SEC NEWS DIGEST Issue 2004-167 August 30, 2004 ENFORCEMENT PROCEEDINGS COMMISSION BARS JESSE DEAN BOGDONOFF FROM ASSOCIATION WITH ANY BROKER, DEALER OR INVESTMENT ADVISER On August 27, the Commission issued an administrative order against Jesse Dean Bogdonoff, a Penngrove, California investment adviser. The Commission’s order finds that Bogdonoff was previously enjoined by a U.S. District Court from violations of the antifraud provisions of the federal securities laws. Based on that injunction, the Commission’s order bars Bogdonoff from association with any broker, dealer or investment adviser. Bogdonoff consented to issuance of the order without admitting or denying its findings, except that Bogdonoff admitted the existence of the injunction against him. According to the Commission’s order, on Aug. 9, 2004, judgment was entered by consent against Bogdonoff, permanently enjoining him from future violations of Sections 206(1) and 206(2) of the Advisers Act, and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Jesse Dean Bogdonoff and Wellness Technologies, Inc. (Civil Case No. C-03-4384-MJJ) in the U.S. District Court for the Northern District of California. The Commission's complaint in the district court action alleged, among other things, that from June 1999 to November 2001, Bogdonoff, while acting as an investment adviser, made material misrepresentations to induce an advisory client to invest $24.5 million in three unsuitable, highly speculative investments. The complaint further alleged that within two and one-half years all of the investments were in default, and the client was unable to recover its funds. In addition, the complaint alleged that Bogdonoff and a firm he controlled obtained ill- gotten gains as a result of their fraudulent conduct, including at least $2 million in commissions from companies whose securities they recommended to the client and $540,000 in advisory fees charged directly to the client. (Rels. 34-50281; IA-2284; File No. 3-11614) SEC INSTITUTES ADMINISTRATIVE PROCEEDINGS AGAINST PETER BACANOVIC On August 27, the Commission instituted public administrative proceedings against Peter Bacanovic (Bacanovic), a former registered representative associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. In an Order Instituting Administrative Proceedings Pursuant to Sections 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order), the Commission simultaneously accepted Bacanovic’s Offer of Settlement, permanently barring him from association with any broker, dealer or investment adviser. Bacanovic consented to the issuance of the Order, admitting the Commission’s findings that on March 5, 2004, after a jury trial in the U.S. District Court for the Southern District of New York, Bacanovic was found guilty of one count of conspiracy to obstruct justice, make false statements and commit perjury, one count of false statements, one count of perjury, and one count of obstruction of an agency proceeding. On July 16, 2004, Bacanovic was sentenced to five months in federal prison and two years supervised release with a special condition of five months home detention and ordered to pay a $4,000 fine. Specifically, the felony counts upon which the conviction is based alleged, among other things, that Bacanovic: (a) entered into a conspiracy to obstruct an investigation by the Commission, make false statements and commit perjury; (b) made materially false statements and omissions in a telephone interview with Commission staff; (c) made material misstatements in testimony before an officer of the Commission; and (d) obstructed a pending Commission proceeding. (Rels. 34-50284; IA-2286; File No. 3-11615) IN THE MATTER OF MARC WEIN On August 30, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Marc Wein (Wein), a former registered representative of FAB Securities of America, Inc. and a resident of Spicewood, Texas. In the Order, the Division of Enforcement alleges that: (1) on July 27, 2000, the Commission filed a civil injunctive action against Wein and others alleging that from April 1997 through September 1997 Wein fraudulently offered and sold fifty-six individuals $4.3 million in unregistered securities of Millennium Services Corp. (Millennium), a purported consolidator of minority funeral homes. The Commission’s complaint charges Wein and the other defendants with violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder; (2) on July 25, 2000, Wein was indicted by the Grand Jury of the County of New York for his role in the offering of Millennium securities. The indictment included thirty-six state felony securities fraud counts. The securities fraud counts of the indictment alleged, inter alia, that Wein intentionally made material false statements and omissions to investors while soliciting Millennium securities, and induced unsophisticated investors to purchase Millennium securities; and (3) on April 2, 2001, Wein plead guilty to the entire indictment. The Order alleges further that on June 6, 2002, Wein was sentenced to: one to three years incarceration; to pay restitution of $2,399,579.27 plus a five-percent surcharge to the state organization designated to distribute restitution funds; and pay a $10,000 fine. