SEC NEWS DIGEST Issue 2006-210 October 31, 2006 ENFORCEMENT PROCEEDINGS IN THE MATTER OF GREGORY APPLEGATE On October 30, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Gregory A. Applegate. The Order finds that Applegate, while associated as a registered representative with two different brokerage firms, operated a Ponzi scheme in which he guaranteed investors an annual rate of return, promising to make losses out of his own pocket. In reality, Applegate misappropriated investor funds, using them to finance an unrelated personal business, pay personal expenses, and reimburse or pay "investment returns" to earlier investors. To perpetrate this Ponzi scheme, Applegate provided investors with false monthly client statements reflecting securities holdings and returns that did not exist and monthly "dividend checks." Applegate consented, without admitting or denying the allegations in the Commission's complaint, to an Order of Permanent Injunction, enjoining Applegate from violating Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 promulgated thereunder. In the associated criminal case also in the Northern District of Ohio, Applegate plead guilty to mail fraud for some of the above conduct, and on Jan. 26, 2006, he was sentenced to five years of prison. Based on the above, the Order bars Gregory A. Applegate from association with any broker or dealer. Gregory A. Applegate consented to the issuance of the Order without admitting or denying the findings in the Order. (Rel. 34-54669; File No. 3-12467) IN THE MATTER OF NEW YORKER MARKETING CORP. An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in the matter of New Yorker Marketing Corp., et al. The Order Instituting Proceedings alleged that Respondents New Yorker Marketing Corp. and U.S. Digital Communications, Inc., failed repeatedly to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to these Respondents and revokes the registrations of each class of their registered securities with the Commission, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-54670; File No. 3-12451) COMMISSION REVOKES REGISTRATIONS OF SECURITIES OF H. QUOTIENT, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On October 31, the Commission revoked the registration of each class of registered securities of H. Quotient, Inc. (HQNT) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the order, except as to jurisdiction, which it admitted, HQNT consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to H. Quotient, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of HQNT's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against it in the Matter of Cycomm International, Inc., et al. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked. For further information see 34-54523 (Sept. 27, 2006). (Rel. 34-54674; File No. 3-12439) IN THE MATTER OF U.S. GAS & ELECTRIC, INC. On October 31, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Douglas W. Marcille, a certified public accountant licensed to practice in the State of Massachusetts. Marcille served as Chief Financial Officer of U.S. Gas & Electric, Inc. (U.S. Gas) from December 2002 until September 2004. On October 23, federal district court judge Joan Lenard entered an order permanently enjoining Marcille, by consent, from future violations of Sections 5(a), 5(c), 17(a)(2) and 17(a)(3) of the Securities Act of 1933. The court ordered the injunction based on allegations in the Commission's Complaint in the matter of Securities and Exchange Commission v. U.S. Gas & Electric, Inc., et al., (U.S. District Court for the Southern District of Florida, Civil Action No. C-06-22440-CIV-LENARD filed Sept. 27, 2006). The Commission's complaint alleged, among other things, that during the time Marcille was its Chief Financial Officer, U.S. Gas, with the participation of its officers, including Marcille, made material misstatements and omissions to investors in several unregistered offerings concerning the use of proceeds. Specifically, the complaint alleges that U.S. Gas, with the participation of its officers, including Marcille, failed to disclose to investors that excessive commissions were being paid to telemarketers out of the offering proceeds, and made misrepresentations to investors in one of the offerings regarding the amount of management fees that would be paid out of investor funds. Based on the District Court's entry of an injunction against Marcille, the Commission ordered that Marcille is suspended from appearing or practicing before the Commission as an accountant with the right to request reinstatement after a period of three years. Marcille consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the Commission's jurisdiction over him, the subject matter of the