Select SEC and Market Data

 SELECT SEC AND MARKET DATA FISCAL 2005 Table of Contents Enforcement Milestones .......................................................................................... 2 Enforcement Actions Initiated by the Commission ............................................... 3 Fiscal 2005 Enforcement Cases by Program Area ................................................. 4 Investigations of Possible Violations of the Acts Administered by the Commission ..................................................................... 21 Right to Financial Privacy..................................................................................... 21 SEC Total Investor Contacts by Fiscal Year ........................................................ 22 Ten Most Common Complaints During Fiscal 2005 ............................................ 23 Unconsolidated Financial Information for Broker-Dealers ............................... 24 . Unconsolidated Annual Revenues and Expenses for Broker-Dealers Doing a Public Business ......................................................... 25 . Unconsolidated Balance Sheet for Broker-Dealers Doing a Public Business .................................................................................... 26 Unconsolidated Revenues and Expenses for Carrying/Clearing Broker-Dealers ................................................................... 27 Unconsolidated Balance Sheet for Carrying/Clearing Broker-Dealers .............. 28 Transaction Activity in Equities, Options and Security Futures ....................... 29 Securities Listed on Exchanges ............................................................................ 30 Value of Stocks Listed on Exchanges ................................................................... 31  Table 1 ENFORCEMENT MILESTONES FISCAL 2005 • Obtained orders in SEC judicial and administrative proceedings requiring securities violators to disgorge illegal profits of approximately $1.6 billion and to pay penalties of approximately $1.5 billion. • Sought orders barring 150 defendants and respondents from serving as officers or directors of public companies. Sought emergency relief from federal courts in the form of temporary restraining orders (TROs) to halt ongoing fraudulent conduct in 31 actions, and sought asset freezes in 34 actions. Filed 6 actions to enforce investigative subpoenas. Halted trading in securities of 118 issuers about which there was inadequate public disclosure. • • • In SEC-related criminal cases, prosecutors filed indictments, informations, or contempts in 108 cases.  Table 2 FISCAL 2005 ENFORCEMENT ACTION SUMMARY BY PRIMARY CLASSIFICATION (Each action initiated has been included in only one category listed below, even though many actions involved multiple allegations and may fall under more than one category. The number of defendants and respondents is noted parenthetically.) Primary Classification Issuer Reporting and Disclosure Broker Dealer Investment Advisers Securities Offering Cases Delinquent Filings Insider Trading Cases Market Manipulation Cases Civil Contempt Transfer Agents Municipal Offering Self-Regulatory Organization Investment Companies Miscellaneous Cases TOTALS Civil Actions 94 20 25 34 60 42 30 23 2 1 1 2 1 335 (218) (58) (57) (166) (126) (85) (95) (38) (2) (2) (1) (2) (1) (851) Administrative Proceedings 90 74 70 26 0 8 16 0 3 3 3 0 1 294 (125) (117) (102) (37) (0) (9) (28) (0) (5) (5) (5) (0) (1) (434) 21A Reports 1 0 0 0 0 0 0 0 0 0 0 0 0 1 (1) (0) (0) (0) (0) (0) (0) (0) (0) (0) (0) (0) (0) (1) Total 185 94 95 60 60 50 46 23 5 4 4 2 2 630 (344) (175) (159) (203) (126) (94) (123) (38) (7) (7) (6) (2) (2 (1286) % of Total Actions 29% 15% 15% 9% 9% 8% 7% 4% 1% 1% 1% 0.5% 0.5% 100%  Table 3 FISCAL 2005 ENFORCEMENT CASES LISTED BY PROGRAM AREA Name of Case Broker-Dealer In the Matter of Stanley B. Wasser SEC v. Bill L. Stapleton In the Matter of Calvin E. Moore, Jr. In the Matter of John N. Salerno In the Matter of Joseph J. Salerno, III, et al. In the Matter of David A. Zimmerman In the Matter of Michael A. Lomas, et al. In the Matter of Thomas J. Donovan In the Matter of Benny G. Morris In the Matter of Carlos H. Soto In the Matter of Bruce D. Oakes In the Matter of Marc Freeman In the Matter of Thomas H. Keesee In the Matter of First Command Financial Planning, Inc. In the Matter of Knight Securities LP In the Matter of Lonnie Dragon In the Matter of Edward D. Jones & Co., L.P. In the Matter of Mark J. Chavez In the Matter of Mark K. Menzel In the Matter of Southwest Securities, Inc., et al. SEC v. Scott B. Gann, et al. SEC v. J.M. Dutton & Associates, LLC SEC v. Goldman Sachs & Co. SEC v. Morgan Stanley & Co. Incorporated In the Matter of Marketxt, Inc., et al. SEC v. Marion D. Sherrill In the Matter of J.P. Morgan Securities Inc. In the Matter of Gerald F. Hunter, Jr. SEC v. Tonino Labella, et al. In the Matter of Brean Murray & Co., Inc. SEC v. David S. Davidson, et. al. In the Matter of Norman P. Rounds In the Matter of C. Dennis McKittrick In the Matter of William H. Rogers SEC v. Frank J. Furino Release