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Wein an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against Wein are appropriate and in the public interest pursuant to Section 15(b) of the Exchange Act. The Commission directed that an Administrative Law Judge shall issue an initial decision in this matter within 210 days from the date of service of the Order. (Rel. 34-50288; File No. 3-11617) IN THE MATTER OF DOMINIQUE ALVIERI An Administrative Law Judge has issued an Order Making Findings and Imposing Sanction By Default (Default Order) against Dominique S. Alvieri. The Order Instituting Proceedings alleged that on July 31, 2003, Alvieri pled guilty to investment advisory fraud and mail fraud before the United States District Court for the Southern District of New York. Alvieri was subsequently sentenced to serve forty-two months in prison and three years of supervised released, and ordered to pay $622,204 in restitution. The Default Order finds these allegations to be true and bars Alvieri from association with any investment adviser. (Rel. IA-2287; File No. 3-11567) SEC SUES RECIDIVIST SECURITIES LAW VIOLATORS, ALLEGES FRAUD AND VIOLATIONS OF ADMINISTRATIVE PENNY STOCK BARS The Commission announced that on August 12 it filed an emergency federal civil action against George Carapella and Alan S. Lipstein (collectively, “defendants”) for illegally participating in penny stock offerings and committing securities fraud in violation of prior injunctions and Commission orders barring them from such activities. The Commission’s action includes a civil complaint and also a contempt motion against the defendants for violating permanent injunctions entered against them in SEC v. Tel-One, Inc. et al, Civil Action 8:02- 120-T-30TGW (M.D. Fla. 2002), in which the Commission alleged that Carapella and Lipstein orchestrated a pump-and-dump fraud involving the common stock of Tel-One, a Tampa, Florida company. Following the entry of the injunctions, the Commission entered administrative orders in July 2002, on consent, that barred Carapella and Lipstein from participating in offerings of penny stocks. The Commission’s most recent complaint, filed in the U.S. District Court for the Middle District of Florida, alleges that despite the entry of those prior orders, the defendants participated in a penny stock offering in late 2003 and early 2004 by attempting to merge a Florida company they control with a private cellular telephone retailer and take the newly-created company public through a reverse merger or an initial public offering. According to the Commission’s complaint, the defendants fraudulently represented themselves as experienced consultants who had successfully taken companies public and concealed their history of criminal convictions, securities law violations, and enforcement actions against them. The Commission also alleges that Carapella and Lipstein currently control a Nevada shell company and are violating the Commission’s penny stock bars by actively seeking a company to merge into that shell. The Commission’s complaint charges the defendants with violating Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933, and with participating in penny stock offerings in violation of Section 15(b)(6)(B)(i) of the Securities Exchange Act of 1934. In addition to emergency relief, the complaint seeks permanent injunctions prohibiting future violations of the securities laws, civil penalties, personal trading bans, and judicial penny stock bars. In addition to its civil complaint, the SEC filed a contempt action against Carapella and Lipstein for disobeying a prior final judgment of permanent injunction entered against them on July 12, 2002 in SEC v. Tel- One, Inc., et al. Among other things, those prior injunctions enjoined Carapella and Lipstein from violating the antifraud provisions of the federal securities laws. [SEC v. George Carapella and Alan S. Lipstein, Case No. 8:04-CV-1858-T-23MSS, M.D. Fla.] (LR-18859) SEC CHARGES FORMER EMPLOYEES OF KIMBERLY SECURITIES, INC. WITH ENGAGING IN A WIDESPREAD SCHEME TO DEFRAUD CUSTOMERS On August 30, the Commission filed a complaint in the U.S. District Court for the Eastern District of New York against former employees of Kimberly Securities, Inc., a defunct broker-dealer that was formerly located on Long Island, New York. The complaint alleges that from early 2000 through September 2002, Kimberly Securities registered representatives, and others, participated in a scheme to defraud their customers by repeatedly executing unauthorized, unsuitable transactions in their customers' accounts, and churning these customers' accounts. The complaint alleges the following. From early 2000 until September 2002, Kimberly J. Carrella, a registered principal of Kimberly Securities, and her husband, Vincent M. Carrella, directed the scheme to defraud Kimberly Securities' customers. In the initial phase of the scheme, Kimberly Securities' registered representatives, including Kimberly Carrella, James R. Mancuso, Kevin J. Barton, Philip J. Hourican, and Noel J. Belmonte, misrepresented, and failed to disclose, material information to investors to persuade them to open brokerage accounts at Kimberly Securities and to invest significant funds. Once customers invested their funds, Kimberly Carrella, Mancuso, Barton, and Hourican executed numerous transactions that were unauthorized