SEC NEWS DIGEST · alCase No 1PO10259 C-HIGpermanently enjoined Brinker and Bentz by their consent...

SEC NEWS DIGEST

Issue 2001-155 August 10 2001

ENFORCEMENT PROCEEDINGS

JOHN BRINKER JR AND GARY BENTZ BARRED FROM ASSOCIATION

WITH ANY BROKER OR DEALER

On August the Commission entered an order barring John Brinker Jr Brinker of

Cincinnati Ohio and Gary Bentz Bentz of Loveland Ohio from association with any

broker or dealer Brinker and Bentz consented to the bar without admitting or denying the

findings in the SECs order except those regarding jurisdiction and the entry of

permanent injunction The bar was entered under Section 15b of the Securities

Exchange Act of 1934 and based upon the entry in federal district court of permanent

injunction against Brinker and Bentz

The permanent injunction entered on February 27 2001 by Judge David Hamilton

U.S District Judge for the Southern District of Indiana in SEC John Brinker Jr et

al Case No 1PO10259 C-HIG permanently enjoined Brinker and Bentz by their

consent from engaging in fraud unregistered sales of securities and acting as

unregistered brokers in violation of Sections 5a 5c and 17a of the Securities Act of

1933 Sections 10b 15a and 15c of the Exchange Act and Rules lOb-5 and 15c1-2

thereunder The complaint in the federal district court action alleges that Brinker Bentz

and others operated Ponzi scheme that raised at least $7.1 million from over 200

investors in at least eleven states by selling unregistered securities in an investment

program offered by Wellington Bank and Trust Ltd of Grenada The complaint also

alleges that Brinker and Bentz represented to investors that the program would generate

annual returns of 50% or more through trading in prime bank instruments The SEC

and numerous other government entities however have warned the public that trading

programs in prime bank instruments do not exist and are fraudulent

The SEC acknowledges the assistance of the Indiana Securities Division the Kentucky

Division of Securities and the Delaware Division of Securities in this matter Rd 34-

44671 File No 3-10547

SEC SANCTIONS CHARLES DYER HAWTHORNE IN VESTMENT TRUST ANDHAWTHORNE ASSOCIATESINC FOR REPEATEDLY FAILING TO COMPLYWITH SEC REGULATORY REQUIREMENTS

The Commission announced that on August 2001 Charles Dyer of Manchester

Massachusetts and Hawthorne Investment Trust and Hawthorne Associates Inc Boston

based entities controlled by Dyer settled administrative and cease-and-desist proceedings

brought against them on August 2000 for extensive failures to comply with Sections

8b 10a 15a2 15c 17g 30b and 30e of the Investment Company Act

Company Act and Rules 8b-16a 17g-1a 30b1-1 30b2-1 and 30d-1 thereunder and

Sections 204 and 2064 of the Investment Advisers Act Advisers Act and Rules 204-

1a 204-1b 204-2a3 and 12 204-2b 204-2e1 204-3 and 2064-

2a thereunder The Commissions order required that Dyer cease and desist from

causing violations of the books and records and governance provisions of the Company

Act and the Advisers Act be prohibited from serving as an officer director employee

and in certain other capacities of an investment company for period of twelve months

be suspended from association with any investment adviser for period of twelve

months and together with Hawthorne Associates pay civil penalty of $25000 The

Commission also ordered Hawthorne Associates to cease and desist from committing or

causing violations of the books and records and filing provisions of the Advisers Act and

Company Act and together with Dyer pay $25000 civil penalty

The order also required Hawthorne Investment Trust to cease and desist from committing

or causing violations of the books and records governance and filing provisions of the

Company Act According to the Commissions order from April 1995 through the

present Hawthorne Investment Trust registered investment company of which Dyer is

the sole officer and trustee failed to comply with the books and records reporting and

governance requirements of the Company Act For example from April 1995 to the

present Hawthorne Investment Trust failed to file required semi-annual reports and

annual amendments to its registration statement Hawthorne Investment Trust also failed

to send to its shareholders and file with the Commission semi-annual financial reports

The investment company also renewed an investment advisory contract without the

approval of majority of the directors who were not parties or interested persons Since

1997 Hawthorne Investment Trust failed to maintain required fidelity bond coverage In

separate order dated July 16 2001 the Commission revoked Hawthorne Investment

Trusts registration as an investment company

The order also finds that Hawthorne Associates failed to properly audit client funds send

clients quarterly account statements and keep required records regarding client funds

Beginning in 1996 Hawthorne Associates and another adviser owned and controlled by

Dyer committed numerous books and records violations Both advisers failed to file

required annual amendments to Form ADV and failed to offer Part II of their Forms