Proceedings, and the fact that the federal court entered the injunction against him. (Rel. 34-54677; AAE Rel. 2506; File No. 3-12468) COURT ENTERS FINAL JUDGMENT, BY CONSENT, AGAINST PHILIP EVANS On October 27, U.S. Magistrate Judge Paul Papak of the U.S. District Court for the District of Oregon entered the Final Judgment as to Defendant Philip Evans, based on his consent, in Securities and Exchange Commission v. Philip Evans and Paul Evans, Case No. CV-05- 1162-PK, settling the case against him. The Commission's case against Philip Evans' brother, Paul Evans, remains pending before the Court. The Final Judgment, to which Philip Evans consented without admitting or denying the Commission's allegations, enjoins him from future 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. The Final Judgment further orders Philip Evans to disgorge $37,537 in trading profits (or losses avoided) by him and by his mother, with prejudgment interest, and provides that no civil penalty was ordered based on Philip Evans' sworn representations about his financial condition. The Commission alleged in its complaint that Philip Evans traded securities of his former employer, Merix Corporation, based on inside information and tipped other persons. [SEC v. Philip Evans and Paul Evans, Case No. CV-05-1162-PK (District of Oregon)] (LR-19893) SEC SETTLES CHARGES AGAINST HUBERT JEFFREYS AND TWO STOCK BROKERS FOR FRAUDULENT SALES OF EARTHBOARD STOCK The Commission announced that on October 11 the Honorable Richard W. Roberts, U.S. District Court Judge for the District of Columbia, entered Final Judgments against Hubert A. Jeffreys, Timothy F. Bell and Tracy A. Edwards for the fraudulent offer and sale of stock of Earthboard Sports USA, Inc., a privately held, Costa Mesa, California- based manufacturer of all-terrain skateboards. Without admitting or denying the allegations in the Commission's complaint, the defendants agreed to separate settlements which, among other things, prohibit Earthboard founder and president Jeffreys from serving as an officer or director of a publicly traded company and bar Bell and Edwards from association with any broker or dealer. On April 18, 2006, Jeffreys was sentenced to 41 months imprisonment and ordered to pay $2,037,900 in restitution in a parallel criminal action. In its complaint filed Feb. 24, 2005, the Commission alleged that between April 1998 and March 2003, Jeffreys raised approximately $5.1 million from at least 66 individuals and entities in an unregistered offering of Earthboard stock. Jeffreys, along with Bell and Edwards, two registered representatives recruited by Jeffreys to sell shares, enticed investors to purchase Earthboard shares using a number of materially false claims. Of greatest significance, they told prospective investors that Vans Inc., a Nasdaq-traded footwear company, planned to acquire Earthboard in a one-for-one share exchange that would generate a windfall of as much as $24 for each dollar invested in Earthboard stock. In reality, Vans never had any dealings of any kind with Earthboard; Jeffreys made up the acquisition in order to fraudulently induce investors to purchase Earthboard stock. The Commission's complaint furthermore alleged that Bell and Edwards misappropriated investor funds earmarked for investment in other private placement stocks. Without affirming or denying the allegations in the Commission's complaint, Jeffreys consented to the entry of a Final Judgment permanently enjoining him from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Final Judgment also prohibits Jeffreys from serving as an officer or director of any public company. In light of Jeffreys' 41 month prison sentence and order to pay $2,037,900 in restitution in the criminal case, the Final Judgment dismisses the Commission's disgorgement, prejudgment interest and penalties claims against him. See USA v. Jeffreys, Crim. Action No. 05-CR-184 (C.D. Cal.). The Commission dismissed its claims against Earthboard as it is no longer in existence. Earthboard stock salesmen Bell and Edwards, without affirming or denying the allegations in the Commission's complaint, each consented to the entry of a Final Judgment permanently enjoining him from violating Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Final Judgment against Bell finds him liable for disgorgement of $401,302 plus prejudgment interest of $105,918, but based on his inability to pay as documented by sworn financial statements and other documents he submitted to the Commission, orders payment of $20,000 plus post-judgment interest, waives the balance for which he is liable, and does not impose a civil penalty. Likewise, Edward's Final Judgment finds him liable for disgorgement of $91,517 