by, and unsuitable for, these customers, and the registered representatives churned their customers' accounts. When the customers’ accounts were depleted of funds through commission charges and trading losses, the defendants lured new, unsuspecting customers into opening accounts at Kimberly Securities, and repeated the same conduct. John C. Kawas, Jr., Kimberly Securities' Compliance Officer, assisted the scheme by, among other things, failing to address red flags that registered representatives were executing unauthorized trades and churning accounts, and by obstructing customers' efforts to stop the improper trading in their accounts. Through this scheme, defendants enriched themselves at their customers’ expense. For example, from January 2000 to September 2002, Kimberly Securities charged customers approximately $4.5 million in commissions. During the same time period, customers lost in excess of $4 million through trading losses and commission charges. The Commission’s complaint charges Kimberly Carrella, Vincent Carrella, Mancuso, Barton, Hourican, and Belmonte with violating 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 complaint also charges Kawas with aiding and abetting violations of Section 10(b) of the Exchange Act and Rule 10b-5. The complaint seeks permanent injunctions, disgorgement of ill-gotten gains plus prejudgment interest, and the imposition of civil monetary penalties against each of the defendants. [SEC v. Kimberly Carrella, et al., Civil Action No. CV-04-3754 (LDW) EDNY] (LR- 18860) INVESTMENT COMPANY ACT RELEASES DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT For the month of August 2004, a notice has been issued giving interested persons until Sept. 21, 2004, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: Eaton Vance Insured Minnesota Municipal Bond Fund (formerly Eaton Vance Insured Minnesota Municipal Bond Fund I) [File No. 811-21223] Eaton Vance Insured Arizona Municipal Bond Fund (formerly Eaton Vance Insured Arizona Municipal Bond Fund I) [File No. 811-21228] IQ Rising Interest Rate Fund Inc. [File No. 811-21592] Eaton Vance Limited Duration Income Opportunity Fund [File No. 811-21393] Eaton Vance Limited Duration Income Fund II [File No. 811-21406] Eaton Vance Tax-Advantaged Dividend Growth Fund [File No. 811-21450] J.P. Morgan Atlas Global Long/Short Equity Fund, L.L.C. [File No. 811-21305] Corporate Investment Trust Fund [File No. 811-2321] Prudential Unit Trust National Municipal Trust Discount Series [File No. 811-2568] Prudential Unit Trusts [File No. 811-3952] Prudential Unit Trust Corporate High Yield Series [File No. 811-5573] FBR Fund for Tax-Free Investors, Inc. [File No. 811-3720] Alpha Analytics Investment Trust [File No. 811-9039] AUSA Series Annuity Account B [File No. 811-8880] (Rel. IC-26583 - August 27) HOLDING COMPANY ACT RELEASES AMERICAN ELECTRIC POWER COMPANY INC., ET AL. The Commission has ordered that a hearing be held in connection with the remand of National Rural Electric Cooperative Association, et al. v. Securities and Exchange Commission, 276 F. 3d 609 (D.C. Cir. 2002), which involves the acquisition by American Electric Power Company Inc. of Central and South West Corporation, both registered holding companies at the time of the acquisition. (Rel. 35-27886, 3-11616; August 30) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The New York Stock Exchange filed a proposed rule change (SR-NYSE-2004- 43) establishing fees for receiving NYSE OpenBook® on a real-time basis. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34-50275) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-Amex-2004-64) submitted by the American Stock Exchange relating to the listing and trading of notes linked to the performance of the Standard and Poor’s 500 Index. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34-50278) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until Sept. 17, 2004, to comment on the application of Chromcraft Revington, Inc. to withdraw its common stock, $.01 par value, from listing and registration on the New York Stock Exchange. (Rel. 34-50285) DELISTING GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (each representing 40 ordinary shares), of Orbital Engine Corporation Limited, effective at the opening of business on August 30. (Rel. 34-50286) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 CYBERADS INC, 1,000,000 ($250,000.00) Equity, (File 333-118587 - Aug. 27) (BR. 08) S-8 TGC INDUSTRIES INC, 1304 SUMMIT AVE STE 2, PLANO, TX, 75074, 9728811099 - 300,000 ($331,300.00) Equity, (File 333-118588 - Aug. 27) (BR. 06) S-8 EMERSON ELECTRIC CO, 8000 W FLORISSANT AVE, P O BOX 4100, ST LOUIS, MO, 63136, 3145532000 - 0 ($61,830,000.00) Equity, (File 333-118589 - Aug. 27) (BR. 36) S-8 EMERSON ELECTRIC CO, 8000 W FLORISSANT AVE, P O BOX 4100, ST LOUIS, MO, 63136, 3145532000 - 0 ($61,830,000.00) Equity, (File 333-118590 - Aug. 27) (BR. 36) S-8 EMERSON ELECTRIC CO, 8000 W FLORISSANT AVE, P O BOX 4100, ST LOUIS, MO, 63136, 3145532000 - 0 ($463,725,000.00) Equity, (File 333-118591 - Aug. 27) (BR. 36) S-8 EMERSON ELECTRIC CO, 8000 W FLORISSANT AVE, P O BOX 4100, ST LOUIS, MO, 63136, 3145532000 - 0 ($30,915,000.00) Equity, (File 333-118592 - Aug. 27) (BR. 36) S-8 PSB GROUP INC, 1800 EAST TWELVE MILE ROAD, MADISON HEIGHTS, MI, 