Number Date Filed 34-50482 LR-18960 34-50496 34-50504 34-50503 34-50517 34-50551 34-50580 34-50592 34-50646 34-50743 33-8509 34-50803 33-8513 34-50867 34-50875 33-8520 34-50913 33-8519 34-51002 LR-19027 LR-19046 LR-19051 LR-19050 33-8533 LR-19076 34-52100 34-51207 LR-19080 34-51219 LR-19090 34-51308 34-51349 34-51345 LR-19126 10/01/2004 10/01/2004 10/06/2004 10/08/2004 10/08/2004 10/12/2004 10/15/2004 10/21/2004 10/26/2004 11/08/2004 11/29/2004 12/07/2004 12/07/2004 12/15/2004 12/16/2004 12/17/2004 12/22/2004 12/22/2004 12/22/2004 01/10/2005 01/10/2005 01/19/2005 01/25/2005 01/25/2005 02/09/2005 02/09/2005 02/14/2005 02/15/2005 02/15/2005 02/17/2005 02/17/2005 03/03/2005 03/09/2005 03/09/2005 03/09/2005  Name of Case In the Matter of Robert A. Tommassello SEC v. T. Gene Gilman, et al. In the Matter of Charles Zandford In the Matter of Robert T. Kirk, Jr. In the Matter of Capital Analysts, Incorporated In the Matter of Citigroup Global Markets, Inc. In the Matter of Lewis Henry Hodge, et al. In the Matter of Charles Dwain Davis, Jr. SEC v. Philip D. Phillips, et al. In the Matter of Allen S. Freed In the Matter of David A. Finnerty, et al. In the Matter of Marc N. Siegel In the Matter of vFinance Investments, Inc. In the Matter of Raffi Oghlian In the Matter of Anthony Bisceglie In the Matter of Andrew E. Gold SEC v. Joseph W. Leighton In the Matter of Charles J. Addeo In the Matter of Fiserv Securities, Inc., et al. SEC v. Thomas J. Gerbasio, et al. In the Matter of Gary Todd In the Matter of Christopher Quintana In the Matter of Joseph W. Leighton In the Matter of Suntrust Securities, Inc. In the Matter of Vincent Langella In the Matter of John B. Hoffmann, et al. In the Matter of Charles J. O’Brien, Jr., et al. In the Matter of Michael F. Hollendoner In the Matter of Peter J. Burns In the Matter of Carlos A. Shibata In the Matter of Joseph Ferragamo In the Matter of Banc Of America Investment Services, Inc., et al. SEC v. Jackie Gross, et al. In the Matter of Raymond L. Braun, Jr. In the Matter of Jeffrey Szur, et al. SEC v. Scott A. Christian In the Matter of UBS Securities LLC (f/k/a UBS Warburg LLC) In the Matter of Stacey J. Blake In the Matter of Michael J. Cemo In the Matter of Canadian Imperial Holdings Inc., et al. Release Number 34-51384 LR-19144 34-51404 34-51408 33-8556 33-8557 34-51422 34-51505 LR-19178 34-51532 34-51525 34-51531 34-51530 34-51560 34-51571 34-51585 LR-19193 34-51589 34-51588 LR-19197 34-51679 34-51701 34-51699 34-51700 34-51702 34-51713 33-8578 34-51792 34-51793 34-51804 34-51819 34-51852 LR-19275 34-51914 34-51945 LR-19294 34-52022 33-8586 34-52055 33-8592 Date Filed 03/16/2005 03/17/2005 03/21/2005 03/22/2005 03/23/2005 03/23/2005 03/23/2005 04/07/2005 04/07/2005 04/12/2005 04/12/2005 04/12/2005 04/12/2005 04/15/2005 04/19/2005 04/20/2005 04/20/2005 04/21/2005 04/21/2005 04/21/2005 05/10/2005 05/17/2005 05/17/2005 05/17/2005 05/18/2005 05/19/2005 05/31/2005 06/07/2005 06/07/2005 06/08/2005 06/10/2005 06/15/2005 06/20/2005 06/23/2005 06/30/2005 07/07/2005 07/13/2005 07/14/2005 07/18/2005 07/20/2005  Name of Case In the Matter of Thomas J. Downey, et al. In the Matter of Prudential Equity Group, LLC, f/k/a Prudential Securities Inc. In the Matter of Frank Persico In the Matter of Scott A. Christian In the Matter of Jeffrey L. Pittsburg In the Matter of Chauncey D. Steele In the Matter of Russell W. Jones SEC v. Kenneth D. Pasternak, et al. SEC v. John J. Amore, et al. In the Matter of Barry Alan Bingham In the Matter of Laurene U. English SEC v. Michael Kogan, et al. In the Matter of Eric J. Laucius In the Matter of John C. Kawas, Jr. In the Matter of Michael Kogan In the Matter of Legg Mason Wood Walker, Incorporated In the Matter of Victor Lessinger SEC v. William Sears, et al. SEC v. Ehrenkrantz King Nussbaum., Inc., et al. Contempt Civil SEC v. Michael Lauer SEC v. Koji Goto, et al. SEC v. David Rubin SEC v. Joel Steinger SEC v. Michael Lauer SEC v. Michael Lauer SEC v. Ulysses “Thomas” Ware, et al. SEC v. Ronald Pellett, et al. SEC v. Charles G. Dyer, et al. SEC v. Randall T. Treadwell SEC v. Christiano Hashimoto SEC v. Michael D. Carnicle SEC v. Chan M. Desaigoudar SEC v. Rodd Buckle SEC v. C. Kelly Olsen SEC v. Ellsworth Wayne McLaws SEC v. Joseph A. Ferona SEC v. Joel Steinger, et al. SEC v. Gerald L. Rogers SEC v. Luis M. Cornide, et al. SEC v. Robert A. De La Riva, et al. LR-18991 LR-18965 None None LR-19018 LR-19019 None None LR-19035 LR-19059 LR-19096 None LR-19102 LR-19155 None None None None None None None 10/22/2004 11/01/2004 11/18/2004 12/06/2004 12/09/2004 12/20/2004 12/21/2004 12/27/2004 01/13/2005 01/27/2005 01/31/2005 01/31/2005 02/24/2005 03/07/2005 03/25/2005 03/25/2005 04/27/2005 05/25/2005 06/20/2005 07/15/2005 07/22/2005 Release Number 34-52108 34-52116 34-52137 34-52163 34-52186 34-52190 34-52211 LR-19329 LR-19335 34-52318 34-52320 LR-19366 34-52456 34-52453 34-52455 34-52478 34-52498 LR-19395 LR-19410 Date Filed 07/22/2005 07/25/2005 07/27/2005 07/29/2005 08/01/2005 08/02/2005 08/04/2005 08/08/2005 08/15/2005 08/23/2005 08/23/2005 09/08/2005 09/16/2005 09/16/2005 