plus prejudgment interest of $24,154, but based on his inability to pay as documented by sworn financial statements and other documents he submitted to the Commission, orders payment of $15,000 plus post-judgment interest, waives the balance for which he is liable, and does not impose a civil penalty. In separate administrative proceedings, Bell and Edwards each consented to the entry of an order barring him from association with any broker or dealer. [SEC v. Hubert A. Jeffreys, a/k/a Hugh Jeffreys, Earthboard Sports USA, Inc., Timothy F. Bell and Tracy A. Edwards, Civil Action No. 1:05CV00372 (RWR) (D.D.C.)] (LR-19894) SEC CHARGES FORMER MCAFEE, INC. FINANCIAL OFFICER WITH FRAUD On October 30, the Commission filed a complaint in the U.S. District Court for the Northern District of California against Eric G. Borrmann, a former senior financial officer for McAfee, Inc., formerly known as Network Associates, Inc. The complaint charges that Borrmann aided and abetted a multimillion dollar financial fraud at McAfee from mid-1999 until his departure from the company in July 2000. The complaint further charges that Borrmann traded in the securities of McAfee while in possession of material, nonpublic information concerning the financial fraud and that his profits from the illegal trading were approximately $314,517. Simultaneously with the filing of the complaint, Borrmann has consented, without admitting or denying the allegations of the complaint, to the entry of an order permanently enjoining him from violating, directly or indirectly, Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, which are the antifraud provisions of the federal securities laws. Borrmann also has consented to the entry of an order that bars him for five years from serving as an officer or director of a public company. The order further requires Borrmann to pay $757,563, consisting of $314,517 in disgorgement of his unlawful trading profits, $128,529 in prejudgment interest thereon, and a civil penalty of $314,517. The Commission's complaint alleges that mid-1999 until his departure in July 2000 Borrmann held various senior financial positions at McAfee, including serving as McAfee's treasurer, and was responsible for all financial planning and investor relations at the company. During that period, Borrmann routinely assisted other senior McAfee executives in calculating and forecasting the company's quarterly and yearly financial performance. Through regular meetings with McAfee's senior executives and managers, Borrmann learned of certain fraudulent schemes that McAfee was using during 1999 and 2000 to inflate its revenues. In the second quarter of 2000, Borrmann assisted McAfee's executives and senior managers in the preparation and dissemination to investors of false and misleading information about McAfee's financial results, including its inflated revenues and earnings. The complaint further alleges that, after his resignation from McAfee, Borrmann engaged in insider trading when, during the period from July through September 2000, he sold McAfee securities while in possession of material, nonpublic information concerning the fraud and McAfee's deteriorating financial condition. Later, on December 26, 2000, after years of employing fraudulent schemes to inflate its reported revenues, McAfee stated in a press release that its sales for the fourth quarter 2000 would be only $55 million, dramatically lower than the company's earlier prediction of $245 million. The news sent Network Associates' stock price down sharply and slashed more than $1 billion from the company's market capitalization. By trading in advance of the fourth quarter 2000 earnings announcement, Borrmann realized unlawful profits of $314,517. On Oct. 31, 2003, McAfee restated its financial results to correct for, among other things, the fraudulent accounting and sales practices that had inflated McAfee's revenue and earnings during 1998 through 2000. Focusing on the second quarter of 2000 alone, the period during which Borrmann assisted in compiling the financial information that was relayed to investors and analysts in McAfee's earnings press release and subsequent conference calls, the effect of the October 2003 restatement on McAfee's financial statements was dramatic. Revenues of $233.7 million as reported in the second quarter of 2000 earnings release were reduced to $158.6 million, a forty-seven percent overstatement. Similarly, previously reported net income of $11.4 million was restated as a loss of $101.3 million, or a decrease of nine hundred and eighty-nine percent. The Commission's action against Borrmann is its fifth civil enforcement action related to the accounting fraud at McAfee. Previously, the Commission