SEC NEWS DIGEST Issue 2005-198 October 14, 2005 COMMISSION ANNOUNCEMENTS COMMISSION RESTRICTS WITHDRAWALS, LOANS AND ADVANCES FROM BROKER-DEALERS AFFILIATED WITH REFCO, INC. On October 13, the Commission issued an Order pursuant to Section 15 of the Securities Exchange Act of 1934 and Rule 15c3-1 thereunder restricting withdrawals of equity capital and unsecured loans and advances to stockholders, partners, employees, or affiliates by REFCO Securities, LLC and REFCO Clearing, LLC, which are broker-dealers registered with the Commission and affiliates of REFCO, Inc. Commission Rule 15c3-1 requires a broker-dealer to maintain a certain, minimum level of “net capital” to assure that the broker-dealer holds sufficient liquid assets to meet current obligations to customers and other creditors and, if in financial difficulty, wind down operations in an orderly manner. Paragraph (e)(3)(i) of Rule 15c3-1 allows the Commission to, by order, restrict a broker-dealer’s withdrawal of equity capital, and unsecured loans and advances to stockholders, partners, employees, or affiliates for up to twenty (20) business days if those withdrawals, loans or advances exceed certain levels and the Commission, based on facts and information available, concludes that the withdrawals, loans or advances may be detrimental to the financial integrity of the broker-dealer or may unduly jeopardize the broker- dealer’s ability to repay customer claims or other liabilities which may cause a significant impact on the markets or expose customers or creditors to loss. In the Order, the Commission concluded that a withdrawal of equity capital by REFCO Securities, LLC or REFCO Clearing, LLC, or an unsecured loan or advance from one of these two broker-dealers to a stockholder, partner, employee, or affiliate would reduce the broker-dealer’s liquidity and, consequently, could impair its ability to meet obligations to customers, counterparties, and clearing agencies. A copy of the Order is available on the Commission’s website: http://www.sec.gov/rules/other.shtml. (Rel. 34-52606) JOY GAINES THOMPSON NAMED ACTING DISTRICT ADMINISTRATOR OF THE SEC’S PHILADELPHIA DISTRICT OFFICE On October 14, the Securities and Exchange Commission announced that Joy Gaines Thompson has been named as the Acting District Administrator of the SEC’s Philadelphia District Office (PDO). The office is responsible for the SEC’s examination and enforcement programs in an area comprising Pennsylvania, Delaware, Maryland, Virginia, West Virginia and the District of Columbia. Thompson currently serves as the Associate District Administrator for Examinations in the PDO and will continue to carry out the responsibilities of that position as the Acting District Administrator. She will assume her new role upon the departure of the current District Administrator, Arthur Gabinet, who will leave the SEC at the end of October to head up the securities regulation group at the Vanguard Group. Thompson has been the Associate District Administrator (Examinations) since February 2003. She joined the SEC’s staff in the Philadelphia Office in July 1986 as an enforcement staff attorney, and subsequently served as Special Counsel, Branch Chief and Assistant District Administrator for Enforcement. In June 1994, she was selected to be the Associate District Administrator of the PDO. Thompson has served as the Acting Administrator of the Philadelphia Office on two previous occasions. Prior to joining the Commission, Ms. Thompson completed a clerkship for the late William F. Hall, Jr., U.S. Magistrate, United States District Court, Eastern District of Pennsylvania, and was an Attorney-Advisor in the Office of General Counsel of the United States General Accounting Office in Washington, D.C. She received her J.D. from the University of Pennsylvania Law School in May 1982, and