09/16/2005 09/21/2005 09/23/2005 09/26/2005 09/30/2005  Name of Case SEC v. Michael A. Lomas SEC v. Randall T. Treadwell Delinquent Filing: Issuer Reporting In the Matter of Safescript Pharmacies Inc, f/k/a RTIN Holdings Inc. In the Matter of Soulfood Concepts, Inc. In the Matter of Neurotech Development Corp. In the Matter of 21st Century Wireless Group, Inc. In the Matter of Abacan Resources Corp., et al. In the Matter of American Multiplexer Corp., et al. In the Matter of Asset Equity Group, Inc., et al. In the Matter of Bigmar, Inc. In the Matter of Biogan International, Inc. In the Matter of Bluestar Enterprises, Inc. In the Matter of Centura Software Corp. In the Matter of Directshoes.Com, Inc. In the Matter of Healthwatch, Inc. In the Matter of Learncom, Inc. In the Matter of Marchfirst, Inc. In the Matter of Winstar Communications, Inc. In the Matter of Homeland Security Technology, Inc. In the Matter of Morgan Cooper, Inc. In the Matter of Greentech USA, Inc. In the Matter of Information Architects Corporation In the Matter of Investment Technology, Inc. In the Matter of Tekron, Inc. In the Matter of Digi Link Technologies, Inc. In the Matter of Advanced Solutions And Technologies, Inc., et al. In the Matter of Amitelo Communications, Inc., et al. In the Matter of Drkoop.Com, Inc., et al. In the Matter of Eagletech Communications, Inc. In the Matter of Select Media Communications, Inc. In the Matter of First Pacific Networks, Inc. In the Matter of CMKM Diamonds, Inc. In the Matter of Infotopia, Inc. In the Matter of Tamarak, Inc. In the Matter of Asia Pulp & Paper Company, Ltd. In the Matter of Gateway International Holdings, Inc., et al. In the Matter of Hosoi Garden Mortuary, Inc. In the Matter of PAT Services, Inc. In the Matter of Progressive Software Holding, Inc. 34-50494 34-50512 34-50612 34-50761 34-50771 34-50771 34-50771 34-50768 34-50766 34-50767 34-50765 34-50764 34-50763 34-50769 34-50762 34-50770 34-51088 34-51089 34-51193 34-51193 34-51194 34-51193 34-51196 34-51202 34-51202 34-51202 34-51203 34-51204 34-51353 34-51383 34-51387 34-51461 34-51466 34-51527 34-51548 34-51546 34-51547 10/05/2004 10/12/2004 10/29/2004 12/01/2004 12/01/2004 12/01/2004 12/01/2004 12/01/2004 12/01/2004 12/01/2004 12/01/2004 12/01/2004 12/01/2004 12/01/2004 12/01/2004 12/01/2004 01/28/2005 01/28/2005 02/11/2005 02/11/2005 02/11/2005 02/11/2005 02/14/2005 02/15/2005 02/15/2005 02/15/2005 02/15/2005 02/15/2005 03/10/2005 03/16/2005 03/17/2005 03/31/2005 04/01/2005 04/12/2005 04/15/2005 04/15/2005 04/15/2005 Release Number LR-19354 LR-19384 Date Filed 08/26/2005 09/19/2005  Name of Case In the Matter of Norsul Oil & Mining, Ltd. In the Matter of Affinity International Travel Systems, Inc., et al. In the Matter of ePhone Telecom, Inc., et al. In the Matter of Upgrade International Corp. In the Matter of Active Link Communications, Inc. In the Matter of Busybox.Com, Inc. In the Matter of MPTV, Inc., et al. In the Matter of St. George Metals, Inc. In the Matter of American Machine, Inc., et al. In the Matter of Spectrum Brands Corp. In the Matter of Netcurrents Information Services, Inc. In the Matter of UCAP, Inc. In the Matter of Divedepot.Com, Inc., et al. In the Matter of Nexpub, Inc. In the Matter of Advanced Media, Inc., et al. In the Matter of Enamelon, Inc., et al. In the Matter of Transmedia Asia Pacific, Inc. In the Matter of Bio One Corporation In the Matter of International Biofuel and Biochemical Corporation In the Matter of AirCharter Express, Inc. In the Matter of Danbury Financial, Inc. In the Matter of E Trade Systems, Inc. In the Matter of Nextcard, Inc. Insider Trading In the Matter of Joseph T. Falcone In the Matter of Larry F. Smath SEC v. Kevin J. Hobbs, et al. SEC v. Russell T. Bradlee, et al. SEC v. Peter J. Wilson SEC v. Michael J. Ricks, et al. SEC v. Evan S. Collins SEC v. Min T. Ma, et al. In the Matter of Dimitrios Kostopoulos SEC v. Patricia B. Rocklage, et al. SEC v. Mark A. Bailin SEC v. Charles E. Jannetti, et al. SEC v. Patrick S. Anderson, et al. SEC v. Jun Singo Liang SEC v. Frank R.V. Loomans, et al. 34-50516 34-50515 LR-18977 LR-18974 LR-18979 LR-18983 LR-18986 LR-18998 34-50933 LR-19032 AAER-2167 LR-19037 LR-19038 LR-19049 LR-19075 10/12/2004 10/12/2004 11/16/2004 11/17/2004 11/18/2004 11/22/2004 11/30/2004 12/14/2004 12/27/2004 01/12/2005 01/13/2005 01/13/2005 01/19/2005 01/25/2005 02/10/2005 Release Number 34-51569 34-51618 34-51618 34-51772 34-51924 34-51918 34-51924 34-51961 34-52020 34-52023 34-52040 34-52129 34-52214 34-52306 34-52384 34-52384 34-52384 33-8616 34-52525 34-52536 34-52536 34-52536 34-52535 Date Filed 04/19/2005 04/27/2005 04/27/2005 06/02/2005 06/24/2005 06/24/2005 06/24/2005 07/01/2005 07/13/2005 07/13/2005 07/15/2005 07/27/2005 08/05/2005 08/19/2005 09/07/2005 09/07/2005 09/07/2005 09/22/2005 09/29/2005 09/30/2005 09/30/2005 09/30/2005 09/30/2005  Name of Case SEC v. Patsy J. Aldredge, et al. SEC v. Richard Curtiss SEC v. John D. Hutchinson SEC v. Robert Goehring SEC v. Armund Ek SEC v. Zvi Fuks, et al. SEC v. Anthony C. Sudol III, et al. SEC v. Alina Welt, et al. SEC v. Nabil