filed civil actions against McAfee, Inc. (Litigation Release No. 19520), McAfee's former Chief Financial Officer Prabhat Goyal (Litigation Release No. 18748), and two former Controllers Terry Davis (Litigation Release No. 18189) and Evan S. Collins (Litigation Release No. 18986). The Commission acknowledges the assistance and cooperation of the U.S. Attorney's Office for the Northern District of California and the Federal Bureau of Investigation. [SEC v. Eric G. Borrmann, Civil Action No. C-06-6722-MHP, N.D. Cal.] (LR-19895; AAE-2505) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CHX-2006-29) and Amendment No. 1 thereto filed by the Chicago Stock Exchange relating to participant fees and credits has become 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 October 30. (Rel. 34-54657) A proposed rule change (SR-Phlx-2006-67) filed by the Philadelphia Stock Exchange to cap Registered Options Trader and specialist equity option comparison and transaction charges when certain requirements are met has become 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 October 30. (Rel. 34-54659) PROPOSED RULE CHANGE The Commission noticed a proposed rule change (SR-Amex-2006-82) and Amendment No. 1 thereto submitted by the American Stock Exchange relating to MACRO Tradeable Shares. Publication is expected in the Federal Register during the week of October 30. (Rel. 34-54658) 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-8 INTRAWARE INC, 25 ORINDA WAY, ORINDA, CA, 94563, 9252534500 - 1,528,556 ($6,840,369.48) Equity, (File 333-138270 - Oct. 30) (BR. 08B) S-4 U S GOLD CORP, 2201 KIPLING ST, STE 100, LAKEWOOD, CO, 80215-1545, 3032381438 - 0 ($79,437,557.32) Equity, (File 333-138271 - Oct. 30) (BR. 04B) S-4 U S GOLD CORP, 2201 KIPLING ST, STE 100, LAKEWOOD, CO, 80215-1545, 3032381438 - 0 ($27,419,943.72) Equity, (File 333-138272 - Oct. 30) (BR. 04B) S-3ASR LYONDELL CHEMICAL CO, 1221 MCKINNEY ST, SUITE 700, HOUSTON, TX, 77010, 713-652-7200 - 11,500,000 ($299,805,000.00) Equity, (File 333-138290 - Oct. 30) (BR. 06A) S-8 ADVANCED MICRO DEVICES INC, ONE AMD PL, MS 68, SUNNYVALE, CA, 94088-3453, 4087322400 - 0 ($322,927,681.00) Equity, (File 333-138291 - Oct. 30) (BR. 10A) S-8 IMPLANT SCIENCES CORP, 107 AUDUBON ROAD #5, WAKEFIELD, MA, 01880-1246, 7812460700 - 1,000,000 ($3,030,000.00) Equity, (File 333-138292 - Oct. 30) (BR. 10B) SB-2 AVP INC, 6100 CENTER DRIVE, SUITE 900, LOS ANGELES, CA, 90045, 310-426-8000 - 597,368 ($955,788.80) Equity, (File 333-138296 - Oct. 30) (BR. 05A) S-8 EVOLVE ONE INC, 5301 N FEDERAL HUIGHWAY, SUITE 120, BOCA RATON, FL, 33487, 561-989-9171 - 2,000,000 ($10,000,000.00) Equity, (File 333-138297 - Oct. 30) (BR. 09A) SB-2 MAXLIFE FUND CORP., 160 TYLOS DRIVE, UNIT 12, TORONTO, A6, M6B 1W8, 416-200-0657 - 6,956,100 ($6,956,100.00) Equity, (File 333-138298 - Oct. 30) (BR. ) S-3 AVI BIOPHARMA INC, ONE SW COLUMBIA, STE 1105, PORTLAND, OR, 97258, 5032270554 - 0 ($75,000,000.00) Equity, (File 333-138299 - Oct. 30) (BR. 01C) S-1 LIME ENERGY CO., 1280 LANDMEIER ROAD, ELK GROVE, IL, 60007, 8474371666 - 0 ($38,585,915.00) Equity, (File 333-138300 - Oct. 30) (BR. 10B) SB-2 QUINTEK TECHNOLOGIES INC, 17951 LYONS CIRCLE, HUNTINGTON BEACH, CA, 92647, 714-848-7741 - 247,236,695 ($9,123,115.85) Equity, (File 333-138301 - Oct. 30) (BR. 08C) S-3ASR JARDEN CORP, 555 THEODORE FREMD AVE, RYE, NY, 10580, 914 967 9400 - 0 ($0.00) Equity, (File 333-138302 - Oct. 30) (BR. 02C) S-3 DERMA SCIENCES, INC., 214 CARNEGIE CENTER, SUITE 100, PRINCETON, NJ, 08540, 6095144744 - 5,603,180 ($3,866,194.20) Other, (File 333-138303 - Oct. 30) (BR. 10A) S-3 SUPERTEL HOSPITALITY INC, 309 NORTH FIFTH STREET, NORFOLK, NE, 68701, 4023712520 - 366,916 ($2,495,029.00) Equity, (File 333-138304 - Oct. 30) (BR. 08B) S-8 ENCORIUM GROUP INC, ONE GLENHARDIE CORPORATE CENTER, 1275 DRUMMERS LANE STE 100, WAYNE, PA, 19087, 6109759533 - 0 ($629,492.00) Equity, (File 333-138305 - Oct. 30) (BR. 01A) S-8 OSCIENT PHARMACEUTICALS CORP, 1000 WINTER STREET, SUITE 2200, WALTHAM, MA, 02451, 7813982300 - 5,750,000 ($5,922,500.00) Equity, (File 333-138309 - Oct. 30) (BR. 01B) 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 ACE SECURITIES CORP DE 9.01 10/30/06 ACE Securities Corp. Home Equity Loan DE 9.01 10/30/06 ADAPTEC INC DE 2.02,9.01 10/30/06 ADC TELECOMMUNICATIONS INC MN 1.01 10/24/06 ADESA INC 2.02,9.01 10/30/06 ADVANCED MICRO DEVICES INC DE 1.01,2.01,2.03,3.02, 10/24/06 5.02,8.01,9.01 ADVISORY BOARD CO DE 2.02,9.01 10/30/06 AEGIS 2006-1 DE 8.01,9.01 10/30/06 AEOLUS PHARMACEUTICALS, INC. DE 5.03 10/27/06 AGERE SYSTEMS INC DE 1.01 10/24/06 Alpha Natural Resources, Inc. DE 7.01,9.01 10/27/06 ALPHARMA INC DE 2.02,9.01 10/30/06 ALTIRIS INC DE 2.02,9.01 10/30/06 ALTRIA GROUP, INC. VA 1.01,9.01 10/25/06 