her B.A., cum laude, from Tufts University in May 1979. (Press Rel. 2005-150) ENFORCEMENT PROCEEDINGS IN THE MATTER OF HUNTER ADAMS, ET AL. On October 14, the Commission issued Orders Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934, as to Jonathan D. Winston, Joseph P. Mannino and Christopher J. Russo (collectively, the Orders). The Orders set forth that Winston, Mannino, and Russo have been ordered to cease and desist from future violations of the antifraud and registration provisions of the securities laws as a result of their involvement in a fraudulent offering of securities by National Medical Financial Services (NMFS) and Ashton Technology Group, Inc. (Ashton). In the Orders, the Commission finds that Winston, as one of several principals and registered representatives of First United Equities Corp. (First United), caused large blocks of NMFS and Ashton securities to be sold into both the First United inventory accounts and nominee accounts, which he controlled, giving Winston and other principals control over the sales of the securities and all or a portion of the proceeds. The Commission, in the Orders, also finds that Mannino and Russo, as registered representatives of First United, along with Winston, used a variety of fraudulent devices, such as high pressure and deceptive sales practices, to artificially inflate the market price of the Ashton and NMFS securities, and subsequently to sell the securities, in First United’s inventory and under First United’s control, to First United customers at inflated prices. As a result of the conduct described above, the Commission, in the Orders, finds that Winston, Mannino, and Russo each willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Orders direct Winston, Mannino, and Russo to cease and desist from committing or causing any violation and any future violation of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, bar Winston, Mannino, and Russo from participating in any offering of penny stock, and bar Winston, Mannino, and Russo from association with any broker or dealer. Winston, Mannino and Russo each consented to the issuance of the Orders without admitting or denying the factual findings therein. As described in the Orders, on May 3, 2001, Oct. 7, 2002, and Oct. 28, 2002, respectively, Russo, Winston, and Mannino each pleaded guilty to: (1) conspiracy to commit securities, mail and wire fraud and conspiracy to commit money laundering; (2) conspiracy to commit securities, mail and wire fraud; and (3) conspiracy to commit securities, mail and wire fraud and securities fraud, and were sentenced in connection with their manipulation of NMSF and Ashton securities in U.S. v. Jonathan Winston, et al., 00 Cr. 1248 (NGG). (In the Matter of Hunter Adams, et al., as to Joseph P. Mannino - Rels. 33-8625; 34-52608; File No. 3-10437; In the Matter of Hunter Adams, et al., as to Christopher J. Russo – Rels. 33- 8626; 34-52609; File No. 3-10437; In the Matter of Hunter Adams, et al., as to Jonathan D. Winston – Rels. 33-8627; 34-52610; File No. 3-10437) COMMISSION SUSTAINS NASD BAR AGAINST MARK MIZENKO On October 13, the Commission sustained NASD's finding that Mark F. Mizenko engaged in conduct inconsistent with just and equitable principles of trade. Mizenko admitted that he had forged the signature of an American Express Financial Advisors, Inc. (AEFA) executive vice president on a form corporate resolution that obligated AEFA to guarantee certain loans and leases. Mizenko claimed that he believed that he had authorization to affix the vice president's name to the resolution. The Commission found that Mizenko's belief was not in good faith. Mizenko previously had acted as a notary public and should have been aware of the impropriety of copying another person's signature. He traced the signature and used his old notary