SEC NEWS DIGEST Issue 2006-184 September 22, 2006 COMMISSION ANNOUNCEMENTS SEC ANNOUNCES ROUNDTABLE PANELISTS FOR FORUM ON SMALL BUSINESS CAPITAL FORMATION The Securities and Exchange Commission announced today the speakers and roundtable panelists for its annual Government-Business Forum on Small Business Capital Formation, to be held on Friday, Sept. 29, 2006, beginning at 9:00 a.m., e.d.t., at its Washington, D.C., headquarters. SEC Chairman Christopher Cox will open the forum with videotaped opening remarks. The agenda includes two roundtable discussions in the morning. The first roundtable, from 9:15 to 10:45 a.m., will discuss the advantages to smaller public companies of using and filing interactive data with the SEC. The second roundtable, from 11:00 a.m. to 12:30 p.m., will discuss current issues in capital raising techniques for small business, such as the status of the initial public offering (IPO) market and private investment in public equity (PIPE) offerings. The morning roundtables will be open to the public and Webcast at www.sec.gov. Peter J. Wallison, Resident Fellow at the American Enterprise Institute and former Counsel to President Ronald Reagan, will give the luncheon address. The address will be taped and archived at www.sec.gov. The afternoon agenda includes sessions for developing recommendations for government and private action to improve the environment for small business capital formation, including a workshop on private placement broker-dealers. Panelists for the interactive data roundtable will include: Greg D. Adams, Director, Chief Operating Officer and Chief Financial Officer, EDGAR Online, Inc. (Norwalk, Conn.) Brian R. Balbirnie, Chief Executive Officer, My EDGAR, Inc. (Cary, N.C.) Malcolm C. Persen, Chief Financial Officer, Radyne Corporation (Phoenix, Ariz.) R. Christopher Whalen, Senior Vice President and Managing Director, Institutional Risk Analytics (Hawthorne, Calif.) John W. White, Director of the Commission's Division of Corporation Finance, will moderate the interactive data roundtable. Panelists for the roundtable on small business capital raising will include: John D. Hogoboom, Member, Lowenstein Sandler PC (Roseland, N.J.) Philip C. Marchal, Director, Equity Capital Markets, BMO Capital Markets (New York, N.Y.) Steven D. Pidgeon, Partner, Snell & Wilmer LLP (Phoenix, Ariz.) Anna T. Pinedo, Partner, Morrison & Foerster LLP (New York, N.Y.) Byron Roth, Chairman and Chief Executive Officer, Roth Capital Partners (Newport Beach, Calif.) Martin P. Dunn, Deputy Director of the Commission's Division of Corporation Finance, and Marc Morgenstern, Partner in the San Francisco office of Sonnenschein Nash & Rosenthal, will co-moderate the small business capital raising roundtable. The morning portion of the forum will be held in the auditorium at the Commission's headquarters at 100 F Street, N.E., Washington, D.C. Doors will open at 8:00 a.m. Visitors will be subject to security checks. For planning purposes, members of the public wishing to attend are asked to notify the Commission by sending an e-mail message to the SEC's Office of Small Business Policy at SmallBusiness@sec.gov or a response in writing to the office at 100 F Street, NE, Washington, DC 20549-3628, or by calling the office at (202) 551-3460. The SEC has posted the forum agenda on its Web site at http://www.sec.gov/info/smallbus/sbforum.shtml, where on-line registration forms and other information also are available. (Press Rel. 2006-157) ENFORCEMENT PROCEEDINGS COMMISSION SUSTAINS CBOE DISCIPLINARY ACTION AGAINST DAVID HO The Commission sustained disciplinary action by the Chicago Board Options Exchange, Inc. (CBOE) against David C. Ho, formerly registered as a market maker. CBOE found that Ho engaged in numerous stock and option trades that were prohibited according to the terms of a 2003 CBOE decision suspending Ho for prior violations. CBOE also found that many of the same trades were improper because Ho entered them after his CBOE registration had lapsed. CBOE found that, by failing to comply with the terms of his suspension and trading in his market- maker account while not registered as a market maker, Ho violated several Exchange rules, including