Hanna SEC v. Guillaume Pollet SEC v. John E. Martin SEC v. Ernesto Sibal, et al. In the Matter of Andrew M. Welt SEC v. Steven E. Nothern SEC v. Hilary L. Shane In the Matter of James J. McDermott, Jr. SEC v. Gary D. Force SEC v. Zomax, Inc. In the Matter of Hilary L. Shane SEC v. Barry Hertz SEC v. Jeffrey L. Matthews, et al. SEC v. Philip Evans, et al. SEC v. Sonja Anticevic, et al. In the Matter of Benjamin Y. Chiu In the Matter of Ernesto V. Sibal, et al. SEC v. David J. Shlansky SEC v. Raymond L. Burke SEC v. David L. Johnson SEC v. Jameson L. Thottam SEC v. James J. Farley, et al. SEC v. Rodney R. Drinen, et al. SEC v. Stanford Cohen SEC v. Jerry C. Moyes SEC v. Brian G. Paquette, et al. SEC v. Michael K. C. Tom, et al. Investment Adviser In the Matter of RS Investment Management, Inc., et al. SEC v. Market-Timing Technologies, LLC, et al. In the Matter of Invesco Funds Group, et al. In the Matter of Raymond R. Cunningham Release Number LR-19073 LR-19082 LR-19106 LR-19105 LR-19104 LR-19128 LR-19162 LR-19190 LR-19194 LR-19199 LR-19205 LR-19210 IA-2382 LR-19223 LR-19227 34-51794 LR-19252 LR-19262 34-51839 LR-19268 LR-19304 LR-19312 LR-19374 34-52222 34-52223 LR-19332 LR-19355 LR-19363 LR-19364 LR-19379 LR-19378 LR-19383 LR-19389 LR-19393 LR-19404 Date Filed 02/10/2005 02/16/2005 02/28/2005 03/02/2005 03/03/2005 03/09/2005 03/31/2005 04/19/2005 04/20/2005 04/21/2005 04/26/2005 04/28/2005 05/11/2005 05/12/2005 05/18/2005 06/07/2005 06/08/2005 06/09/2005 06/14/2005 06/14/2005 07/18/2005 07/26/2005 08/05/2005 08/08/2005 08/08/2005 08/10/2005 09/01/2005 09/07/2005 09/07/2005 09/15/2005 09/15/2005 09/19/2005 09/21/2005 09/26/2005 09/30/2005 IA-2310 LR-18927 34-50506 34-50507 10/06/2004 10/06/2004 10/08/2004 10/08/2004 0 Name of Case In the Matter of Barry J. Goodman SEC v. Von Christopher Cummings, et al. In the Matter of Larry Wayne Cherry SEC v. Michael G. Beckford In the Matter of Fanam Capital Management, et al. In the Matter of Fremont Investment Advisors, Inc. In the Matter of John D. Barry, et al. In the Matter of Larry Adams In the Matter of Nancy C. Tengler In the Matter of Neal R. Wadhwa In the Matter of William H. Black SEC v. Bradford C. Bleidt, et al. In the Matter of Gary L. Pilgrim In the Matter of Harold J. Baxter In the Matter of Schield Management Co., et al. In the Matter of Koji Goto In the Matter of Franklin Advisers, Inc., et al. In the Matter of Lawrence S. Powell, et al. SEC v. Susana P. Longo In the Matter of Scott F. McCreadie In the Matter of Michael G. Beckford In the Matter of Keith Mohn In the Matter of Banc of America Capital Management, LLC, et al. In the Matter of Columbia Management Advisors, Inc., et al. In the Matter of Erik Gustafson In the Matter of Joseph Palombo In the Matter of Peter Martin SEC v. James Tambone, et al. In the Matter of Scott B. Kaye SEC v. Northshore Asset Management, et al. In the Matter of Roger A. Householder In the Matter of Colley Asset Management, Inc. et al. In the Matter of K.L. Group, LLC, et al. SEC v. Peter N. Brant SEC v. Richard W. Deboe In the Matter of Bryan James Hawes SEC v. Violet Gail Eldridge In the Matter of Peter N. Brant In the Matter of Putnam Investment Management, LLC Release Number IA-2313 LR-50544 34-50568 LR-18940 IA-2316 IA-2317 IA-2320 IA-2319 IA-2318 34-50644 34-50650 LR-18972 33-8505 33-8506 34-50772 34-50825 34-50841 34-51017 LR-19041 34-51131 IA-2347 34-51141 33-8538 33-8534 IA-2354 IA-2352 IA-2353 LR-19069 IA-2359 LR-19084 34-51241 IA-2363 LR-19399 LR-19113 LR-19113 34-51377 LR-19146 IA-2371 IA-2370 Date Filed 10/13/2004 10/14/2004 10/20/2004 10/22/2004 10/29/2004 11/04/2004 11/04/2004 11/04/2004 11/04/2004 11/05/2004 11/09/2004 11/12/2004 11/17/2004 11/17/2004 12/01/2004 12/09/2004 12/13/2004 01/11/2005 01/20/2005 02/03/2005 02/04/2005 02/07/2005 02/09/2005 02/09/2005 02/09/2005 02/09/2005 02/09/2005 02/09/2005 02/10/2005 02/16/2005 02/23/2005 02/25/2005 03/02/2005 03/03/2005 03/03/2005 03/15/2005 03/17/2005 03/23/2005 03/23/2005  Name of Case SEC v. David M. Faubert, et al. In the Matter of Victor G. Nance SEC v. Pension Fund of America L.C., et al. In the Matter of Michael T. Jackson, et al. In the Matter of William T. Belko SEC v. Jeff Thomas Allen, et al. SEC v. Amit Mathur, et al. SEC v. K.W. Brown & Company, et al. In the Matter of Gerald T. Malone In the Matter of John D. Carifa In the Matter of Michael J. Laughlin SEC v. Vincent Montagna, et al. In the Matter of DB Investment Managers, Inc. In the Matter of Galleon Management, L.P. In the Matter of Oaktree Capital Management, LLC SEC v. Galleon Management, L.P. In the Matter of Smith Barney Fund Management LLC, et al. SEC v. Amerindo Investment Advisors Inc., et al. SEC v. HKW Trading, LLC., et al. In the Matter of Jeff Thomas Allen In the Matter of Burton G. Friedlander, et al. In the Matter of Lawrence A. Clasby, In the Matter of Dennis R. Mathews, Jr. SEC v. Jon E. Hankins, et al. SEC v. Terry’s Tips In the Matter of Philip A. Lehman In the Matter of Corcom Companies, Inc., et al. In the Matter of Gerald Klein & Associates, Inc., et al. In the Matter of Todd M. Eberhard