seal to masquerade as an AEFA corporate seal. The Commission concluded that Mizenko's conduct was egregious and sustained NASD's imposition of a bar. (Rel. 34-52600; File No. 3-11806) COMMISSION DECLARES INITIAL DECISION DISCIPLINING KENNETH RUBIN CPA AND MICHAEL LEWIS CPA FINAL The Commission has issued notice that the initial decision in a proceeding brought against Kenneth L. Rubin and Michael W. Lewis pursuant to Rule of Practice 102(e) has become final. Rubin was the engagement partner and Lewis the manager for the audit of the 2000 financial statements of Eisner Securities, Inc. Eisner formerly was a registered broker-dealer. The law judge found that Eisner failed to include an accrual in its financial statements for a contingent liability. The liability arose from Eisner's offer to settle potential claims of its customers whose funds had been misappropriated by a former Eisner registered representative. In accordance with General Accepted Accounting Principles, Statement of Financial Accounting Standards No. 5 required that Eisner accrue the liability from the proposed settlements because the firm's liability was both probable and estimable. The law judge found that Rubin and Lewis failed to use professional due care during the planning phase of the audit and failed to obtain sufficient competent evidential matter with respect to this liability. If the liability had been reflected properly in Eisner's 2000 financial statements, Eisner's net capital position would have been in deficit by more than $1.4 million. The law judge denied both Rubin and Lewis the privilege of appearing or practicing before the Commission for three years. On Sept. 26, 2001, Eisner reported to the Commission and NASD that it was in violation of the net capital rule. Eisner was placed in liquidation proceedings on Oct. 31, 2001, by the Securities Investor Protection Corporation and subsequently withdrew its broker-dealer registration. (Rels. 34-52607; AAER-2336; File No. 3-11748) ACTION FILED AGAINST JOHN WHITTIER, WOOD RIVER CAPITAL MANAGEMENT, LLC, OTHERS On October 13, the Commission filed an emergency action against John H. Whittier, Wood River Capital Management, LLC, Wood River Associates, LLC, Wood River Partners, L.P and Wood River Partners Offshore, Ltd. The SEC’s complaint alleges that the defendants repeatedly made material misrepresentations regarding the oversight and diversification of two hedge funds managed by Whittier--Wood River Partners, L.P. and Wood River Partners Offshore Ltd. Simultaneous with the filing of the Commission’s complaint, Defendant Whittier consented to preliminary injunctions against future violations, an asset freeze as to the Wood River entities, an accounting and a partial asset freeze from Whittier, restraint from destruction of evidence, and the appointment of a receiver for the Wood River entities. The Commission alleged that the defendants violated Section 17(a) of the Securities Act, 15 U.S.C. § 77q(a); Sections 10(b), 13(d), 16(a) of the Exchange Act, 15 U.S.C. §§ 78j(b), 78m(d), and 78p(a), and Rules 10b-5, 13d-1, 13d-2, 16a-2 and 16a-3, 17 C.F.R. §§ 240.10b-5, 240.13d-1, 240.13d-2, 240.16a-2, and 240.16a-3. The complaint also alleges that Defendants Wood River Capital Management, LLC, Wood River Associates, LLC and John H. Whittier violated Sections 206(1) and (2) of the Investment Advisers Act of 1940, 15 U.S.C. § 80b-6(1) and (2). For permanent relief, the Commission requested injunctions against future violations, disgorgement, prejudgment interest and civil penalties. [SEC v. Wood River Capital Management, LLC, et al., U.S. District Court for Southern District of New York, Civil Action No. 05-CV-8713, NRB] (LR-19428) SEC FILES SETTLED INSIDER TRADING CASE On October 12, the Commission charged Robert B. Petrosky with insider trading based on his purchase