SEC NEWS DIGEST


Issue 2003-218                                            November 17, 2003



     
COMMISSION ANNOUNCEMENTS


     
SEC ANNOUNCES INDEPENDENT CONSULTANTS UNDER GLOBAL RESEARCH ANALYST
SETTLEMENT

     On November 14, the Commission announced the Independent Consultants who
     have  to date been selected to procure independent research for the  ten
     investment  firms in the global research analyst settlement approved  by
     the  Honorable William H. Pauley III, United States District  Judge  for
     the Southern District of New York, on Oct. 31, 2003.
     
     The  Final Judgments require the firms to make payments totaling  $432.5
     million  over five years to fund independent research for investors  and
     call  for  the  selection of Independent Consultants acceptable  to  the
     Commission  staff,  the New York Attorney General, the  New  York  Stock
     Exchange,  the  NASD,  and  the  President  of  NASAA  to  oversee   the
     procurement  of  the  independent  research  from  independent  research
     providers.  The Independent Consultants who have been selected  to  date
     are:
     
     Bear, Stearns & Co. Inc. Michael J. Downey (mjd@mdowney.com)
     
     Citigroup                Stanley "Bud" Morten (budmorten@aol.com)
     
     C. S. First Boston       Patricia Chadwick (pchadwick@ravengate.com)
     
     Goldman Sachs            Henry A. Frantzen (hfrantzen@frantzencapital.com)
     
     J. P. Morgan Chase       Laura Unger (lsunger@aol.com)
     
     Lehman Brothers Inc.     Mark Fichtel (mfichtel@cloud9.net)
     
     Merrill Lynch            Bridget Macaskill (bamacaskill@aol.com)
     
     Piper Jaffray            Thomas Brakke (tom@tjbllc.com)
     
     UBS Warburg              Michael A. Dritz (mike@dritzenterprises.com)
     
     Contact:  SEC Office of Public Affairs (202) 942-0020
     (Press Rel. 2003-158)



CHAIRMAN DONALDSON TO TESTIFY

     Chairman  William H. Donaldson will testify before the Senate  Committee
     on  Banking,  Housing, and Urban Affairs on Tuesday, November  18.   The
     Committee's  hearing,  entitled "Review of  Current  Investigations  and
     Regulatory  Actions Regarding the Mutual Fund Industry"  will  begin  at
     10:00 a.m. in Room 538 of the Dirksen Senate Office Building.

     Chairman  William H. Donaldson will testify before the Senate  Committee
     on  Banking, Housing, and Urban Affairs on Thursday, November  20.   The
     Committee's hearing, entitled "Improving the Corporate Governance of the
     New  York Stock Exchange," will begin at 10:00 a.m. in Room 538  of  the
     Dirksen Senate Office Building.

STEPHEN CUTLER TO TESTIFY
     
     Stephen M. Cutler, Director of the Commission's Division of Enforcement,
     will  testify before the Senate Committee on Banking, Housing, and Urban
     Affairs  on  Thursday, November 20.  The Committee's  hearing,  entitled
     "Review  of Current Investigations and Regulatory Actions Regarding  the
     Mutual  Fund  Industry," will begin at 2:00 p.m.  in  Room  538  of  the
     Dirksen Senate Office Building.
     

     
ENFORCEMENT PROCEEDINGS


     
COMMISSION CENSURES AND ORDERS MORGAN STANLEY DW INC. TO CEASE AND DESIST
FROM MISLEADING CUSTOMERS WHO PURCHASE MUTUAL FUND SHARES

     On   November   17,   the   Commission  issued  an   Order   Instituting
     Administrative Proceedings Pursuant to Section 8A of the Securities  Act
     of  1933  and Sections 15(b) and 21C of the Securities Exchange  Act  of
     1934,  Making  Findings and Imposing Remedial Sanctions (Order)  against
     Morgan  Stanley  DW  Inc.  (Morgan  Stanley)  for  failing  to  disclose
     adequately material information to its customers in the offer  and  sale
     of  mutual fund shares.  The Commission simultaneously accepted an offer
     of  settlement  from  Morgan  Stanley  in  which  it  consents,  without
     admitting  or  denying the Commission's findings, to an  Order  that  it
     shall cease and desist from committing or causing any violations and any
     future violations of Section 17(a)(2) of the Securities Act of 1933  and
     Rule 10b-10 under the Securities Exchange Act of 1934.

     In  the  Order,  the Commission finds two distinct firm-wide  disclosure
     failures   that  mislead  customers.   First,  Morgan  Stanley  operated
     "preferred" mutual fund sales programs in which a select group of mutual
     fund  complexes  paid Morgan Stanley for preferred sales and  marketing.
     To  encourage  sales of shares in the select funds, Morgan Stanley  paid
     enhanced  compensation to its individual registered representatives  and
     branch  managers on sales of "preferred" funds' shares.   The  complexes
     paid  their  fees  in  cash or portfolio brokerage commissions.   Morgan
     Stanley  did  not  disclose  the "preferred" programs  to  customers  --
     neither  the  payments  that it received from the participants  nor  the
     enhanced  compensation  it  paid to its  sales  force.   Second,  Morgan
     Stanley  failed to make adequate disclosure to customers that  purchases
     of  Morgan  Stanley's proprietary Class B shares in excess  of  $100,000
     were  subject to higher continuing sales charges than Class A shares  in
     the  same funds, and that those charges could have a negative impact  on
     customers'  investment  returns.  As with the  sales  of  funds  in  the
     "preferred" programs, Morgan Stanley's sales force stood to earn more on
     sales of Class B shares of its proprietary funds.

     Based upon the foregoing conduct, the Order censures Morgan Stanley  and
     requires  Morgan  Stanley  to  pay  $25  million  in  disgorgement   and
     prejudgment interest, and civil penalties in the amount of $25  million.
     Morgan Stanley will place the $50 million payment in a distribution fund
     for  the  benefit  of  certain customers of the firm.   The  Order  also
     requires  Morgan Stanley to comply with certain undertakings, including:
     (1) providing heightened disclosures to customers on its website and  in
     a  "Mutual  Fund Bill of Rights" regarding the "preferred" programs  and
     the  differences  between share classes; (2) for  those  customers  that
     bought  Class  B  shares in amounts of $100,000  or  more,  offering  to
     convert  those customers' Class B shares to A shares; and (3)  retaining
     an  independent  consultant  to conduct a  review  of,  and  to  provide
     recommendations  concerning, Morgan Stanley's policies  and  procedures.
     (Rels. 33-8339; File No. 3-48789; File No. 3-11335; Press Rel. 2003-159)

IN THE MATTER OF DAVID MELILLO

     On   November   17,   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 David P. Melillo (Melillo).  The Order is based  on  the
     entry  of  an  injunction,  and  a  criminal  plea  against  Melillo  in
     connection   with  the  manipulation  of  Hollywood  Productions,   Inc.
     (Hollywood).  Melillo, acting as President of Euro-Atlantic  Securities,
     Inc.,  (Euro)  directed brokers to artificially raise and  maintain  the
     price  of  the  securities of Hollywood by making false  and  materially
     misleading statements to Euro's customers.  Melillo also paid bribes  to
     such  brokers  who  fraudulently marketed  Hollywood's  securities.   In
     connection with his involvement with Hollywood, Melillo pled  guilty  to
     one  count to commit securities fraud and one count of money laundering,
     and was sentenced on July 24, 2003.  Melillo was sentenced to six months
     community  detention, followed by six months of house  arrest  and  five
     years probation.  Melillo was ordered to pay restitution of $68 million.
     See  U.S. v. Ilan Arbel, et al., No. 01 CR 917 (ILG).  On Oct. 17, 2003,
     the  United States District Court for the Eastern District of  New  York
     permanently enjoined Melillo 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, and Rule 101 of Regulation  M.  See
     Securities  and Exchange Commission v. Ilan Arbel, et al., Civ.  01-5985
     (ILG) (Injunction);

     Based on Melillo's plea in the criminal matter and the Injunction above,
     the  Order  bars  Melillo from association with any  broker  or  dealer.
     David  P.  Melillo  consented  to  the issuance  of  the  Order  without
     admitting  or denying any of the findings in the Order.  (Rel. 34-48790;
     File No. 3-11336)
SEC  SETTLES FRAUD CHARGES AGAINST PROMOTERS OF PRIME BANK SECURITIES FRAUDS,
AND ISSUES BAR ORDERS AGAINST THEM
                                      
     On October 28, 2003, the U.S. District Court for the Western District of
     Virginia  entered  final judgments against all four  defendants  in  the
     Commission's  "prime  bank" case arising from the promotion  of  certain
     fraudulent  high-yield investment programs to investors in Virginia  and
     elsewhere.  The defendants are Lytle E. Foglesong, Thomas Gregory  Cook,
     James  H.  Malbaff, and a partnership called Malbaff  &  Cook.   Without
     admitting or denying the allegations of the Commission's complaint,  the
     defendants  consented to the entry of final judgments  that  permanently
     enjoin  them from violating the antifraud and broker-dealer registration
     provisions  of  the federal securities laws and order them  to  disgorge
     their   ill-gotten   gains.   Certain  portions  of   the   disgorgement
     obligations were waived, and no civil penalties were imposed against the
     defendants,   based   on   their  financial  conditions.    In   related
     proceedings, the Commission issued administrative orders on November 17,
     2003  that  bar Fogelsong, Malbaff, and Cook from associating  with  any
     broker or dealer in the future.
     