AMERICA FIRST APARTMENT INVESTORS INC MD 1.01,8.01,9.01 10/24/06 AMERICAN ACCESS TECHNOLOGIES INC FL 8.01,9.01 10/27/06 AMERICAN COMMUNITY BANCSHARES INC NC 2.02,8.01,9.01 10/27/06 American Home Mortgage Assets Trust 2 DE 9.01 10/30/06 AMERICAN HONDA RECEIVABLES CORP CA 8.01,9.01 10/25/06 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 2.02,9.01 10/30/06 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 2.02,9.01 10/30/06 AMERICAN POWER CONVERSION CORPORATION MA 1.01,9.01 10/28/06 AMERICAN SKIING CO /ME DE 2.02,9.01 10/30/06 AMERUS GROUP CO/IA IA 5.04,9.01 10/27/06 AMPHENOL CORP /DE/ DE 8.01,9.01 10/27/06 ANESIVA, INC. DE 8.01 10/30/06 APAC CUSTOMER SERVICE INC IL 1.01,9.01 10/25/06 ARBOR REALTY TRUST INC MD 1.01,2.03 10/26/06 ARCH CHEMICALS INC VA 2.02,9.01 10/30/06 ARGON ST, Inc. DE 5.02 10/26/06 ARKADOS GROUP, INC. DE 1.01,2.03,3.02,9.01 10/24/06 AROTECH CORP DE 3.02 10/27/06 ASHLAND INC. KY 8.01,9.01 10/27/06 ASHLAND INC. KY 2.02,9.01 10/30/06 ASHLAND INC. KY 2.02,7.01,9.01 10/30/06 ASHWORTH INC DE 5.02,9.01 10/24/06 ASIA GLOBAL HOLDINGS CORP. NV 5.02,5.03,9.01 10/27/06 ATMEL CORP DE 4.02,9.01 10/24/06 AVANEX CORP DE 1.01,5.02 10/27/06 AVIS BUDGET GROUP, INC. DE 5.02,5.03,8.01,9.01 10/25/06 AXT INC DE 1.01,2.02,2.06,5.02,9.01 10/27/06 Banc of America Alternative Loan Trus DE 9.01 10/30/06 Banc of America Funding 2006-7 Trust DE 8.01,9.01 10/30/06 Banc of America Mortgage 2006-B Trust DE 9.01 10/30/06 Bank of Commerce Holdings CA 8.01,9.01 10/27/06 BE AEROSPACE INC DE 2.02 10/30/06 BEASLEY BROADCAST GROUP INC DE 2.02,9.01 10/30/06 BEHRINGER HARVARD REIT I INC MD 1.01 10/25/06 BETTER BIODIESEL, INC 4.01,9.01 10/19/06 AMEND BFC FINANCIAL CORP FL 8.01 10/24/06 BLACK ROCK FUTURES INVESTMENTS LP DE 5.01,5.02 09/29/06 BLACK ROCK GLOBAL HORIZONS LP DE 5.01,5.02 09/29/06 BLACK ROCK PRINCIPAL PROTECTION LP DE 5.01,5.02 09/29/06 BLACKBAUD INC 2.02,9.01 10/30/06 BlackRock Inc. DE 2.02,9.01 10/30/06 BLUE NILE INC DE 2.02,9.01 10/30/06 BNC Mortgage Loan Trust 2006-2 DE 8.01,9.01 10/30/06 BORGWARNER INC DE 9.01 10/30/06 BRANDYWINE OPERATING PARTNERSHIP LP / DE 2.02,9.01 10/26/06 BRANDYWINE REALTY TRUST MD 2.02,9.01 10/26/06 BRISTOL MYERS SQUIBB CO DE 2.02,9.01 10/26/06 AMEND Brooklyn Federal Bancorp, Inc. X1 2.02,9.01 10/30/06 BROOKSTONE INC DE 2.02,9.01 10/26/06 BROWN SHOE CO INC NY 1.01,5.02,9.01 10/30/06 BRYN MAWR BANK CORP PA 5.02,9.01 10/26/06 BSABS 2006-HE8 DE 9.01 10/30/06 C & F FINANCIAL CORP VA 2.02,9.01 10/27/06 C-BASS Mortgage Loan Asset-Backed Cer DE 8.01,9.01 10/30/06 C-COR INC PA 2.02,9.01 10/26/06 CALGON CARBON CORPORATION DE 4.02 10/24/06 CALIFORNIA NEWS TECH NV 2.03 10/30/06 CapitalSouth Bancorp DE 2.02,9.01 10/26/06 Cardiac Science CORP 1.01,7.01,9.01 10/25/06 CARRIER ACCESS CORP DE 2.02,9.01 10/30/06 CAS MEDICAL SYSTEMS INC DE 1.01,2.02,2.03,9.01 10/27/06 CASCADE NATURAL GAS CORP WA 8.01 10/27/06 CBIZ, Inc. DE 2.02,9.01 10/24/06 CCI GROUP INC UT 8.01 10/24/06 CELLCO PARTNERSHIP 2.02 10/30/06 CENTER BANCORP INC NJ 2.02,9.01 10/26/06 CENTER FINANCIAL CORP CA 2.02,9.01 10/25/06 CENTRAL VIRGINIA BANKSHARES INC VA 2.02,9.01 10/27/06 CH ENERGY GROUP INC NY 2.02,7.01,9.01 10/30/06 CHARTERMAC DE 9.01 08/15/06 AMEND CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/30/06 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 10/27/06 CHENIERE ENERGY INC DE 8.01,9.01 10/30/06 CHILDRENS INTERNET INC NV 4.01 10/30/06 AMEND CHINA CLEAN ENERGY INC DE 1.01,2.01,3.02,4.01,5.01, 10/24/06 5.02,5.03,5.06,9.01 CIGNA CORP DE 5.03 10/25/06 CIRRUS LOGIC INC DE 8.01 10/30/06 CITIZENS HOLDING CO /MS/ MS 8.01,9.01 10/24/06 CNA SURETY CORP DE 2.02,9.01 10/30/06 COLLEGIATE PACIFIC INC DE 7.01,9.01 10/30/06 COMMERCE ENERGY GROUP, INC. DE 2.02,9.01 10/30/06 Community Bancorp NV 8.01,9.01 10/25/06 COMMUNITY SHORES BANK CORP MI 2.02,9.01 10/27/06 CommunitySouth Bancshares Inc SC 2.02,9.01 10/27/06 COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 10/30/06 COMPUWARE CORP MI 2.02,9.01 10/26/06 CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 10/30/06 CONMED CORP NY 1.01,9.01 10/30/06 CONSOLIDATED ENERGY INC WY 5.02 10/25/06 Core-Mark Holding Company, Inc. DE 5.02,9.01 10/25/06 CORTEX PHARMACEUTICALS INC/DE/ DE 7.01,9.01 10/26/06 COVANTA HOLDING CORP DE 2.02,7.01,9.01 10/30/06 CRAWFORD & CO GA 1.01,9.01 10/25/06 CRC Health CORP DE 2.02,7.01,9.01 10/27/06 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 10/30/06 CRITICARE SYSTEMS INC /DE/ DE 7.01,9.01 10/30/06 CSAB Mortgage-Backed Trust 2006-3 9.01 10/30/06 CWALT INC DE 9.01 10/30/06 CWALT INC DE 9.01 10/30/06 CWMBS INC DE 9.01 10/30/06 CWMBS INC DE 9.01 10/30/06 D&E COMMUNICATIONS INC PA 5.02,9.01 10/26/06 DANA CORP VA 7.01,9.01 10/30/06 DAYTON POWER & LIGHT CO OH 8.01,9.01 10/25/06 DELPHI CORP DE 8.01,9.01 