In the Matter of John Madey In the Matter of Edgar M. Larsen In the Matter of Nathan A. Chapman, Jr. In the Matter of J. Robert Dobbins SEC v. Thomas W. Jones, et al. In the Matter of Dean Earl Kirkland SEC v. Barry A. Bingham, et al. In the Matter of T. Gene Gilman In the Matter of Won Sok Lee, et al. Release Number LR-19166 IA-2372 LR-19161 IA-2374 33-8564 LR-19170 LR-19181 LR-19209 IA-2378 IA-2379 34-51624 LR-19211 34-51707 34-51708 34-51709 LR-19228 34-51761 LR-19245 LR-19265 IA-2394 IA-2397 34-51866 34-51894 LR-19283 LR-19291 34-51971 33-8584 33-8585 34-52003 34-52015 IA-2406 34-52184 IA-2414 LR-19330 IA-2416 LR-19345 34-52354 34-52368 Date Filed 03/23/2005 03/25/2005 03/28/2005 04/06/2005 04/06/2005 04/06/2005 04/12/2005 04/27/2005 04/28/2005 04/28/2005 04/28/2005 05/02/2005 05/19/2005 05/19/2005 05/19/2005 05/19/2005 05/31/2005 06/01/2005 06/09/2005 06/13/2005 06/16/2005 06/17/2005 06/21/2005 06/22/2005 06/30/2005 07/05/2005 07/06/2005 07/08/2005 07/08/2005 07/12/2005 07/18/2005 08/01/2005 08/03/2005 08/08/2005 08/12/2005 08/23/2005 08/29/2005 08/31/2005  Name of Case In the Matter of Susana P. Longo In the Matter of U.S. Bank National Association In the Matter of Marvin I. Friedman In the Matter of Oppenheimerfunds, Inc., et al. In the Matter of CMS Fund Advisers, Inc. In the Matter of Joseph W. Lutes In the Matter of Anthony P. Postiglione, Jr. In the Matter of Springer Investment Management, Inc., et al. In the Matter of William J. Lennon In the Matter of State Street Research & Management Company In the Matter of Joseph W. Daniel SEC v. Samuel Israel, III, et al. In the Matter of Applied Financial Group, Inc., et al. In the Matter of International Equity Advisors, LLC et al. Investment Company SEC v. Peter Krieger, et al. SEC v. Joseph A. Ferona, Jr., et al. Issuer Reporting and Disclosure In the Matter of Robert C. Guccione SEC v. Penthouse International, Inc., n/k/a PHSL Worldwide, Inc., et al. SEC v. Safescript Pharmacies Inc., f/k/a RTIN Holdings Inc. et al. SEC v. Stephen P. Gardner, et al. SEC v. Soulfood Concepts, Inc., et al. In the Matter of A. Michiel Meurs, et al. In the Matter of Johannes Gerhardus Andreae In the Matter of Koninklijke Ahold N.V. (Royal Ahold) In the Matter of Ture Roland Fahlin SEC v. John Mervyn Nabors, et al. In the Matter of KPMG LLP, et al. SEC v. Qwest Communications International, Inc. In the Matter of Hawaiian Airlines, Inc. In the Matter of John Joslyn, et al. In the Matter of Norman C. Payson SEC v. Arnold Geller, et al. SEC v. John Joslyn, et al. In the Matter of David Kaplan, CPA In the Matter of David Rivard, CPA SEC v. Neurotech Development Corp., et al. In the Matter of Morgan Stanley Release Number IA-2423 IC-27052 IA-2428 34-52420 IA-2430 IA-2429 IA-2432 IA-2434 IA-2433 IA-2435 LR-19427 LR-19406 IA-2436 33-8621 LR-19187 LR-19167 34-51073 LR-19048 LR-18921 LR-18919 LR-18928 AAER-2124 AAER-2124 AAER-2124 AAER-2124 LR-18935 34-50564 LR-18936 34-50584 LR-18943 34-50589 LR-18943 34-50588 34-50597 34-50598 LR-18952 34-50623 Date Filed 09/01/2005 09/02/2005 09/14/2005 09/14/2005 09/15/2005 09/15/2005 09/21/2005 09/21/2005 09/21/2005 09/23/2005 09/28/2005 09/29/2005 09/30/2005 09/30/2005 04/12/2005 05/31/2005 01/24/2005 01/24/2005 10/05/2004 10/05/2004 10/12/2004 10/13/2004 10/13/2004 10/13/2004 10/13/2004 10/18/2004 10/20/2004 10/21/2004 10/22/2004 10/26/2004 10/26/2004 10/26/2004 10/26/2004 10/27/2004 10/27/2004 10/29/2004 11/04/2004  Name of Case SEC v. Wachovia Corporation In the Matter of Steven Woghin, Esq. In the Matter of Fischer Imaging Corporation In the Matter of Wesley H. Colwell, CPA SEC v. Conrad M. Black, et al. SEC v. John Allen Snoble SEC v. William M. Baker, et al. In the Matter of eFunds Corporation In the Matter of Gary Moe, et al. In the Matter of Jerry K. Lester In the Matter of Robotic Vision Systems, Inc. SEC v. Paul H. Bristow, et al. In the Matter of Charles A. Dairaghi, CPA In the Matter of Kenneth L. Rubin, CPA, et al. SEC v. American International Group, Inc. In the Matter of Thomas L. Taylor SEC v. John Paul Orr, et al. In the Matter of Daniel E. Charboneau SEC v. R. Geoffrey Layne, et al. In the Matter of Bio One Corp. In the Matter of Martin Julien Marks In the Matter of Pennichuck Corporation SEC v. Jack D.Weiss SEC v. Maurice L. Arel In the Matter of The Walt Disney Company In the Matter of Frank D. Edwards, CA In the Matter of Laurence D. Cohen (CPA) In the Matter of Robert J. Cassandro In the Matter of T.V. Azteca, S.A. de C.V., et al. In the Matter of BroadVision, Inc. In the Matter of Monsanto Company SEC v. Monsanto Company SEC v. Nancy R. Gazzigli In the Matter of Ronald J. Hottovy, CPA SEC v. Charles Johnson, Jr., et al. SEC v. Bruce Robinson SEC v. Gordon Redgate SEC v. John Nettle SEC v. Kenneth H. Bowman Release Number LR-18958 34-50653 33-8503 34-50664 LR-18969 LR-18975 LR-18980 34-50706 34-50705 34-50707 34-50704 LR-18981 34-50744 34-50745 LR-18985 34-50783 LR-18989 34-50798 LR-18999 33-8515 IA-2154 34-50869 LR-19002 LR-19001 34-50882 34-50931 34-50932 34-50938 LR-19022 34-50987 34-50978 LR-19023 LR-19025 34-50995 LR-19029 AAER-2167 