48071, 2485482900 - 0 ($9,056,250.00) Equity, (File 333-118594 - Aug. 27) (BR. 07) S-8 CMGI INC, 425 MEDFORD STREET, CHARLESTOWN, MA, 02129, 617 886-4500 - 1,800,000 ($2,214,000.00) Equity, (File 333-118596 - Aug. 27) (BR. 37) S-1 OCEAN SHORE HOLDING CO, 1001 ASBURY AVENUE, OCEAN CITY, NJ, 08226, (800) 771-7990 - 4,001,742 ($40,017,420.00) Equity, (File 333-118597 - Aug. 27) (BR. ) F-6 CATLIN GROUP LTD, CUMBERLAND HOUSE, 6TH FLOOR, 1 VICTORIA STREET, HAMILTON, D0, HM 11, 25,000,000 ($1,250,000.00) ADRs/ADSs, (File 333-118598 - Aug. 27) (BR. ) SB-2 TELEPLUS ENTERPRISES INC, 465 ST JEAN, SUITE 601, QUEBEC, E6, H2Y 2R6, 5143440778 - 17,400,955 ($12,702,697.15) Equity, (File 333-118599 - Aug. 27) (BR. 08) S-8 MASSEY ENERGY CO, 4 NORTH 4TH STREET, RICHMOND, VA, 23219, 9493492000 - 69,720 ($1,855,946.40) Equity, (File 333-118600 - Aug. 27) (BR. 04) S-8 MASSEY ENERGY CO, 4 NORTH 4TH STREET, RICHMOND, VA, 23219, 9493492000 - 126,156 ($3,358,272.72) Equity, (File 333-118601 - Aug. 27) (BR. 04) S-8 GLOBAL BUSINESS MARKETS INC, 3859 WEKIVA SPRINGS ROAD, SUITE 302, LONGWOOD, FL, 32779, 407-884-6859 - 2,500,000,000 ($650,000.00) Equity, (File 333-118603 - Aug. 27) (BR. 02) S-8 THIRD CENTURY BANCORP, 15,000 ($166,800.00) Equity, (File 333-118604 - Aug. 27) (BR. 07) S-8 AUGRID CORP, 2275 EAST 55TH STREET, 2ND FLOOR, CLEVELAND, OH, 44103, 7025921816 - 65,000,000 ($130,000.00) Equity, (File 333-118608 - Aug. 27) (BR. 09) S-8 TELECOMMUNICATION SYSTEMS INC /FA/, 275 WEST ST, ANNAPOLIS, MD, 21401, 4102637616 - 0 ($22,600,000.00) Equity, (File 333-118610 - Aug. 27) (BR. 03) S-8 CEPHALON INC, 145 BRANDYWINE PKWY, WEST CHESTER, PA, 19380, 6103440200 - 0 ($58,955,000.00) Equity, (File 333-118611 - Aug. 27) (BR. 01) S-1 BUFFETS HOLDINGS, INC., 1460 BUFFET WAY, EGAN, MN, 55121, 651-994-8608 - 0 ($550,000,000.00) Other, (File 333-118612 - Aug. 27) (BR. 05) SB-2 CORNERSTONE MINISTRIES INVESTMENTS INC, 2450 ATLANTA HIGHWAY, SUITE 904, CUMMING, GA, 30040, 6784451100 - 1,500,000 ($29,750,000.00) Other, (File 333-118613 - Aug. 27) (BR. 07) S-8 TELIK INC, 3165 PORTER DRIVE, PALO ALTO, CA, 94304, 6508457700 - 1,891,411 ($34,849,247.68) Equity, (File 333-118614 - Aug. 27) (BR. 01) S-8 MERRILL LYNCH & CO INC, 4 WORLD FINANCIAL CTR, NEW YORK, NY, 10080, 2124491000 - 0 ($75,000,000.00) Other, (File 333-118615 - Aug. 27) (BR. 07) SB-2 ENGLISH LANGUAGE LEARNING & INSTRUCTION SYSTEM INC, 406 WEST 10600 SOUTH, SUITE 601, SALT LAKE CITY, UT, 84058, 801858-0880 - 15,439,746 ($2,315,961.90) Equity, (File 333-118616 - Aug. 27) (BR. 03) S-8 NEW CENTURY FINANCIAL CORP, 18400 VON KARMAN, SUITE 1000, IRVINE, CA, 92612, 9494407030 - 0 ($2,614,500.00) Equity, (File 333-118617 - Aug. 27) (BR. 07) S-8 URANIUM POWER CORP, 206-475 HOWE ST, VANCOUVER BC, A1, 00000, 6046858355 - 300,000 ($102,000.00) Equity, (File 333-118618 - Aug. 27) (BR. 04) S-8 CHINADOTCOM CORP, 20/F CITICORP CENTRE 18 WHITFIELD RD, HONG KONG, CAUSEWAY BAY HONG KONG, K3, 00000, 8522893820 - 2,350,000 ($8,371,500.00) Equity, (File 333-118619 - Aug. 27) (BR. 03) S-1 CORUS PHARMA INC, 2025 FIRST AVE, STE 800, SEATTLE, WA, 98121, 2067285090 - 0 ($100,000,000.00) Equity, (File 333-118620 - Aug. 27) (BR. ) S-8 EPOCH BIOSCIENCES INC, 21720 23RD DRIVE S E, SUITE 150, BOTHELL, WA, 98021, 4258217535 - 0 ($1,358,190.00) Equity, (File 333-118621 - Aug. 27) (BR. 01) S-8 MDU RESOURCES GROUP INC, 918 EAST DIVIDE AVENUE, BISMARCK, ND, 58506-5650, 7012227900 - 400,000 ($9,924,000.00) Equity, (File 333-118622 - Aug. 27) (BR. 04) S-8 NOVOSTE CORP /FL/, 3890 STEVE REYNOLDS BLVD, NORCROSS, GA, 30093, 7707170904 - 500,000 ($1,005,000.00) Equity, (File 333-118623 - Aug. 27) (BR. 36) S-8 CIMETRIX INC, 6979 SOUTH HIGH TECH DRIVE, MIDVALE, UT, 84047, 8012566500 - 6,100,000 ($3,050,000.00) Equity, (File 333-118624 - Aug. 27) (BR. 03) S-3 OLYMPIC STEEL INC, 5080 RICHMOND RD, BEDFORD HEIGHTS, OH, 44146, 2162923800 - 2,817,500 ($67,972,187.50) Equity, (File 333-118629 - Aug. 27) (BR. 04) S-1 CARTERS INC, THE PROSCENIUM, 1170 PEACHTREE STREET NE SUITE 900, ATLANTA, GA, 30309, (404) 745-2700 - 0 ($204,884,821.00) Equity, (File 333-118630 - Aug. 27) (BR. 02) S-B REPUBLIC OF KOREA, 88 KWANMOON-RO, KWACHUN-SHI, KYUNGGI-DO, REPUBLIC OF KOREA, M5, 427725, 8225039267 - 0 ($5,000,000,000.00) Non-Convertible Debt, (File 333-118631 - Aug. 27) (BR. ) SB-2 XSINVENTORY, 2950 E FLAMINGO RD, SUITE E 6D, LAS VEGAS, NV, 89119, 7028665840 - 1,000,000 ($100,000.00) Equity, (File 333-118632 - Aug. 27) (BR. ) S-4 AMERICAN AIRLINES INC, 4333 AMON CARTER BLVD, FT WORTH, TX, 76155, 8179631234 - 0 ($180,457,000.00) Non-Convertible Debt, (File 333-118633 - Aug. 27) (BR. 05) S-8 ITEC ENVIRONMENTAL GROUP INC, 693 HI TECH PARKWAY, SUITE 3, OAKDALE, CA, 95361, 2098483900 - 50,000,000 ($275,000.00) Equity, (File 333-118635 - Aug. 27) (BR. 09) S-8 EWORLDMEDIA HOLDINGS INC, 620 NEWPORT CENTER DRIVE, 11TH FLOOR, NEWPORT BEACH, CA, 92660, 949-718-0999 - 13,500,000 ($216,000.00) Equity, (File 333-118637 - Aug. 27) (BR. 08) S-4 CAPITAL CITY BANK GROUP INC, 217 N MONROE ST, TALLAHASSEE, FL, 32301, 8506710300 - 0 ($35,935,000.00) Equity, (File 333-118638 - Aug. 27) (BR. 07) SB-2 M WAVE INC, 216 EVERGREEN ST, BENSENVILLE ILLINOIS, IL, 60106, 6308609542 - 0 ($5,004,434.00) Equity, (File 333-118639 - Aug. 27) (BR. 36) S-3 Park Place Securities, Inc., 1100 TOWN & COUNTRY ROAD, SUITE 