Exchange Rule 4.1, which requires adherence to just and equitable principles of trade. CBOE imposed upon Ho a censure and a $50,000 fine, and suspended him for three years from CBOE membership and association with any CBOE member or member organization. The Commission sustained CBOE's findings of violation and concluded that, under the circumstances of this case, in which the respondent engaged in a "lengthy series of numerous transactions, ignoring sanctions imposed upon him in a decision to which he himself consented," the sanctions CBOE imposed were not excessive. (Rel. 34- 54481; File No. 3-12206) JEFFREY GIBSON BARRED Jeffrey L. Gibson (Gibson) of Chattanooga, Tennessee has been barred from association with any broker-dealer or investment adviser. The sanctions were ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In May 2006 Gibson was enjoined from committing further violations of the antifraud provisions of the securities laws based on misconduct that occurred during 2002 to 2005. Gibson violated the antifraud provisions in connection with his misappropriation of funds he raised from the sale of securities in a limited partnership intended to buy and manage car washes in northern Georgia. (Initial Decision No. 319; File No. 3-12323) IN THE MATTER OF VINCENT MONTAGNA On September 22, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Vincent Montagna (Montagna). The Order finds that since 1997, Montagna has been president and chief executive officer of Quantus Inc., an entity through which he managed Tiburon Asset Management (Tiburon Asset), a purported domestic hedge fund. Since 2000, Montagna has also been president and chief executive officer of Tiburon Investment Management Ltd. (Tiburon Management), an entity through which he managed Tiburon Partners, a purported offshore hedge fund. Montagna, age 34, is a resident of Pennsylvania. The Order further finds that from at least October 2000 through February 2004, acting through Quantus, Inc., and Tiburon Management, Montagna was acting as an investment adviser as defined by Section 202(a)(11) of the Investment Advisers Act, 15 United States Code Section 80b- 2(a)(11). The order further finds that, on June 5, 2006, Montagna pleaded guilty to two counts of fraud upon investment advisory clients in violation of Title 15 United States Code Section 80b-6 and Title 18 United States Code Section 2, before the U.S. District Court for the Southern District of New York, in United States v. Vincent Montagna, Crim. Indictment No. 1:05-CR-0457. The counts of the criminal indictment to which Montagna pleaded guilty alleged, inter alia, that from at least October 2000 through February 2004, Montagna, acting as an investment adviser, entered into side agreements with certain companies in which Tiburon Asset and Tiburon Partners had invested. Pursuant to these side agreements, which he failed to disclose to fund investors, these companies either issued stock to or for the benefit of Montagna or paid for certain of Montagna's personal expenses. Based on the above, the Order bars Montagna from association with any investment adviser. Montagna consented to the issuance of the Order without admitting or denying any of the findings in the Order except that Montagna admitted to the finding that he pleaded guilty in the criminal action. (Rel. IA-2551; File No. 3-12424) SECURITIES LAW RECIDIVIST SENTENCED TO 120 MONTHS IN PRISON AND ORDERED TO PAY $5.5 MILLION IN RESTITUTION FOR HEDGE FUND FRAUD AND STOCK MANIPULATION Co-conspirator Charged Civilly And Awaiting Sentencing On Parallel Criminal Charges The Commission announced today that on September 20 the U.S. District Court for the Southern District of Florida sentenced Anthony F. Giordano to a federal prison term of 120 months and ordered that he pay criminal restitution in the amount of $5.5 million. Giordano, a securities law recidivist living in Boca Raton, Florida, was convicted after pleading guilty to violations of the federal securities and wire fraud laws in connection with his role in a hedge fund fraud and stock manipulation. One of Giordano's co-conspirators, Joseph Y. Zumwalt, is awaiting sentencing after pleading guilty to violations of the