AAER-2167 AAER-2167 AAER-2167 Date Filed 11/04/2004 11/10/2004 11/15/2004 11/15/2004 11/15/2004 11/17/2004 11/18/2004 11/19/2004 11/19/2004 11/19/2004 11/19/2004 11/19/2004 11/29/2004 11/29/2004 11/30/2004 12/02/2004 12/02/2004 12/06/2004 12/15/2004 12/16/2004 12/16/2004 12/16/2004 12/16/2004 12/16/2004 12/20/2004 12/27/2004 12/27/2004 12/28/2004 01/04/2005 01/06/2005 01/06/2005 01/06/2005 01/06/2005 01/07/2005 01/10/2005 01/13/2005 01/13/2005 01/13/2005 01/13/2005  Name of Case SEC v. Mark A. Bailin SEC v. Michael J. Hannigan SEC v. Michael Rogers SEC v. Peter O. Marion SEC v. Timothy Neal Daly In the Matter of Martin Julien Marks, CPA In the Matter of Daisytek International Corporation In the Matter of Jonathan B. Orlick, Esq. In the Matter of Michael C. Mullen, CPA SEC v. Danny Forest Whitt, et al. In the Matter of Raymond M. Bowen, Jr. SEC v. Elan Corporation, PLC SEC v. Timothy A. Despain In the Matter of Gary F. Pado, CPA In the Matter of FFP Marketing Company, Inc., et al. In the Matter of GE InVision, Inc. SEC v. Craig Scott SEC v. GE InVision, Inc. SEC v. Humatech, Inc., et al. In the Matter of The Titan Corporation SEC v. The Titan Corporation SEC v. Jack Gaglio SEC v. Sandra Miller Christie In the Matter of Eddie Richard Meche In the Matter of Thomas C. Trauger, CPA SEC v. Craig N. Cohen SEC v. Eddie Richard Meche SEC v. Talx Corporation SEC v. William W. Canfield In the Matter of Talx Corporation In the Matter of William W. Canfield In the Matter of Bryan K. Treadway, CPA In the Matter of Jennifer J. Tanner, f/k/a Jennifer J. Black In the Matter of Mark A. Schumacher SEC v. Bryan K. Treadway SEC v. Joseph P. Nacchio, et al. SEC v. Mark A. Schumacher SEC v. Roger B. Hoaglund Release Number AAER-2167 AAER-2167 AAER-2167 AAER-2167 AAER-2167 34-51057 33-8525 34-51081 34-51084 LR-19065 AAER-2179 LR-19066 LR-19067 IA-2184 34-51198 34-51199 LR-19077 LR-19078 LR-19108 34-51283 LR-19107 LR-19111 LR-191100 33-8551 34-51307 LR-19121 LR-19119 LR-19120 LR-19122 34-51320 34-51321 34-51375 34-51374 34-51373 LR-19135 LR-19136 LR-19134 LR-19136 Date Filed 01/13/2005 01/13/2005 01/13/2005 01/13/2005 01/13/2005 01/19/2005 01/24/2005 01/26/2005 01/27/2005 02/04/2005 02/07/2005 02/08/2005 02/08/2005 02/11/2005 02/14/2005 02/14/2005 02/14/2005 02/14/2005 02/28/2005 03/01/2005 03/01/2005 03/02/2005 03/02/2005 03/03/2005 03/03/2005 03/03/2005 03/03/2005 03/03/2005 03/03/2005 03/04/2005 03/04/2005 03/15/2005 03/15/2005 03/15/2005 03/15/2005 03/15/2005 03/15/2005 03/15/2005  Name of Case SEC v. William L. Eveleth In the Matter of James W. Barge, et al. SEC v. Time Warner, Inc. In the Matter of Flowserve Corporation, et al. SEC v. Flowserve Corporation, et al. SEC v. Kenneth W. Hawk, et al. In the Matter of Mark M. Iwan SEC v. Anuradha D. Saad, et al. In the Matter of Vertical Computer Systems, Inc. In the Matter of John D. Clutten SEC v. Drew S. Levin, et al. In the Matter of Easylink Services Corporation, et al. In the Matter of Stephen C. Jones, CPA SEC v. Dollar General Corporation, et al. In the Matter of Global Crossing Ltd., et al. In the Matter of Gregory Davis, CPA, et al. SEC v. Thomas J. Casey, et al. In the Matter of The Coca-Cola Company In the Matter of KPMG LLP SEC v. Exotics.Com, Inc., et al. In the Matter of Deloitte & Touche LLP In the Matter of Deloitte & Touche, LLP, et al. SEC v. Deloitte & Touche LLP In the Matter of Dawn Diaz, CPA In the Matter of Tyson Foods, Inc., et al. SEC v. Stuart H. Wolff, et al. SEC v. Tyson Foods, Inc., et al. SEC v. Chesapeake Corporation, et al. In the Matter of Mark Wiertzema In the Matter of Kevin Rogers SEC v. Dennis O’Connor In the Matter of Diagnostic Products Corporation In the Matter of Huntington Bancshares, Inc., et al. SEC v. Huntington Bancshares, Inc., et al. SEC v. John Houldsworth, et al. In the Matter of Louis E. Rivelli, et al. In the Matter of Robert M. Blau Release Number LR-19136 34-51400 LR-19147 34-51427 LR-19154 LR-19156 34-51442 LR-19159 34-51470 34-51488 LR-19172 34-51506 34-51501 LR-19174 34-51517 34-51516 LR-19179 34-51565 34-51574 LR-19207 34-51606 34-51607 LR-19202 34-51629 34-51625 LR-19218 LR-19208 LR-19215 34-51678 34-51719 LR-19230 34-51724 33-8579 LR-19243 LR-19248 LR-19255 33-8581 Date Filed 03/15/2005 03/21/2005 03/21/2005 03/24/2005 03/24/2005 03/24/2005 03/29/2005 03/29/2005 04/01/2005 04/06/2005 04/06/2005 04/07/2005 04/07/2005 04/07/2005 04/11/2005 04/11/2005 04/11/2005 04/18/2005 04/19/2005 04/25/2005 04/26/2005 04/26/2005 04/26/2005 04/28/2005 04/28/2005 04/28/2005 04/28/2005 05/03/2005 05/10/2005 05/19/2005 05/19/2005 05/20/2005 06/02/2005 06/02/2005 06/06/2005 06/07/2005 06/09/2005  Name of Case SEC v. Take Two Interactive Software, Inc., et al. In the Matter of Joe D. Thomas In the Matter of James H. David, Jr. CPA In the Matter of David S. Klarman, Esq. In the Matter of KPMG LLP, et al. SEC v. David M. Hurley In the Matter of Duke Energy Corporation In the Matter of Foamex International, Inc. SEC v. Mark Cocchiola, et al. SEC v. Bernard J. Ebbers In the Matter of Comerica, Inc. SEC v. Glenn E. Glasshagel SEC v. Gregory A. Brady, et al. In the