1100, ORANGE, CA, 92868, 714-541-9960 X2340 - 0 ($12,000,000,000.00) Asset-Backed Securities, (File 333-118640 - Aug. 27) (BR. 05) 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 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 ------------------------------------------------------------------------------------------------ 21ST CENTURY TECHNOLOGIES INC NV 8.01 08/26/04 3EEE INC DE 8.01 08/23/04 A C MOORE ARTS & CRAFTS INC PA 1.01,5.03,9.01 08/26/04 AAMES FINANCIAL CORP/DE DE 1.01 08/25/04 AAON INC NV 8.01,9.01 07/30/04 ABN AMRO MORT CORP MULTI CLASS MORT P DE 8.01,9.01 08/27/04 ABN AMRO MORT CORP MULTI CLASS MORT P DE 8.01,9.01 08/27/04 ABN AMRO MORT SEC MULTI CLASS MORT PS DE 8.01,9.01 08/27/04 ABN AMRO MORTGAGE MULTI-CLASS MOR PAS DE 8.01,9.01 08/27/04 ACE CASH EXPRESS INC/TX TX 2.02,9.01 08/26/04 ACE CASH EXPRESS INC/TX TX 1.01,5.02,9.01 08/23/04 ACT TELECONFERENCING INC CO 5.02,9.01 08/22/04 ACTIVE POWER INC DE 1.01,9.01 08/26/04 AEGIS ASSET BACKED SECURITIES CORP DE 8.01 08/27/04 AIRTRAN HOLDINGS INC NV 7.01,9.01 08/25/04 AIRTRAN HOLDINGS INC NV 8.01,9.01 08/26/04 AKORN INC LA 3.02,7.01,9.01 08/23/04 ALAMO GROUP INC DE 1.01,2.03,9.01 08/25/04 AMCAST INDUSTRIAL CORP OH 1.01,2.01,9.01 08/23/04 AMERICAN SPECTRUM REALTY INC MD 8.01 08/24/04 AmeriCredit Automobile Receivables Tr DE 8.01,9.01 08/26/04 AMERIQUEST MORTGAGE SECURITIES INC AS DE 8.01 08/25/04 AMERIQUEST MORTGAGE SECURITIES INC AS DE 8.01 08/25/04 AMKOR TECHNOLOGY INC DE 5.01,9.01 08/25/04 ANDRESMIN GOLD CORP MT 5.02,8.01,9.01 08/24/04 ANTHEM INC IN 1.01,9.01 08/25/04 APPLEBEES INTERNATIONAL INC DE 7.01 08/27/04 APPLICA INC FL 1.01,5.02 08/27/04 ARDEN REALTY LIMITED PARTNERSHIP MD 8.01,9.01 08/27/04 ASSET-BACKED CERTIFICATES SERIES 2003 DE 8.01,9.01 08/25/04 AVADO BRANDS INC GA 2.02,9.01 08/27/04 AVADO BRANDS INC GA 4.01 08/27/04 AVADO BRANDS INC GA 2.04,9.01 08/27/04 AXEDA SYSTEMS INC DE 3.01 08/26/04 AXM PHARMA INC NV 4.01,9.01 08/27/04 BALLY TOTAL FITNESS HOLDING CORP DE 1.01,1.02,9.01 08/27/04 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 08/23/04 BANK OF AMERICA MORT SEC INC MORT PAS DE 8.01,9.01 08/20/04 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 08/26/04 BEAR STEARNS ASSET BACK SECURITIES TR DE 8.01,9.01 08/25/04 BEAR STEARNS ASSET BACKED CERTIFICATE DE 8.01,9.01 08/25/04 BEAR STEARNS ASSET BACKED CERTIFICATE DE 8.01,9.01 08/25/04 BEAR STEARNS ASSET BACKED CERTS SER 2 DE 8.01,9.01 08/25/04 BEAR STEARNS ASSET BACKED CERTS SERIE DE 8.01,9.01 08/25/04 BEAR STEARNS ASSET BACKED SEC INC ASS DE 8.01,9.01 08/25/04 BEAR STEARNS ASSET BACKED SEC INC CER DE 8.01,9.01 08/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 08/27/04 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 08/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 08/25/04 BHA GROUP INC DE 8.01,9.01 08/27/04 BMW Vehicle Owner Trust 2004-A 9.01 07/26/04 AMEND BMW Vehicle Owner Trust 2004-A 9.01 08/25/04 AMEND BON TON STORES INC PA 5.02 08/24/04 BON TON STORES INC PA 8.01,9.01 08/27/04 BUFFETS HOLDINGS, INC. DE 2.02,9.01 08/27/04 BUFFETS HOLDINGS, INC. DE 7.01,9.01 08/27/04 BULLDOG TECHNOLOGIES INC NV 7.01 08/26/04 CALLIDUS SOFTWARE INC 1.01,9.01 08/24/04 CAN AM AUTO SALES INC NV 1.01 08/25/04 CAPITAL PROPERTIES INC /RI/ RI 7.01,9.01 08/26/04 CARCO AUTO LOAN MASTER TRUST DE 8.01,9.01 08/16/04 CELL TECH INTERNATIONAL INC DE 8.01 08/23/04 CENTURYTEL INC LA 8.01 08/26/04 CHALONE WINE GROUP LTD CA 2.02,9.01 08/12/04 CHAMPPS ENTERTAINMENT INC DE 9.01 06/27/04 CHARMING SHOPPES INC PA 1.01,9.01 08/24/04 CHATTEM INC TN 8.01,9.01 08/27/04 CHINA ENERGY SAVINGS TECHNOLOGY, INC. NV 2.01,2.02,3.02,9.01 08/23/04 CHIRON CORP DE 8.01 08/26/04 CHYRON CORP NY 5.02 08/25/04 CITICORP MORTGAGE SECURITIES INC DE 2.01 08/26/04 CITIGROUP GLOBAL MARKETS HOLDINGS INC NY 9.01 08/27/04 CITIZENS HOLDING CO /MS/ MS 7.01,9.01 08/26/04 CMGI INC DE 1.01,5.02,9.01 08/23/04 CNL Hotels & Resorts, Inc. MD 8.01 08/16/04 COLMENA CORP DE 1.01,2.01,5.03,9.01 08/20/04 COMMONWEALTH BIOTECHNOLOGIES INC VA 5.02,9.01 08/26/04 COMSTOCK RESOURCES INC NV 8.01,9.01 08/25/04 CORAUTUS GENETICS INC DE 9.01 08/16/04 AMEND CORNELL COMPANIES INC DE 8.01,9.01 08/25/04 Corridor Communications Corp DE 1.01,9.01 08/23/04 CORTLAND BANCORP INC OH 5.02,9.01 08/27/04 COVANSYS CORP MI 5.02 08/27/04 CROSS MEDIA MARKETING CORP DE 8.01,9.01 06/30/04 CROSSROADS SYSTEMS INC DE 1.01,5.02,9.01 08/27/04 CWALT INC 8.01,9.01 08/23/04 CWMBS INC DE 8.01,9.01 08/24/04 DAIMLERCHRYSLER AUTO TRUST 2004-A MI 8.01,9.01 08/09/04 DAIMLERCHRYSLER AUTO TRUST 2004-B MI 8.01,9.01 08/09/04 DAIMLERCHRYSLER MASTER OWNER TRUST 8.01,9.01 08/16/04 DEL GLOBAL TECHNOLOGIES CORP NY 5.02,8.01,9.01 08/24/04 DEL GLOBAL TECHNOLOGIES CORP NY 8.01,9.01 08/24/04 DELTA & PINE LAND CO DE 1.01,9.01 08/27/04 DENDO GLOBAL CORP NV 3.02,3.03,5.01,5.02,5.03,9.01 08/24/04 DENNYS CORP DE 5.03,9.01 08/25/04 DIAMOND OFFSHORE DRILLING INC DE 8.01,9.01 08/27/04 DNB FINANCIAL CORP /PA/ PA 8.01,9.01 08/27/04 DYNATRONICS CORP UT 2.02,9.01 08/26/04 DYNAVAX TECHNOLOGIES CORP DE 1.01,5.02,9.01 08/23/04 EARTHLINK INC DE 8.01 08/27/04 EAST DELTA RESOURCES CORP. DE 5.01,9.01 06/30/04 AMEND ENCYSIVE PHARMACEUTICALS INC DE 8.01,9.01 08/27/04 ENEFTECH CORP TX 4.01 08/18/04 EQUITY MARKETING INC DE 1.01 08/23/04 EVANS & SUTHERLAND COMPUTER CORP UT 5.02,9.01 08/23/04 EVERGREEN SOLAR INC DE 2.03 