mail fraud laws in connection with his role in the hedge fund fraud and. The SEC filed parallel civil fraud charges against both individuals in the same district court. Without admitting or denying the SEC's allegations, Giordano and Zumwalt consented to final judgments permanently enjoining them from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and imposing permanent officer and director and penny stock bars. According to the SEC's allegations, Giordano and Zumwalt's first scheme victimized several investors, including two nonprofit organizations, who lost millions of dollars in a purported hedge fund, EPG Limited Partners, Ltd. Giordano and Zumwalt are allegedly responsible for numerous material misrepresentations and omissions to investors concerning the use of their funds and EPG's purported assets and returns. Giordano and Zumwalt are also alleged to have diverted substantial amounts of investor funds for undisclosed purposes, including personal use. Giordano and Zumwalt's second scheme involved market manipulation of the common stock of Weida Communications, Inc., a publicly-traded company. Giordano and Zumwalt are alleged to have manipulated the market price for Weida common stock to approximately $5 per share, in part to facilitate the sale of Weida stock in private transactions at approximately $3 per share. Hundreds of investors, many elderly and unsophisticated, allegedly paid millions of dollars for Weida common stock at these inflated prices between June 2004 and April 2005. The SEC suspended trading in Weida securities on April 25, 2005. The SEC acknowledges the assistance of the United States Attorney's Office for the Southern District of Florida, Federal Bureau of Investigation and Florida Office of Financial Regulation. The SEC's investigation is continuing. For further information see SEC complaint against Zumwalt. [SEC v. Anthony F. Giordano, Civil Action No. 06- 60033 (Graham, J.; O'Sullivan, M.J.) S.D. Florida; SEC v. Joseph Y. Zumwalt, Civil Action No. 06-61407 (Moreno, J.; Simonton, M.J.) S.D. Florida] (LR-19842) SEC SETTLES CHARGES IN CONNECTION WITH FRAUDULENT PAY TELEPHONE SCAMS On September 8, the Honorable Sam R. Cummings of the U.S. District Court for the Northern District of Texas signed final judgments against defendants Dennis B. Watts and James Nathan Grimes. The judgments permanently enjoin Watts and Grimes from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Watts was found liable for disgorgement of $550,710, representing monies gained as a result of the conduct alleged in the Commission's complaint, and prejudgment interest of $125,420, for a total of $676,130. Grimes was found liable for disgorgement of $156,310, representing monies gained as a result of the conduct alleged in the Commission's complaint, and prejudgment interest of $25,512, for a total of $181,822. The judgments waive payment of disgorgement and prejudgment interest based on the sworn financial statement and other information each defendant submitted to the Commission. The Commission's complaint alleged that the defendants made multiple misrepresentations about the safety and security of investments in pay telephone lease programs offered by Alpha Telcom, Inc., and Phoenix Telecom, L.L.C. The Commission previously filed suit against Alpha Telcom and Phoenix Telecom, obtaining permanent injunctive relief against each issuer to halt their securities offerings. Watts and Grimes consented to the entry of the final judgment without admitting or denying the allegations in the Commission's complaint. In addition, Watts and Grimes consented to the entry of a Commission order barring them from associating with a broker or dealer based on the entry of the final judgment in the civil proceeding. [SEC v. DENNIS WATTS, INDIVIDUALLY AND DBA SENIOR BENEFIT PLANS AND NATHAN JAMES GRIMES, USDC ND/TX, Lubbock Division, Civil Action No. 5-02CV-0109-C] (LR- 19843) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change and Amendment No. 1 thereto by the Chicago Board Options Exchange (SR-CBOE-2005-103) to amend CBOE rules relating to the Electronic Designated Primary Market Maker Program. Publication is expected in the Federal Register during the week of