ADY to advisory clients on an annual basis The Commissions order finds that Dyer

willfully aided and abetted and caused the entities violations including the related

violations by the other adviser Rels IA- 1961 IC-25 107 File No 3-10264

NEWS DIGEST August 10 2001

SEC FILES SETTLED PORTFOLIO-PUMPING CASE AGAINST FORMERPORTFOLIO MANAGER ANDREW PARLIN AND FORMER SALES TRADER

ANGELO IANNONE

On August 10 the Commission filed settled actions against Angelo lannone former head

of international equities sales trading at ABN AMRO Incorporated AAI and Andrew

Parlin former principal and portfolio manager at Oechsle International Advisors

L.L.C Oechsle for engaging in practices known as portfolio pumping and marking

the close The Commission also filed separate settled actions against their respective

former employers

The Commissions orders found that on the last trading days of the second and third

quarters of 1998 Parlin then principal and portfolio manager at Oechsle and laimone

then the head of international equities sales trading at AAI placed purchase orders in five

securities heavily owned by Parlin advisory clients shortly before the close of the

various markets for the purpose of reaching higher price practice known as marking

the close Parlin and Ian.none are no longer employed by their former firms By

intentionally buying those securities in volume at or near the close of trading Parlin

sought to cause and in some cases caused short-term increase in the overall value of

certain securities held in the accounts under his management However Parlin did not

sell these securities based on the short-term price increases In addition in some cases

the higher closing price increases coincided with the fiscal period ends practice known

in the industry as portfolio pumping

The orders allege that Parlin and lannone attempted to influence closing prices Taped

telephone conversations revealed that Parlin and lannone discussed which stocks to buybased on the likelihood that prices could be moved upward and chose target closing

prices for them They focused on several of Parlin largest positions where short-term

increases in the price could cause large increases in the overall value of Parlins portfolio

Further they concentrated their efforts on the end of fiscal quarters Their trading on

those days often comprised approximately 50% or more of the trading volume and

frequently was successful in raising the closing prices of the stocks

For example over three-day period lannone and Parlin had numerous conversations

regarding how to implement Parlins objective to close the price of British Biotech plc

higher by the end of the quarter with 40 pence being the desired target On September

29 1998 Parlin reminded Jannone my strategy on BBG its two day its two day 40

strategy To which lannone responded the longer we wait the better were gonna

be In addition lannone asked Oechsles head trader what the price target is of

BBG Later lannone is reminded by Oechsles trader that the main objective is the end

of the month Finally on September 30 1998 lannone informed Parlin bought

hundred early on just so someone wouldnt open it down low Later in the morning

lannone and Parlin discussed how many shares it would take to get BBG to 40 During

the three-day period many of these conversations included detailed discussions

concerning the amount of money and the number of shares that would be necessary


Without admitting or denying the findings in the Commissions order lannone agreed to

cease and desist from committing or causing any violations and any future violations of

the antifraud provisions Section 10b of the Exchange Act and Rule Ob-5 thereunder

to pay $75000 civil penalty and be suspended from association with any broker or

dealer for period of 12 months Without admitting or denying the findings in the

Commissions order Parlin agreed to cease and desist from committing or causing any

violations and any future violations of the antifraud provisions Section 10b of the

Exchange Act and Rule lOb-S thereunder and Sections 2061 and of the Advisers

Act to pay $75000 civil penalty and be suspended from association with any

investment adviser for period of 12 months

Without admitting or denying the findings in the Commissions order ABN AMROIncorporated agreed to be censured because the firm did not have adequate systems to

implement its written policies and procedures with respect to the trades effected by

Angelo lannone discussed above and thus within the meaning of Section 5b4E of

the Exchange Act ABN AMRO Incorporated failed reasonably to supervise lannone with

view towards preventing his violations discussed above and to pay $200000 civil

penalty In addition the Commission acknowledges the remedial acts taken by AAI and

the cooperation afforded the Commission staff

Without admitting or denying the findings in the Commissions order Oechsle

International Advisors LLC agreed to be censured because the firm failed reasonably to

supervise Andrew Parlin with view to preventing his violations of Section 10b of the

Exchange Act and Rule Ob-5 thereunder and his aiding and abetting violations of

Sections 2061 and of the Advisers Act and to pay $200000 civil penalty In

addition the Commission acknowledges the remedial acts undertaken by Oechsle and the

cooperation afforded the Commission staff

The Commission wishes to acknowledge the assistance of securities regulators from

France Germany Italy and the United Kingdom and the assistance of the London Stock

Exchange In the Matter of ABN AMRO Incorporated Rel 34-44677 FileNo 3-

10552 In the Matter of Angelo lannone Rd 34-44678 FileNo 3-10553 In the Matter

of Oechsle International Advisors L.L.C Rel IA-1966 FileNo 3-10554 In the Matter

of Andrew Parlin Rels 34-44679 IA-1967 FileNo 3-10555

ASSET FREEZE ACTION FILED AGAINST ALAN BOND

The Commission announced today that it filed an enforcement action in federal court in