08/26/04 EXPLORATIONS GROUP INC DE 7.01,8.01,9.01 07/29/04 AMEND Extra Space Storage Inc. MD 2.01,9.01 08/23/04 EYETECH PHARMACEUTICALS INC DE 7.01,8.01 08/27/04 FEDERAL NATIONAL MORTGAGE ASSOCIATION 8.01 08/23/04 FEDERAL SIGNAL CORP /DE/ DE 7.01,9.01 08/27/04 FIDELITY BANCSHARES NC INC /DE/ DE 4.01,9.01 08/23/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 08/25/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 08/25/04 FIRST LITCHFIELD FINANCIAL CORP DE 8.01 08/26/04 FIRST NATIONAL BANCSHARES INC/ FL/ FL 8.01,9.01 08/27/04 FIRST NATIONAL BANKSHARES OF FLORIDA FL 8.01 08/27/04 FIRST NATIONAL LINCOLN CORP /ME/ ME 1.01 08/25/04 FIRSTBANK NW CORP WA 2.02,9.01 08/27/04 FLEXTRONICS INTERNATIONAL LTD 1.01 08/23/04 FRANKLIN CAPITAL CORP DE 1.01,9.01 08/26/04 FRANKLIN ELECTRIC CO INC IN 8.01,9.01 08/27/04 FREMONT HOME LOAN TRUST 2004-1 DE 8.01 08/25/04 FREMONT MORTGAGE SECURITIES CORP DE 8.01,9.01 08/27/04 GAMMACAN INTERNATIONAL INC DE 7.01,9.01 08/24/04 GATEWAY FINANCIAL HOLDINGS INC NC 8.01,9.01 08/26/04 GATEWAY FINANCIAL HOLDINGS INC NC 2.05,9.01 08/23/04 GOAMERICA INC DE 3.01 08/24/04 GOLDTECH MINING CORP DE 8.01 08/26/04 GOUVERNEUR BANCORP INC DE 5.02,8.01,9.01 08/27/04 GREAT LAKES BANCORP INC DE 2.02,8.01 08/24/04 GREENWICH CAPITAL ACCEP MORT LOAN PAS DE 8.01,9.01 08/19/04 GS MORT SEC CORP II COMMERCIAL MORT P DE 8.01,9.01 08/12/04 GS MORTGAGE SECURITIES CORP DE 8.01 08/27/04 GS Mortgage Securities Corp. GSAA Tru DE 8.01 08/25/04 HALLWOOD GROUP INC DE 3.01 08/26/04 HarborView Mortgage Loan Trust 2004-4 DE 8.01,9.01 08/19/04 HarborView Mortgage Loan Trust 2004-5 DE 8.01,9.01 08/19/04 HAUSER INC DE 8.01,9.01 08/16/04 HAWAIIAN ELECTRIC INDUSTRIES INC HI 5.02 08/26/04 HAWAIIAN HOLDINGS INC DE 8.01,9.01 08/26/04 HEALTH CARE PROPERTY INVESTORS INC MD 1.01,9.01 08/24/04 HEALTH CARE PROPERTY INVESTORS INC MD 8.01,9.01 08/27/04 HEALTH DISCOVERY CORP TX 8.01 08/25/04 HEMAGEN DIAGNOSTICS INC DE 8.01 08/25/04 HEPALIFE TECHNOLOGIES INC FL 2.03,9.01 08/27/04 Home Equity Mortgage Loan Asset-Backe DE 8.01 08/25/04 HOMEBANC CORP GA 5.02,9.01 08/26/04 HORIZON FINANCIAL SERVICES CORP DE 2.02,8.01,9.01 08/27/04 HOSPIRA INC DE 5.02 08/27/04 IGIA, Inc. DE 9.01 06/11/04 AMEND IMH ASSETS CORP COLLATERALIZED ASSET DE 8.01 08/25/04 IMH ASSETS CORP COLLATERALIZED ASSET DE 8.01 08/25/04 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE 8.01 08/25/04 Impac CMP Trust Series 2004-5 DE 8.01 08/25/04 IMPAC SECURED ASSETS CORP MORTGAGE PA CA 8.01 08/25/04 IMPAC SECURED ASSETS CORP MORTGAGE PA CA 8.01 08/25/04 INDYMAC INDX MORTGAGE LOAN TRUST 200 8.01 08/25/04 IndyMac INDX Mortgage Loan Trust 2004 8.01 08/25/04 IndyMac INDX Mortgage Loan Trust 2004 8.01 08/25/04 IndyMac INDX Mortgage Loan Trust 2004 8.01 08/25/04 INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 08/25/04 INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 08/25/04 INDYMAC MBS INC RESIDENTIAL ASSET SEC 8.01 08/25/04 IndyMac RAST 2004-A5 8.01 08/25/04 IndyMac Residential Asset Securitizat 8.01 08/25/04 INDYMAC RESIDENTIAL ASSET SECURITIZAT 8.01 08/25/04 INTERDIGITAL COMMUNICATIONS CORP PA 8.01,9.01 08/27/04 INTRABIOTICS PHARMACEUTICALS INC /DE DE 2.05 08/23/04 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 08/27/04 KELLWOOD CO DE 2.02,7.01 08/26/04 KIRKLANDS INC 2.02,9.01 08/26/04 KULICKE & SOFFA INDUSTRIES INC PA 1.01 08/25/04 LANCER CORP /TX/ TX 5.02,9.01 08/24/04 LANDAUER INC DE 5.02,9.01 08/24/04 LANNETT CO INC DE 1.01,2.01,9.01 04/20/04 AMEND LEHMAN ABS CORP INDYMAC HOME EQUITY DE 8.01 08/25/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01 08/12/04 LEHMAN ABS CORP BOEING NOTE BACKED SE DE 8.01,9.01 08/15/04 LEHMAN ABS CORP BOEING SECURITIES BAC DE 8.01,9.01 08/15/04 LEHMAN ABS CORP CIT CAPITAL TR 1 SEC DE 8.01,9.01 08/15/04 LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01,9.01 08/15/04 LEHMAN ABS CORP DUKE CAPITAL NOTE BAC DE 8.01,9.01 08/15/04 LEHMAN ABS CORP GOLD SACHS CAP I SEC DE 8.01,9.01 08/15/04 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 08/15/04 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 08/15/04 LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK DE 8.01,9.01 08/15/04 LEVITT CORP 5.02 08/23/04 LL&E ROYALTY TRUST TX 2.02,7.01,9.01 08/27/04 LL&E ROYALTY TRUST TX 2.02,7.01,9.01 08/27/04 Long Beach Mortgage Loan Trust 2004-2 DE 8.01 08/25/04 Long Beach Mortgage Loan Trust 2004-3 DE 8.01 08/25/04 LONG BEACH SEC CORP ASSET BACKED CERT DE 8.01 08/25/04 LONG BEACH SEC CORP ASSET-BACKED CERT DE 8.01 08/25/04 MACATAWA BANK CORP MI 1.01,9.01 08/25/04 MACROPORE INC DE 1.01,9.01 08/24/04 MAGSTAR TECHNOLOGIES INC MN 5.02 08/23/04 MAJESCO HOLDINGS INC DE 5.02,5.03,9.01 08/23/04 MALAN REALTY INVESTORS INC MI 8.01 08/27/04 MARCONI CORP PLC X0 8.01 08/27/04 MARSHALL & ILSLEY CORP/WI/ WI 5.02,9.01 08/26/04 MATRIXONE INC DE 1.01,5.02 08/23/04 MAY DEPARTMENT STORES CO DE 1.01,1.02,9.01 08/27/04 MCCARTHY GRENACHE INC NV 8.01,9.01 08/24/04 MCDATA CORP DE 8.01 08/27/04 MCDERMOTT INTERNATIONAL INC R1 2.03,9.01 08/25/04 MDC PARTNERS INC 1.01 08/27/04 MEADWESTVACO CORP DE 2.01,9.01 08/13/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 08/27/04 MGI PHARMA INC MN 8.01,9.01 05/22/01 AMEND MGP INGREDIENTS INC KS 7.01,9.01 08/27/04 MICROTEL INTERNATIONAL INC DE 8.01 08/27/04 MILLS CORP DE 3.02,5.03,8.01,9.01 08/23/04 MORGAN STANLEY ABS CAP