September 25. (Rel. 34-54475) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Boston Stock Exchange (SR-BSE-2006-31) filed proposed rule changes relating to removal of its short sale price test rule. The BSE has not traded a Nasdaq security on the Exchange since or about September of 2004, although it began receiving a nominal amount of specialist traded Nasdaq crossing business in August 2006. In addition, BSE's short sale rule, which only applies to short sales traded by specialists, will be rendered obsolete on Jan. 1, 2007 when BSE begins trading on a fully electronic basis without specialists. The proposed rule changes have become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 25. (Rel. 34-54476) The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2006- 034) relating to the practice of using a fifth character identifier with the symbol of foreign securities, which became effective upon filing with the Commission. Publication is expected in the Federal Register during the week of September 25. (Rel. 34-54477) PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2006-108) has been filed by the National Association of Securities Dealers relating to a new NASD trade reporting facility established in conjunction with the National Stock Exchange. Publication is expected in the Federal Register during the week of September 25. (Rel. 34-54479) 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 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-3 ADUDDELL INDUSTRIES INC, 1601 N.W. EXPRESSWAY, OKLAHOMA CITY, OK, 73118, 405-810-2969 - 886,266 ($602,661.00) Equity, (File 333-137487 - Sep. 21) (BR. 06C) S-1 Boardwalk Pipeline Partners, LP, 3800 FREDERICA STREET, OWENSBORO, KY, 42301, 270-926-8686 - 0 ($154,215,000.00) Other, (File 333-137489 - Sep. 21) (BR. 02) S-3ASR CITIZENS BANKING CORP, 328 SOUTH SAGINAW STREET, FLINT, MI, 48502, 810-766-7500 - 0 ($0.00) Other, (File 333-137490 - Sep. 21) (BR. 07A) S-8 NOVA MEASURING INSTRUMENTS LTD, PO BOX 266, 011-972-8-938-7505, REHOVOT ISRAEL, L3, 76100, 250,000 ($492,500.00) Other, (File 333-137491 - Sep. 21) (BR. 10B) S-8 AMERICANA PUBLISHING INC, 303 SAN MATEO NE, SUITE 104A, ALBUQUERQUE, NM, 87108, 5052656121 - 125,000,000 ($62,500.00) Equity, (File 333-137492 - Sep. 21) (BR. 05A) SB-2 MEDISTEM LABORATORIES, INC., 2027 E. CEDAR ST., TEMPE, AZ, 85281, (954) 727-3662 - 51,742,813 ($10,865,990.73) Equity, (File 333-137493 - Sep. 21) (BR. 09B) S-3 Permanent Funding (No. 2) LTD, 35 GREAT SAINT HELEN'S, LONDON, X0, EC3A 6AP, 44 20 7398 6300 - 6,000,000,000 ($6,000,000,000.00) Asset-Backed Securities, (File 333-137495 - Sep. 21) (BR. 05) S-3 PROSPECT MEDICAL HOLDINGS INC, 6083 BRISTOL PARKWAY, SUITE 100, CULVER CITY, CA, 90230, 310-338-8677 - 0 ($6,068,752.80) Equity, (File 333-137496 - Sep. 21) (BR. 01) S-8 PATTERSON COMPANIES, INC., 1031 MENDOTA HEIGHTS RD, ST PAUL, MN, 55120-1401, 6516861600 - 2,000,000 ($64,640,000.00) Equity, (File 333-137497 - Sep. 21) (BR. 09B) S-8 THOMAS GROUP INC, 5221 N OCONNOR BLVD STE 500, IRVING, TX, 75039, 9728693400 - 0 ($10,360,000.00) Equity, (File 333-137498 - Sep. 21) (BR. 08C) S-8 CARBO CERAMICS INC, 2144010090 - 0 ($3,828,000.00) Equity, (File 333-137499 - Sep. 21) (BR. 06B) S-1 AHPC Holdings, Inc., 500 PARK BLVD, STE 1260, ITASCA, IL, 60143, 6302859191 - 0 ($5,606,993.92) Equity, (File 333-137500 - Sep. 21) (BR. 02C) S-8 CAPITAL LEASE FUNDING INC, 1065 AVENUE OF THE AMERICAS, 19TH FLOOR, NEW YORK, NY, 10018, 2122176300 - 1,348,000 ($15,131,300.00) Equity, (File 333-137501 - Sep. 21) (BR. 08C) S-8 Riverbed Technology, Inc., 501 SECOND STREET, SAN FRANCISCO, CA, 94107, (415) 247-8800 - 0 ($115,907,873.25) Equity, (File 333-137502 - Sep. 21) (BR. 03A) SB-2 AspenBio Pharma, Inc., 1585 S. PERRY STREET, CASTLE ROCK, CO, 80104, (303) 794-2000 - 20,182,750 ($30,475,952.00) Equity, (File 333-137504 - Sep. 21) (BR. 01C) S-8 Warner Chilcott Ltd, 22 VICTORIA ST, CANONS COURT, HAMILTON HM 12 BERMUDA, D0, 00000, 441-295-2244 - 0 ($153,712,632.00) Equity, (File 333-137505 - Sep. 21) (BR. 01) S-4 NYSE Euronext, Inc., 11 WALL STREET, NEW YORK, NY, 10005, 212-656-3000 - 0 ($17,022,570,965.00) Equity, (File 333-137506 - Sep. 21) (BR. ) S-1 ST FRANCIS MEDICAL TECHNOLOGIES INC, 969 