     In  its complaint in federal court, which it filed on Dec. 19, 2001, the
     Commission alleged that the defendants fraudulently obtained  over  $1.1
     million  by promoting several "high yield" investment programs  to  over
     thirty  investors, the majority of whom resided in Virginia.   According
     to  the  complaint, the defendants functioned primarily as  finders  and
     brokers, delivering most of the investment proceeds to the operators  of
     the  purported programs.  The complaint further charged that, during the
     course  of  soliciting investors, the defendants made numerous  material
     misrepresentations  concerning, among other things,  the  views  of  the
     Commission,  the  Federal Reserve and other agencies on  the  investment
     programs, their own due diligence with respect to the legitimacy of  the
     programs,  the  programs'  safety, and  the  use  of  investors'  funds.
     Finally, the complaint alleged that the defendants each participated  in
     an  extensive lulling campaign once they knew that the investors'  funds
     had  been  misappropriated (See Securities and  Exchange  Commission  v.
     Lytle E. Foglesong, Thomas Gregory Cook, James H. Malbaff, and Malbaff &
     Cook,   Civil   Action  No.  5:01CV00104  W.D.  Va.;   Lit.   Rel.   No.
     17281/December 19, 2001).
     
     The  court's  final judgments permanently enjoin each of the  defendants
     from  violating Section 17(a) of the Securities Act of 1933  (Securities
     Act),  Sections 10(b) and 15(a) of the Securities Exchange Act  of  1934
     (Exchange  Act),  and  Exchange Act Rule 10b-5.  In  addition,  Malbaff,
     Cook,  and Malbaff & Cook were jointly and severally ordered to disgorge
     $825,000 in ill-gotten gains plus prejudgment interest; however, due  to
     their  financial condition, no civil penalty was imposed  against  them,
     and  their  disgorgement obligation was waived to the extent it  exceeds
     their  outstanding  and  renewed obligation to  make  payments  totaling
     $377,000 (plus post-judgment interest) under a Settlement Order  entered
     against them by the Virginia State Corporation Commission's Division  of
     Securities  and Retail Franchising.  Fogelsong was ordered  to  disgorge
     $1,125,000  in  ill-gotten  gains plus prejudgment  interest,  but  that
     obligation  was waived, and no civil penalty was imposed, based  on  his
     financial condition.
          
     The  above-described  final  judgments  and  bar  orders  conclude  this
     litigation.  Related federal criminal proceedings remain pending  as  to
     Foglesong, Cook, and Malbaff in the United States District Court for the
     Western District of Virginia.
          
     [For  related  cases, see also Lit. Rel. Nos. 17908/Dec.  20,  2002  and
     17909/Dec.  23,  2002;  for further information regarding  "prime  bank"
     fraud     in     general,     see     the     SEC's     Homepage      at
     http://www.sec.gov/divisions/enforce/primebank.shtml].  [SEC v. Lytle E.
     Foglesong, Thomas Gregory Cook, James H. Malbaff and Malbaff & Cook, No.
     5:01CV00104   (Wilson,   C.J.)   (U.S.D.C.,   W.D.   Va.)]   (LR-18462);
     Administrative  Proceedings - (Foglesong - Rel. 34-48792,  File  No.  3-
     11337;  Malbaff - Rel. 34-48793, File No. 3-11338; Cook - Rel. 34-48794,
     File No. 3-11339)

                                      
ARIZONA WOMAN INDICTED IN PUMP AND DUMP INVESTMENT SCHEME

     On  Oct.  22,  2003,  the  U.S. Attorney for  the  District  of  Arizona
     announced  that  a  federal  grand jury had returned  an  indictment  of
     Jeanette  B.  Wilcher, a resident of Scottsdale, Arizona,  charging  her
     with  intentionally  defrauding investors out of more  than  $3  million
     dollars  in connection with a high yield investment scheme and  charging
     her  with  wire fraud for her role in a "pump and dump" scheme involving
     the  stock of Hitsgalore.com, Inc.  The indictment charges Wilcher  with
     eight counts of wire fraud and six counts of money laundering.
     
     Hitsgalore  was  a  publicly traded Internet company located  in  Rancho
     Cucamonga,  California, that maintained a website providing an  Internet
     search  engine and leasing advertising space to consumers.  On Nov.  28,
     2001, the Commission filed an action against Wilcher and Life Foundation
     Trust  along  with  Hitsgalore  and its  former  president,  Stephen  J.
     Bradford.  The complaint charged Hitsgalore and Bradford with  fraud  in
     connection  with  several press releases issued by the  company  between
     April  16  and  May  10,  1999,  that  contained  false  and  misleading
     statements about a purported investment in Hitsgalore by Life Foundation
     Trust.   The  fraudulent press releases caused a dramatic  rise  in  the
     price of Hitsgalore's stock, quoted on the OTCBB, from $6.3125 to a high
     of  $20.125.   The  complaint  also charged  Life  Foundation  Trust,  a
     Scottsdale,  Arizona,  for-profit trust, and its trustee  Wilcher,  with
     aiding  and abetting Hitsgalore's fraud and illegally selling Hitsgalore
     stock.    The  Commission  settled  its  claims  against  Bradford   and
     Hitsgalore.

     On  July 29, 2002, the Honorable Gary L. Taylor, U.S. District Judge for
     the Central District of California, granted summary judgment in favor of
     the  Commission against Life Foundation Trust and Wilcher.  Among  other
     relief, the Court held Life Foundation Trust and Wilcher jointly  liable
     for disgorgement of the $1,024,418.50 that Life Foundation Trust made in
     profits on the illegal sale of Hitsgalore stock; ordered Life Foundation
     Trust  to  pay a civil penalty of $1,024,418.50; and ordered Wilcher  to
     pay a civil penalty of $110,000.

     The  Commission  applied  for a contempt order after  Wilcher  and  Life
     Foundation Trust failed to pay the ordered disgorgement.  On  March  24,
     2003, the Court held Life Foundation Trust and Wilcher in civil contempt
     for their failure to pay disgorgement.  The March 24 Order required that
     Wilcher be incarcerated and forced to surrender her passport for failure
     to  disgorge the illegal profits, and required Life Foundation Trust  to
     pay  an  escalating daily fine of $1,000, doubling every day  thereafter
     until  Life Foundation Trust pays the ordered disgorgement. Wilcher  and
     Life Foundation Trust have not complied with the March 24 Order.

     Wilcher  remains incarcerated awaiting trial in the criminal proceeding.
     [SEC v. Hitsgalore.com, Inc., Stephen J. Bradford, Life Foundation Trust
     and  Jeanette  B. Wilcher, Civil Action No. 01-CV-1133 GLT  (ANx)  (C.D.
     Cal.)];   [U.S. v. Jeanette B. Wilcher, Case No. CR03-1098 PHX  EHC  (D.
     Ar.)] (LR-18455)
     
COMMISSION  OBTAINS TEMPORARY RESTRAINING ORDER AND ASSET FREEZE AGAINST  NEW
HAMPSHIRE RESIDENT IN CONNECTION WITH FRAUDULENT INVESTMENT SCHEMES

     The  Commission  announced  today  that  it  has  obtained  a  temporary
     restraining order, asset freeze, and other emergency relief in  a  civil
     fraud action filed against Koji Goto, a Japanese citizen who resides  in
     Bedford,  New  Hampshire.   The Commission's  complaint,  filed  in  New
     Hampshire  federal  district court, alleges that  Goto  perpetrated  two
     fraudulent investment schemes beginning in 2002, and has misappropriated
     approximately  $5 million from investors.  The Commission also  obtained
     an  asset  freeze against Goto's wife, Shaleen Cassily,  concerning  her
     receipt of some proceeds of Goto's fraud.
     
     According to the Commission's complaint, in the first scheme, Goto  made
     fraudulent  misrepresentations  to  obtain  investments  in  a   Boston,
     Massachusetts-based  hedge  fund.  Among  other  things,  the  complaint
     alleges  that  Goto falsely stated to investors that he  had  previously
     managed  a  portfolio of client assets totaling between  $250  and  $300
     million,  that he would personally invest between $6 and $7  million  in
     the  hedge  fund, that the hedge fund was profitable, and that  he  made
     investment  decisions  on behalf of the hedge fund.   According  to  the
     complaint,  at  least 10 investors gave money to Goto to invest  in  the
     hedge  fund,  but instead of placing investor funds in the  hedge  fund,
     Goto  diverted the funds to bank accounts controlled by him for his  own
     personal  gain.  The complaint alleges that in the second  scheme,  Goto
     again  made  fraudulent misrepresentations to obtain  investments  in  a
     purported  hot  dog  stand vending business.  Among  other  things,  the
     complaint alleges that Goto falsely stated to investors that he  had  an
     exclusive contract to manage hot dog vending stands at Home Depot stores
     throughout the United States and that investors should expect a  minimum
     return of 500% after two or three years.  According to the complaint, at
     least  5  investors  gave money to Goto to invest in  this  scheme,  and
     again,  instead  of investing the funds in the business,  Goto  diverted
     those  funds  to  bank accounts controlled by him for his  own  personal
     gain.

     The Commission alleged in its complaint that Goto violated Section 17(a)
     of  the  Securities Act of 1933 and Section 10(b) of the Securities  and
     Exchange  Act  of  1934 and Rule 10b-5 thereunder.  The Commission  also
     named as a relief defendant Goto's wife, Shaleen Cassily.  The complaint
     alleges that Goto transferred at least $1.4 million of investor funds to
     a  brokerage  account in the name of Cassily, and that Goto and  Cassily
     transferred  their joint ownership interest in a Bedford, New  Hampshire
     house worth millions of dollars to Cassily as sole owner.

     The Commission asked the court to enter emergency relief against Goto on
     the  grounds  that  his fraud is ongoing because he  continues  to  hold
     investors  funds,  and  as  recently as  November  12,  2003,  has  been
     contacting  investors in an attempt to obstruct the  investigation  into
     his  conduct.   The  Commission obtained entry of an  order  temporarily
     restraining  Goto from directly or indirectly continuing to violate  the
     federal  securities laws, and an asset freeze against Goto and  Cassily.
     The court also granted other emergency relief, including repatriation of
     all assets obtained from investors that may presently be located outside
     of  the  United States, an order prohibiting the destruction of relevant
     documents, and an accounting to identify, among other things, all assets
     of  Goto or Cassily over $1,000 in value and all transfers of assets  by
     Goto  or  Cassily over $1,000 in value.  The hearing on the Commission's
     motion for a preliminary injunction is scheduled for Dec. 3, 2003.