I INC MORT PA DE 8.01 08/25/04 MORGAN STANLEY ABS CAPITAL I INC SERI DE 8.01 08/25/04 MORGAN STANLEY ABS CAPITAL I INC TRUS DE 8.01 08/25/04 MORGAN STANLEY ABS CAPITAL I INC TRUS DE 8.01 08/25/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 08/25/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 08/25/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 08/25/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 08/25/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 08/25/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 08/25/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 08/25/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 08/25/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 08/25/04 MORGAN STANLEY DEAN WITTER CAPITAL I DE 8.01,9.01 08/25/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 08/27/04 MORTGAGE PASS-THROUGH CERTIFICATES SE DE 8.01,9.01 08/25/04 MORTGAGE PASS-THROUGH CERTIFICATES SE DE 8.01 08/25/04 MSC MORTGAGE PASS THROUGH CERTIFICATE DE 8.01,9.01 08/27/04 Mueller Group, Inc. DE 1.01,9.01 08/27/04 MULTI-CLASS MORTGAGE PASS-THROUGH CER DE 8.01,9.01 08/27/04 NANNACO INC TX 3.02,3.03,9.01 08/23/04 NATIONSLINK FUNDING CORP 1999-LTL-1 C DE 9.01 08/23/04 NESCO INDUSTRIES INC NV 3.02 08/27/04 NETOPIA INC DE 8.01 08/27/04 NEW CENTURY HOME EQUITY LOAN TRUST 20 DE 8.01 08/25/04 NEW CENTURY HOME EQUITY LOAN TRUST 20 DE 8.01 08/25/04 NORDSTROM INC WA 8.01 08/27/04 NORTEK INC DE 8.01,9.01 08/27/04 NORTH VALLEY BANCORP CA 8.01,9.01 08/25/04 NOVASTAR MORTGAGE FUNDING CORP DE 8.01,9.01 08/27/04 NUWAVE TECHNOLOGIES INC DE 5.02 08/27/04 NVR INC VA 1.01,2.03,9.01 08/26/04 OCTEL CORP DE 8.01,9.01 08/26/04 OLYMPIC CASCADE FINANCIAL CORP DE 3.02,8.01,9.01 08/25/04 OMNI ENERGY SERVICES CORP LA 3.01,8.01,9.01 08/25/04 OMNIVISION TECHNOLOGIES INC DE 5.02 08/25/04 ONYX ACCEPTANCE OWNER TRUST 2004-A DE 8.01 07/31/04 Onyx Acceptance Owner Trust 2004-B DE 8.01 07/31/04 OPTICAL SENSORS INC DE 8.01,9.01 08/27/04 ORBITAL SCIENCES CORP /DE/ DE 8.01 08/26/04 PALOMAR ENTERPRISES INC NV 8.01,9.01 08/20/04 PAVILION BANCORP INC 5.02,9.01 08/27/04 PC MALL INC DE 7.01,9.01 08/27/04 PEOPLESOFT INC DE 5.04,9.01 08/27/04 PHARMACOPEIA DRUG DISCOVERY INC DE 8.01 08/23/04 PIEDMONT NATURAL GAS CO INC NC 2.02,8.01,9.01 08/27/04 PLATO LEARNING INC DE 2.02,9.01 08/26/04 PLATO LEARNING INC DE 7.01,9.01 08/26/04 POORE BROTHERS INC DE 5.02 08/25/04 PRE PAID LEGAL SERVICES INC OK 1.01,2.03,8.01,9.01 08/26/04 PROGRESS ENERGY INC NC 7.01,9.01 08/27/04 PROLONG INTERNATIONAL CORP NV 5.02 08/25/04 PROTECTION ONE INC DE 1.01,9.01 08/23/04 PS BUSINESS PARKS INC/CA CA 2.03 08/27/04 PSB GROUP INC MI 8.01 08/27/04 PSS WORLD MEDICAL INC FL 7.01 08/27/04 PTEK HOLDINGS INC GA 1.01,9.01 08/24/04 Q COMM INTERNATIONAL INC UT 1.01 08/27/04 QUANEX CORP DE 8.01,9.01 07/31/04 QUANEX CORP DE 2.02,9.01 07/31/04 QUEST RESOURCE CORP NV 4.01,9.01 08/24/04 RADISYS CORP OR 2.05 08/24/04 RAINMAKER SYSTEMS INC CA 4.01,9.01 08/23/04 RAYMOND JAMES FINANCIAL INC FL 5.03,8.01 08/26/04 REALITY WIRELESS NETWORKS INC NV 3.02,3.03,8.01,9.01 08/23/04 REALTY PARKING PROPERTIES LP DE 2.01 08/25/04 REGENCY CENTERS CORP FL 3.03,8.01,9.01 08/04/04 RELIANT ENERGY INC DE 2.04,2.06,9.01 08/25/04 RENTRAK CORP OR 4.01,9.01 08/23/04 RESIDENTIAL ASSET SECURITIZATION TRUS 8.01 08/25/04 Residential Asset Securitization Trus 8.01 08/25/04 RESIDENTIAL ASSET SECURITIZATION TRUS 8.01 08/25/04 SAFETEK INTERNATIONAL INC DE 4.01 08/12/04 AMEND SAMI MTG P/T CERT SERIES 2003-AR3 8.01,9.01 08/19/04 SANDERSON FARMS INC MS 2.02,9.01 08/24/04 SASCO MORTGAGE LOAN TRUST SERIES 2004 DE 8.01,9.01 08/25/04 SAVIENT PHARMACEUTICALS INC DE 1.01,5.02,9.01 08/23/04 SAVVIS COMMUNICATIONS CORP DE 7.01 08/27/04 SAXON ASSET SECURITIES CO TRUST 2004- VA 8.01 08/25/04 Saxon Asset Securities Trust 2004-2 VA 8.01 08/25/04 SCANSOFT INC DE 4.02,9.01 08/11/03 AMEND SCANSOFT INC DE 9.01 06/15/04 AMEND SCANSOURCE INC SC 4.02 08/27/04 SECURITY LAND & DEVELOPMENT CORP GA 4.01,9.01 08/23/04 SENTICORE INC DE 4.01 08/19/04 SEQUOIA RESIDENTIAL FUNDING INC 8.01 08/26/04 SHADOWS BEND DEVELOPMENT INC NV 5.01 08/20/04 SOUTH JERSEY INDUSTRIES INC NJ 7.01 08/27/04 SOVEREIGN BANCORP INC PA 5.04,9.01 08/24/04 SOVEREIGN BANCORP INC PA 9.01 08/24/04 SPARTON CORP OH 2.02,9.01 08/27/04 SPARTON CORP OH 7.01,9.01 08/27/04 SPATIALIGHT INC NY 5.02 08/27/04 STERLING CONSTRUCTION CO INC DE 8.01 08/27/04 STIFEL FINANCIAL CORP DE 8.01,9.01 08/23/04 STRESSGEN BIOTECHNOLOGIES CORP 1.01 08/25/04 Structured Adjustable Rate Mortgage L DE 8.01,9.01 08/25/04 Structured Adjustable Rate Mortgage L DE 8.01,9.01 08/25/04 STRUCTURED ASSET INV LOAN TR MORT PAS DE 8.01 08/25/04 STRUCTURED ASSET MORT INV INC MORT P DE 8.01,9.01 08/19/04 STRUCTURED ASSET MORT INV INC MORT PA DE 8.01,9.01 08/19/04 STRUCTURED ASSET MORT INV INC MORT PS DE 8.01,9.01 08/19/04 STRUCTURED ASSET MORT PASS THRU CERTS DE 8.01,9.01 08/19/04 Structured Asset Mort Pass Thru Certs DE 8.01,9.01 08/19/04 STRUCTURED ASSET MORTGAGE INVEST MORT 8.01,9.01 08/19/04 STRUCTURED ASSET MORTGAGE INVEST TRUS NY 8.01,9.01 08/19/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 08/26/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 08/19/04 STRUCTURED ASSET MORTGAGE INVESTMENTS 8.01,9.01 08/19/04 STRUCTURED ASSET MORTGAGE INVESTMENTS 8.01,9.01 08/25/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 