ATLANTA AVE, SUITE 102, ALAMEDA, CA, 9450, 510-337-2600 - 0 ($86,250,000.00) Equity, (File 333-137507 - Sep. 21) (BR. ) S-8 Hill International, Inc., 303 LIPPINCOTT CENTRE, MARLTON, NJ, 08053, (856) 810-6200 - 1,000,000 ($5,780,000.00) Equity, (File 333-137512 - Sep. 21) (BR. 06) S-1 NewStar Financial, Inc., 500 BOYLSTON STREET, SUITE 1600, BOSTON, MA, 02116, 617 848-2500 - 0 ($100,000,000.00) Equity, (File 333-137513 - Sep. 21) (BR. ) S-8 SBT Bancorp, Inc., 760 HOPMEADOW STREET, P.O. BOX 248, SIMSBURY, CT, 06070, 860-408-5493 - 142,000 ($4,402,000.00) Equity, (File 333-137514 - Sep. 21) (BR. 05) S-4 Juniper Partners Acquisition Corp., 56 WEST 45TH STREET, SUITE 805, NEW YORK, NY, 10036, (212) 398-3112 - 0 ($11,264,018.69) Equity, (File 333-137515 - Sep. 21) (BR. 09) S-8 IRON STAR DEVELOPMENT, INC., 41-40 UNION STREET, SUITE 6J, FLUSHING, NY, 11355, 718-359-2682 - 10,000 ($10,007,000.00) Equity, (File 333-137516 - Sep. 21) (BR. 09A) S-8 TBS INTERNATIONAL LTD, COMMERCE BLDG, CHANCERY LANE, HAMILTON BERMUDA, D0, 00000, 4412959230 - 20,000,000 ($15,120,000.00) Equity, (File 333-137517 - Sep. 21) (BR. 05B) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 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 DATE COMMENT 3COM CORP DE 2.02,9.01 09/21/06 3M CO DE 8.01,9.01 09/21/06 ACCESS PHARMACEUTICALS INC DE 4.01 09/21/06 ACORDA THERAPEUTICS INC 8.01 09/15/06 ACRO INC. NV 8.01 09/21/06 ACTIVECORE TECHNOLOGIES INC NV 5.02 09/15/06 ADAGIO ACQUISITION I, INC 1.01,9.01 09/20/06 ADDVANTAGE TECHNOLOGIES GROUP INC OK 7.01,9.01 09/19/06 AF FINANCIAL GROUP 2.02,9.01 09/20/06 AGILENT TECHNOLOGIES INC DE 8.01,9.01 09/20/06 AIRSPAN NETWORKS INC WA 1.01,9.01 09/08/06 AKORN INC LA 3.02 09/15/06 AKSYS LTD DE 1.01,5.02,9.01 09/16/06 ALASKA AIR GROUP INC DE 7.01,8.01 09/21/06 ALBEMARLE CORP VA 8.01,9.01 09/20/06 ALCO, INC. NV 4.02 09/14/06 AMEND ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/21/06 ALLIANCE FINANCIAL CORP /NY/ NY 8.01,9.01 09/20/06 ALLOY STEEL INTERNATIONAL INC 4.01,9.01 09/18/06 AMERICAN BILTRITE INC DE 8.01,9.01 09/15/06 AMERICAN ECOLOGY CORP DE 7.01 09/20/06 AMERICAN RIVER BANKSHARES CA 8.01,9.01 09/20/06 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.02 09/19/06 Ameris Bancorp GA 1.01,2.03,2.04,9.01 09/20/06 AMREP CORP OK 1.01,5.03 09/20/06 AMREP CORP OK 1.01,2.03,9.01 09/18/06 AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 09/21/06 APOGEE ENTERPRISES INC MN 2.02,9.01 09/20/06 ARCH COAL INC DE 7.01,9.01 09/21/06 ARGO TECH CORP DE 5.02 09/15/06 ASSET ACCEPTANCE CAPITAL CORP 1.01,9.01 05/16/06 ASTRO MED INC /NEW/ RI 2.01,9.01 09/19/06 AUTOLIV INC DE 2.02 09/21/06 AVANT IMMUNOTHERAPEUTICS INC DE 7.01,9.01 09/20/06 AXCESS INTERNATIONAL INC/TX DE 7.01,9.01 09/21/06 BANK OF SOUTH CAROLINA CORP SC 8.01 09/21/06 Banner Resources Inc. NV 8.01 09/15/06 BCAP LLC Trust 2006-AA1 8.01,9.01 08/31/06 AMEND BEAR STEARNS COMPANIES INC DE 8.01,9.01 08/31/06 BED BATH & BEYOND INC NY 2.02,8.01,9.01 09/20/06 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 7.01,9.01 09/21/06 BELDEN CDT INC. DE 2.05,2.06 09/19/06 BELLACASA PRODUCTIONS INC NV 1.01,9.01 09/15/06 BERKSHIRE HATHAWAY INC DE 8.01 09/20/06 BETTER BIODIESEL, INC 1.01,5.03,9.01 09/20/06 Bidz.com, Inc. CA 8.01,9.01 09/20/06 BigString CORP DE 5.02,9.01 09/18/06 BioMETRX DE 1.01,3.02,9.01 09/18/06 BJs RESTAURANTS INC CA 8.01,9.01 09/19/06 BLUE COAT SYSTEMS INC DE 3.01,9.01 09/19/06 BLUE HOLDINGS, INC. NV 1.01,9.01 09/15/06 BOOKHAM, INC. DE 3.02,8.01,9.01 09/19/06 BRADLEY PHARMACEUTICALS INC DE 8.01,9.01 09/21/06 BRANDYWINE OPERATING PARTNERSHIP LP / DE 5.02 09/18/06 BRANDYWINE OPERATING PARTNERSHIP LP / DE 5.02,7.01,9.01 09/18/06 AMEND BRANDYWINE REALTY TRUST MD 5.02 09/18/06 BRANDYWINE REALTY TRUST MD 5.02,7.01,9.01 09/18/06 AMEND BREK ENERGY CORP NV 1.01,8.01,9.01 09/20/06 BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 09/21/06 BROOKE CORP KS 2.03,9.01 09/15/06 BSD MEDICAL CORP DE 7.01,9.01 09/21/06 BUCA INC /MN MN 1.01,9.01 09/15/06 CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 09/21/06 CALIFORNIA MICRO DEVICES CORP CA 3.03,5.03,9.01 09/15/06 CAPITAL CORP OF THE WEST CA 8.01,9.01 09/19/06 CARNIVAL CORP DE 2.02,9.01 09/21/06 CASH AMERICA INTERNATIONAL INC TX 1.01,2.01,2.03,7.01,9.01 