of Premcor, Inc. stock while in possession of material non-public information concerning Valero Energy Corporation’s intention to acquire Premcor. Simultaneous with the filing of the Commission’s complaint, and without admitting or denying the allegations, Defendant Petrosky consented to a court order enjoining him from future violations of the securities laws and ordering him to pay more than $62,000.00 in wrongful trading profits and penalties. The Commission’s complaint alleges that Petrosky learned of Valero’s intent to acquire Premcor during a dinner conversation with his wife, a Valero employee. Subsequent to learning this material non-public information, and without his wife’s knowledge, Petrosky purchased 3,800 shares of Premcor stock between March 17 and April 22, 2005. On April 25, 2005, when Valero announced its planned acquisition of Premcor, Petrosky liquidated his 3,800 shares of Premcor stock realizing $41,381.85 in illegal trading profits. In addition to disgorging his trading profits, Petrosky agreed to pay a civil penalty of $20,690.91, equal to one-half of his profits. Petrosky also agreed to the entry of a permanent injunction prohibiting him from violations of the antifraud provisions of the securities laws, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In accepting Petrosky’s settlement, the Commission took into account his significant cooperation in the staff’s investigation, including the fact that he voluntarily came forward, reported his trades, and worked promptly with the staff to resolve the matter. [SEC v. Robert B. Petrosky, Civil Action No. SA-05-CA1000-FB, USDC W.D. TX] (LR-19429) SELF REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission published notice of and granted accelerated approval to a proposed rule change (SR-ISE-2005-40) filed by the International Securities Exchange relating to market maker quotation obligations. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-52596) DELISTING An order has been issued granting the application of the New York Stock Exchange to strike fromn listing and registration the common stock, $.01 par value, of Midwest Air Group, Inc., effective at the opening of business on October 14. (Rel. 34-52605) 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 Extra Space Storage Inc., 2795 COTTONWOOD PARKWAY, SUITE 400, SALT LAKE CITY, UT, 84121, 801-562-5556 - 0 ($800,000,000.00) Other, (File 333-128970 - Oct. 13) (BR. 08B) F-1 MASISA S.A., AV. APOQUINDO 3650, PISO 10, LAS CONDES, SANTIAGO, F3, 00000, 56 (2) 350-6000 - 0 ($11,205,000.00) Equity, (File 333-128972 - Oct. 13) (BR. 06) SB-2 HEARTLAND, INC., 3300 FERNBROOKE LANE, SUITE 180, PLYMOUTH, MN, 55447, 866-838-0600 - 35,000,000 ($67,707,000.00) Equity, (File 333-128973 - Oct. 13) (BR. 09A) F-1 DIVERSINET CORP, 2225 SHEPPARD AVE EAST STE 1801, TORONTO CANADA M2J 5C2, ONTARIO, A6, 00000, 4167562324 - 5,370,250 ($2,899,935.00) Equity, (File 333-128975 - Oct. 13) (BR. 03B) S-8 GENESYS SA, 4 RUE JULES FERRY BP 1145, MONTPELLIER CE, X0, 34008, 0113346706 - 0 ($1,700,000.00) Equity, (File 333-128976 - Oct. 13) (BR. 11C) S-8 NATIONAL ATLANTIC HOLDINGS CORP, 303 WEST MAIN ST, FREEHOLD, NJ, 07723, 9087800700 - 0 ($2,340,318.00) Equity, (File 333-128977 - Oct. 13) (BR. 01B) S-3 DURECT CORP, 10240 BUBB RD, CUPERTINO, CA, 95014, 4087771417 - 0 ($75,000,000.00) Equity, (File 333-128979 - Oct. 13) (BR. 01A) SB-2 NEWPORT INTERNATIONAL GROUP INC, 73061 EL PASEO, SUITE 202, PALM DESERT, CA, 92260, 760-779-0251 - 11,155,674 ($13,052,139.00) Equity, (File 333-128980 - Oct. 13) (BR. 08C) S-3 EQUITY INNS INC, 7700 WOLF RIVER BOULEVARD, GERMANTOWN, TN, 38138, 9017547774 - 301,315 ($3,883,950.35) Equity, (File 333-128981 - Oct. 13) (BR. 08B) SB-2 GLYCONIX CORP, 350 5TH AVE, SUITE 7415, NEW YORK, NY, 10118, 212-404-7050 - 0 ($19,635,000.00) Equity, (File 333-128986 - Oct. 