE OPPORTUNITY FUND, 1,000 ($15,000.00) Equity, (File 333-100699 - Oct. 23) (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 ----------------------------------------------------------------------------------- 1-800 ATTORNEY INC FL X X 10/21/02 1ST CONSTITUTION BANCORP NJ X X 10/18/02 99 CENTS ONLY STORE CA X 10/22/02 ABERDENE MINES LTD X 10/18/02 ACE HARDWARE CORP DE X 10/23/02 ACTRADE FINANCIAL TECHNOLOGIES LTD DE X X 10/23/02 ADEPT TECHNOLOGY INC DE X X 10/23/02 AGROCAN CORP DE X X 10/02/02 AMEND ALLIED WASTE INDUSTRIES INC DE X 10/22/02 AMERICAN SAFETY INSURANCE GROUP LTD X 10/23/02 AMERICAN TOWER CORP /MA/ DE X X 10/23/02 AMERICREDIT CORP TX X X 10/15/02 AMERIQUEST MORT SEC INC ASSET BK PASS DE X X 10/22/02 AMERIQUEST MORTGAGE SECURITIES INC AS DE X 04/25/02 AMEND AMERIQUEST MORTGAGE SECURITIES INC AS DE X 05/28/02 AMEND ANCONA MINING CORP NV X 10/18/02 AOL TIME WARNER INC DE X X 10/23/02 ATCHISON CASTING CORP KS X X 10/22/02 ATLANTIS PLASTICS INC FL X X 10/08/02 ATWOOD OCEANICS INC TX X X 10/23/02 BANC OF AMERICA COMMERCIAL MORT PASS DE X 10/01/02 BANC ONE HELOC 1999-1 OH X X 10/20/02 BANC ONE HELOC TRUST 1998-1 OH X X 10/20/02 BARBEQUE CAPITAL CORP NV X X 09/26/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 10/01/02 BICO INC/PA PA X 10/23/02 BLACK & DECKER CORP MD X X 10/23/02 BOSTON PROPERTIES INC DE X X 10/23/02 BROWN & BROWN INC FL X 10/23/02 C H ROBINSON WORLDWIDE INC DE X X 10/22/02 CAMDEN MINES LTD NV X 10/18/02 CARBO CERAMICS INC DE X X 10/22/02 CHARTER COMMUNICATIONS HOLDINGS LLC DE X X 10/22/02 CHARTER COMMUNICATIONS INC /MO/ DE X X 10/22/02 CISCO SYSTEMS INC CA X X 10/21/02 CITIBANK SOUTH DAKOTA N A DE X 09/30/02 CITIZENS FINANCIAL SERVICES INC PA X 09/30/02 CLAIMSNET COM INC DE X 10/23/02 CLAIMSNET COM INC DE X 10/23/02 CNB FLORIDA BANCSHARES INC FL X 10/23/02 COMBINED PROFESSIONAL SERVICES INC NV X X 10/22/02 COMMUNITY HEALTH SYSTEMS INC/ DE X X X 10/23/02 CONDUCTUS INC DE X X 10/10/02 CONSOLIDATED GRAPHICS INC /TX/ TX X X 10/23/02 COOPERATIVE BANKSHARES INC NC X X 10/23/02 CORIO INC DE X X 10/22/02 CORPORATE OFFICE PROPERTIES TRUST MD X X 10/23/02 CREDIT SUISSE FIRST BOSTON MORT BACK DE X X 07/25/02 CREDIT SUISSE FIRST BOSTON MORT BACK DE X X 08/26/02 CREDIT SUISSE FIRST BOSTON MORT BACK DE X X 09/25/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 10/23/02 CRITICAL HOME CARE INC NV X X 10/14/02 AMEND CSFB MORTGAGE SEC CORP ABFS MORT LN DE X X 10/15/02 CSFB MORTGAGE SECURITIES PASS THROUGH DE X X 09/25/02 CSFB MORTGAGED BACKED PASS THROUGH CE DE X X 07/25/02 CSFB MORTGAGED BACKED PASS THROUGH CE DE X X 08/26/02 CSFB MORTGAGED BACKED PASS THROUGH CE DE X X 09/25/02 CSS INDUSTRIES INC DE X X 10/18/02 CV THERAPEUTICS INC DE X X 10/22/02 DAYTON SUPERIOR CORP OH X X 10/23/02 DEUTSCHE RECREATIONAL ASSET FUNDING C NV X X 09/30/02 DUPONT E I DE NEMOURS & CO DE X 09/30/02 DYNEGY HOLDINGS INC DE X X 10/23/02 DYNEGY INC /IL/ IL X X 10/23/02 EAGLE SUPPLY GROUP INC DE X X 10/22/02 EDUCATION LENDING GROUP INC DE X 10/18/02 ELECTRONICS BOUTIQUE HOLDINGS CORP DE X 10/23/02 EMERGING VISION INC NY X 10/23/02 