     The Commission acknowledges the assistance of the New Hampshire Attorney
     General's  Office  in  its investigation.  On Nov.  13,  2003,  the  New
     Hampshire  Attorney General's Office arrested Goto on  related  criminal
     charges.    [SEC  v. Koji Goto, USDC for the District of New  Hampshire,
     C.A. No. 03-490-JD] (LR-18456)
     
FINAL  JUDGMENT  SETTING  DISGORGEMENT AND IMPOSING CIVIL  PENALTIES  AGAINST
DEFENDANTS JEAN LECLERCQ, KIP MARSIQUE AND FREDERICK SHAPIRO

     The  Commission announced that on Oct. 29, 2003, the U.S. District Court
     for  the  Southern District of Florida entered a Final Judgment  Setting
     Disgorgement  and  Imposing  Civil Penalties (Final  Judgment),  against
     Defendants  Jean  Leclercq  (Leclercq),  Kip  Marsique  (Marsique)   and
     Frederick  Shapiro  (Shapiro).   The Final  Judgment  stems  from  their
     conduct  in  a  fraudulent  unregistered securities  offering  to  raise
     investor funds for Starcash, Inc. (Starcash), a purported payday advance
     loan business.  The Final Judgment orders Leclercq, Marsique and Shapiro
     to  jointly and severally pay $6,729,584 in disgorgement and $443,108.78
     in  prejudgment interest.  It also orders Leclercq, Marsique and Shapiro
     to  each  pay  $120,000 in civil penalties.   The  Final  Judgment  also
     provides  for the dismissal of disgorgement and civil penalties  against
     Defendants  Starcash,  and  Infinity  Consulting  Services,  Inc.,   and
     dismissal  of disgorgement against Relief Defendants Starcash Consulting
     Inc.,  Starcash Industries, Inc., and Starcash Media, Inc.  All  of  the
     corporate defendants and relief defendants are in receivership.  [SEC v.
     Starcash, Inc., et al., Case No. 02-80456-CIV-MIDDLEBROKS (USDC/SD  FL)]
     (LR-18457)
SEC CHARGES ENRICO CORTESANO WITH FRAUD
     On  November  14,  the Commission filed a complaint alleging  securities
     fraud against Enrico Cortesano (Cortesano), a recidivist securities  law
     violator  who is the subject of a cease-and-desist Order issued  by  the
     Commission in 2001.
     The  Commission's complaint alleges that from at least November 2001  to
     January  2003,  Cortesano  engaged in an Internet  prime  bank  offering
     through   a  website  that  offered  bank  debenture  trading  programs.
     According  to  the Commission's complaint, the website  described  these
     programs  as  "the  buying  and selling of bank  debentures  within  the
     international  money  markets  by  the  top  100  world   banks."    The
     Commission's complaint alleges that these investments do not exist,  and
     that  many  of  the  misrepresentations are similar  to  the  fraudulent
     conduct detailed in a cease-and-desist Order issued by the Commission in
     2001 against Cortesano.
     
     The  Commission's complaint seeks a permanent injunction and civil money
     penalties  against Cortesano based on his violations of  Sections  5(c),
     17(a)(1) and 17(a)(3) of the Securities Act of 1933, and seeks an  Order
     requiring him to comply with the 2001 cease-and-desist Order.   [SEC  v.
     Enrico Cortesano, Case No.03-62039-CIV-Altonaga, S.D. Fla.] (LR-18458)
     
SEC PREVAILS IN INSIDER TRADING BENCH TRIAL

     On  November 13, David Chang was ordered to disgorge his illegal trading
     profits and to pay a penalty, after the court found him liable for fraud
     based on insider trading and tipping.  The court's order in SEC v. David
     Chang  (N.D.  Cal.) followed a bench trial held on October  21  and  22,
     2003.   The  Court  found  that  Chang purchased  2,000  shares  of  the
     securities of NVIDIA Corporation, his former employer, on the  basis  of
     material  and  nonpublic  information he  received  in  an  e-mail  from
     NVIDIA's  president and CEO regarding NVIDIA's award of  a  contract  by
     Microsoft Corporation to build a custom chip for the X-Box game console.
     The  Court  further found that Chang tipped another person  to  purchase
     NVIDIA shares, after Chang received another e-mail telling employees  to
     "keep  the  xbox  news quiet."  The order enjoins Chang  from  violating
     Section  10(b)  of the Securities Exchange Act of 1934  and  Rule  10b-5
     thereunder,  and  orders Chang to disgorge $66,000, to  pay  prejudgment
     interest,  and  to pay a $50,000 civil penalty.   [SEC  v.  David  Chang
     (Case No. C-01-21071 JW) ND Cal.] (LR-18459)
     
ASSOCIATE OF FORMER CONNECTICUT STATE TREASURER FOUND GUILTY IN CRIMINAL CASE
RELATED TO SEC ENFORCEMENT ACTION

     The Commission announced today that, on Oct. 29, 2003, Ben F. Andrews, a
     purported   consultant  for  Landmark  Partners,  Inc.,  a   Connecticut
     investment  firm,  was  found  guilty by a  jury  in  a  criminal  trial
     prosecuted by the Connecticut U.S. Attorney, for his role in an  alleged
     fraudulent  scheme  involving the former Connecticut  State  Treasurer's
     investment  of  state  pension fund money  with  private  equity  firms,
     including  Landmark,  in  exchange  for  the  firms'  agreement  to  pay
     lucrative  fees  to  the Treasurer's friends and associates.   The  jury
     found  Andrews  guilty of various charges, including bribery  concerning
     programs receiving federal funds, conspiracy to launder money, and  mail
     and  wire  fraud  concerning  theft  of  honest  services.   Andrews  is
     scheduled to be sentenced on Jan. 16, 2004.
     
     The  criminal action was based on conduct similar to that alleged  in  a
     complaint  filed  by  the Commission on Oct. 10,  2000.   The  complaint
     alleged  that,  in  return for investing $150 million of  state  pension
     funds with Landmark in 1998, the then Connecticut State Treasurer,  Paul
     J.  Silvester,  solicited and Landmark agreed to  pay  $1.5  million  in
     finder's fees to Andrews, a Silvester associate.  The complaint  further
     alleged  that  Andrews agreed to kick back part of the finder's  fee  to
     Silvester using another friend of Silvester, Christopher A. Stack, as an
     intermediary.

     Silvester,  Stack  (and his entity, KCATS), Landmark and  its  chairman,
     Stanley F. Alfeld, and three other parties (Triumph Capital Group, Inc.;
     Frederick  W. McCarthy; and Lisa A. Thiesfield) previously settled  with
     the  Commission  in this matter.  The Commission's case remains  pending
     against  three additional defendants: Andrews, Charles B.  Spadoni;  and
     Jerome L. Wilson.

     See  Litigation Release No. 18460.  For further information, please  see
     Litigation Release Numbers 18436 (Oct. 30, 2003), 16834 (Dec. 19, 2000),
     and  16759 (Oct. 10, 2000).  [SEC v. Paul J. Silvester, et al., USDC for
     the  District of Connecticut, Civil Action No. 3:00 CV 1941 SRU];  [U.S.
     v. Ben F. Andrews, USDC for the District of Connecticut, Criminal Action
     No. 3:00 CR 217 (EBB)] (LR-18460)

TRIUMPH  CAPITAL GROUP, INC. AND FREDERICK MCCARTHY SETTLE SEC FRAUD CHARGES.
TRIUMPH  AND  CHARLES  SPADONI FOUND GUILTY BY JURY IN CRIMINAL  ACTION,  AND
MCCARTHY PLEADS GUILTY TO CRIMINAL CHARGES

     The  Commission  announced today that on Oct. 28, 2003, the  Connecticut
     federal  district court entered final judgments by consent  in  a  fraud
     action  filed by the Commission against Triumph Capital Group, Inc.,  an
     investment  firm  headquartered  in  Boston,  Massachusetts,   and   its
     chairman,  Frederick  W.  McCarthy.  The  Commission's  charges  against
     Triumph and McCarthy arose out of an alleged fraudulent scheme involving
     the  former  Connecticut State Treasurer's investment of  state  pension
     fund money with private equity firms, including Triumph, in exchange for
     the  firms'  agreement to pay lucrative fees to the Treasurer's  friends
     and  associates.  In a complaint filed against eleven defendants in  the
     U.S.  District Court for the District of Connecticut on Oct.  10,  2000,
     the  Commission alleged that Paul J. Silvester, the former Treasurer  of
     the State of Connecticut, agreed to invest $200 million of state pension
     funds  with  Triumph in November 1998.  The complaint  alleged  that  in
     return,  Triumph, through its chairman McCarthy and its general  counsel
     Charles B. Spadoni, agreed to provide $1 million consulting contracts to
     Silvester's friends, Christopher A. Stack and Lisa A. Thiesfield.

     The  Commission's  complaint alleged that Triumph and McCarthy  violated
     their  fiduciary duty to the state pension fund by failing  to  disclose
     the  alleged  quid  pro quo arrangement.  Triumph and McCarthy,  without
     admitting  or  denying  the allegations contained  in  the  Commission's
     complaint,  consented  to  the entry of final  judgments  against  them.
     Triumph  agreed  to the entry of a permanent injunction  against  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,  and
     Sections  206(1)  and  206(2) of the Investment Advisers  Act  of  1940.
     McCarthy  agreed to a permanent injunction against future violations  of
     the  same provisions, a civil penalty of  $110,000, and a permanent  bar
     from serving as an officer or director of any publicly-traded company.

     On  July 16, 2003, Triumph and Spadoni were found guilty by a jury in  a
     related  criminal trial for their roles in this matter.  The jury  found
     Triumph  and  Spadoni guilty of various charges, including  racketeering
     and  racketeering conspiracy concerning acts of bribery and  obstruction
     of  justice, theft/bribery concerning programs receiving federal  funds,
     and  wire  fraud/theft of honest services.  On Sept. 4,  2003,  McCarthy
     pleaded  guilty  to  criminal  charges for  his  role  in  this  matter.
     McCarthy  pleaded guilty to one charge of corruptly rewarding  a  public
     official.   Under  McCarthy's plea agreement,  he  may  pay  a  criminal
     penalty of between $4,000-$40,000 and may be sentenced to between  15-21
     months in prison.