New York City to freeze the assets of money manager Alan Brian Bond Bond age 40

of Upper Montclair New Jersey and his firm Aibriond Capital Management LLC

Aibriond The Commissions action alleges that Bond orchestrated an egregious

cherry-picking or trade allocation scheme that resulted in his clients losing nearly $57

million and Bond reaping an investment return of almost 5500% Bond former

frequent guest on PBSs Wall Street Week With Louis Rukeyser and CNBC had been

indicted by criminal authorities and sued by the Commission in December 1999 on


different scheme in which he allegedly received millions of dollars in brokerage

commission kickbacks

In this action the Commission alleges that beginning in March 2000 while trading for

his own personal account and the accounts of three institutional clients Bond cherry

picked the best trades for himself As part of his scheme Bond called in his trades

generally orders to buy securities to brokerage firm in the morning without designating

whether the trade was for his own account or the accounts of his clients If the securities

purchased increased in price during the day Bond generally sold the shares and gave the

profit to his own account If the securities declined in value Bond generally placed the

securities in the accounts of three of his clients Specifically from March 2000 to July

25 2001 Bond placed 2296 buy trades through New York brokerage firm Of those

trades 1168 were profitable on the day of the trade Bond allocated 93% of those

profitable trades to his own account and the balance to his clients Of the 1128

unprofitable trades Bond allocated only 17% to his own account and 83% to his clients

Consequently during this 17-month period Bonds clients lost nearly $57 million

suffering negative rate of return ranging from 65% to 74% In contrast during the same

period Bond personally gained nearly $6.6 million on an initial investment of

approximately $260000 an astounding 5487% return

In light of Bonds recent withdrawals of hundreds of thousands of dollars in allegedly

illegal trading profits the Commission obtained an order temporarily restraining Bond

and Aibriond from violating the law and freezing their assets with an allowance for

reasonable living expenses and attorneys fees pending further hearing on the matter

scheduled for September 2001 Based on the allegations described above the

Commission is seeking permanent injunctions and civil money penalties against Bond

and Albriond and disgorgement from Bond for violations of Section 10b of the

Securities Exchange Act of 1934 and Rule Ob-5 thereunder and for violations of

Sections 2061 2062 and 207 of the Investment Advisers Act

In parallel criminal case the United States Attorneys Office for the Southern District

of New York has arrested Bond and seized certain assets including the unearned portion

of $500000 payment to Bonds attorneys

The Commission acknowledges the valuable assistance of the United States Attorneys

Office for the Southern District of New York and the Federal Bureau of Investigation in

bringing this case Alan Brian Bond Robert Spruill and Albriond Capital

Management LLC Civil Action No.99 Civ 12092 RO S.D.N.Y LR-17099


IN VESTMENT COMPANY ACT RELEASES

CDC IRIS ASSET MANAGEMENT ADVISERS L.P ET AL

An order has been issued on an application filed by CDC IRIS Asset Management

Advisers L.P et al granting relief from Sections 10f 12d3 17a and 17e of the

Investment Company Act and from Rule 7e- under the Act The order permits certain

registered open-end management investment companies advised by several investment

advisers to engage in principal and brokerage transactions with broker-dealer affiliated

with one of the investment advisers and to purchase securities in certain underwritings

The transactions would be between the broker-dealer and portion of the investment

companys portfolio not advised by the adviser affiliated with the broker-dealer The

order also permits these investment companies not to aggregate certain purchases from an

underwriting syndicate in which an affiliated person of one of the investment advisers is

principal underwriter Further the order permits portion of an investment companys

portfolio to purchase securities issued by broker-dealer which is an affiliated person of

an investment adviser to another portion subject to the limits in Rule 12d3-1 under the

Act Rel IC-25 103 August

ABN AMRO FUNDS ET AL

notice has been issued giving interested persons until September 2001 tO request

hearing on an application filed by the ABN AMRO Funds et al for an order under

Section 17b of the Investment Company Act The order would permit certain series of

Alleghany Funds to acquire all of the assets and assume certain stated liabilities of certain

series of ABN AMRO Funds Because of certain affiliations applicants may not rely on

Rule 7a-8 under the Act Rel IC-25 104 August

MORGAN GRENFELL INVESTMENT TRUST ET AL

An order has been issued on an application filed by Morgan Grenfell Investment Trust et

al exempting applicants from Section 2d GiIIof the Investment Company Act

The order permits funds of funds relying on Section 12d1G of the Act to invest in

certain securities and other financial instruments Rel IC-25 105 August

PITCAIRN FUNDS AND PITCAIRN TRUST COMPANY

notice has been issued giving interested persons until September 2001 to request

hearing on an application filed by Pitcairn Funds and Pitcairn Trust Company for an

order exempting applicants from Section 15a of the Investment Company Act Rule

8f-2 under the Act certain disclosure requirements and Rule 5a-4b2viC under

the Act The order would permit applicants to enter into and materially amend

subadvisory agreements without shareholder approval grant relief from certain disclosure

NEWS IGEST August 10 2001

requirements and allow for release from escrow of compensation earned under an

interim subadvisory agreement Rel IC-25 106 August

SELF-REGULATORY ORGANIZATIONS

IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE

proposed rule change filed by the American Stock Exchange LLC AmexRelating to

Amendments to Amex Rule 236a6 SR-Amex-2001-49 has become effective under

Section 19b3A of the Securities Exchange Act of 1934 Publication of the proposal

is expected to be made in the Federal Register during the week of August 13 Rel 34-