10/30/06 DIEBOLD INC OH 2.02,9.01 10/30/06 DIVX INC 1.01,2.02,9.01 10/26/06 Dorman Products, Inc. PA 2.02,9.01 09/30/06 DOT HILL SYSTEMS CORP NY 2.02,9.01 10/30/06 Douglas Emmett Inc MD 8.01,9.01 10/30/06 DOV PHARMACEUTICAL INC DE 2.04,3.01,8.01 10/25/06 DOW JONES & CO INC DE 1.01,9.01 10/27/06 DPL INC OH 8.01,9.01 10/25/06 DREW INDUSTRIES INC DE 8.01,9.01 10/30/06 DUCOMMUN INC /DE/ DE 2.02,9.01 10/30/06 DVL INC /DE/ DE 1.01 10/24/06 EARTHLINK INC DE 1.01,8.01,9.01 10/24/06 EATON VANCE CORP MD 1.01 10/30/06 ECLIPSYS CORP DE 2.02,9.01 10/30/06 EGAMES INC PA 8.01,9.01 10/30/06 ELECTRIC AQUAGENICS UNLIMITED INC DE 1.01,3.02,5.02,9.01 10/24/06 ELITE PHARMACEUTICALS INC /DE/ DE 8.01,9.01 10/27/06 ENCORE MEDICAL CORP DE 8.01,9.01 10/27/06 ENDOCARE INC DE 1.01,3.02,9.01 10/25/06 ENERGEN CORP AL 5.02,8.01,9.01 10/30/06 ENERGYSOUTH INC AL 1.01,9.01 10/27/06 ENTRUST INC MD 2.02,9.01 10/30/06 EOG RESOURCES INC DE 2.02,9.01 10/30/06 EOG RESOURCES INC DE 7.01 10/30/06 EPOLIN INC /NJ/ NJ 8.01 10/30/06 EQUITABLE RESOURCES INC /PA/ PA 1.01,1.02,9.01 10/27/06 EXACTECH INC FL 2.02,7.01,9.01 10/30/06 FARO TECHNOLOGIES INC FL 2.02,7.01,9.01 10/30/06 FiberTower CORP DE 7.01,9.01 10/30/06 FIDELITY NATIONAL FINANCIAL INC /DE/ DE 2.02,9.01 10/25/06 Fidelity National Information Service 2.02,9.01 10/25/06 Fidelity National Information Service 1.01,5.02 10/24/06 Fidelity National Title Group, Inc. 2.02,9.01 10/25/06 Fidelity National Title Group, Inc. 1.01,5.02,9.01 10/24/06 FIELDSTONE INVESTMENT CORP 2.03,9.01 10/27/06 FIRST ALBANY COMPANIES INC NY 2.02,9.01 10/30/06 FIRST BANCSHARES INC /MO/ MO 8.01 10/30/06 First Clover Leaf Financial Corp. MD 5.02,8.01,9.01 10/24/06 FIRST COMMUNITY BANCORP /CA/ CA 2.01,2.02,5.02,7.01,8.01,9.01 10/26/06 First Franklin Mortgage Loan Trust 20 DE 8.01,9.01 10/30/06 First Franklin Mortgage Loan Trust 20 DE 8.01,9.01 10/30/06 First Horizon Asset Sec Mort Pass Thr DE 8.01,9.01 10/30/06 FLOW INTERNATIONAL CORP WA 4.02 10/27/06 FOLDERA, INC 7.01,9.01 10/27/06 Fortress America Acquisition CORP DE 8.01,9.01 10/30/06 FPL GROUP INC FL 2.02,9.01 10/30/06 FTI CONSULTING INC MD 2.01,3.02 10/03/06 AMEND GATEWAY FINANCIAL HOLDINGS INC NC 8.01 10/26/06 GEHL CO WI 2.02,9.01 10/30/06 GENAERA CORP DE 1.02,9.01 10/27/06 GENERAL CABLE CORP /DE/ DE 2.02,9.01 10/30/06 GENTA INC DE/ DE 8.01,9.01 10/30/06 GEOGLOBAL RESOURCES INC DE 8.01,9.01 10/27/06 GEOGLOBAL RESOURCES INC DE 7.01,9.01 10/30/06 GEORGIA CAROLINA BANCSHARES INC GA 2.02,9.01 10/27/06 GLOBAL ENERGY INC NV 3.02 10/25/06 GLOBAL EPOINT INC NV 8.01 09/29/06 GLOBAL MED TECHNOLOGIES INC CO 2.02,9.01 10/30/06 Grande Communications Holdings, Inc. DE 1.01,5.02,9.01 10/24/06 GREATER BAY BANCORP CA 2.02,9.01 10/30/06 GREENE COUNTY BANCORP INC DE 2.02,9.01 10/25/06 GREIF INC DE 1.01,8.01 10/26/06 GREYSTONE LOGISTICS, INC. 8.01 10/20/06 GRUBB & ELLIS CO DE 1.01,9.01 10/24/06 GS Mortgage Securities Trust 2006-GG8 DE 8.01,9.01 10/30/06 GSAA Home Equity Trust 2006-17 DE 9.01 10/30/06 GSR Mortgage Loan Trust 2006-9F DE 8.01 10/30/06 Halo Technology Holdings, Inc. NV 5.02 10/27/06 HAMPTON ROADS BANKSHARES INC VA 7.01 10/26/06 HEALTH CARE PROPERTY INVESTORS INC MD 2.02,9.01 10/30/06 HEXION SPECIALTY CHEMICALS, INC. NJ 1.01 10/26/06 HI/FN INC DE 2.02,9.01 09/30/06 HOLLY CORP DE 7.01,9.01 10/30/06 HOME CITY FINANCIAL CORP OH 3.01,8.01,9.01 10/30/06 HOME FEDERAL BANCORP IN 5.02,9.01 10/24/06 HONDA AUTO REC 2003-3 OWNER TRUST DE 8.01,9.01 10/23/06 HONDA AUTO REC 2003-4 OWNER TRUST DE 8.01,9.01 10/16/06 HONDA AUTO REC 2003-5 OWNER TRUST DE 8.01,9.01 10/18/06 HONDA AUTO RECEIVABLES 2004-1 OWNER T DE 8.01,9.01 10/23/06 Honda Auto Receivables 2004-2 Owner T 8.01,9.01 10/16/06 Honda Auto Receivables 2004-3 Owner T CA 8.01,9.01 10/18/06 Honda Auto Receivables 2005-1 Owner T CA 8.01,9.01 10/23/06 Honda Auto Receivables 2005-2 Owner T 8.01,9.01 10/16/06 Honda Auto Receivables 2005-3 Owner T CA 8.01,9.01 10/18/06 Honda Auto Receivables 2005-4 Owner T CA 8.01,9.01 10/23/06 Honda Auto Receivables 2005-5 Owner T CA 8.01,9.01 10/16/06 Honda Auto Receivables 2005-6 Owner T CA 8.01,9.01 10/18/06 HONDA RECEIVABLES CORP AUTO REC 2003 DE 8.01,9.01 10/23/06 HOPFED BANCORP INC DE 2.02,9.01 10/30/06 HORIZON BANCORP /IN/ IN 2.02,9.01 10/26/06 Horizon Lines, Inc. 8.01,9.01 10/27/06 HUMANA INC DE 2.02,7.01,9.01 10/30/06 HUNTSMAN INTERNATIONAL LLC DE 8.01,9.01 10/30/06 HUTTIG BUILDING PRODUCTS INC DE 2.02,9.01 10/30/06 ICAD INC DE 2.02,9.01 10/30/06 ICAGEN INC DE 3.01,9.01 10/27/06 ICAGEN INC DE 5.02 08/03/06 AMEND ICO INC TX 1.01,2.03,9.01 10/27/06 IMPSAT FIBER NETWORKS INC DE 1.01,8.01,9.01 10/25/06 IndyMac INDA Mortgage Loan Trust 2006 9.01 10/30/06 INFERX CORP DE 1.01,2.01,3.02,4.01,5.01, 10/24/06 5.02,5.03,5.06,9.01 INSMED INC VA 1.01,8.01,9.01 10/25/06 INTERNATIONAL