08/19/04 STRUCTURED ASSET SEC CORP LB-UBS COMM 8.01,9.01 04/16/04 STRUCTURED ASSET SEC CORP LB-UBS COMM 8.01,9.01 05/17/04 STRUCTURED ASSET SEC CORP LB-UBS COMM 8.01,9.01 06/17/04 STRUCTURED ASSET SEC CORP LB-UBS COMM 8.01,9.01 07/16/04 STRUCTURED ASSET SEC CORP LB-UBS COMM 8.01,9.01 08/17/04 STRUCTURED ASSET SECS CORP MOR PAS TH DE 8.01,9.01 08/25/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 08/27/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 08/27/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 08/27/04 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/16/04 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/16/04 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/16/04 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 08/16/04 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 08/16/04 SYNIVERSE TECHNOLOGIES INC DE 1.01 08/26/04 TAURUS ENTERTAINMENT COMPANIES INC CO 2.01 08/24/04 TECHNOLOGY FUNDING VENTURE PARTNERS I DE 4.02 06/30/04 THERMA WAVE INC DE 8.01 08/22/03 THERMA WAVE INC DE 5.02 08/23/04 THERMA WAVE INC DE 1.01 07/01/04 TITANIUM METALS CORP DE 7.01,9.01 08/26/04 TOMAHAWK INDUSTRIES INC NV 5.03,8.01,9.01 08/27/04 TRANS INDUSTRIES INC DE 2.02,9.01 08/16/04 TRICO BANCSHARES / CA 8.01,9.01 08/25/04 TRM CORP OR 8.01 08/26/04 U S PHYSICAL THERAPY INC /NV NV 4.01,8.01,9.01 08/23/04 UNIFY CORP DE 2.02,9.01 08/27/04 UNIT CORP DE 1.01,9.01 08/25/04 VARCO INTERNATIONAL INC /DE/ DE 5.02,9.01 08/26/04 VARIFLEX INC DE 1.01,9.01 08/26/04 VASO ACTIVE PHARMACEUTICALS INC DE 8.01,9.01 08/27/04 VELOCITY EXPRESS CORP DE 3.01,9.01 08/25/04 VICURON PHARMACEUTICALS INC DE 8.01 08/27/04 WAMU MORTAGE PASS THRU CERT SER 2003- DE 8.01,9.01 08/27/04 WAMU MORTAGE PASS THRU CERT SERIES 20 DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THR CERTS SER 2003 DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CER SER 20 DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERT SER 2 DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTS SER DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTS SER DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTS SER DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTS SER DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTS SERI DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS THROUGH CERTS SERI DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WAMU Mortgage Pass-Through Certificat DE 8.01,9.01 08/27/04 WaMu Mortgage Pass-Through Certificat 8.01,9.01 08/27/04 WaMu Mortgage Pass-Through Certificat DE 8.01,9.01 08/27/04 WaMu Mortgage Pass-Through Certificat DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WaMu Mortgage Pass-Through Certificat DE 8.01,9.01 08/27/04 WaMu Mortgage Pass-Through Certificat DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE 8.01,9.01 08/27/04 WaMu Mortgage Pass-Through Certificat DE 8.01,9.01 08/27/04 WaMu Mortgage Pass-Through Certificat DE 8.01,9.01 08/27/04 WaMu Mortgage Pass-Through Certificat DE 8.01,9.01 08/27/04 WaMu Mortgage Pass-Through Certificat DE 8.01,9.01 08/27/04 WaMu Mortgage Pass-Through Certificat DE 8.01,9.01 08/27/04 WAMU MORTGAGE PASS-THRU CERT SERIES 2 DE 8.01,9.01 08/27/04 WARREN RESOURCES INC NY 8.01 08/23/04 WASHINGTON GROUP INTERNATIONAL INC DE 1.01,9.01 08/25/04 WASHINGTON MUTUAL MORT PS THR CERTS DE 8.01 08/25/04 WASHINGTON MUTUAL MORT SEC CORP MOR P DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MORT SEC CORP PAS T DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MORT SEC CORP PASS DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MORTGAGE SEC CORP P DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MSC MORT PA THR CER DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MSC MORT PASS THR C DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MSC MORT PASS THR C DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MSC MORT PASS THR C DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MSC MORT PASS THROU DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MSC MORT PASS THROU DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MSC MORT PASS THRU DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MSC MORT PASS THRU DE 8.01,9.01 08/27/04 WASHINGTON MUTUAL MSC MORTGAGE PASS-T DE 8.01,9.01 08/27/04 Washington Mutual MSC Mortgage Pass-T DE 8.01,9.01 08/27/04 Washington Mutual MSC Mortgage Pass-T DE 8.01,9.01 08/27/04 WASTE SERVICES, INC. A6 2.03,9.01 08/26/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 08/27/04 WESBANCO INC WV 1.01,9.01 08/25/04 WESBANCO INC WV 7.01 08/26/04 WESTAMERICA BANCORPORATION CA 1.01,9.01 08/25/04 WESTERN WIRELESS CORP WA 8.01,9.01 08/24/04 WESTMORELAND COAL CO DE 1.01,9.01 06/25/04 WESTSPHERE ASSET CORP INC CO 5.02 08/26/04 WHOLESALE AUTO RECEIVABLES CORP DE 8.01,9.01 08/16/04 WHOLESALE AUTO RECEIVABLES CORP DE 8.01,9.01 08/16/04 WILBER CORP 8.01,9.01 08/27/04 WINDSORTECH INC DE 5.02 08/24/04 WODFI LLC FL 8.01 07/01/04 WORKSTREAM INC 8.01,9.01 08/24/04 WORLD WIDE WEB INC NV 1.01,2.01,7.01,9.01 08/26/04 WORLDWIDE RESTAURANT CONCEPTS INC DE 8.01,9.01 08/26/04 XYNERGY CORP NV 2.01,9.01 08/08/04 YELLOW ROADWAY CORP DE 7.01,9.01 08/27/04 ZALE CORP DE 5.02 08/27/04 ZENITH NATIONAL INSURANCE CORP DE 8.01,9.01 08/27/04 ZEOLITE MINING CORP 7.01,9.01 08/25/04 ZYGO CORP DE 2.02,2.05,2.06,9.01 08/25/04