44663

DELISTINGS

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 GC Companies

Inc effective at the opening of business on August 10 2001 Rel 34-44664


strike from listing and registration the Common Stock $.0l par value of SunSource Inc

and 11.6% Trust Preferred Securities of SunS9urce Capital Trust effective at the opening

of business on August 10 2001 Rel 34-44665


strike from listing and registration the Common Stock $.0 par value of Silverleaf

Resorts Inc effective at the opening of business on August 10 2001 Rel 34-44666


strike from listing and registration DONCASTERS plc American Depositary Shares

each representing two ordinary shares effective at the opening of business on August 10

2001 Rel 34-44667


strike from listing and registrationAsia Pulp Paper Company Ltd and subsidiaries

American Depositary Shares Guaranteed Senior Unsecured Floating Rate Notes and

Liquid Yield Option Notes effective at the opening of business on August 10 2001

Rel 34-44668


strike from listing and registration the Class Common Stock $.01 par value of Huntco

Inc effective at the opening of business on August 10 2001 Rel 34-44669



strike from listing and registration the Common Stock no par value of Wamaco Group

Inc and the 6% Convertible Trust Originated Preferred Securities of Designer Finance

Trust effective at the opening of business on August 10 2001 Rel 34-44670

WITHDRAWALS

Notice has been issued giving interested persons until August 30 to comment on the

Application for Withdrawal from Listing and Registration FTI Consulting Inc

Common Shares $.01 par value on the American Stock Exchange Rel 34-44674

Notice has been issued giving interested persons until August 30 2001 to comment on

the application of AirTran Holdings Inc to withdraw its Common Stock $.001 par

value from listing and registration on the American Stock Exchange Rel 34-44675

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 designation

if the statement is New Issue

Registration statements may be obtained in person or by writing to the Commissions Public

Reference Branch at 450 Fifth Street N.W Washington D.C 20549 or at the following

mail box address publicinfosec.gov In most cases this information is also available

on the Commissions website www.sec.gov

F-6 OPEN JOINT STOCK CO ELECTROSVYAZ OF PRIMORSKY REGION /ADR/

30000000$1500000 DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 333-13758

JUL 27 BR 99 NEW ISSUE

F-6 OPEN JOINT STOCK CO ELECTROSVYAZ OF NOVOSIBIRSK REGION /ADR/

60 WALL ST NEW YORK NY 10260 212 6483250 30000000 $1500000DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 333-13760 JUL 27 BR

99

F-6 JOINT STOCK CENTRAL TELECOMMUNICATIONS CO /ADR/ 60 WALL ST NEW

YORKNY 10260 212 6483250 30 000 000 $1500000DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 333-13762 JUL 27 BR

99

NEW ISSUE


F-6 OPEN JOINT STOCK CO PETERSBURG TELEPHONE NETWORK /ADR/ 60 WALL

STREETNEW YORK NY 10260 212 6483250 50000000 $2500000DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 333-13764 JUL 27 BR

99

NEW ISSUE

S-8 TRANSGLOBE ENERGY CORP 505 3RD STREET SW SUITE 1450

CALGARY ALBERTA T2P 3E6 A0 00000 403 2649888 898348

$242553.96FOREIGN COMMON STOCK FILE 333-13780 AUG 02 BR

S-8 ELBIT SYSTEMS LTD ADVANCED TECHNOLOGY CENTER HAIFA 31053 L3

4999980 $63162242.88 FOREIGN COMMON STOCK FILE 33313784

AUG 03 BR

S-8 ALVARION LTD ATIDIM TECHNOLOGICAL PARK 9723-645-6262

TEL AVIV 61131 ISRAE L3 00000 212 3108000 5407467$38122642.35

FOREIGN COMMON STOCK FILE 333-13786 AUG 03 BR

RECENT 8K FILINGS

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

Item Changes in Control of Registrant

Item Acquisition Or Disposition of Assets

Item Bankruptcy or ReceivershipItem Changes in Registrants Certifying Accountant

Item Other Materially Important Events

Item Resignations of Registrants Directors

Item Financial Statements and Exhibits

Item Change in Fiscal YearItem Regulation FD Disclosure

The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports

previously filed responding to the items of the form specified 8-K reports may be obtained in person

or by wnting to the Commissions Public Reference Branch at 450 Fifth Street N.W Washington D.C