     Silvester,  Stack  (and  his entity, KCATS), Thiesfield  and  two  other
     parties  (Landmark Partners, Inc. and its chairman, Stanley  F.  Alfeld)
     previously settled with the Commission in this matter.  The Commission's
     case remains pending against three additional defendants:  Spadoni;  Ben
     F.  Andrews,  Jr.;  and  Jerome L. Wilson.  See Litigation  Release  No.
     18461.   For further information, please see Litigation Release  Numbers
     18436 (Oct. 30, 2003), 16834 (Dec. 19, 2000), and 16759 (Oct. 10, 2000).
     [SEC v. Paul J. Silvester, et al., USDC for the District of Connecticut,
     Civil Action No. 3:00 CV 1941 SRU];  [U.S. v. Triumph Capital Group,  et
     al.,  USDC for the District of Connecticut, Criminal Action No. 3:00  CR
     217 (EBB)] (LR-18461)
     
MILDRED  MILLER  SENTENCED IN CONNECTION WITH $5 MILLION FINANCIAL  FRAUD  AT
HPSC, INC. SUBSIDIARY

     The  Commission  announced that on November 6,  Mildred  K.  Miller  was
     sentenced  to 60 months imprisonment and ordered to pay more  than  $4.7
     million in connection with criminal charges brought by the United States
     Attorney for the District of Connecticut.  On March 7, 2003, Miller, age
     54,  of West Hartford, Connecticut, pleaded guilty to one count of  wire
     fraud  in violation of 18 U.S.C.  1343 for her role in a financial fraud
     perpetrated  at  a American Commercial Financial Corporation  (ACFC),  a
     wholly-owned subsidiary of Boston-based HPSC, Inc.

     In  a  related  civil  enforcement action, the Commission  alleged  that
     Miller  improperly received more than $4.7 million in connection with  a
     financial fraud perpetrated by Kevin J. Morrison, also of West Hartford,
     Connecticut.   According to the Complaint, between 1997  and  May  2002,
     Morrison,  the  former  executive vice  president  of  ACFC,  improperly
     diverted  more  than  $4.7  million of corporate  assets  to  Miller,  a
     purported  ACFC factoring customer.  Morrison attempted to  conceal  his
     embezzlement by regularly providing fictitious financial reports,  which
     were  incorporated  in the parent company's Forms 10-K  and  Forms  10-Q
     filed  with the Commission for the periods ended Dec. 31, 1997,  through
     March 31, 2002, causing HPSC to materially overstate its net income  and
     earnings  per  share by between 4% and 112% during the  affected  filing
     periods.  On  Feb. 13, 2003, the Commission obtained a default  judgment
     against  Miller.   The  court  ordered Miller  to  pay  disgorgement  of
     $4,782,381.26, plus prejudgment interest thereon of $189,813.63.
     
     On Nov. 21, 2002, in a separate criminal action, Morrison pleaded guilty
     for his role in the fraudulent scheme before Judge Hall to one count  of
     wire  fraud  in  violation  of 18 U.S.C.   1343.   On  March  31,  2003,
     Morrison was sentenced to serve 16 months in prison and ordered  to  pay
     restitution of more than $4.7 million.  For further information see  LR-
     17921,  17686. [SEC v. Kevin J.  Morrison, et al., Civ. A. No. 02-11647-
     MLW (D. Mass.)] (LR-18463; AAE Rel. 1914)
     
COMMISSION FILES ACCOUNTING FRAUD CHARGES AGAINST SCHICK TECHNOLOGIES,  INC.,
DAVID SCHICK AND FRED LEVINE

     The  Commission  announced  today  that  on  November  14  it  filed  an
     enforcement  action in the U.S. District Court for the Eastern  District
     of  New York against Schick Technologies, Inc. (STI), a manufacturer  of
     dental  and  medical  devices in Long Island City, New  York;  David  B.
     Schick  (Schick),  STI's  founder, CEO and  Chairman;  and  Fred  Levine
     (Levine),  STI's  former  Director  and  Vice  President  of  Sales  and
     Marketing.   The  Commission's  complaint  in  Securities  and  Exchange
     Commission  v.  Schick  Technologies, Inc., David  B.  Schick  and  Fred
     Levine, 03 Civ. 5766-CBA (E.D.N.Y.), charges the defendants with  fraud,
     and   books  and  records  and  reporting  violations  for  artificially
     inflating STI's reported revenue for the first three quarters  of  STI's
     fiscal  year  1999,  and then covering up the fraud by  lying  to  STI's
     outside auditors.
     
     The  complaint  alleges that STI improperly booked and reported  revenue
     from  sales  practices including end of quarter shipments to warehouses,
     consignment sales, and merchandise shipped to customers pursuant to  two
     loaner programs where the customer accepted the product on a trial basis
     with  no obligation to purchase the product.  The defendants also failed
     to  account  properly  for  massive product  returns  and  to  establish
     sufficient sales reserves.  As a result of the fraud, which led  to  two
     restatements,  STI materially overstated its reported  revenue  for  the
     June,  September  and December quarters of 1998.  The complaint  alleges
     that  Schick and Levine knew of or recklessly disregarded the fraudulent
     practices  and  deception,  and  were  responsible  for  STI's  improper
     recording and reporting of the inflated revenue and income.
     
     The complaint further alleges as to the defendants:
     
           STI is a Delaware company whose common stock traded on the NASDAQ from
          STI's initial public offering in July 1997 until September 1999 when it was
          delisted, and was quoted in the National Quotation Bureau's "pink sheets"
          until January 2002.  Since then, STI's common stock has traded on the OTC
          Bulletin Board.  STI's primary products during the relevant period were the
          CDR computed dental radiography dental imaging system that produces dental x-
          ray images on a computer monitor rather than on conventional x-ray film, and
          the accuDEXA bone densitometer that assesses bone mineral density and
          fracture risk.
     
           Schick has been STI's CEO and Chairman since he founded the Company in
          1992.  He was also the President of the Company from 1992 until 1999.  During
          the relevant period, STI's accounting decisions and practices were made and
          controlled by Schick.  He also signed each of the materially false and
          misleading quarterly reports at issue.
     
           Levine, who joined STI in 1995, became the Vice President of Sales and
          Marketing in 1997 in charge of all product sales, and a Director in 1998.  He
          was terminated in August 1999.
     
     The  Commission's complaint charges that all defendants violated Section
     10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-
     5  and  charges, in the alternative, that Levine aided and abetted these
     violations.  The Complaint charges that STI violated Sections 13(a)  and
     13(b)(2) of the Exchange Act and Rules 12b-20 and 13a-13; that Schick is
     liable for STI's violations as a control person of STI; that Schick  and
     Levine  also  aided  and abetted STI's reporting  violations;  and  that
     Schick  and  Levine violated or aided and abetted violations of  Section
     13(b)(5)  of  the  Exchange  Act  and  Rules  13b2-1  and  13b2-2.   The
     Commission  seeks  a permanent injunction against all defendants,  civil
     penalties  and a permanent officer and director bar against  Schick  and
     Levine,   and  disgorgement  of  ill-gotten  gains.   [SEC   v.   Schick
     Technologies,  Inc., David B. Schick and Fred Levine, 03  Civ.  5766-CBA
     (E.D.N.Y.)] (LR-18464; AAE Rel. 1915)


     
HOLDING COMPANY ACT RELEASES


     
ALLEGHENY ENERGY INC.

     A  notice has been issued giving interested persons until Dec. 8,  2003,
     to  request  a  hearing  on  a  proposal by  Allegheny  Energy  Inc.,  a
     registered holding company, and Allegheny Energy Supply Company  LLC,  a
     registered  holding  company and public utility  company  subsidiary  of
     Allegheny,  that  the Commission grant them authority through  Dec.  31,
     2004,  to  continue  using  revised financing conditions  authorized  in
     previous  orders  and  grant  AE  Supply authority  to  continue  paying
     dividends  out of capital or unearned surplus to Allegheny.   (Rel.  35-
     27762)


     
SELF-REGULATORY ORGANIZATIONS


     
DELISTINGS GRANTED

     An  order  has  been issued granting the application of the Philadelphia
     Stock Exchange to strike from listing and registration certain call  and
     put  options  contracts  issued  by  The  Options  Clearing  Corporation
     respecting  underlying securities of Dreyer's Grand Ice Cream  Holdings,
     Inc.  (QKF/QDF/DRYR), effective at the opening of business  on  November
     17.  (Rel. 34-48784)

     An  order has been issued granting the application of the New York Stock
     Exchange to strike from listing and registration the Common Stock,  $.01
     par  value,  of Championship Auto Racing Teams, Inc., effective  at  the
     opening of business on November 17.  (Rel. 34-48785)
     
     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 0.1 registered share) of  Centerpulse  Ltd.,
     effective at the opening of business on November 17.  (Rel. 34-48786)


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:
     <publicinfo@sec.gov>.  In most cases, this information is also available
     on the Commission's website: <www.sec.gov>.
          