09/15/06 CBRL GROUP INC TN 7.01,9.01 09/21/06 CENTEX CORP NV 1.01,5.02,9.01 09/18/06 CentraCore Properties Trust MD 1.01,9.01 09/19/06 CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,9.01 09/21/06 CENTRAL FREIGHT LINES INC NV 1.01,7.01,8.01,9.01 09/20/06 CERAGENIX PHARMACEUTICALS, INC. DE 7.01,9.01 09/20/06 CFS BANCORP INC IN 7.01,9.01 09/21/06 CHANNELL COMMERCIAL CORP DE 1.01,9.01 08/25/06 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 09/19/06 China Industrial Waste Management Inc NV 8.01 09/14/06 CHINA PHARMA HOLDINGS, INC. DE 2.02,9.01 09/06/06 CHINA PROPERTIES DEVELOPMENTS INC 8.01 09/18/06 CHINDEX INTERNATIONAL INC DE 1.01 09/12/06 CIMAREX ENERGY CO DE 7.01,9.01 09/21/06 CINTAS CORP WA 2.02,9.01 09/20/06 CISCO SYSTEMS INC CA 1.01,7.01 09/18/06 CIT Education Loan Trust 2005-1 DE 8.01,9.01 08/31/05 AMEND CIT Education Loan Trust 2005-1 DE 8.01,9.01 11/30/05 AMEND CIT GROUP INC DE 8.01,9.01 09/19/06 CITADEL BROADCASTING CORP DE 8.01 09/15/06 CITIZENS BANKING CORP MI 8.01 09/20/06 CKE RESTAURANTS INC DE 2.02,9.01 09/19/06 Coastal Bancshares Acquisition Corp. TX 8.01,9.01 05/03/06 COFFEE PACIFICA INC NV 5.02,9.01 09/09/06 COGNOS INC CA 2.02,9.01 09/21/06 COGNOS INC CA 7.01,9.01 09/21/06 COLLEGIATE PACIFIC INC DE 1.01,2.02,9.01 09/20/06 COMMAND SECURITY CORP NY 5.03,9.01 09/20/06 COMMODORE APPLIED TECHNOLOGIES INC DE 7.01,9.01 08/28/06 CONAGRA FOODS INC /DE/ DE 2.02,9.01 09/21/06 CONCORD CAMERA CORP NJ 1.01,9.01 09/15/06 CONSOLIDATED CONTAINER CO LLC DE 8.01 09/13/06 CRIMSON EXPLORATION INC. TX 8.01,9.01 09/19/06 CRITICAL PATH INC CA 4.01,9.01 09/15/06 CYANOTECH CORP NV 3.03,8.01,9.01 09/21/06 CYCLE COUNTRY ACCESSORIES CORP NV 5.02,8.01,9.01 09/18/06 DAVE & BUSTERS INC MO 5.02 09/20/06 DELL INC DE 1.01,3.01,5.02,8.01,9.01 09/15/06 DITECH NETWORKS INC DE 1.01,9.01 09/15/06 Dividend Capital Total Realty Trust I MD 8.01,9.01 09/21/06 DOCUCORP INTERNATIONAL INC DE 2.02,9.01 09/21/06 DOLLAR GENERAL CORP TN 7.01,9.01 09/21/06 Duke Energy CORP DE 5.02,9.01 09/15/06 DYNABAZAAR INC DE 8.01 09/15/06 DYNAMEX INC DE 7.01,9.01 09/20/06 DYNAMEX INC DE 7.01,9.01 09/20/06 AMEND EARTH BIOFUELS INC DE 1.01,9.01 09/08/06 EARTH PRODUCTS & TECHNOLOGIES INC NV 5.06,9.01 09/15/06 EASYLINK SERVICES CORP DE 8.01,9.01 09/21/06 EDUCATION LOANS INC /DE DE 8.01,9.01 09/20/06 EDWARDS A G INC DE 8.01 09/21/06 ELECTROGLAS INC DE 2.02,9.01 09/21/06 EMMIS COMMUNICATIONS CORP IN 8.01,9.01 09/21/06 Energy Transfer Partners, L.P. DE 8.01,9.01 09/20/06 ENZO BIOCHEM INC NY 1.01,9.01 09/15/06 EPICUS COMMUNICATIONS GROUP INC FL 5.02 09/21/06 EPIX Pharmaceuticals, Inc. 7.01,8.01,9.01 09/21/06 EQUITY INNS INC TN 1.01,2.03,9.01 09/21/06 ESSEX CORP VA 1.01,9.01 09/19/06 ETHANEX ENERGY, INC. NV 1.01,9.01 09/21/06 EVERGREENBANCORP INC WA 8.01,9.01 09/18/06 EXELON CORP PA 1.01,2.03,9.01 09/19/06 FAIRCHILD CORP DE 8.01,9.01 09/21/06 FBO AIR, INC. NV 3.02,5.02,9.01 09/15/06 Federal Home Loan Bank of Atlanta X1 2.03 09/18/06 Federal Home Loan Bank of Boston X1 2.03 09/18/06 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/18/06 Federal Home Loan Bank of Dallas 2.03 09/18/06 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/18/06 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/18/06 Federal Home Loan Bank of New York X1 2.03,9.01 09/18/06 Federal Home Loan Bank of New York X1 8.01,9.01 09/21/06 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/18/06 Federal Home Loan Bank of San Francis X1 2.03 09/18/06 Federal Home Loan Bank of Seattle 2.03 09/21/06 Federal Home Loan Bank of Topeka 2.03 09/18/06 FEDEX CORP DE 2.02,9.01 09/21/06 FEI CO OR 1.01 09/15/06 FGBC Bancshares, Inc. GA 8.01,9.01 09/21/06 FINISH LINE INC /IN/ IN 2.02,9.01 09/21/06 FIRST BUSEY CORP /NV/ NV 1.01,7.01,9.01 09/20/06 FIRST NATIONAL LINCOLN CORP /ME/ ME 8.01 09/21/06 FIRSTFED FINANCIAL CORP DE 7.01,9.01 08/31/06 FISHER SCIENTIFIC INTERNATIONAL INC DE 1.01,9.01 09/20/06 FLOW INTERNATIONAL CORP WA 3.01,9.01 09/19/06 FLYI INC DE 7.01 09/19/06 FMC CORP DE 7.01,9.01 09/21/06 FORCE PROTECTION INC NV 5.02 09/18/06 FUSHI INTERNATIONAL INC NV 8.01 09/21/06 GA Computer Sciences Inc. NV 1.01,9.01 09/18/06 GASCO ENERGY INC NV 1.01,8.01,9.01 09/20/06 GE Capital Credit Card Master Note Tr DE 8.01,9.01 