13) (BR. 09) S-8 SEACHANGE INTERNATIONAL INC, 124 ACTON ST, 2ND FLOOR, MAYNARD, MA, 01754, 9788970100 - 0 ($9,847,950.00) Equity, (File 333-128987 - Oct. 13) (BR. 11C) S-3 Extra Space Storage Inc., 2795 COTTONWOOD PARKWAY, SUITE 400, SALT LAKE CITY, UT, 84121, 801-562-5556 - 0 ($189,673,048.00) Equity, (File 333-128988 - Oct. 13) (BR. 08B) S-3 DRIL-QUIP INC, 7139397711 - 0 ($200,000,000.00) Other, (File 333-128989 - Oct. 13) (BR. 04C) S-3 IDM PHARMA, INC., 5820 NANCY RIDGE DRIVE, SAN DIEGO, CA, 92121, 858-860-2500 - 9,432,326 ($49,331,064.98) Equity, (File 333-128990 - Oct. 13) (BR. 01A) SB-2 HUMAN BIOSYSTEMS INC, 1127 HARKER AVE, PALO ALTO, CA, 94301, 6503230943 - 20,000,000 ($25,000,000.00) Equity, (File 333-128991 - Oct. 13) (BR. 01C) S-8 PEPSI BOTTLING GROUP INC, ONE PEPSI WAY, SOMERS, NY, 10589-2201, 9147676000 - 0 ($386,820,000.00) Equity, (File 333-128992 - Oct. 13) (BR. 02B) S-8 PEPSI BOTTLING GROUP INC, ONE PEPSI WAY, SOMERS, NY, 10589-2201, 9147676000 - 0 ($55,260,000.00) Equity, (File 333-128993 - Oct. 13) (BR. 02B) SB-2 SURGE ENTERPRISES, INC., 205 - 340 LINDEN AVENUE, VICTORIA, A1, V8V 4E9, 250-858-9862 - 2,005,000 ($300,750.00) Equity, (File 333-128995 - Oct. 13) (BR. 09) 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 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 DATE COMMENT ACCESS PHARMACEUTICALS INC DE 7.01 10/12/05 AEGIS COMMUNICATIONS GROUP INC DE 1.01 10/06/05 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,5.02,8.01,9.01 10/07/05 AKORN INC LA 8.01,9.01 10/10/05 ALICO INC FL 8.01 10/11/05 Allis Chalmers Energy Inc. DE 1.01,2.01 10/07/05 AMCORE FINANCIAL INC NV 2.02,9.01 10/13/05 AMERICAN OIL & GAS INC NV 1.01,2.01,7.01,9.01 10/13/05 AMERICAN STATES WATER CO CA 1.01,2.03,9.01 10/11/05 American Tire Distributors Holdings, 1.01,1.02 10/06/05 AMERICAN TONERSERV CORP. DE 5.02 10/07/05 AMERIQUEST MORTGAGE SECURITIES INC., DE 2.01,9.01 09/16/05 AMF BOWLING WORLDWIDE INC DE 2.01,9.01 10/07/05 AMSOUTH BANCORPORATION DE 1.02,9.01 10/13/05 ANALOGIC CORP MA 2.05,2.06 09/28/05 ANALYTICAL SURVEYS INC CO 1.01 10/10/05 APACHE CORP DE 8.01,9.01 10/13/05 APEX SILVER MINES LTD 3.02 10/12/05 ARADIGM CORP CA 1.01,9.01 10/07/05 ARCH CHEMICALS INC VA 5.02,5.03,9.01 10/11/05 Argent Securities Inc., Asset-Backed 2.01,8.01,9.01 09/26/05 ARIEL WAY INC FL 5.02,9.01 10/12/05 ARRAY BIOPHARMA INC DE 1.01,8.01,9.01 10/13/05 ASAH CORP DE 1.01,3.02,5.01,9.01 10/10/05 ASSET BACKED SECURITIES CORP DE 8.01,9.01 10/13/05 AUBURN NATIONAL BANCORPORATION INC DE 2.02,9.01 10/12/05 AULT INC MN 2.02,9.01 10/10/05 AULT INC MN 5.02,9.01 10/10/05 AUXILIUM PHARMACEUTICALS INC 4.01,9.01 10/07/05 AVON PRODUCTS INC NY 8.01 10/07/05 AVON PRODUCTS INC NY 5.02,9.01 10/12/05 AVONDALE INC GA 8.01 10/13/05 Banc of America Commercial Mortgage I DE 8.01,9.01 10/11/05 Banc of America Funding Corp. 2005-5 DE 8.01,9.01 09/29/05 Banc of America Funding Corp. 2005-G DE 8.01,9.01 09/29/05 BANC OF AMERICA MORTGAGE SECURITIES I DE 8.01,9.01 10/12/05 BANK OF THE OZARKS INC AR 2.02,7.01,9.01 10/12/05 BARRIER THERAPEUTICS INC DE 7.01,9.01 10/12/05 BEACON POWER CORP DE 1.01,9.01 10/07/05 BEAR STEARNS ARM TRUST, MORTGAGE-BACK 9.01 07/29/05 AMEND BEAR STEARNS ARM TRUST, MORTGAGE-BACK DE 9.01 09/29/05 Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 09/28/05 BECKMAN COULTER INC DE 5.02 10/06/05 BEKEM METALS INC UT 7.01,8.01,9.01 10/07/05 BIMINI MORTGAGE MANAGEMENT INC MD 2.02,7.01,9.01 10/13/05 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 1.01 10/10/05 BRISTOL MYERS SQUIBB CO DE 1.01,5.02 10/10/05 BROADWING CORP DE 5.02 10/07/05 BROOKE CORP KS 8.01,9.01 10/11/05 BUCKLE INC NE 8.01,9.01 10/13/05 BWC FINANCIAL CORP CA 2.02 09/30/05 CALPINE CORP DE 2.05,2.06,8.01,9.01 10/06/05 CAMBREX CORP DE 1.01,2.03,9.01 10/12/05 CANDELA CORP /DE/ DE 1.01 10/07/05 CAPACITIVE DEIONIZATION TECHNOLOGY SY NV 1.01,9.01 