ALUMINUM CORP CA 5.02 10/26/06 INTEVAC INC CA 2.02,9.01 10/30/06 INTUIT INC DE 8.01,9.01 10/30/06 IR BIOSCIENCES HOLDINGS INC DE 1.01,3.02 10/26/06 IVOICE, INC /DE DE 8.01,9.01 10/15/06 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 10/30/06 J P MORGAN CHASE & CO DE 9.01 10/26/06 J.P. Morgan Alternative Loan Trust 20 DE 8.01,9.01 10/30/06 JEFFERSON BANCSHARES INC TN 2.02,9.01 10/27/06 K-SEA TRANSPORTATION PARTNERS LP 2.02,9.01 10/27/06 KB HOME DE 8.01,9.01 10/26/06 KIMCO REALTY CORP MD 2.02 10/30/06 KINDRED HEALTHCARE, INC DE 1.01,9.01 10/25/06 KLA TENCOR CORP DE 1.01,9.01 10/25/06 KRISPY KREME DOUGHNUTS INC NC 1.01,9.01 10/24/06 KRONOS INC MA 2.02 10/30/06 KUHLMAN COMPANY, INC MN 1.01,3.01,5.02,8.01,9.01 10/24/06 LACROSSE FOOTWEAR INC WI 2.02,9.01 10/30/06 LANCASTER COLONY CORP OH 2.02,9.01 10/30/06 LEAP WIRELESS INTERNATIONAL INC DE 1.01,8.01,9.01 08/15/06 LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/25/06 Lehman Mortgage Trust 2006-7 DE 8.01,9.01 10/30/06 Lehman XS Trust 2006-17 DE 8.01,9.01 10/30/06 LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,9.01 10/30/06 LIFE TIME FITNESS INC MN 1.01,5.02,9.01 10/24/06 LNB BANCORP INC OH 1.01,2.02,9.01 10/24/06 LSB CORP MA 2.02,9.01 10/26/06 LYONDELL CHEMICAL CO DE 8.01,9.01 10/30/06 Macquarie Infrastructure CO Trust DE 1.01,8.01,9.01 10/24/06 MANGAPETS, INC. DE 4.01,9.01 10/30/06 AMEND MARKWEST ENERGY PARTNERS L P 5.02,9.01 10/26/06 MARKWEST HYDROCARBON INC DE 5.02,9.01 10/26/06 MAX RE CAPITAL LTD 1.01,1.02,4.02,5.02,8.01,9.01 10/24/06 MAXYGEN INC DE 2.02,9.01 10/30/06 MB FINANCIAL INC /MD MD 2.02 10/30/06 MEADWESTVACO CORP DE 5.02,9.01 10/24/06 MED-TECH SOLUTIONS, INC. 5.03,9.01 10/27/06 MEDIS TECHNOLOGIES LTD DE 8.01,9.01 10/30/06 MEDIS TECHNOLOGIES LTD DE 8.01,9.01 10/30/06 MERCHANTS & MANUFACTURERS BANCORPORAT WI 2.02,9.01 10/26/06 MERCK & CO INC NJ 1.01 10/24/06 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 10/30/06 METABASIS THERAPEUTICS INC 1.01,9.01 10/24/06 METLIFE INC DE 2.02,8.01,9.01 10/24/06 METROMEDIA INTERNATIONAL GROUP INC DE 7.01,9.01 10/28/06 MGIC INVESTMENT CORP WI 5.02 10/30/06 MICROSEMI CORP DE 1.01,9.01 10/24/06 AMEND MIDLAND CO OH 1.01,9.01 10/26/06 MILLENNIUM CELL INC DE 2.02,9.01 10/30/06 MILLENNIUM PHARMACEUTICALS INC DE 1.01,9.01 10/26/06 MILLS CORP DE 8.01 10/30/06 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 10/30/06 MODAVOX INC 2.02,9.01 10/30/06 MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 10/30/06 MONSANTO CO /NEW/ DE 1.01,9.01 10/24/06 MONSTER WORLDWIDE INC DE 5.02,9.01 10/29/06 MOONEY AEROSPACE GROUP LTD DE 5.01,9.01 10/30/06 MOSAIC CO 7.01,9.01 10/30/06 MPLC, Inc. DE 1.01,3.02,5.01,5.02,9.01 10/24/06 MSW ENERGY HOLDINGS LLC DE 8.01 10/30/06 NATIONAL CITY AUTO RECEIVABLES TRUST 8.01,9.01 10/16/06 NATIONAL CITY CREDIT CARD MASTER TRUS 8.01,9.01 10/16/06 NEOWARE INC DE 1.01,1.02,2.02,5.02,9.01 10/30/06 NETWORK INSTALLATION CORP NV 1.01 10/24/06 NEUROGEN CORP DE 8.01 10/30/06 New Century Alternative Mortgage Loan DE 9.01 10/30/06 New England Bancshares, Inc. 2.02,9.01 10/30/06 New Sally Holdings, Inc. DE 1.01,9.01 10/26/06 New Sally Holdings, Inc. DE 8.01,9.01 10/26/06 Newkirk Realty Trust, Inc. MD 2.02,9.01 10/27/06 NEXITY FINANCIAL CORP DE 2.02,9.01 10/30/06 NITCHES INC CA 2.01,9.01 10/27/06 NOBLE CORP 5.02,7.01,9.01 10/27/06 NOBLE ENERGY INC DE 1.01,1.02,9.01 10/24/06 NORTH FORK BANCORPORATION INC DE 5.04,9.01 10/27/06 NORTH VALLEY BANCORP CA 2.02,9.01 10/24/06 NS GROUP INC KY 2.02,8.01,9.01 10/30/06 NTL INC DE 1.01,9.01 10/30/06 OCEANFIRST FINANCIAL CORP DE 2.02,9.01 10/30/06 OMNICELL INC /CA/ CA 1.01 10/24/06 ON SEMICONDUCTOR CORP DE 1.01,9.01 10/27/06 ONEOK INC /NEW/ OK 8.01,9.01 10/30/06 OPEN SOLUTIONS INC DE 2.02,9.01 10/30/06 Optionable Inc 9.01 09/30/06 Orchids Paper Products CO /DE DE 2.02,7.01,9.01 10/27/06 Owens Corning DE 7.01,9.01 10/30/06 PAN PACIFIC RETAIL PROPERTIES INC MD 1.01,9.01 10/26/06 Paramount Acquisition Corp DE 8.01,9.01 10/30/06 PATHFINDER BANCORP INC DE 2.02 09/30/06 AMEND PAULSON CAPITAL CORP OR 8.01,9.01 10/30/06 PDC 1996-D LIMITED PARTNERSHIP WV 4.01,9.01 10/20/06 AMEND PDC 1997-D LTD PARTNERSHIP 4.01,9.01 10/20/06 AMEND PDC 1998-D LTD PARTNERSHIP 4.01,9.01 10/20/06 AMEND PDC 1999-D LTD PARTNERSHIP 4.01,9.01 10/20/06 AMEND PDC 2000 B LTD 4.01,9.01 10/20/06 AMEND PDC 2000 C LTD 4.01,9.01 10/20/06 AMEND PDC 2000 D LTD 4.01,9.01 10/20/06 AMEND PDC 2001 A LP 4.01,9.01 10/20/06 AMEND PDC 2001 B LP 4.01,9.01 10/20/06 AMEND PDC 2001 C LP 4.01,9.01 10/20/06 AMEND PDC 2001 D LP 4.01,9.01 10/20/06 AMEND PDC 2002 A LTD PARTNERSHIP 4.01,9.01 10/20/06 AMEND PDC 2002 B LTD PARTNERSHIP 4.01,9.01 10/20/06 AMEND PDC 2002 C LTD PARTNERSHIP 4.01,9.01 10/20/06 AMEND PDC 2002 D LTD PARTNERSHIP 4.01,9.01 10/20/06 AMEND