20549 or at the following e-mail box address pub1icinfosec.gov In most cases this information is

also available on the Commissions website www.sec.gov

STATE 8K ITEM NONAME OF ISSUER CODE DATE COMMENT

AANES CAPITAL CORP CA 06/25/01

AAIViES MORTGAGE TRUST 2001 MORTGAG DE 07/25/01

PASS THR CERTS SE 01

ACE SECURITIES CORP HO EQ LO TR SE DE 07/25/01

2001-AQ1 AS BA PA TH CE

ACE SECURITIES CORP HO EQ LO TR SE DE 07/25/01

2001-NC1 AS BA PA TH CE

ADVANCE HOLDING CORP VA 08/07/01

ADVANCE STORES CO INC VA 08/07/01


AEROVOX tNC DE

ALLIANCE PHARMACEUTICAL CORP NY

AMERADA HESS CORP DE

AMERICAN BUSINESS FINANCIAL SERVICE DE

INC IDEAMERIGAS FINANCE CORP DE

AMERIGAS FINANCE CORP DE

ANERIGAS PARTNERS LP DE

AMERIGAS PARTNERS LP DE

AMERIPATH INC DE

ANCHOR BANCORP WISCONSIN INC WI

ARBITRON INC DE

ARTISOFT INC DE

ASPEN TECHNOLOGY INC IDE DE

ASSET BACKED CERTIFICATES SERIES 20 DE

012ASSET BACKED FUND CORP MORT LN ASSE

BCKD CERT SER 2001-AQ1

BANC CORBANC ONE FINANCIAL SERVICES HOME EQ

UITY LOAN TRUST 19991BANK OF AMERICA MORTGAGE SECURITIES

INC

BELDEN BLAKE CORP OHBERKLEY CORP

BICO INC/PA

BICO INC/PA

BOCA RESORTS INC

BRIGHAM EXPLORATION CO

BROWN TOM INC IDE

BSB.BANCORP INC

BYL BANCORP

CABLEVISION SYSTEMS CORP /NY

CALPROP CORP

CAPTEC NET LEASE REALTY INC

CARDIOTECH INTERNATIONAL INC

CARRIER1 INTERNATIONAL

CAVALRY BANCORP INC

CENTER TRUST INC

CETALON CORP

CHASE CREDIT CARD OWNER TRUST 2001-

CHASE FUNDING INC

CHASE MORTGAGE FINANCE CORP

CHILES OFFSHORE INC/NEWCIRTRAN CORP

CITICORP MORTGAGE SECURITIES INC

CITIGROUP INC

COACHMEN INDUSTRIES INC

COMMODORE HOLDINGS LTD

COMPLE TEL EUROPE NV

07125101

08106/01

08108101

08102101

08108101

08109101 AMEND

08/08101

08/09101 AMEND

08108101

07124101

08106/01

08108/01

08107101

07125101

07/01/01

08109/01

NY 07/25/01

08/08/01

02106101 AMEND

08106101

08108/01

07125101

08107/01

08108/01

08/07101

08/08101

08108/01

08/08101

07/27101

08108/01

09109/01

08/08/01

08108/01

03115101 AMEND

08/01101

07/25101

07/25101

07/25/01

07/31/01 AMEND

06125/01

08/02101

08/09/01

07/20/01

08/08/01

DE

DE

07 /23/01DE

OH

DE

PA

PA

DE

DE

DE

DE

CA

DE

STATE 8K ITEM NONAME OF ESSUER CODE DATE COMMENT

CA

DE

MAN4

TN

MD

NV

DE

NY

DE

DE

NV

DE

DE

IN

10 NEWS DIGEST August 10 2001

COMPUCREDI1 CORP

CONTINENTAL AIRLINES INC

CONTROLLED ENVIRONMENTAL

TECHNOLOGY INC

CONVEPSA CORP

COOPER INDUSTRIES INC

CREDIT SUISSE FIR BOS SEC CORP CSFB

PS THRU CERT SER 2001-S6

CREDIT SUISSE FIRST BOSTON MG SE CO

MG PA TH CE SE 2001-HE8

CRIIMI MAE FINANCIAL CORP

CRITICAL PATH INC

CTC COMMUNICATIONS GROUP INC

CYGNUS INC IDECYTOMEDIX INC

DAISYTEK INTERNATIONAL CORPORATION

DE

DENBURY RESOURCES INC

DISCOUNT AUTO PARTS INC

DRKOOP COM INC

DUALSTAR TECHNOLOGIES CORP

DUNN COMPUTER CORP /VA/

EAGLE CAPITAL INTERNATIONAL LTD

EARTHGRAINS CO IDE

NAME OF ISSUER

EB2B COMMERCE INC /NY/

ELECTROPURE INC

EMB CORP

ENTERASYS NETWORKS INC IDEENZON INC

EQUITY ONE ABS INC

EQUITY ONE ABS INC

EQUITY TECHNOLOGIES RESOURCES INC

EQUIVEST FINANCE INC