EQUITY ONE INC MD X 09/30/02 ERESEARCHTECHNOLOGY INC /DE/ DE X X 10/23/02 EVERTRUST FINANCIAL GROUP INC WA X X 10/23/02 EXCELON CORP DE X X 10/18/02 EXPEDITORS INTERNATIONAL OF WASHINGTO WA X 10/22/02 EXPRESS SCRIPTS INC DE X X X 09/30/02 FAN ENERGY INC NV X 10/22/02 FARNSWORTH BANCORP INC NJ X X 10/22/02 FBR ASSET INVESTMENT CORP/VA VA X 10/22/02 FEDERAL AGRICULTURAL MORTGAGE CORP X X 10/22/02 FGI GROUP INC DE X X 10/17/02 FINDWHAT COM INC NV X X 10/23/02 FIRST AMERICAN CORP CA X X 10/23/02 FIRST HORIZON ASSET SECURITIES INC DE X X 10/22/02 FIRST INDIANA CORP IN X X 10/23/02 FIRST MIDWEST BANCORP INC DE X X 10/23/02 FIRST UNION NATIONAL BANK COM MORT PA NC X 10/01/02 FIRST WASHINGTON FINANCIAL CORP NJ X X 10/21/02 FLEMING COMPANIES INC /OK/ OK X 10/18/02 FLEMING COMPANIES INC /OK/ OK X 10/23/02 FOOTSTAR INC DE X X 10/18/02 GE CAPITAL COMMERCIAL MORT CORP MORT DE X 10/01/02 GENERAL MILLS INC DE X X 10/22/02 GENERAL MILLS INC DE X X 10/22/02 GENERAL MILLS INC DE X X 10/23/02 GENERAL MOTORS CORP DE X 10/07/02 GEVITY HR FL X X 10/23/02 GMAC COMMERCIAL MORTGAGE SECURITIES I DE X 10/01/02 GRAVITAS INTERNATIONAL INC FL X X 10/17/02 GRAVITAS INTERNATIONAL INC FL X X 10/17/02 AMEND GREAT AMERICAN BANCORP INC DE X X 10/22/02 GREATER COMMUNITY BANCORP NJ X 10/21/02 GREATER COMMUNITY BANCORP NJ X 10/22/02 GREENS WORLDWIDE INC AZ X X X X 08/10/02 AMEND HAEMONETICS CORP DE X X 10/22/02 HALL KINION & ASSOCIATES INC DE X X 08/09/02 HERITAGE COMMERCE CORP CA X 10/22/02 HEXCEL CORP /DE/ DE X X 10/23/02 HOTELS COM DE X 10/23/02 IFX CORP DE X X 10/18/02 ILLINOIS POWER CO IL X X 10/09/02 IMAGIS TECHNOLOGIES INC A1 X 10/21/02 INDEPENDENT BANK CORP /MI/ MI X 10/23/02 INTERMAGNETICS GENERAL CORP NY X X 10/21/02 INTERNATIONAL PAPER CO /NEW/ NY X X 10/23/02 JOHNSON & JOHNSON NJ X 10/18/02 JP MORGAN CHASE COM MORT SEC CORP PAS DE X X 10/21/02 JP MORGAN CHASE COMM MOR SEC CORP MOR DE X 10/01/02 KEYSTONE MINES LTD NV X 10/18/02 KEYSTONE PROPERTY TRUST MD X X 09/30/02 KINDRED HEALTHCARE INC DE X X 10/23/02 LECSTAR CORP TX X 01/25/01 AMEND LEHMAN ABS CORP CORP BACKED TRUST CER DE X X 10/23/02 LIFEPOINT HOSPITALS INC DE X X 10/21/02 LUCENT TECHNOLOGIES INC DE X X X 10/17/02 M B A HOLDINGS INC NV X X 10/23/02 MACROPORE INC DE X X X 10/08/02 MADISON BANCSHARES INC FL X 10/22/02 MAJOR AUTOMOTIVE COMPANIES INC NV X 10/22/02 MARIMBA INC DE X 10/22/02 MDU RESOURCES GROUP INC DE X X 10/22/02 MECHANICAL TECHNOLOGY INC NY X 10/23/02 MERITAGE CORP MD X X 10/07/02 AMEND MERRILL LYNCH MORT INV INC COM MRT PA DE X 10/01/02 METROPOLITAN FINANCIAL CORP /OH/ OH X X 10/23/02 MGIC INVESTMENT CORP WI X 10/23/02 MIDWEST BANC HOLDINGS INC DE X X 10/23/02 MINERALS TECHNOLOGIES INC DE X 10/17/02 MONEY STORE COMMERCIAL MORTGAGE INC NJ X X 10/15/02 MONEY STORE INVESTMENT CORP NJ X X 10/15/02 MONEY STORE SBA ADJUSTABLE RATE CERTI NJ X X 10/15/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/17/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X 10/01/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 10/23/02 MRV 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