10/12/05 CAPCO ENERGY INC CO 4.01,9.01 10/07/05 CAPITALSOURCE INC DE 8.01,9.01 10/06/05 CAPTEC FRANCHISE CAPITAL PARTNERS L P DE 2.01,9.01 10/07/05 CASUAL MALE RETAIL GROUP INC DE 5.02 10/12/05 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,2.01,5.02,9.01 10/12/05 CENTURY BANCORP INC MA 8.01,9.01 10/13/05 CF Industries Holdings, Inc. DE 2.02,9.01 10/13/05 CHAPARRAL RESOURCES INC DE 5.02 10/10/05 Chaparral Steel CO DE 1.01,9.01 10/10/05 CHEMOKINE THERAPEUTICS CORP DE 8.01 10/05/05 CHESAPEAKE CORP /VA/ VA 5.02,5.03,9.01 10/11/05 CHESAPEAKE ENERGY CORP OK 5.03,9.01 10/10/05 CITIZENS FIRST CORP KY 1.01,5.02 10/06/05 CMGI INC DE 1.01,9.01 10/06/05 COCA COLA ENTERPRISES INC DE 8.01 10/13/05 COMMERCE BANCSHARES INC /MO/ MO 2.02 10/12/05 COMMERCE ENERGY GROUP INC DE 1.01,5.02,9.01 10/08/05 COMPOSITE TECHNOLOGY CORP NV 1.01,3.02,9.01 10/13/05 CONMED CORP NY 2.02,9.01 10/12/05 CONSOL ENERGY INC 1.01,9.01 10/07/05 CONSOLIDATED ENERGY INC WY 1.01,8.01,9.01 10/13/05 CORNERSTONE REALTY FUND LLC CA 5.02,8.01 10/11/05 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 09/28/05 CWABS INC. ASSET-BACKED CERTIFICATES DE 8.01,9.01 09/28/05 CWABS INC. ASSET-BACKED CERTIFICATES DE 9.01 09/28/05 CWHEQ Revolving Home Equity Loan Asse 8.01,9.01 09/29/05 CWHEQ Revolving Home Equity Loan Asse 8.01,9.01 09/30/05 CWHEQ Revolving Home Equity Loan Asse 8.01,9.01 09/30/05 CWHEQ Revolving Home Equity Loan Asse 8.01,9.01 09/30/05 CYBER DEFENSE SYSTEMS INC FL 8.01,9.01 10/13/05 DATALINK CORP MN 2.02,9.01 10/12/05 DATARAM CORP NJ 5.02,9.01 10/13/05 Deutsche Alt-A Securities, Inc. Mortg 2.01,8.01,9.01 09/28/05 DEUTSCHE RECREATIONAL ASSET FUNDING C NV 8.01,9.01 09/30/05 DORCHESTER MINERALS LP DE 2.02,7.01,9.01 09/30/05 DOVER CORP DE 8.01,9.01 10/05/05 DRUGMAX INC NV 1.01,1.02,2.03,8.01,9.01 10/12/05 DUPONT E I DE NEMOURS & CO DE 8.01,9.01 10/13/05 DURECT CORP DE 2.02,8.01,9.01 10/13/05 DWANGO NORTH AMERICA CORP NV 5.02,9.01 10/07/05 Eagle Bulk Shipping Inc. 5.02 10/06/05 EBAY INC DE 1.01,3.02,9.01 09/11/05 AMEND EDUCATION MANAGEMENT CORPORATION 1.01,8.01,9.01 10/12/05 EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 10/13/05 EGL INC TX 1.01,1.02,2.03,9.01 10/12/05 EGPI FIRECREEK, INC. NV 8.01 07/21/05 AMEND El Pollo Loco, Inc. DE 8.01,9.01 10/12/05 ENDO PHARMACEUTICALS HOLDINGS INC DE 2.03,8.01,9.01 10/12/05 ENTERPRISE FINANCIAL SERVICES CORP DE 1.01,3.02,7.01,9.01 10/13/05 EP MEDSYSTEMS INC NJ 5.02 10/09/05 EPL Intermediate, Inc. DE 8.01,9.01 10/12/05 EPLUS INC DE 7.01 10/13/05 EUROWEB INTERNATIONAL CORP DE 1.01,2.01,3.02,9.01 10/07/05 EVANS BOB FARMS INC DE 1.01,1.02,9.01 10/10/05 EXCO RESOURCES INC TX 1.01 10/07/05 FACTORY CARD OUTLET CORP DE 1.01,9.01 10/07/05 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 10/13/05 FASTENAL CO MN 3.03,5.03,9.01 10/11/05 Federal Home Loan Bank of New York X1 2.03,9.01 10/11/05 Federal Home Loan Bank of San Francis X1 2.03 10/13/05 FGI GROUP INC DE 8.01,9.01 10/13/05 FIRST FEDERAL BANKSHARES INC DE 5.02,9.01 10/11/05 FIRST M&F CORP/MS MS 8.01,9.01 10/12/05 FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 10/13/05 FISHER COMMUNICATIONS INC WA 8.01,9.01 10/13/05 FLOWSERVE CORP NY 1.01,9.01 10/06/05 FMC TECHNOLOGIES INC DE 1.01 10/07/05 FNB CORP/FL/ FL 2.01,9.01 10/07/05 FORTUNE OIL & GAS INC 8.01,9.01 10/07/05 FRONTIER STAFFING INC NV 5.03,8.01 10/13/05 FTS GROUP, INC. CO 8.01,9.01 10/13/05 GE-WMC Asset-Backed Pass Through Cert 2.01,9.01 09/28/05 GENERAL CABLE CORP /DE/ DE 1.01,8.01,9.01 10/13/05 GENESIS ENERGY LP DE 1.01,9.01 10/11/05 GFI Group Inc. DE 7.01,9.01 10/13/05 GMACM HOME EQUITY LOAN TRUST 2005-HE3 DE 8.01,9.01 10/11/05 GOODYS FAMILY CLOTHING INC /TN TN 8.01,9.01 10/12/05 GS MORTGAGE SECURITIES CORP DE 8.01 10/11/05 GSAMP Trust 2005-WMC1 DE 8.01,9.01 09/28/05 HAMPTON ROADS BANKSHARES INC VA 2.02,7.01,9.01 10/13/05 AMEND HCA INC/TN DE 2.02,7.01,8.01,9.01 