          
               
S-8     ADA-ES INC, 187,310 ($477,640.50) Equity, (File 333-110479 - Nov. 14)
        (BR. 02)

S-8     ICOWORKS INC, 1111 WEST GEORGIA STREET, SUITE 1700, VANCOUVER, A1,
        V6E4M3, 604-681-1754 - 2,500,000 ($832,500.00) Equity,
        (File 333-110481 - Nov. 14) (BR. 09)

S-4     ATLANTIC COAST ENTERTAINMENT HOLDINGS INC, C/O SANDS HOTEL & CASINO,
        INDIANA AVE & BRIGHTON PARK, ATLANTIC CITY, NJ, 08401, 6094414000 -
        0 ($31,057,510.44) Equity, (File 333-110484 - Nov. 14) (BR. 08)

S-4     ATLANTIC COAST ENTERTAINMENT HOLDINGS INC, C/O SANDS HOTEL & CASINO,
        INDIANA AVE & BRIGHTON PARK, ATLANTIC CITY, NJ, 08401, 6094414000 -
        0 ($110,000,000.00) Equity, (File 333-110485 - Nov. 14) (BR. 08)

F-3     TOWER SEMICONDUCTOR LTD, RAMAT GAVRIEL, P O BOX 619,
        MIGDAL HAEMEK 23105, L3, 97246506611 -
        13,800,000 ($95,910,000.00) Equity, (File 333-110486 - Nov. 14) (BR. 36)

S-3     CHEVRONTEXACO CORP, 6001 BOLLINGER CANYON ROAD, SAN RAMON, CA, 94583,
        925-842-1000 - 0 ($3,000,000,000.00) Other, (File 333-110487 - Nov. 14)
        (BR. 04)

S-3     UNITED MORTGAGE TRUST, 5740 PROSPECT, SUITE 1000, DALLAS, TX, 75206,
        2142379305 - 511,000 ($10,220,000.00) Equity, (File 333-110488 -
        Nov. 14) (BR. 08)

S-8     ASB HOLDING CO, 365 BROAD STREET, BLOOMFIELD, NJ, 07003, 9737483600 -
        39,100 ($660,008.00) Equity, (File 333-110489 - Nov. 14) (BR. 07)

S-3     ROPER INDUSTRIES INC /DE/, 2160 SATELLITE BLVD, SUITE 200, DULUTH, GA,
        30097, 7704955100 - 450,000,000 ($450,000,000.00) Other,
        (File 333-110491 - Nov. 14) (BR. 36)

S-8     LASERSCOPE, 4089430636 - 400,000 ($4,770,000.00) Equity,
        (File 333-110492 - Nov. 14) (BR. 36)

S-3     GENEREX BIOTECHNOLOGY CORP, 33 HARBOUR SQ, STE 202,
        TORONTO ONTARIO CANADA, A1, M5J 2G2, 4163642551 -
        3,859,974 ($6,600,555.00) Equity, (File 333-110493 - Nov. 14) (BR. 01)

S-8     EXXON MOBIL CORP, 5959 LAS COLINAS BLVD, IRVING, TX, 75039-2298,
        9724441000 - 50,000,000 ($1,782,500,000.00) Equity, (File 333-110494 -
        Nov. 14) (BR. 04)

F-3     TSAKOS ENERGY NAVIGATION LTD, 367 SYNGROU AVENUE, ATHENS, J3, 00000,
        0 ($150,000,000.00) Other, (File 333-110495 - Nov. 14) (BR. )

S-8     DIGITAL IMPACT INC /DE/, 177 BOVER ROAD SUITE 200, SAN MATEO, CA,
        94402, 6503563404 - 657,673 ($1,611,299.00) Equity, (File 333-110496 -
        Nov. 14) (BR. 08)

S-8     JDS UNIPHASE CORP /CA/, 1768 AUTOMATION PARKWAY, SAN JOSE, CA, 95131,
        4085465000 - 140,000,000 ($482,720.00) Equity, (File 333-110497 -
        Nov. 14) (BR. 36)

S-4     SOUTHERN POWER CO, 600 N 18TH ST., BIRMINGHAM, AL, 35291, 4045067146 -
        575,000,000 ($575,000,000.00) Non-Convertible Debt, (File 333-110498 -
        Nov. 14) (BR. 02)

S-3     PRINCIPAL FINANCIAL GROUP INC, 711 HIGH STREET, DES MOINES, IA, 50392,
        5152475111 - 4,000,000,000 ($4,000,000,000.00) Non-Convertible Debt,
        (File 333-110499 - Nov. 14) (BR. 01)

S-8     AMCOL INTERNATIONAL CORP, 1500 W SHURE DR, ARLINGTON HEIGHTS, IL,
        60004-7803, 8473948730 - 1,000,000 ($14,425,000.00) Equity,
        (File 333-110500 - Nov. 14) (BR. 04)

S-2     VOXWARE INC, 168 FRANKLIN CORNER RD, LAWRENCEVILLE, NJ, 08648,
        6095144100 - 552,883,274 ($81,550,283.00) Equity, (File 333-110501 -
        Nov. 14) (BR. 03)

S-8     ANTHEM INC, 120 MONUMENT CIRCLE, INDIANAPOLIS, IN, 46204, 3174886000 -
        0 ($851,565,000.00) Equity, (File 333-110503 - Nov. 14) (BR. 01)

S-4     CHANGE TECHNOLOGY PARTNERS INC, 537 STEAMBOAT ROAD, GREENWICH, CT,
        06830, 2036616942 - 0 ($1,858.00) Equity, (File 333-110504 - Nov. 14)
        (BR. 03)

S-4     SEMINIS VEGETABLE SEEDS INC, 2700 CAMINO DEL SOL, OXNARD, CA,
        93030-7967, 190,000,000 ($190,000,000.00) Non-Convertible Debt,
        (File 333-110506 - Nov. 14) (BR. 04)

S-3     BISYS GROUP INC, 90 PARK AVENUE 10TH FLOOR, NEW YORK, NY, 10016,
        2129076000 - 0 ($40,161,745.00) Equity, (File 333-110507 - Nov. 14)
        (BR. 07)

S-8     ROANOKE TECHNOLOGY CORP, 539 BECKER DRIVE, ROANOKE RAPIDS, NC, 27870,
        2525379222 - 128,000,000 ($512,000.00) Equity, (File 333-110508 -
        Nov. 14) (BR. 08)

S-3     PATH 1 NETWORK TECHNOLOGIES INC, 6215 FERRIS SQUARE, SUITE 140,
        SAN DIEGO, CA, 92121, 8584504220 - 0 ($6,064,617.00) Equity,
        (File 333-110509 - Nov. 14) (BR. 37)

S-3     PATH 1 NETWORK TECHNOLOGIES INC, 6215 FERRIS SQUARE, SUITE 140,
        SAN DIEGO, CA, 92121, 8584504220 - 0 ($16,470,000.00) Equity,
        (File 333-110510 - Nov. 14) (BR. 37)

N-2     SALOMON BROTHERS EQUITY & INCOME FUND INC, 0 ($20,000.00) Equity,
        (File 333-110512 - Nov. 14) (BR. 16)

S-1     TRW AUTOMOTIVE HOLDINGS CORP, 0 ($350,000,000.00) Equity,
        (File 333-110513 - Nov. 14) (BR. )

S-3     HAYES LEMMERZ INTERNATIONAL INC, 15300 CENTENNIAL DRIVE, NORTHVILLE,
        MI, 48167, 7347375084 - 0 ($202,818,600.00) Equity, (File 333-110514 -
        Nov. 14) (BR. 05)

S-3     PENNSYLVANIA REAL ESTATE INVESTMENT TRUST, THE BELLEVUE,
        200 S BROAD STREET, PHILADELPHIA, PA, 19102, 2155429250 -
        0 ($500,000,000.00) Other, (File 333-110515 - Nov. 14) (BR. 08)

S-8     WEBMD CORP /NEW/, RIVER DRIVE CENTER 2, 669 RIVER DR, ELMWOOD PARK, NJ,
        07407, 4088765000 - 14,100 ($136,382,145.00) Equity, (File 333-110516 -
        Nov. 14) (BR. 03)

S-8     GENITOPE CORP, 525 PENOBSCOT DR, REDWOOD CITY, CA, 94063, 6504822000 -
        0 ($31,548,410.00) Equity, (File 333-110517 - Nov. 14) (BR. 01)

S-3     MATRITECH INC/DE/, 330 NEVADA ST, NEWTON, MA, 02160, 6176616660 -
        0 ($12,533,398.00) Equity, (File 333-110518 - Nov. 14) (BR. 01)

S-4     SAFENET INC, 8029 CORPORATE DRIVE, BALTIMORE, MD, 21236, 4109317500 -
        0 ($414,211,328.00) Equity, (File 333-110520 - Nov. 14) (BR. 37)

S-8     CLUBCORP INC, 3030 LBJ FREEWAY, STE 500, DALLAS, TX, 75234,
        9722436191 - 436,861 ($1,909,082.57) Equity, (File 333-110521 -
        Nov. 14) (BR. 05)

S-8     ROXIO INC, 461 S MILPITAS BLVD, MILPITAS, CA, 95035, 4089572553 -
        0 ($9,855,000.00) Equity, (File 333-110522 - Nov. 14) (BR. 03)

S-8     FIRST MARBLEHEAD CORP, 30 LITTLE HARBOR, MARBLEHEAD, MA, 01945,
        7816392000 - 0 ($165,479,577.60) Equity, (File 333-110523 - Nov. 14)
        (BR. 07)

S-4     UNIONBANCAL CORP, 400 CALIFORNIA STREET, SAN FRANCISCO, CA, 94104-1476,
        4157652969 - 0 ($136,411,173.00) Other, (File 333-110524 - Nov. 14)
        (BR. 07)

S-8     GENAISSANCE PHARMACEUTICALS INC, FIVE SCIENCE PARK, NEW HAVEN, CT,
        06511, 2037731450 - 0 ($1,415,000.00) Equity, (File 333-110525 -
        Nov. 14) (BR. 01)

S-8     ATLAS MINERALS INC, 10920 W. ALAMEDA AVENUE, SUITE 205, LAKEWOOD, CO,
        80226, 3033060823 - 800,000 ($352,000.00) Equity, (File 333-110526 -
        Nov. 14) (BR. 04)

S-3     JDS UNIPHASE CORP /CA/, 1768 AUTOMATION PARKWAY, SAN JOSE, CA, 95131,
        4085465000 - 0 ($475,000,000.00) Debt Convertible into Equity,
        (File 333-110527 - Nov. 14) (BR. 36)

S-1     ANADYS PHARMACEUTICALS INC, 9050 CAMINO SANTA FE, SAN DIEGO, CA, 92121,
        8585303600 - 0 ($86,250,000.00) Equity, (File 333-110528 - Nov. 14)
        (BR. )