Matter of Michael J. Cheshire SEC v. Bernard J. Demko SEC v. Gary K. Bennett In the Matter of Microtune, Inc., et al. In the Matter of Robert Korkuc, CPA In the Matter of Jeffrey W. Davis In the Matter of John V. Back, Jr., CPA In the Matter of Margaret M. Eardley SEC v. John R. Behrmann, et al. SEC v. Frederick S. Schiff, et al. SEC v. Charles C. Conaway, et al. SEC v. Leonard M. Snyder, et al. SEC v. David P. Levine, et al. In the Matter of Barry S. Berlin In the Matter of David P. Levine In the Matter of Douglas J. Ely In the Matter of Michael W. Spake In the Matter of John R. Behrmann, CPA In the Matter of Premier Financial Bancorp. In the Matter of William D. Wiseman, CPA SEC v. Yaw Osei Amoako In the Matter of Steven J. Allan SEC v. William J. Covington In the Matter of NCO Group, Inc. In the Matter of Vincent Steckler Release Number LR-19260 34-51883 34-51895 IA-2267 34-51946 LR-19290 34-51995 34-52006 LR-19300 LR-19301 34-52041 LR-19309 LR-19306 34-52126 LR-19310 LR-19310 33-8596 34-52185 LR-19427 34-52258 34-52257 LR-19336 LR-19343 LR-19344 LR-19349 LR-19353 34-52358 34-52357 34-52359 34-52356 34-52369 34-52370 34-52365 LR-19356 34-52395 LR-19370 34-52409 34-52411 Date Filed 06/09/2005 06/20/2005 06/21/2005 06/27/2005 06/30/2005 06/30/2005 07/08/2005 07/11/2005 07/11/2005 07/13/2005 07/15/2005 07/15/2005 07/15/2005 07/26/2005 07/26/2005 07/26/2005 07/28/2005 08/01/2005 08/02/2005 08/15/2005 08/15/2005 08/15/2005 08/22/2005 08/23/2005 08/25/2005 08/29/2005 08/30/2005 08/30/2005 08/30/2005 08/30/2005 08/31/2005 08/31/2005 08/31/2005 09/01/2005 09/08/2005 09/09/2005 09/13/2005 09/13/2005  Name of Case SEC v. Martin E. Kenney, Jr. In the Matter of Herbert A. Getz, Esq. SEC v. Mark David Shapiro, et al. In the Matter of David J. Cammarata SEC v. Armand Dauplaise, et al. SEC v. Keith G. Baxter, et al. SEC v. C. Paul Sandifur, Jr., et al. SEC v. LeeRoy Allen, Jr. SEC v. Michael J. Lawler In the Matter of Gregory M. Dearlove, CPA In the Matter of Ronald Lee Hoyt, CPA In the Matter of William E. Caswell, CPA Market Manipulation In the Matter of Michael W. Smith SEC v. Platforms Wireless International Corp., et al. SEC v. Treyton L. Thomas, et al. SEC v. OSF, Inc., et al. SEC v. Paul L. Simmons, et al. SEC v. David J. Leslie In the Matter of Ulysses “Thomas” Ware SEC v. Martin Fox SEC v. Cary K. Kahn SEC v. Thom Calandra SEC v. Thomas E. Edgar In the Matter of John M. Dutton SEC v. Queench, Inc., et al. SEC v. Courtney D. Smith In the Matter of James T. Patten SEC v. Concorde America, Inc., et al. In the Matter of L. Van Stillman SEC v. Custom Designed Compressor Systems, Inc., et al. SEC v. Ronald J. Bauer In the Matter of David Hutter, a/k/a David Green In the Matter of Saverio (Sammy) Galasso, III In the Matter of Charles Cini, et al. In the Matter of Yolanda Velazquez SEC v. Harvey L. Carmichael, et al. SEC v. Tamarak, Inc., et al. SEC v. SeaLife Corporation, et al. Release Number LR-19373 34-52452 LR-19380 34-52481 LR-19387 LR-19391 LR-19394 LR-19405 LR-19401 34-52537 34-52539 34-52538 34-50566 LR-18939 LR-18957 LR-18964 LR-18968 LR-19000 34-50873 LR-19014 LR-19139 LR-19028 LR-19033 33-8524 LR-19040 LR-19064 34-51161 LR-19085 34-51218 LR-19101 LR-19153 34-51311 34-51314 34-51376 34-51396 LR-19148 LR-19164 LR-19171 Date Filed 09/13/2005 09/15/2005 09/15/2005 09/21/2005 09/22/2005 09/23/2005 09/26/2005 09/29/2005 09/29/2005 09/30/2005 09/30/2005 09/30/2005 10/20/2004 10/21/2004 11/01/2004 11/09/2004 11/15/2004 12/15/2004 12/16/2004 12/23/2004 12/30/2004 01/10/2005 01/12/2005 01/19/2005 01/20/2005 02/07/2005 02/08/2005 02/14/2005 02/17/2005 02/25/2005 03/02/2005 03/03/2005 03/03/2005 03/15/2005 03/18/2005 03/18/2005 03/31/2005 04/05/2005  Name of Case In the Matter of Bio-Heal Laboratories, Inc. SEC v. David E. Whittemore, et al. SEC v. Michael O’Grady, et al. SEC v. Aimsi Technologies, Inc., et al. SEC v. George A. Todt, et al. SEC v. Mark W. Blodgett, et al. In the Matter of David Rich, et al. In the Matter of Thomas Steinbach, et al. SEC v. Richard G. Spradling In the Matter of Warren Soloski SEC v. Joshua Yafa, et al. SEC v. U.S. Wind Farming, Inc., et al. In the Matter of Charlie Dilluvio In the Matter of Michael J. Burns SEC v. Christine Favara SEC v. Richard B. Selden SEC v. Megamania Interactive, Inc., et al. In the Matter of Apollo Publication Corporation SEC v. Biopure Corp., et al. In the Matter of John B. Zankowski Miscellaneous In the Matter of Utah Educational Savings Plan Trust SEC v. Dale C. Hatch Municipal Offering In the Matter of James E. Iverson In the Matter of Victor P. Dhooge In the Matter of Mount Sinai Medical Center of Florida, Inc., et al. SEC v. Bruce M. Perry, et al. Securities Offering SEC v. Learn Waterhouse, Inc., et al. In the Matter of Michael Rosoff In the Matter of Adam Michael Oliver SEC v. America’s Hedge Fund, L.P., et al. SEC v. Barrington Schneer SEC v. Ohana International, Inc., et al. SEC v. Crescent Financial Group Inc., et al. SEC v. Emvest Mortgage Fund, LLC, et al. In the Matter of Frederick J. Gilliland In the Matter of Ari Dinov, et al. LR-18932 34-50556 34-50565 LR-18951 LR-18955 