10/13/05 HEALTH NET INC DE 1.01,9.01 10/10/05 HEMOSENSE INC DE 8.01,9.01 10/05/05 HERITAGE OAKS BANCORP CA 2.02,9.01 09/30/05 HOME EQUITY ASSET TRUST 2005-6 DE 8.01,9.01 10/13/05 HOME FEDERAL BANCORP, INC. OF LOUISIA 7.01,9.01 10/12/05 HORIZON HEALTH CORP /DE/ DE 2.05,9.01 08/29/05 AMEND HOUSE OF BRUSSELS CHOCOLATES INC NV 5.02 10/07/05 ICOA INC NV 1.01,3.02,9.01 10/13/05 IMERGENT INC DE 4.01,9.01 10/12/05 AMEND IMH ASSETS CORP., COLLATERALIZED ASSE DE 2.01,8.01,9.01 09/29/05 IMH ASSETS CORP., COLLATERALIZED ASSE DE 9.01 09/29/05 INCO LTD 1.01,9.01 10/12/05 INFOSONICS CORP 1.01,9.01 10/06/05 INTRABIOTICS PHARMACEUTICALS INC /DE DE 3.01,3.03,9.01 10/12/05 K-SEA TRANSPORTATION PARTNERS LP DE 8.01,9.01 10/11/05 KANSAS CITY SOUTHERN DE 7.01,9.01 10/11/05 KFX INC DE 5.02 10/12/05 KIRBY CORP NV 2.02,9.01 10/12/05 KNAPE & VOGT MANUFACTURING CO MI 8.01 10/13/05 KNIGHT FULLER INC DE 1.01 10/07/05 LA JOLLA PHARMACEUTICAL CO DE 7.01,9.01 10/13/05 LANDSTAR SYSTEM INC DE 2.02,9.01 10/13/05 Lazy Days R.V. Center, Inc. 1.01,9.01 10/13/05 LB-UBS Commercial Mortgage Trust 2005 1.01,9.01 08/25/05 AMEND LEHMAN BROTHERS HOLDINGS INC DE 9.01 10/13/05 LESCO INC/OH OH 1.01,2.01,2.06,9.01 10/07/05 Liberty Global, Inc. DE 7.01 10/13/05 LIBERTY STAR GOLD CORP NV 9.01 10/11/05 LIGHTPATH TECHNOLOGIES INC DE 2.02 10/13/05 LONE STAR TECHNOLOGIES INC DE 2.02,9.01 10/12/05 MAAX Holdings, Inc. DE 2.02,9.01 10/13/05 MAAX Holdings, Inc. DE 2.02,9.01 10/13/05 AMEND MAIR HOLDINGS INC MN 1.03,9.01 10/13/05 MARINE PRODUCTS CORP DE 8.01,9.01 10/13/05 MARITRANS INC /DE/ DE 1.01,2.03 10/07/05 MARKLAND TECHNOLOGIES INC FL 1.01,1.02,3.02,9.01 10/04/05 AMEND MATRIX SERVICE CO DE 3.02 10/07/05 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 9.01 08/31/05 AMEND MESTEK INC PA 1.01,7.01,9.01 10/13/05 METALDYNE CORP DE 1.01,8.01 10/07/05 MFC DEVELOPMENT CORP DE 1.01,9.01 10/06/05 MGP INGREDIENTS INC KS 7.01,9.01 10/13/05 MGP INGREDIENTS INC KS 7.01,9.01 10/13/05 MICROPAC INDUSTRIES INC DE 5.02 10/13/05 MOLINA HEALTHCARE INC DE 1.01,9.01 10/06/05 MONEY CENTERS OF AMERICA, INC. DE 8.01,9.01 10/13/05 MortgageIT Securities Corp. DE 8.01,9.01 10/13/05 MOSAIC CO 5.02 10/10/05 MR3 SYSTEMS INC DE 1.01,3.02,9.01 10/11/05 MYOGEN INC DE 1.01,8.01 10/07/05 NAVIGANT INTERNATIONAL INC DE 2.02,9.01 10/11/05 AMEND NAVIGATORS GROUP INC DE 8.01 10/12/05 New Skies Satellites Holdings Ltd. D0 1.01,9.01 10/10/05 NewPage CORP DE 1.01,9.01 10/07/05 NEWS CORP 8.01,9.01 10/12/05 NEXEN INC A0 2.02,9.01 10/13/05 NORTHEAST UTILITIES MA 8.01 10/12/05 NOVASTAR FINANCIAL INC MD 7.01,9.01 10/10/05 NOVOSTE CORP /FL/ FL 1.01,9.01 10/12/05 OBSIDIAN ENTERPRISES INC DE 5.02 06/21/05 OFFSHORE LOGISTICS INC DE 5.02 10/13/05 OHIO CASUALTY CORP OH 8.01,9.01 10/13/05 OHIO VALLEY BANC CORP OH 2.02,9.01 09/30/05 OMEGA PROTEIN CORP NV 1.01,9.01 10/11/05 OMNICARE INC DE 2.01,9.01 07/28/05 AMEND OPEN SOLUTIONS INC DE 1.01,9.01 10/10/05 ORACLE CORP /DE/ DE 1.01,9.01 10/10/05 Orange 21 Inc. DE 5.02,9.01 10/11/05 OSI PHARMACEUTICALS INC DE 8.01,9.01 10/12/05 OVERLAND STORAGE INC CA 7.01,9.01 10/13/05 OVERSEAS SHIPHOLDING GROUP INC DE 1.01,9.01 10/06/05 OVERSEAS SHIPHOLDING GROUP INC DE 8.01 10/07/05 PACIFICARE HEALTH SYSTEMS INC /DE/ DE 1.01,9.01 10/11/05 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 1.01,9.01 10/10/05 PHOENIX COMPANIES INC/DE DE 1.01,8.01,9.01 10/10/05 PINNACLE WEST CAPITAL CORP AZ 8.01 10/11/05 PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 10/13/05 PNM RESOURCES INC NM 7.01 09/30/05 POINT THERAPEUTICS INC DE 8.01,9.01 10/13/05 POLARIS INDUSTRIES INC/MN MN 2.02 10/13/05 POPULAR ABS, INC. DE 8.01,9.01 10/11/05 PORTRAIT CORP OF AMERICA, INC. 1.01 10/06/05 PPG INDUSTRIES INC PA 8.01,9.01 10/10/05 PREMIER COMMUNITY BANKSHARES INC VA 2.02,9.01 10/12/05 PREMIER ENTERTAINMENT BILOXI LLC DE 1.01,8.01,9.01 10/13/05 PRINCIPAL LIFE INSURANCE CO IA 