S-3     CARRIER ACCESS CORP, 5395 PEARL PARKWAY, BOULDER, CO, 80301,
        3034425455 - 6,900,000 ($75,693,000.00) Equity, (File 333-110529 -
        Nov. 14) (BR. 37)

S-3     GENAISSANCE PHARMACEUTICALS INC, FIVE SCIENCE PARK, NEW HAVEN, CT,
        06511, 2037731450 - 0 ($13,018,000.00) Equity, (File 333-110530 -
        Nov. 14) (BR. 01)

S-4     NORCROSS SAFETY PRODUCTS LLC, 2211 YORK ROAD, SUITE 215, OAK BROOK, IL,
        60521, 6305725715 - 0 ($152,500,000.00) Non-Convertible Debt,
        (File 333-110531 - Nov. 14) (BR. )

S-3     VASCO DATA SECURITY INTERNATIONAL INC, 1901 SOUTH MYERS ROAD,
        SUITE 210, OAKBROOK TERRACE, IL, 60181, 6309328844 -
        2,000,000 ($4,800,000.00) Equity, (File 333-110532 - Nov. 14) (BR. 03)
     

RECENT 8K FILINGS


Form 8-K is used by companies to file current reports on the following events:

    Item 1.   Changes in Control of Registrant.
    Item 2.   Acquisition or Disposition of Assets.
    Item 3.   Bankruptcy or Receivership.
    Item 4.   Changes in Registrant's Certifying Accountant.
    Item 5.   Other Materially Important Events.
    Item 6.   Resignations of Registrant's Directors.
    Item 7.   Financial Statements and Exhibits.
    Item 8.   Change in Fiscal Year.
    Item 9.   Regulation FD Disclosure.
    Item 10.  Amendments to the Registrant's Code of Ethics,
              or Waiver of a Provision of the Code of Ethics.
    Item 11.  Temporary Suspension of Trading Under
              Registrant's Employee Benefit Plans.
    Item 12.  Results of Operations and Financial Condition.

The  following companies have filed 8-K reports for the date indicated and/or
amendments to 8-K reports previously filed, responding to the item(s) of  the
form  specified.  8-K reports may be obtained in person or by writing to  the
Commission's  Public Reference Branch at 450 Fifth Street, N.W.,  Washington,
D.C. 20549 or at the following e-mail box address:  <publicinfo@sec.gov>.  In
most  cases, this information is also available on the Commission's  website:
<www.sec.gov>.


                                       STATE     8K ITEM NO.
NAME OF ISSUER                         CODE   1 2 3 4 5 6 7 8 9 10 11 12 13     DATE     COMMENT
------------------------------------------------------------------------------------------------
99 CENT STUFF INC                       FL                X           X      11/14/03