09/21/06 AMEND GENERAL MILLS INC DE 2.02,9.01 09/21/06 GENTA INC DE/ DE 9.01 09/19/06 GEO GROUP INC FL 1.01,9.01 09/19/06 GEO GROUP INC FL 8.01 09/18/06 GEORGIA GULF CORP /DE/ DE 1.01,2.03,9.01 09/18/06 GERMAN AMERICAN BANCORP, INC. IN 1.01,2.03 09/20/06 GEVITY HR INC FL 5.02,9.01 09/21/06 GIBRALTAR INDUSTRIES, INC. DE 7.01,9.01 09/21/06 AMEND GLOBALSANTAFE CORP 1.01,5.02,9.01 09/18/06 GMACM Home Equity Loan Trust 2006-HE4 DE 8.01,9.01 09/21/06 GMH Communities Trust MD 1.01 09/15/06 Gold Kist Inc. DE 1.01 09/20/06 GOLDEN ENTERPRISES INC DE 8.01,9.01 09/21/06 GRAHAM CORP DE 1.01,9.01 09/20/06 GRANITE CONSTRUCTION INC DE 2.02,9.01 09/20/06 GREAT LAKES DREDGE & DOCK CORP DE 8.01,9.01 09/19/06 Greenville Federal Financial CORP 1.01,9.01 09/19/06 GSV INC DE 1.01 09/20/06 Halo Technology Holdings, Inc. NV 1.01,3.02,9.01 09/15/06 Hana Biosciences Inc DE 8.01,9.01 09/18/06 HARRIS CORP /DE/ DE 8.01 09/15/06 HEALTHCARE SERVICES GROUP INC PA 1.01,3.02,9.01 09/18/06 HERCULES INC DE 3.01 09/21/06 HEWLETT PACKARD CO DE 1.01,7.01,8.01,9.01 09/16/06 Home Equity Loan Trust 2006-HSA5 DE 8.01,9.01 09/21/06 HOOPER HOLMES INC NY 8.01 09/20/06 HOSPIRA INC DE 7.01,9.01 09/20/06 HOSPIRA INC DE 1.01,9.01 09/20/06 HOUSE OF BRUSSELS CHOCOLATES INC NV 5.02,8.01 09/15/06 Hughes Communications, Inc. DE 8.01,9.01 09/21/06 ICO INC TX 1.01,9.01 09/20/06 IHS Inc. DE 1.01,1.02,5.02,9.01 09/18/06 IHS Inc. DE 2.02,9.01 09/21/06 IMCLONE SYSTEMS INC DE 5.03,8.01,9.01 09/20/06 INCYTE CORP DE 8.01,9.01 09/20/06 INDEPENDENT BANK CORP MI 8.01 09/21/06 IndyMac Home Equity Loan Asset-Backed 8.01,9.01 09/14/06 INFRASOURCE SERVICES INC DE 7.01,9.01 09/21/06 INTEGRATED BIOPHARMA INC DE 2.02,9.01 09/21/06 Intersearch Group Inc FL 2.01 09/15/06 INTRAWARE INC DE 4.01,9.01 09/18/06 INVESTOOLS INC DE 7.01,9.01 09/20/06 IRONCLAD PERFORMANCE WEAR CORP 1.01,2.03,9.01 09/15/06 ITEC ENVIRONMENTAL GROUP INC DE 1.01,1.02,5.02,8.01,9.01 07/27/06 AMEND IVAX DIAGNOSTICS INC DE 1.01 09/19/06 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 09/21/06 JDS UNIPHASE CORP /CA/ DE 1.01 09/15/06 JETBLUE AIRWAYS CORP DE 7.01,9.01 09/21/06 JMAR TECHNOLOGIES INC DE 1.01 09/21/06 KEANE, INC. MA 5.02 09/15/06 KIMCO REALTY CORP MD 8.01,9.01 09/20/06 KIWA BIO-TECH PRODUCTS GROUP CORP DE 5.02 09/18/06 KYPHON INC DE 1.01,5.02,8.01,9.01 09/18/06 L-1 IDENTITY SOLUTIONS, INC. DE 1.01,9.01 09/15/06 LEAR CORP DE 7.01,9.01 09/21/06 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01 09/19/06 LESLIES POOLMART INC DE 5.02 09/19/06 LEVITT CORP FL 2.03 09/15/06 Long Beach Mortgage Loan Trust 2006-8 DE 6.01 09/21/06 LONG BEACH SECURITIES CORP DE 9.01 09/21/06 LQ CORP INC DE 8.01 09/15/06 LTV CORP DE 8.01,9.01 09/21/06 MAIN STREET TRUST INC IL 1.01,7.01,9.01 09/20/06 MANGAPETS, INC. DE 8.01 09/20/06 MANGAPETS, INC. DE 8.01 09/20/06 MATERIAL TECHNOLOGIES INC /CA/ DE 9.01 08/18/06 MATTEL INC /DE/ DE 5.03,9.01 09/21/06 MAX RE CAPITAL LTD 8.01,9.01 09/19/06 MCG CAPITAL CORP DE 8.01 09/21/06 MEDIVATION, INC. DE 8.01,9.01 09/21/06 MEDIVATION, INC. DE 8.01 09/21/06 MEDQUIST INC NJ 5.02 08/10/06 AMEND METROLOGIC INSTRUMENTS INC NJ 8.01 09/15/06 METROLOGIC INSTRUMENTS INC NJ 1.01,9.01 09/19/06 MEXORO MINERALS LTD CO 1.01,9.01 08/31/06 MFRI INC DE 1.01,2.03,9.01 09/18/06 MGP INGREDIENTS INC KS 7.01 09/20/06 MICROISLET INC NV 7.01,9.01 09/21/06 MICROSTRATEGY INC DE 8.01,9.01 09/14/06 MILACRON INC DE 8.01,9.01 09/15/06 MILLS CORP DE 8.01,9.01 09/20/06 MOBILEPRO CORP DE 1.01,5.02,9.01 09/21/06 MONTEREY GOURMET FOODS DE 1.01,5.02,9.01 09/05/06 AMEND MORGAN STANLEY CHARTER MILLBURN LP DE 1.02 09/15/06 MORGAN STANLEY CHARTER MSFCM LP DE 1.02 09/15/06 MORGAN STANLEY DIVERSIFIED FUTURES FU DE 1.02 09/15/06 MORGAN STANLEY DIVERSIFIED FUTURES FU DE 1.02 09/15/06 MURRAY UNITED DEVELOPMENT CORP DE 2.03 09/20/06 NABORS INDUSTRIES LTD D0 8.01,9.01 09/21/06 NAPSTER INC DE 8.01,9.01 09/18/06 NATIONAL BANCSHARES CORP /OH/ OH 5.02,9.01 09/21/06 NATROL INC DE 5.02 09/15/06 NATROL INC DE 1.01,5.02 09/15/06 NAVISTAR INTERNATIONAL CORP DE 1.01,5.02,9.01 09/21/06 NELNET INC NE 8.01 09/20/06 NeoStem, Inc. DE 8.01 09/07/06 NEPHROS INC DE 5.02 09/15/06 NEW WORLD BRANDS INC DE 2.01,3.02,4.01,5.01, 09/15/06 5.02,7.01,9.01 NewGen Technologies, Inc NV 1.01,2.03,3.02,9.01 09/18/06 