9.01 10/07/05 PRINCIPAL LIFE INSURANCE CO IA 9.01 10/07/05 PRINCIPAL LIFE INSURANCE CO IA 9.01 10/07/05 PROCERA NETWORKS INC NV 5.03,7.01,8.01,9.01 10/12/05 PROCTER & GAMBLE CO OH 5.02 10/13/05 PROLONG INTERNATIONAL CORP NV 2.04 10/10/05 Protective Life Secured Trust 2005-10 DE 1.03,2.01,8.01,9.01 10/11/05 Protective Life Secured Trust 2005-12 DE 1.03,2.01,8.01,9.01 10/11/05 Protective Life Secured Trust 2005-14 DE 1.03,2.01,8.01,9.01 10/11/05 Protective Life Secured Trust 2005-15 DE 1.03,2.01,8.01,9.01 10/11/05 Protective Life Secured Trust 2005-2 DE 1.03,2.01,8.01,9.01 10/11/05 Protective Life Secured Trust 2005-3 DE 1.03,2.01,8.01,9.01 10/11/05 Protective Life Secured Trust 2005-6 DE 1.03,2.01,8.01,9.01 10/11/05 Protective Life Secured Trust 2005-7 DE 1.03,2.01,8.01,9.01 10/11/05 Protective Life Secured Trust 2005-8 DE 1.03,2.01,8.01,9.01 10/11/05 PUBLIC SERVICE CO OF NEW MEXICO NM 7.01 09/30/05 PYR ENERGY CORP DE 3.02 10/06/05 RADNOR HOLDINGS CORP DE 1.01 10/07/05 RASER TECHNOLOGIES INC UT 5.02 10/07/05 RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 10/07/05 RELIV INTERNATIONAL INC IL 1.01,9.01 10/13/05 RELM WIRELESS CORP NV 8.01,9.01 10/13/05 RENTECH INC /CO/ CO 8.01 10/07/05 REPUBLIC BANCORP INC MI 2.02 09/30/05 RF MONOLITHICS INC /DE/ DE 2.02,9.01 10/13/05 RG America, Inc. NV 2.01,9.01 10/12/05 RPC INC DE 8.01,9.01 10/13/05 Saxon Asset Securities Trust 2005-3 VA 8.01 09/29/05 SEACOR HOLDINGS INC /NEW/ DE 1.01 10/07/05 Sealy Mattress CORP DE 2.02,9.01 10/12/05 Securus Technologies, Inc. DE 1.01,2.03,9.01 10/12/05 Select Notes Trust LT 2004-1 DE 8.01,9.01 10/03/05 SENTO CORP UT 7.01,9.01 10/11/05 Sequoia Mortgage Trust 2005-4 8.01,9.01 09/29/05 SEVERN BANCORP INC MD 2.02,9.01 10/13/05 SG Mortgage Securities, LLC DE 8.01,9.01 10/13/05 SHIRE PHARMACEUTICALS GROUP PLC 8.01,9.01 10/13/05 SIRICOMM INC DE 8.01,9.01 10/12/05 SIRVA INC DE 1.01,5.02,9.01 10/06/05 SKINVISIBLE INC NV 1.01,9.01 10/07/05 SONIC CORP DE 2.02,9.01 10/12/05 SONIC CORP DE 2.02,9.01 10/12/05 AMEND SONIC CORP DE 2.02,9.01 10/12/05 AMEND SONO TEK CORP NY 7.01,9.01 10/13/05 SPATIALIGHT INC NY 1.01,3.02,9.01 10/12/05 Specialty Underwriters Alliance, Inc. DE 1.01,3.02,9.01 10/11/05 Stanwich Asset Acceptance CO LLC DE 6.01,9.01 10/05/05 STATE AUTO FINANCIAL CORP OH 8.01,9.01 10/11/05 STEEL TECHNOLOGIES INC KY 1.01,2.03,9.01 10/12/05 Stereotaxis, Inc. DE 8.01 10/13/05 STEWART ENTERPRISES INC LA 1.01 10/11/05 STRUCTURED ADJUSTABLE RATE MORTGAGE L DE 8.01,9.01 10/13/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 09/30/05 Tectonic Network, Inc DE 1.01,2.03,8.01,9.01 10/12/05 TEDA TRAVEL INC FL 3.02,5.02,5.03,8.01,9.01 10/07/05 TELEVIDEO INC DE 2.01,9.01 10/06/05 TETRA TECHNOLOGIES INC DE 2.02,9.01 10/13/05 TEXAS CAPITAL BANCSHARES INC/TX DE 1.01,9.01 10/06/05 TEXAS NEW MEXICO POWER CO TX 7.01 09/30/05 THOMAS PROPERTIES GROUP INC DE 2.01 10/13/05 TIME WARNER TELECOM INC DE 1.01 10/13/05 TOWER AUTOMOTIVE INC DE 2.05,9.01 10/13/05 TRANSACTION SYSTEMS ARCHITECTS INC DE 1.01,9.01 10/07/05 TRI-CONTINENTAL CORP MD 7.01,9.01 10/13/05 TRIBUNE CO DE 2.02,9.01 09/25/05 TRIBUNE CO DE 5.02,9.01 10/07/05 UMB FINANCIAL CORP MO 7.01,9.01 10/12/05 Uni-Pixel DE 1.01 10/06/05 UNITED HERITAGE CORP UT 1.01,8.01,9.01 10/07/05 VCA ANTECH INC DE 1.01,9.01 10/12/05 VENDINGDATA CORP NV 1.01,2.03,3.02 10/06/05 AMEND VIEWPOINT CORP DE 5.02,9.01 10/13/05 VIVA INTERNATIONAL INC DE 1.01 10/11/05 WALGREEN CO IL 1.01 10/12/05 Wells Fargo Asset Securities Corp Mor DE 8.01,9.01 09/28/05 WEST BANCORPORATION INC IA 8.01,9.01 10/12/05 WEST CORP DE 1.01,8.01,9.01 10/06/05 WESTERN ALLIANCE BANCORPORATION 3.03,5.03 10/12/05 WESTERN EXPLORATION INC. DE 1.01 10/12/05 WESTERN PLAINS ENERGY LLC KS 7.01,9.01 10/11/05 WINNEBAGO INDUSTRIES INC IA 2.02,9.01 10/13/05 WIRELESS TELECOM GROUP INC NJ 5.02,8.01,9.01 10/13/05 YP CORP NV 1.01,1.02,3.03,9.01 10/13/05