ABLEAUCTIONS COM INC                    FL                X   X              11/14/03

ACCESSITY CORP                          NY                X           X      11/11/03

ACTRADE FINANCIAL TECHNOLOGIES LTD      DE                X   X              11/14/03

AEGIS COMMUNICATIONS GROUP INC          DE            X   X                  11/13/03

AEP INDUSTRIES INC                      DE            X                      11/14/03

AGL RESOURCES INC                       GA            X   X                  09/23/03    AMEND

ALBERTSONS INC /DE/                     DE                    X              11/13/03

ALLSTATE CORP                           DE            X   X                  11/11/03

ALTEON INC /DE                          DE                X           X      11/13/03

AMERICAN BANK NOTE HOLOGRAPHICS INC     DE                X           X      11/13/03

AMERICAN BUILDING CONTROL INC           DE            X                      11/14/03

AMERICAN EAGLE OUTFITTERS INC           DE                X   X              11/13/03

AMERICAN HONDA RECEIVABLES CORP HONDA   CA      X         X                  11/13/03

AMERICAN INSURED MORTGAGE INVESTORS     CA                X           X      09/30/03

AMERICAN PHYSICIANS CAPITAL INC         MI                            X      11/12/03    AMEND

AMERICAN UNITED GLOBAL  INC             DE            X                      11/14/03    AMEND

AMPEX CORP /DE/                         DE                X           X      11/13/03

ANNUITY & LIFE RE HOLDINGS LTD                            X           X      11/13/03

APPLIED DIGITAL SOLUTIONS INC           MO                X   X              11/14/03

APPLIED DIGITAL SOLUTIONS INC           MO            X   X                  11/12/03

APPLIED MICROSYSTEMS CORP /WA/          WA            X X X           X      11/10/03

AQUENTIUM INC                           DE      X                            10/29/03

ARBIOS SYSTEMS INC                      NV    X       X   X                  10/30/03

ARGAN INC                               DE      X         X                  10/31/03

ARIAD PHARMACEUTICALS INC               DE            X   X                  11/14/03

ARIAD PHARMACEUTICALS INC               DE            X   X                  11/14/03

ASPENBIO INC                            CO                X           X      11/14/03

ASSISTED LIVING CONCEPTS INC            NV                X           X      11/13/03

ASYST TECHNOLOGIES INC /CA/             CA            X                      11/12/03

ATRIUM COMPANIES INC                    DE                X   X              11/14/03

AUSPEX SYSTEMS INC                      DE            X   X                  11/13/03

AUTOIMMUNE INC                          DE                            X      11/11/03

AVI BIOPHARMA INC                       OR            X   X           X      11/14/03

BAKER MICHAEL CORP                      PA                X   X              11/13/03

BALLANTYNE OF OMAHA INC                 DE                X           X      11/14/03

BANNER HOLDING CORP                     FL            X                      11/03/03

BEAR STEARNS ASSET BACKED CERTS SERIE   DE                X                  10/14/03

BERKELEY TECHNOLOGY LTD                                       X              09/30/03

BERKSHIRE INCOME REALTY INC                     X         X                  10/30/03

BGR CORP                                NV      X     X   X                  11/14/03

BIOMODA INC/NM                                      X     X                  11/12/03

BIOMODA INC/NM                                      X                        11/12/03

BIW LTD                                 CT      X         X                  10/31/03

BONTEX INC                              VA          X     X                  09/17/03    AMEND

BRANDAID MARKETING CORP                 DE          X                        09/30/03

BRINKS CO                               VA            X                      11/14/03

BUCKLE INC                              NE                            X      11/13/03

BUSH INDUSTRIES INC                     DE            X   X                  11/07/03

C COR NET CORP                          PA                X   X              11/14/03

C-CHIP TECHNOLOGIES CORP                NV                X   X              11/14/03

CANTERBURY PARK HOLDING CORP            MN                X           X      11/14/03

CANYON RESOURCES CORP                   DE                X           X      11/14/03

CAPITAL ONE FUNDING LLC                               X   X                  11/05/03

CASCADE FINANCIAL CORP                  DE          X     X                  11/10/03

CATHAY GENERAL BANCORP                  DE            X                      11/10/03

CELLULAR TECHNICAL SERVICES CO INC      DE          X                        11/10/03

CENTEX CONSTRUCTION PRODUCTS INC        DE                X           X      10/20/03    AMEND

CENTURY REALTY TRUST                    IN                            X      09/30/03

CERBCO INC                              DE            X                      11/14/03

CHEESECAKE FACTORY INCORPORATED         DE            X                      11/13/03

CHENIERE ENERGY INC                     DE                X           X      11/14/03

CHINA FOOD & BEVERAGE CO                NV            X   X                  11/11/03

CHYRON CORP                             NY                X           X      11/14/03

CITADEL SECURITY SOFTWARE INC           DE                            X      11/14/03

CITIGROUP INC                           DE                X                  10/31/03

CKF BANCORP INC                         DE            X   X                  11/12/03

CLEAN HARBORS INC                       MA                            X      11/14/03

CLICK COMMERCE INC                                    X   X                  11/14/03

CLICKNSETTLE COM INC                    DE                            X      11/14/03

COGNITRONICS CORP                       NY                    X       X      11/14/03

COLLEGIATE FUNDING SERVICES EDUCATION   DE            X   X                  10/31/03

COMFORT SYSTEMS USA INC                 DE                X           X      11/12/03

COMMERCE BANCSHARES INC /MO/            MO                            X      11/14/03

COMMUNITY BANCSHARES INC /DE/           DE            X   X                  11/14/03

COMTEX NEWS NETWORK INC                 DE                    X              11/14/03

CONSOLIDATED GRAPHICS INC /TX/          TX            X   X                  11/14/03

CONTINUCARE CORP                        FL                X           X      11/13/03

COWLEY TECHNOLOGIES CORP                DE    X X       X X X                09/15/03    AMEND

CSX CORP                                VA            X   X                  11/12/03

CTI GROUP HOLDINGS INC                  DE                X           X      11/14/03

CWMBS INC                               DE            X   X                  11/14/03

CYANOTECH CORP                          NV            X   X                  11/14/03

DELPHI CORP                             DE            X                      11/12/03

DEUTSCHE ALT-A SECURITIES INC                         X   X                  11/12/03

DEX MEDIA EAST LLC                      DE                X   X              11/11/03

DIAMOND TRIUMPH AUTO GLASS INC          DE                X           X      11/14/03

DIGITAL VIDEO SYSTEMS INC               DE                X           X      11/14/03

DIGITALTHINK INC                        DE            X                      11/14/03

DIVINE INC                              DE            X   X                  10/24/03

DNB FINANCIAL CORP /PA/                 PA            X   X   X              11/14/03

DOW JONES & CO INC                      DE                X           X      09/30/03

DTE ENERGY CO                           MI            X   X                  11/14/03

DVI RECEIVABLES CORP VIII               DE            X   X                  11/13/03

E CENTIVES INC                          DE                            X      11/14/03

EBS LITIGATION LLC                      DE                    X              11/14/03

EBS PENSION LLC                         DE                    X              11/14/03

EDISON SCHOOLS INC                      DE            X   X                  11/14/03

EDUCATION CAPITAL I LLC                 DE            X   X                  11/06/03

EDUCATION FUNDING CAPITAL TRUST I                     X   X                  11/03/03

EKNOWLEDGE GROUP INC                    NV              X                    11/13/03

ELCOM INTERNATIONAL INC                 DE          X     X                  10/24/03    AMEND

EMERSON RADIO CORP                      DE                X           X      11/14/03

ENCORE ACQUISITION CO                   DE            X   X                  11/13/03

ENERGY CONVERSION DEVICES INC           DE          X                        11/14/03

ENHERENT CORP                           DE                X           X      11/12/03

EQUITY ONE INC                          MD            X                      11/14/03

ESPEY MFG & ELECTRONICS CORP            NY                X                  11/13/03

EVERLAST WORLDWIDE INC                  DE                X           X      11/14/03

EXPEDITORS INTERNATIONAL OF WASHINGTO   WA                            X      11/14/03

EXXON MOBIL CORP                        NJ            X                      11/14/03

F5 NETWORKS INC                         WA            X   X                  11/14/03

FAB INDUSTRIES INC                      DE            X                      11/14/03

FAIRCHILD CORP                          DE      X         X                  11/01/03

FANTATECH INC                           DE            X   X                  12/04/02

FEDERAL AGRICULTURAL MORTGAGE CORP                    X   X                  11/14/03

FEDERAL NATIONAL MORTGAGE ASSOCIATION                         X              11/13/03

FIBERMARK INC                           DE    X                              09/30/03

FINANCIAL ASSET SECURITIES CORP         DE            X   X                  11/14/03

FIRST AMERICAN CAPITAL CORP /KS         KS            X   X                  09/30/03

FIRST FINANCIAL BANCORP /CA/            CA                X   X              07/25/03

FIRST KANSAS FINANCIAL CORP             KS            X   X                  11/13/03

FIRST KEYSTONE FINANCIAL INC            PA                X           X      11/12/03

FIRST SECURITY BANCORP INC /KY/         KY                X           X      10/28/03    AMEND

FIRST UNION REAL ESTATE EQUITY & MORT   OH                X           X      11/14/03

FIRSTMERIT CORP /OH/                    OH            X   X                  11/14/03

FISHER SCIENTIFIC INTERNATIONAL INC     DE      X         X                  09/08/03    AMEND

FLEXSTEEL INDUSTRIES INC                MN            X                      11/14/03

FLORIDA PUBLIC UTILITIES CO             FL                X                  11/13/03

FMC CORP                                DE                    X              11/13/03

FNB CORP \VA\                           VA                X           X      10/24/03

FOG CUTTER CAPITAL GROUP INC            MD                X           X      11/12/03

FOSTER WHEELER LTD                      D0            X   X                  11/06/03

FRESH BRANDS INC                                                      X      11/13/03

FROZEN FOOD EXPRESS INDUSTRIES INC      TX            X                      11/14/03

FTI CONSULTING INC                      MD      X         X                  11/03/03

FUEL CENTERS INC                        NV            X X                    11/11/03

GENAERA CORP                            DE            X   X                  11/14/03

GENELABS TECHNOLOGIES INC /CA           CA                X           X      11/14/03

GLOBAL INDUSTRIES LTD                   LA                    X              11/13/03

GLOBAL INDUSTRIES LTD                   LA                            X      11/14/03

GOLDFIELD CORP                          DE                            X      11/14/03

GREENPOINT FINANCIAL CORP               DE                X           X      11/14/03

GS MORTGAGE SEC CORP MORTGAGE PASS TH   DE            X   X                  10/30/03

GSL HOLDINGS INC                        D8      X         X                  09/15/03

HALLMARK FINANCIAL SERVICES INC         NV                X   X       X      11/14/03

HALLWOOD REALTY PARTNERS L P            DE                X           X      11/11/03

HARD ROCK HOTEL INC                     NV                            X      10/27/03

HARKEN ENERGY CORP                      DE                X           X      11/14/03

HEALTH CARE REIT INC /DE/               DE            X                      11/12/03

HOLLY CORP                              DE                X           X      11/13/03

HORSESHOE GAMING HOLDING CORP           DE            X   X                  11/07/03

HOUGHTON MIFFLIN CO                     MA                X           X      11/14/03

HOUSEHOLD INTERNATIONAL INC             DE                X           X      11/14/03

HUNGARIAN TELEPHONE & CABLE CORP        DE                X           X      11/14/03

HYPERFEED TECHNOLOGIES INC              DE      X         X                  11/14/03

I3 MOBILE INC                           DE                X           X      11/12/03

IDACORP INC                             ID            X                      11/14/03

IESI CORP                               DE                    X       X      11/11/03

ILX RESORTS INC                         AZ                X   X              11/13/03

IMMUNOMEDICS INC                        DE                X   X              11/13/03

IMPERIAL PARKING CORP                   DE                X           X      11/10/03

IMPRESO INC                             DE            X                      11/05/03

INFINITY INC                            CO                X           X      11/14/03

INSITUFORM EAST INC                     DE            X                      11/14/03

INTERSTATE LAND INVESTORS II LTD PART   NC          X     X                  11/07/03

INVISA INC                                            X                      11/07/03

IPEC HOLDINGS INC                       NV            X                      11/14/03

IRWIN FINANCIAL CORPORATION             IN            X   X                  11/14/03

ISLE OF CAPRI CASINOS INC               DE                            X      10/26/03

ITC DELTACOM INC                        DE                            X      11/13/03

ITRONICS INC                            TX          X                        11/07/03

JACKSONVILLE BANCORP INC                TX                X                  11/12/03    AMEND

JAMES CABLE PARTNERS LP /DE/            DE            X                      11/14/03

JAMESON INNS INC                        GA                X           X      11/14/03

K&F INDUSTRIES INC                      DE                X           X      11/14/03

KASPER A S L LTD                        DE                X           X      11/12/03

KELLER MANUFACTURING CO                 IN      X         X                  11/13/03

KERR MCGEE CORP /DE                     DE                X   X              11/14/03

KIRLIN HOLDING CORP                     DE                X           X      11/13/03

KOGER EQUITY INC                        FL                X   X              11/11/03

KONTRON MOBILE COMPUTING INC            MN                X           X      11/14/03

KVH INDUSTRIES INC \DE\                 DE                            X      11/14/03

KYZEN CORP                              TN                X           X      11/14/03

LABONE INC/                             MO                    X              11/12/03