ERLY INDUSTRIES INC

EXELIXIS INC

EXPEDITORS INTERNATIONAL OF WASHING

TON INC

FIDELITY NATIONAL INFORMATION SOLUT

IONS INC

FIRST COASTAL CORP

FIRST DEARBORN INCOME PROPERTIES LP

FIRST HORIZON ASSET SECURITIES INC

FLAG TELECOM HOLDINGS LTD

FMC CORP

FMC TECHNOLOGIES INC

FORD CREDIT AUTO RECEIVABLES TWO

FORD CREDIT AUTO RECEIVABLES TWO LL DE

FORTUNE NATURAL RESOURCES CORP

FUSION FUND INC IDE

08/06/01

08/09/01

08/07/01

08/07/01

08/09/01

07/25/01

DE 03/26/01

08/09/01

08/07/01

08/08/01

05/11/00 AMEND

07 /2 6/01

08/02/01

08 /0 6/01

DATE COMMENT

08 /03/01

08/06/01

07/24/01

08 /0 6/01

08/08/01

08/07/01

08/08/01

07/26/01 AMEND

08/07/01

08/08/01 AMEND

08/09/01

08/09/01

08/01/01

08/09/01

05/03/0

06/25/01

08/07/01

07/31/01

07/31/01

07/31/01

07/31/01

08/09/01

08/02/01

DE

AQUACULTUR

GA

DE

CO

DE

OH

08 /01/0

08/02/01

08/07/01

08/07/01

08/08/01

08/08/01

MD

CA

DE

DE

DE

DE

DE

FL

DE

DE

VA

NV

DE

STATE

CODE

8K ITEM NO12345678

NJ

CA

HI

DE

DE

DE

DE

DE

DE

CA

DE

WA

DE

bE

DE

DE

DE

DE

DE

DE


FVNB CORP

FYI INC

GL REALTY CORP

GENOME THERAPEUTICS CORP

GENUITY ENC

GEORGIA PACIFIC CORP

GLOBAL ELECTION SYSTEMS INC

GLOBAL TECHNOLOGIES LTD

GOLDEN WEST FINANCIAL CORP /DE/

GREENPOINT HOME EQ LN TR 2001-1 HM

EQ LN AB NOTES SER 2001-1

HANOVER COMPRESSOR CO

HANOVER COMPRESSOR CQ

HANOVER COMPRESSOR CO

HANOVER DIRECT INC

NAME OF LSSUER

HARLEY DAVIDSON CUSTOMER FUNDING CO NV

RP

HCC INSURANCE HOLDINGS INC/DEl

HEALTH CARE REIT INC /DE/

HEALTH NET INC

HEALTH RTSK MANAGEMENT INC INNHUDSONS GRILL INTERNATIONAL INC

HYPERCOM CORP

EUROPE INC

IKON VENTURES INC

ILLINOIS SUPERCONDUCTOR CORPORATION

IMPAC ASSETS SECURED CORP MORT PASS

THR CERT SER 20014IMPAC CNB TRUST SERIES 2001-1

INPAC SECURED ASSETS CORP MORT PASS

THR CERT SER 2001-1

IMPAC SECURED ASSETS CORP NORT PASS

THR CERT SER 2001-2

IMPAC SECURED ASSETS CORP MORT PASS

THROUGH CERT SER 2001-3

INDYMAC INC HOME EQ MORT LOAN AS-BC

TR SER SPMD 2001-A

INFORMATION LINK CORP

INTEGRATED SECURITY SYSTEMS INC

INTERCEPT GROUP INC

INTERNATIONAL BANCSHARES CORP

INTERNATIONAL KNIFE SAW INC

INTERNETMERCADO COM INC

IRWIN HOME EQUITY LN TR HM EQ LN-BK

TERN NT SER 20011ISEMPLOYMENT COM INC

JAGNOTES COM

KADANT INC

KING PHARMACEUTICALS INC

KULICKE SOFFA INDUSTRIES INC

LABORATORY CORP OF AMERICA HOLDINGS

08/09/01

08/09/01

08/07/01

08/08/01

08/08/01

08/07/01

08/07/01

08/08/01

08/08/01

07/16/01

08/07/01

08/07/01

08 /0 9/01

06/29/01DE

STATE 8K ITEM NOCODE DATE COMMENT

08/09/01

08/09/01

08/07/01

08/01/01

08/07/01

08/09/01 AMEND

07/31/01

08 /0 1/01

08/02/01

08/09/01

07/25/01

08/01/01

08 /0 9/01

08/07/01

08/09/01

06/06/01 AMEND

6/2 9/01

07/25/01

08/06/01 AMEND

08/08/01

08/08/01

08/08/01

08/07/01

07/23/01

TX

DE

MD

MADE

GA

DE

DE

DE

DE

DE

DE

AMEND

DE

DE

DE

MN

TX

DE

NV

DE

CA

DE

CA

07 /25/01

07 /25/01

CA 07/25/01

CA 07/25/01

DE 07/25/01

FL

DE

GA

TX

DE

DE

NY

NV

DE

TN

PA

DE


LINENS THINGS INC DE 08/09/01

LIONBRIDGE TECHNOLOGIES INC IDE DE 06/21/01 AMEND