PEABODY ENERGY CORP DE 2.01,9.01 10/25/06 PEOPLES BANCORPORATION INC /SC/ SC 1.01,9.01 10/24/06 PEP BOYS MANNY MOE & JACK PA 1.01,9.01 10/27/06 PGT, Inc. DE 1.01,9.01 10/24/06 PHARMACYCLICS INC DE 8.01,9.01 10/30/06 PHH CORP MD 1.01,2.02,2.03,2.06,8.01,9.01 10/30/06 PHILADELPHIA CONSOLIDATED HOLDING COR PA 2.02,9.01 10/27/06 Pike Electric CORP 5.02,9.01 10/24/06 PLAINS ALL AMERICAN PIPELINE LP DE 1.01,2.03,9.01 10/30/06 PMI GROUP INC DE 1.01,2.03,9.01 10/24/06 POINT THERAPEUTICS INC DE 8.01,9.01 10/30/06 PORTFOLIO RECOVERY ASSOCIATES INC DE 2.02,9.01 10/30/06 PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,9.01 10/27/06 PR SPECIALISTS INC DE 3.02,4.01,8.01 10/30/06 Proguard Acquisition CORP FL 5.01,8.01,9.01 10/30/06 PURE BIOFUELS CORP NV 5.02 10/27/06 QUANTA CAPITAL HOLDINGS LTD 1.01,2.03,9.01 10/27/06 R&G FINANCIAL CORP PR 7.01,9.01 10/30/06 Rackable Systems, Inc. DE 2.02,9.01 10/30/06 RAIT INVESTMENT TRUST MD 1.01,9.01 10/24/06 RALI Series 2006-QO8 Trust DE 8.01,9.01 10/30/06 RALI Series 2006-QS14 Trust DE 8.01,9.01 10/30/06 RALI Series 2006-QS15 Trust DE 8.01,9.01 10/30/06 RAMP Series 2006-RS6 Trust DE 8.01,9.01 10/30/06 Red Mile Entertainment Inc 1.01,9.01 10/27/06 REGAL ENTERTAINMENT GROUP DE 1.01,2.03,9.01 10/27/06 RELIANT ENERGY INC DE 7.01,9.01 10/30/06 REPUBLIC SERVICES INC DE 8.01,9.01 10/30/06 REPUBLIC SERVICES INC DE 2.02 10/30/06 ROLLINS INC DE 1.01,5.02 10/24/06 SACO I Trust 2006-10 DE 9.01 10/30/06 SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 10/30/06 SAIA INC DE 7.01,9.01 10/24/06 SAIA INC DE 1.01,9.01 10/24/06 SALISBURY BANCORP INC CT 2.02,9.01 10/30/06 SANGAMO BIOSCIENCES INC DE 2.02,9.01 10/30/06 SASCO 2006-BC3 DE 8.01,9.01 10/30/06 SCHIFF NUTRITION INTERNATIONAL, INC. DE 1.01,9.01 10/24/06 SEA CONTAINERS LTD /NY/ 8.01 10/19/06 SEMTECH CORP DE 1.01,5.02,9.01 10/26/06 SEMTECH CORP DE 5.02 10/26/06 AMEND SHAW GROUP INC LA 2.02,4.02,9.01 10/27/06 SIGNALIFE, INC. DE 5.02 10/07/05 SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 10/30/06 SKYWEST INC UT 2.02,9.01 10/30/06 SMUCKER J M CO OH 1.01,9.01 10/25/06 SOCKET COMMUNICATIONS INC DE 1.01,2.03 10/27/06 SONA MOBILE HOLDINGS CORP DE 1.01 10/02/06 SONICWALL INC CA 1.01 10/24/06 SONOSITE INC 2.02,5.02,9.01 10/30/06 Soundview Home Loan Trust 2006-WF1 DE 9.01 10/25/06 SOUTH JERSEY INDUSTRIES INC NJ 8.01,9.01 10/30/06 SPECTRANETICS CORP DE 2.02,9.01 10/30/06 SPHERIX INC DE 1.01,9.01 10/26/06 STEEL DYNAMICS INC IN 8.01,9.01 10/30/06 STEWARDSHIP FINANCIAL CORP NJ 1.01,2.01,2.02,9.01 10/24/06 Structured Asset Mortgage Investments DE 8.01 10/30/06 SYSCO CORP DE 2.02,9.01 10/30/06 T-3 ENERGY SERVICES INC TX 2.02,9.01 10/30/06 TAUBMAN CENTERS INC MI 8.01,9.01 10/30/06 TECHNITROL INC PA 2.02,9.01 10/30/06 TEGAL CORP /DE/ DE 1.01,9.01 10/24/06 TENET HEALTHCARE CORP NV 2.02 10/30/06 TENGASCO INC TN 8.01 10/30/06 TEXAS PACIFIC LAND TRUST 2.02,9.01 10/30/06 TITAN INTERNATIONAL INC IL 2.02,9.01 10/30/06 TITANIUM METALS CORP DE 7.01,9.01 10/27/06 TNR TECHNICAL INC NY 8.01 10/30/06 TOMPKINS TRUSTCO INC NY 8.01,9.01 10/24/06 TORVEC INC NY 1.01,8.01 10/30/06 TOWER AUTOMOTIVE INC DE 7.01,9.01 10/30/06 Transnational Automotive Group, Inc. NV 5.02 10/25/06 TRIAD HOSPITALS INC DE 2.02,9.01 10/30/06 TRUSTREET PROPERTIES INC MD 8.01,9.01 10/30/06 TTM TECHNOLOGIES INC WA 2.01,9.01 10/27/06 ULTRA CLEAN HOLDINGS INC 8.01 10/26/06 UNION DRILLING INC DE 5.02,7.01,9.01 10/27/06 UNITED HERITAGE CORP UT 8.01 10/30/06 UNITED THERAPEUTICS CORP DE 1.01,2.03,3.02,8.01,9.01 10/24/06 Universal Truckload Services, Inc. MI 1.01,9.01 10/24/06 VALERO GP HOLDINGS LLC DE 2.02,9.01 10/30/06 VALERO L P DE 2.02,9.01 10/30/06 VALLEY FINANCIAL CORP /VA/ VA 2.02 10/27/06 Verigy Ltd. U0 5.02,9.01 10/24/06 VERIZON COMMUNICATIONS INC DE 2.02 10/30/06 VISKASE COMPANIES INC DE 7.01 10/30/06 VIVUS INC CA 2.02,9.01 10/26/06 Wells Fargo Mortgage Backed Securitie DE 9.01 10/30/06 Wells Fargo Mortgage Backed Securitie DE 9.01 10/30/06 Wells Fargo Mortgage Backed Securitie DE 9.01 10/27/06 Wells Fargo Mortgage Backed Securitie DE 9.01 10/27/06 WEST CORP DE 1.01,1.02,2.03,3.01,3.03, 10/24/06 5.01,5.02,5.03,8.01 WESTMORELAND COAL CO DE 8.01,9.01 10/30/06 WESTMORELAND COAL CO DE 5.02 10/23/06 WHEELING PITTSBURGH CORP /DE/ DE 1.01,1.02,3.03,9.01 10/24/06 WHOLE LIVING INC NV 8.01 10/27/06 WILLIS GROUP HOLDINGS LTD D0 5.04 10/30/06 WILLOW FINANCIAL BANCORP, INC. PA 1.01 10/24/06 WINSONIC DIGITAL MEDIA GROUP LTD NV 2.01,9.01 05/16/06 AMEND WIRELESS HOLDINGS INC FL 8.01,9.01 10/30/06 WITNESS SYSTEMS INC DE 8.01,9.01 10/27/06 WWA GROUP INC NV 5.02 10/18/06 XECHEM INTERNATIONAL INC DE 1.01,3.02 10/24/06 XETHANOL CORP CO 8.01,9.01 10/24/06 YADKIN VALLEY FINANCIAL CORP NC 2.02,9.01 10/27/06 ZOMAX INC /MN/ MN 2.01 10/20/06 ZUNICOM INC TX 5.02,9.01 10/25/06