LACLEDE STEEL CO /DE/                   DE            X   X                  10/23/03

LBI MEDIA INC                           CA                X                  11/14/03

LEFT RIGHT MARKETING TECHNOLOGY INC     DE                X   X              07/28/03    AMEND

LEHMAN ABS CORP                         DE            X                      11/14/03

LEUCADIA NATIONAL CORP                  NY            X   X                  11/14/03

LEVI STRAUSS & CO                       DE                X   X              11/13/03

LIBERTY MEDIA CORP /DE/                 DE                    X       X      11/13/03

LIBERTY SELF STOR INC                   MD                X           X      11/14/03

LIFE PARTNERS HOLDINGS INC              TX    X                              11/13/03

LIONS GATE ENTERTAINMENT CORP /CN/                                    X      11/14/03

LOUISIANA PACIFIC CORP                  DE                X        X         11/13/03

LUBYS INC                               DE                            X      08/27/03

LUBYS INC                               DE                            X      08/27/03    AMEND

LYNCH CORP                              IN                            X      11/13/03

LYNCH INTERACTIVE CORP                  DE                X           X      09/30/03

MAGELLAN HEALTH SERVICES INC            DE            X   X                  11/12/03

MALAN REALTY INVESTORS INC              MI                X   X              11/07/03

MANDALAY RESORT GROUP                   NV            X   X                  11/14/03

MANHATTAN PHARMACEUTICALS INC           DE            X   X                  11/07/03

MATTHEWS INTERNATIONAL CORP             PA                            X      11/13/03

MAXXAM INC                              DE                            X      11/14/03

MEADOW VALLEY CORP                      NV                X   X       X      11/14/03

MEDICSIGHT INC                          DE          X     X                  11/14/03

MEDIS TECHNOLOGIES LTD                  DE                            X      11/14/03

MEMRY CORP                              DE                            X      11/07/03

MERCER INTERNATIONAL INC                WA                X           X      11/14/03

MERRILL LYNCH & CO INC                  DE            X   X                  11/14/03

MERRILL LYNCH MORTGAGE ASST BACK CERT   DE            X   X                  10/30/03

MERRILL LYNCH MORTGAGE INVESTORS INC    DE            X   X                  11/12/03

MERRILL LYNCH MORTGAGE INVESTORS INC    DE            X   X                  11/12/03

METATEC INC                             OH            X   X                  11/14/03

METRIS RECEIVABLES INC                  DE            X   X                  10/31/03

METRIS RECEIVABLES INC                  DE            X   X                  10/31/03

MICRONETICS  INC                        DE                X           X      11/11/03

MIPS TECHNOLOGIES INC                   DE            X   X                  11/12/03

MOHEGAN TRIBAL GAMING AUTHORITY                       X   X                  11/14/03

MORTGAGE PASS-THROUGH CERTIFICATES  S   DE                X                  09/25/03

MORTGAGE PASS-THROUGH CERTIFICATES  S   DE                X                  10/27/03

NATIONAL MERCANTILE BANCORP             CA            X   X                  10/31/03

NATIONAL SECURITY GROUP INC             DE                    X              11/14/03

NEOPHARM INC                            DE                X           X      11/14/03

NEORX CORP                              WA            X   X           X      11/11/03

NETGURU INC                             DE            X   X           X      11/12/03

NEVADA STAR RESOURCE CORP                             X   X                  11/01/03

NEW YORK COMMUNITY BANCORP INC          DE                X        X         11/13/03

NEXGEN VISION INC                       DE            X                      11/10/03

NEXSTAR FINANCE HOLDINGS LLC            DE                X           X      11/14/03

NEXTEL PARTNERS INC                     DE            X                      11/14/03

NORTEL NETWORKS CORP                                  X                      11/12/03

NORTEL NETWORKS LTD                                   X                      11/12/03

NORTHWEST GOLD INC                      WY          X                        09/02/03    AMEND

NORTHWESTERN CORP                       DE            X   X                  11/14/03

OCIS CORP                               NV          X                        09/22/03    AMEND

OMI CORP/M I                                              X           X      11/13/03

ORCHID BIOSCIENCES INC                                X   X                  10/30/03

OXFORD FINANCE CORP                                       X   X              11/14/03

P COM INC                               DE            X   X                  11/13/03

PAC-WEST TELECOMM INC                                     X   X              11/13/03

PACIFIC REALM INC                       DE            X                      09/12/03

PACIFIC REALM INC                       DE            X                      11/12/03

PARK PHARMACY CORP                      CO            X                      11/12/03

PATH 1 NETWORK TECHNOLOGIES INC         DE                            X      11/11/03

PEOPLES BANCORP INC                     OH            X                      11/14/03

PETROCORP INC                           TX            X   X                  11/13/03

PFIZER INC                              DE                X                  11/13/03

PHARMCHEM INC                           DE            X                      11/14/03

PHOENIX GOLD INTERNATIONAL INC          OR                X           X      11/12/03

PIEZO INSTRUMENTS INC                   UT          X     X X                11/10/03

PINNACLE ENTERTAINMENT INC              DE                            X      11/14/03

PLUG POWER INC                          DE            X   X                  11/13/03

PRECISION CASTPARTS CORP                OR            X   X                  11/14/03

PRESTOLITE ELECTRIC HOLDING INC         DE                            X      11/12/03

PRO PHARMACEUTICALS INC                 NV            X   X                  11/04/03

PROGENICS PHARMACEUTICALS INC           DE                X   X              11/14/03

PROGRESSIVE CORP/OH/                    OH                    X              11/14/03

PRUDENTIAL FINANCIAL INC                NJ                    X       X      11/14/03

PURADYN FILTER TECHNOLOGIES INC         DE                X           X      11/14/03

RADISYS CORP                            OR            X   X                  11/13/03

RADISYS CORP                            OR            X   X                  11/14/03

RALCORP HOLDINGS INC /MO                MO                X           X      09/30/03

RELIANT RESOURCES INC                   DE            X   X                  11/14/03

RELIANT RESOURCES INC                   DE                    X              11/14/03

RENTRAK CORP                            OR                X           X      09/30/03

REPTRON ELECTRONICS INC                 FL            X                      11/12/03

RESIDENTIAL ACCREDIT LOANS INC          DE            X   X                  11/14/03

RESOLUTION PERFORMANCE PRODUCTS LLC     DE                X           X      11/14/03

RIDGESTONE FINANCIAL SERVICES INC       WI                X   X              11/14/03

ROFIN SINAR TECHNOLOGIES INC            DE                            X      09/30/03

ROPER INDUSTRIES INC /DE/               DE                X                  11/13/03

ROXIO INC                               DE            X   X                  11/14/03

RURAL METRO CORP /DE/                   DE                            X      11/14/03

SAFETY COMPONENTS INTERNATIONAL INC     DE          X     X X                11/12/03

SALIX PHARMACEUTICALS LTD                             X   X                  11/14/03

SALOMON BROTH MORT SEC VII INC CITI H   DE            X                      10/25/03

SALON MEDIA GROUP INC                   DE            X   X                  10/30/03

SBA COMMUNICATIONS CORP                 FL            X   X                  11/14/03

SCHLOTZSKYS INC                         TX                            X      11/14/03

SEABULK INTERNATIONAL INC               DE                X           X      11/14/03

SEIBELS BRUCE GROUP INC                 SC                X           X      11/14/03

SELECT MEDICAL CORP                     DE                X   X              11/13/03

SELECTIVE INSURANCE GROUP INC           NJ            X                      11/14/03

SENTIGEN HOLDING CORP                   DE                X           X      11/14/03

SERVOTRONICS INC /DE/                   DE            X                      09/30/03

SHORE BANCSHARES INC                    MD                            X      11/13/03

SHURGARD STORAGE CENTERS INC            WA                            X      11/13/03

SI TECHNOLOGIES INC                     DE            X                      11/13/03

SILGAN HOLDINGS INC                     DE            X       X              11/14/03

SILICON LABORATORIES INC                DE      X         X                  09/25/03    AMEND

SIMTEK CORP                             CO            X                      11/13/03

SMARTSERV ONLINE INC                    DE          X     X                  11/06/03

SOLECTRON CORP                          DE                X           X      09/25/03    AMEND

SPIEGEL INC                             DE                X   X              09/27/03

SPORTSLINE COM INC                      DE                X   X              11/14/03

SPORTSLINE COM INC                      DE            X   X                  11/14/03

SPS TECHNOLOGIES INC                    PA            X   X                  11/13/03

STIFEL FINANCIAL CORP                   DE                    X              09/30/03

STRATUS PROPERTIES INC                  DE            X                      11/07/03

STRUCTURED ASSET MORT INV II INC PRIM   DE                X                  10/30/03

STRUCTURED ASSET SEC CORP MORT BACK P   DE                X                  07/25/03

STRUCTURED ASSET SEC CORP MORT BACK P   DE                X                  08/25/03

STRUCTURED ASSET SEC CORP MORT BACK P   DE                X                  09/25/03

STRUCTURED ASSET SEC CORP MORT BACK P   DE                X                  10/27/03

STRUCTURED ASSET SEC CORP MORT PAS TH   DE                X                  09/25/03

STRUCTURED ASSET SEC CORP MORT PAS TH   DE                X                  10/27/03

STRUCTURED ASSET SEC CORP MORT PASS T   DE                X                  09/25/03

STRUCTURED ASSET SEC CORP MORT PASS T   DE                X                  10/27/03

STRUCTURED ASSET SEC CORP MORT PASS T   DE            X   X                  10/31/03

STRUCTURED ASSET SEC CORP MORT PASS T   DE            X   X                  10/30/03

STRUCTURED ASSET SEC CORP MORT PASS T   DE            X                      10/31/03

STRUCTURED ASSET SECURITIES CORP SERI   DE                X                  09/25/03

STRUCTURED ASSET SECURITIES CORP SERI   DE                X                  10/27/03

SUITE 101 COM INC                       DE                X                  08/29/03    AMEND

SUNRISE SENIOR LIVING INC               DE                    X              11/13/03

SYMBIAT INC                             DE            X                      11/13/03

TARRANT APPAREL GROUP                   CA                X           X      11/13/03

TAURUS ENTERTAINMENT COMPANIES INC      CO      X     X   X                  11/05/03

TAYLOR ANN STORES CORP                  DE            X   X                  11/14/03

TCF FINANCIAL CORP                      DE                X   X       X      11/14/03

TELLABS INC                             DE            X   X                  11/14/03

TELTRONICS INC                          DE                            X      11/13/03

TENNECO AUTOMOTIVE INC                  DE                X           X      11/13/03

TERREMARK WORLDWIDE INC                 DE                X           X      11/14/03

TESSERA TECHNOLOGIES INC                DE            X   X                  11/14/03

TIMCO AVIATION SERVICES INC             DE                X           X      11/14/03

TIMELINE INC                            WA                X           X      11/13/03

TLC VISION CORP                         A6                X           X      11/12/03

TRANS WORLD ENTERTAINMENT CORP          NY                X   X              11/12/03

TRANSNET CORP                           DE                    X              11/12/03

TRANSTECH INDUSTRIES INC                DE                    X              11/14/03

TRESTLE HOLDINGS INC                    DE            X   X                  10/31/03

TRICO MARINE SERVICES INC               DE                X           X      11/14/03

TSI TELECOMMUNICATION HOLDINGS LLC      DE            X   X                  11/14/03    AMEND

TUCOWS INC /PA/                         PA                X           X      11/11/03

U S GOLD CORP                           CO            X                      11/13/03

UGC EUROPE INC                          DE            X   X           X      11/12/03

ULTRASTRIP SYSTEMS INC                  FL            X   X                  11/14/03

UMBRELLA BANCORP INC                    DE            X   X                  11/14/03

UNITED MEDICORP INC                     DE                X   X       X      11/14/03

UNITED STATES EXPLORATION INC           CO                X           X      11/14/03

UNITED STATES STEEL CORP                DE                X                  09/30/03

UNITED SURGICAL PARTNERS INTERNATIONA   DE            X   X                  11/10/03    AMEND

UNIVERSAL AMERICAN FINANCIAL CORP       NY            X   X   X              10/29/03

US UNWIRED INC                          LA                X           X      11/13/03

USAA AUTO OWNER TRUST 2003-1                              X                  10/31/03

VALEANT PHARMACEUTICALS INTERNATIONAL   DE            X   X                  11/13/03

VARIAN MEDICAL SYSTEMS INC              DE            X   X                  11/13/03

VENDALUX CORP                           DE          X                        09/22/03    AMEND

VENTIV HEALTH INC                       DE                            X      11/12/03

VERTICALNET INC                         PA                    X       X      11/14/03

VITALSTREAM HOLDINGS INC                NV                            X      09/30/03

WELLS FARGO ASSET SECURITIES CORP       DE            X   X                  11/13/03

WELLS FARGO ASSET SECURITIES CORP       DE            X   X                  11/13/03

WELLS REAL ESTATE FUND XIII L P         GA      X         X                  10/30/03

WILSHIRE OIL CO OF TEXAS                DE                X   X              11/14/03

WINDSORTECH INC                         DE                X           X      11/14/03

WINMILL & CO INC                        DE                            X      09/30/03

WINNEBAGO INDUSTRIES INC                IA            X   X                  11/12/03

WISCONSIN ENERGY CORP                   WI                    X              11/14/03

WOMEN FIRST HEALTHCARE INC              DE                X           X      11/14/03

WORLDCOM INC                            GA            X   X                  11/14/03

WRC MEDIA INC                           DE            X   X                  11/14/03

ZOND PANAERO WINDSYSTEM PARTNERS I      CA            X                      11/14/03

TMBR SHARP DRILLING INC                 TX                    X       X      11/14/03

VALENCE TECHNOLOGY INC                  DE                X           X      11/13/03