LMI AEROSPACE INC MO 08/03/01

LMI AEROSPACE INC MO 08/09/01

LML PAYMENT SYSTEMS INC Al 05/01/01

LONG BEACH MORTGAGE LOAN TRUST 2001 DE 07/23/01

-l AS BK CERT SER 2001-1

STATE 8K ITEM NONAME OF ISSUER CODE DATE COMMENT

LUMINART CORP NV 07/25/01

MACK CALl REALTY CORP MD 08/09/01

MATLACK SYSTEMS INC DE 08/09/01

MAYTAG CORP DE 08/09/01

MBNA CORP MD 08/08/01

MCLAREN PERFORMANCE TECHNOLOGIES IN DE 08/09/01

MDI ENTERTAINMENT INC DE 08/06/01

MEDICAL DYNAMICS INC CO 08/08/01

MELLON RESIDENTIAL FUNDING CORP MOR NY 07/25/01

PAS THR CER SER 01 HEIL1

MERCHANTPARK COMMUNICATIONS INC /NV NV 09/30/01 AMEND

MERCHANTPARK COMMUNICATIONS INC /NV NV 09/30/01 AMEND

MERCK CO INC NJ 08/09/01

MERISEL INC IDE DE 09/30/01

MERLIN SOFTWARE TECHNOLOGIES INTERN NV 08/08/01

ATIONAL INC

MERRILL LYNCH DEPOSITOR INC DE 08/01/01

MERRILL LYNCH MORT INV INC MOR PAS NY 07/25/01

THR CERT SER 2001-Si

MERRILL LYNCH MORT INV INC MORT PAS NY 07/25/01

THR CER CDMC SER 2001-Al

METRIS MASTER TRUST DE 07/31/01

METRIS MASTER TRUST DE 07/31/01

METRIS RECEIVABLES INC DE 07/31/01

METRIS RECEIVABLES INC DE 07/31/01

MFB CORP IN 06/30/01

MID POWER SERVICE CORP DE 08/03/01

MILLS CORP DE 06/30/01

MITCHAM INDUSTRIES INC TX 08/09/01

MITY ENTERPRISES INC UT 08/09/01

MOBILEPRO CORP DE 06/06/01 AMEND

MORGAN STANLEY ABS CAP INC MOR LO DE 07/25/01

AN AS BK CER SER 2001-WF1

MORGAN STANLEY CAPITAL INC HOME NY 07/25/01

LN AS BK CER SER 1999-2

MORGAN STANLEY DEAN WITTER CAPITAL 07/25/01

INC TRUST 2001NC1MORTGAGE PASS THROUGH CERTIFICATES DE 08/01/01

SERIES 20011STATE 8K ITEM NO

NAME OF ISSUER CODE DATE COMMENT


MUSE TECHNOLOGIES INC

NATIONAL RESEARCH CORP

NATIONAL RESIDENTIAL PROPERTIES NV

INC

NATIONWIDE FINANCIAL SERVICES INC/

NATURAL SOLUTIONS CORP

NELX INC

NETWORKS ASSOCIATES INC/

NEW PLAN EXCEL REALTY TRUST INC

NEXELL THERAPEUTICS INC

NICHOLAS FINANCIAL INC

NORTEL NETWORKS CORP

NORTEL NETWORKS LTD

NORTH COAST ENERGY INC DEl

NUEVO ENERGY CO

OCEANEERENG INTERNATIONAL INC

OCWEN FINANCIAL CORP

ONEOK INC /NEW/

ON2 TECHNOLOGIES INC

OPTION ONE MORT ACCEP CORP ASSET BA

CKED CERT SER 2001-1

OSHKOSH GOSH INC

OVERSEAS PARTNERS LTD

COM INC

PEGASUS COMMUNICATIONS CORP

PENWEST HARMACEUTICALS CO

PEOPLES FINANCIAL SERVICES CORP/

PEPSICO ENC

PILGRIMS PRIDE CORP

PIRANHA ENC

PLANET ZANETT INC

PNC MORTGAGE SEC CORP MORT PASS THR

CERT SER 20012221 CAPITAL GROUP INC

PRIMIX

PROFESSIONALS GROUP INC

PROVIDENT BANKSHARES CORP

PUBLIC SERVICE CO OF NEW MEXICO

RECKSON ASSOCIATES REALTY CORP

RECKSON ASSOCIATES REALTY CORP

RECKSON OPERATING PARTNERSHIP LP

RECKSON OPERATING PARTNERSHIP LP

STATE

NAME OF LSSUER CODE

08/09/01

08/08/01

07/16/01 AMEND

08/07/01

07/27/01

06/04/01 AMEND

08/08/01

08/09/01

08/07/01

08/08/01

08/08/01

08/08/01

08/02/01

08/09/01

08/09/01

08/08/01

08/09/01

08/08/0107 /25/0

07/31/01

08/09/01

07/25/01

08/02/01

08/07/01

07/23/01

08/08/01

08/06/01

08/08/01

08/06/01 AMEND

08/01/01

08/06/01

07/19/01

06/25/01

08/06/01

07/31/01

08/08/01

08/09/01

08/08/01

08/09/01

8K ITEM NO123456789 DATE COMMENT