NIKE INC OR 1.01,9.01 09/20/06 NIKE INC OR 2.02,9.01 09/21/06 NIKE INC OR 8.01 09/21/06 NOVADEL PHARMA INC DE 5.02,9.01 09/21/06 NUCO2 INC /FL FL 1.01,8.01,9.01 09/19/06 NUCRYST Pharmaceuticals Corp. A0 8.01,9.01 09/20/06 OCEAN WEST HOLDING CORP DE 3.02,5.03,9.01 09/07/06 OSI PHARMACEUTICALS INC DE 8.01,9.01 09/21/06 OXIS INTERNATIONAL INC DE 2.04,5.02,9.01 09/15/06 PACIFIC CONTINENTAL CORP OR 5.02,9.01 09/20/06 PALATIN TECHNOLOGIES INC DE 1.01 09/19/06 PALM INC DE 2.02,9.01 09/21/06 PAN PACIFIC RETAIL PROPERTIES INC MD 8.01,9.01 09/20/06 Patriot Capital Funding, Inc. DE 1.01,9.01 09/18/06 PENN NATIONAL GAMING INC PA 1.01,9.01 09/18/06 PEOPLES BANCTRUST CO INC AL 5.02,5.03,9.01 09/19/06 PHI INC LA 8.01,9.01 09/20/06 PONIARD PHARMACEUTICALS, INC. WA 1.01,2.01,9.01 09/18/06 POPULAR INC 5.05,9.01 09/15/06 POTLATCH CORP DE 1.01,9.01 09/15/06 POZEN INC /NC 7.01,8.01,9.01 09/21/06 PRECISION OPTICS CORPORATION INC MA 5.02,9.01 09/15/06 PREMIER EXHIBITIONS, INC. 1.01,9.01 09/20/06 PRESSTEK INC /DE/ DE 1.01 08/02/06 AMEND Prestige Brands Holdings, Inc. 1.01 09/18/06 PRICELINE COM INC DE 7.01,8.01,9.01 09/21/06 PRIDE INTERNATIONAL INC DE 1.01,5.02,9.01 09/15/06 Probe Manufacturing Inc NV 1.01 09/21/06 PROSPERITY BANCSHARES INC TX 1.01,9.01 09/19/06 PRUDENTIAL BANCORP INC OF PENNSYLVANI 7.01,9.01 09/21/06 PURE BIOFUELS CORP NV 7.01,9.01 09/15/06 RALI Series 2006-QS11 Trust DE 8.01,9.01 09/21/06 AMEND RARE HOSPITALITY INTERNATIONAL INC GA 7.01,9.01 09/21/06 RENT WAY INC PA 8.01,9.01 09/21/06 Rim Semiconductor CO UT 5.02 09/15/06 RITE AID CORP DE 2.02,9.01 09/21/06 ROTECH HEALTHCARE INC DE 5.02 09/19/06 SABRE HOLDINGS CORP DE 5.02,7.01,9.01 09/15/06 SAKS INC TN 1.01,1.02,9.01 09/15/06 SATCON TECHNOLOGY CORP DE 5.03,9.01 09/19/06 SAVE THE WORLD AIR INC NV 1.01,9.01 09/15/06 SBA COMMUNICATIONS CORP FL 1.01 09/18/06 SCHOLASTIC CORP DE 2.02,9.01 09/21/06 SCIELE PHARMA, INC. DE 1.01,1.02,2.03,9.01 09/18/06 SEAGATE TECHNOLOGY E9 1.01,1.02,2.03,2.04,8.01,9.01 09/19/06 SELECT COMFORT CORP 7.01,9.01 09/21/06 SEVERN BANCORP INC MD 7.01,9.01 09/21/06 SIGMA DESIGNS INC CA 2.02,3.01,4.02,9.01 09/21/06 SILICON LABORATORIES INC DE 7.01,9.01 09/20/06 SIMPLAGENE USA INC NV 5.03,9.01 09/15/06 SIPEX CORP DE 2.02,9.01 09/21/06 SoftNet Technology Corp. NV 1.02,7.01,8.01,9.01 08/02/06 Soundview Home Loan Trust 2006-3 9.01 09/21/06 SOUTHRIDGE ENTERPRISES INC. 7.01 09/20/06 SOUTHSIDE BANCSHARES INC TX 5.02 09/20/06 SPARTAN STORES INC MI 1.01,9.01 09/18/06 STALLION GROUP NV 8.01,9.01 08/10/06 STEELCLOUD INC VA 1.01,9.01 09/18/06 STELLENT INC MN 1.01,9.01 09/15/06 STERLING CONSTRUCTION CO INC DE 7.01,9.01 09/21/06 STERLING FINANCIAL CORP /WA/ WA 1.01,2.03,9.01 09/20/06 STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 09/18/06 AMEND STEWART ENTERPRISES INC LA 8.01,9.01 09/21/06 Storm Cat Energy CORP 1.01,3.02,8.01,9.01 09/15/06 SUPERCLICK INC WA 7.01,9.01 09/15/06 SURMODICS INC MN 1.01,8.01,9.01 09/15/06 Swank, Inc. DE 3.02,9.01 09/19/06 SYNNEX CORP DE 2.02,9.01 09/21/06 Synovics Pharmaceuticals NV 5.03,9.01 09/20/06 Synovics Pharmaceuticals NV 5.02,9.01 09/15/06 SYSTEMAX INC DE 5.02,9.01 09/20/06 TAKE TWO INTERACTIVE SOFTWARE INC DE 3.01,9.01 09/19/06 TEXHOMA ENERGY INC 2.01,5.01,5.02,9.01 01/24/05 AMEND Tirex CORP 8.01 09/21/06 TODCO DE 1.01,9.01 09/20/06 TRANSACTION SYSTEMS ARCHITECTS INC DE 5.02 09/15/06 TRM CORP OR 5.02,9.01 09/15/06 TRUEYOU.COM DE 8.01,9.01 09/18/06 UNIVEC INC DE 1.01,2.03,3.02 09/19/06 UpSnap, Inc. 3.03,9.01 09/21/06 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 09/21/06 VALIDIAN CORP NV 8.01 09/15/06 VCG HOLDING CORP CO 8.01,9.01 09/20/06 Verigy Ltd. U0 8.01,9.01 09/21/06 VERINT SYSTEMS INC 3.01,9.01 09/15/06 VERTEX PHARMACEUTICALS INC / MA MA 8.01,9.01 09/20/06 VIGNETTE CORP DE 1.01 09/20/06 VIRTRA SYSTEMS INC TX 2.01 09/15/06 Visualant, INC NV 5.02 09/21/06 VSI LIQUIDATION CORP DE 1.01,8.01,9.01 09/15/06 Wauwatosa Holdings, Inc. WI 5.02 09/21/06 WESTSPHERE ASSET CORP INC CO 8.01 09/20/06 WILLBROS GROUP INC R1 2.02,9.01 09/19/06 WITS BASIN PRECIOUS MINERALS INC MN 5.02,9.01 09/15/06 AMEND XL CAPITAL LTD 1.01,5.02,9.01 09/15/06 YARDVILLE NATIONAL BANCORP NJ 1.01 09/15/06 YOUNG INNOVATIONS INC MO 5.02,9.01 09/20/06 Zone Mining LTD 5.02,9.01 09/20/06