DE

WI

NV

DE

NV

KS

DE

MD

DE

FL

DE

DE

DE

FL

OK

CO

DE

DE

DE

WA

PA

NC

DE

DE

DE

UT

DE

MI

MD

NM

MD

MD

DE

DE

REsIDENTEAL ASSET MORTGAGE PRODUCTS DE 08/08/01

INC

RESOURCES CONNECTION INC DE 08/08/01

RGS ENERGY GROUP INC NY 08/09/01

ROCHESTER GAS ELECTRIC CORP NY 08/09/01

RURAL METRO CORP /DE/ DE 08/02/01

SAUER DANFOSS INC DE 07/26/01


SAVE ON ENERGY INC

SAXON ASSET SEC TRUST 2001-1 MTG LN

ASSET BK CERT SER 2001-1

SCHULER HOMES INC

SCOTTISH ANNUITY LIFE HOLDINGS LT

SEITEL INC

SEQUA CORP IDESLM FUNDING CORP

SOFTSTONE INC IDESONOSITE INC

SOUTHERN UNION CO

SPRINT CORP

STAR GAS PARTNERS LP

STEWART INFORMATION SERVICES CORP

STOCK WATCHMAN INC

STRATUS SERVICES GROUP INC

STRUCTURED ASS MO INV INC WSH NUT

OLT MO TH CE SE 01-i

STRUCTURED ASSET SEC CORP NOR PASS

THR CERT SER 2001-9

STRUCTURED ASSET SECURITIES CORP NO

RT PA TH CERT SER 2001-8A

SUN INTERNATIONAL NORTH AMERICA INC

SYNMETRICON INC

Si CORP IDETEAM COMMUNICATIONS GROUP INC

TECHNEST HOLDINGS INC

TECHNOLOGY FUNDING VENTURE PARTNERS

IV

TEXAS BIOTECHNOLOGY CORP /DE/

THERMO ELECTRON CORP

TOYOTA AUTO LEASE TRUST 1998

TOYOTA AUTO LEASE TRUST 1998-B

TUCKER ANTHONY SUTRO

STATE

NAME OF ISSUER CODE

TWEETER HOME ENTERTAINMENT GROUP IN DE

UNICAPITAL CORP

UNISERVICE CORP/FL

UNISERVICE CORP/FL

UNITED AUTO GROUP INC

USA BIOMASS CORP

VASCO DATA SECURITY INTERNATIONAL

NC

VENTURES NATIONAL INC

VIASOURCE COMMUNICATIONS INC

VSOURCE INC

WAN NET INC

WAMU MORTGAGE PASS THROUGH CERT SER

IES 20015WASHINGTON MUTUAL NOR LOAN TRU NOR

08/06/01

07/25/01

08/09/01

08/06/01

08/08/01

08/01/01

07/20/01

07/24/01

08/08/01

08/08/01

08/08/01

08/07/01

08/08/01

08/08/01

08/09/01

07 /25/01

07/25/01

DE 06/25/01

08/09/01

08/09/01

08/06/01

08/07/01

07/11/01

08/08/01

08 /0 9/01

08/08/01

07/25/01

07/25/01

08/01/01

8K ITEM NODATE COMMENT

08/01/01

08/03/01

08/08/01

08/09/01 AMEND

08/07/01

12/08/00

08/09/01

06/30/01

08/03/01

07/10/01 AMEND

08/07/01

08/01/01

DE 07/25/01

DE

E9

DE

DE

DE

DE

DE

KS

DE

DE

NV

DE

DE

DE

DE

CA

DE

CA

NV

DE

DE

DE

CA

CA

DE

DE

FL

FL

DE

DE

DE

UT

NJ

DE

MN

DE


PASS THRU CERT SER 2001-7

WASHINGTON MUTUAL MOR SEC CORP NOR DE 08/01/01

PAS THR SER 20016WASHINGTON MUTUAL MOR SEC CORP NOR DE 08/01/01


WASHINGTON MUTUAL NOR SEC CORP NOR DE 08/01/01


WASHINGTON MUTUAL MORTGAGE SEC CORP DE 08/01/01

NOR PAS THRU CERT 20017WATERLINK INC DE 08/07/01

WATERS INSTRUMENTS INC MN 07/09/01 AMEND

WELLS FARGO ASSET SECURITIES CORP DE 07/23/01

WESBANCO INC WV 08/06/01

WESTERN JNTERNATIONAL PIZZA CORP NV 06/30/01

WITTER DEAN REALTY INCOME PARTNERSH DE 08/09/01

IP LP

WNCO INC CO 08/02/01

WWBROADCAST NET INC WY 08/09/01

XL CAPITAL LTD 07/25/01

ZKID NETWORK CO NV 08/06/01

37POINT9 NV 07/31/01


SEC NEWS DIGEST · alCase No 1PO10259 C-HIGpermanently enjoined Brinker and Bentz by their consent...

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Transcript of SEC NEWS DIGEST · alCase No 1PO10259 C-HIGpermanently enjoined Brinker and Bentz by their consent...