LR-18961 LR-18967 LR-18978 34-50720 34-50782 10/12/2004 10/18/2004 10/20/2004 10/28/2004 10/29/2004 11/03/2004 11/15/2004 11/16/2004 11/23/2004 12/02/2004 34-51509 34-51508 33-8580 LR-19256 04/08/2005 04/08/2005 06/07/2005 06/08/2005 33-8601 LR-19324 08/04/2005 08/04/2005 Release Number LR-19203 LR-19213 LR-19213 LR-19238 LR-19234 LR-19236 34-51774 34-51773 LR-19263 34-51930 LR-19305 LR-19311 34-52153 34-52152 LR-19318 LR-19357 LR-19369 33-8610 LR-19376 34-52487 Date Filed 04/25/2005 05/03/2005 05/03/2005 05/16/2005 05/18/2005 05/24/2005 06/02/2005 06/02/2005 06/09/2005 06/28/2005 07/18/2005 07/25/2005 07/28/2005 07/28/2005 07/28/2005 09/01/2005 09/07/2005 09/12/2005 09/14/2005 09/21/2005  Name of Case SEC v. Jack A. Brown, et al. SEC v. Paul V. Degenhart, et al. In the Matter of Scott Hamilton SEC v. Brad A. Weaver, et al. In the Matter of Mark D. Montana In the Matter of Richard M. Wooten, CPA In the Matter of Thomas T. Prousalis, Jr. In the Matter of Google, Inc., et al. SEC v. Herman’s World of Sports, Inc., et al. SEC v. Morgan Cooper, et al. In the Matter of William Whelan In the Matter of Harold Miller In the Matter of TEK Corporation SEC v. Hubert A. Jeffreys, et al. SEC v. Kevin James Quinn SEC v. Premium Income Corp., et al. SEC v. ATM Alliance Corp., et al. SEC v. Bodyscan Corporation, et al. In the Matter of Joseph Catapano, et al. In the Matter of Richard H. Dorfman In the Matter of Denis Timothy O’Brien In the Matter of Jess L. Mercer SEC v. Larry Michael Parrish, et al. SEC v. Tri Energy, Inc., et al. SEC v. David Tanner, d/b/a Capital Enhancement Club, et al. SEC v. Scott B. Hollenbeck, et al. SEC v. Gary L. Harden, Sr., et al. SEC v. Focus Financial Associates, Inc., et al. In the Matter of Ford Motor Credit Company SEC v. Viktor Novosselov, et al. In the Matter of Simon A. Hershon In the Matter of Daniel W. Heath SEC v. Patrick A. Grotto, et al. SEC v. Robert R. Ross, et al. SEC v. Megafund Corporation, et al. In the Matter of ING Groep N.V., et al. SEC v. Alanar, Inc., et al. SEC v. Jeffrey L. Gibson, et al. In the Matter of F. Thomas Eck, III Release Number LR-19005 LR-19008 34-50884 LR-19015 34-50963 34-50966 34-50986 33-8523 LR-19052 LR-19057 34-51132 34-51151 LR-19083 LR-19098 LR-19103 LR-19115 LR-19145 LR-19141 34-51409 33-8562 34-51473 34-51475 LR-19185 LR-19214 LR-19219 LR-19226 LR-19231 LR-19258 33-8582 LR-19266 33-8583 34-51922 LR-19284 LR-19288 LR-19292 33-8594 LR-19314 LR-19331 34-52247 Date Filed 12/08/2004 12/14/2004 12/20/2004 12/23/2004 01/05/2005 01/05/2005 01/06/2005 01/13/2005 01/26/2005 01/31/2005 02/03/2005 02/08/2005 02/09/2005 02/24/2005 02/25/2005 03/02/2005 03/17/2005 03/17/2005 03/22/2005 03/31/2005 04/04/2005 04/05/2005 04/14/2005 05/02/2005 05/04/2005 05/13/2005 05/19/2005 06/08/2005 06/14/2005 06/14/2005 06/20/2005 06/24/2005 06/24/2005 06/28/2005 07/01/2005 07/26/2005 07/26/2005 08/05/2005 08/12/2005 0 Name of Case In the Matter of F. Thomas Eck, III SEC v. Rainmaker Managed Living, LLC, et al. In the Matter of Axess Media Group, Ltd., et al. SEC v. Par Three Financial, Inc., et al. In the Matter of Alanar, Inc., et al. In the Matter of GLM Technologies, LLC, et al. SEC v. NJ Affordable Homes Corp., et al. In the Matter of Christiano K. Hashimoto, Jr. In the Matter of Scott L. Kelly SEC v. Harvey P. Tabb SEC v. Gary L. Valinoti Self-Regulatory Organization In the Matter of The Nasdaq Stock Market, Inc., et al. In the Matter of New York Stock Exchange , Inc. In the Matter of National Stock Exchange, et al. SEC v. David Colker Transfer Agent In the Matter of Michael John Hanchar SEC v. CIBC Mellon Trust Co. In the Matter of CIBC Mellon Trust Co. SEC v. Shannon Baldino In the Matter of Phlo Corporation, et al. 34-50675 LR-19081 34-51297 LR-19143 34-51592 11/16/2004 02/16/2005 03/02/2005 03/17/2005 04/21/2005 34-51163 34-51524 34-51714 LR-19229 02/09/2005 04/12/2005 05/19/2005 05/19/2005 Release Number 34-52246 LR-19347 33-8606 LR-19348 34-52353 33-8609 LR-19372 34-52457 34-52461 LR-19392 LR-19407 Date Filed 08/12/2005 08/22/2005 08/24/2005 08/25/2005 08/29/2005 09/12/2005 09/12/2005 09/16/2005 09/16/2005 09/20/2005 09/29/2005  Table 4 INVESTIGATIONS OF POSSIBLE VIOLATIONS OF THE ACTS ADMINISTERED BY THE COMMISSION Pending as of October 1, 2004 ................................................................................... 3,770 Opened in Fiscal Year 2005 ............................................................................... 947 Total .............................................................................................................................. 4,717 Closed in Fiscal Year 2005 ................................................................................ 625 Pending as of September 30, 2005 ............................................................................. 4,092 Formal Orders of Investigation Issued in Fiscal Year 2005 ................................................................................. 272 ***** Right to Financial Privacy Section 21(h) of the Securities Exchange Act of 1934 [15 U.S.C. 78u(h)(6)] requires that the Commission “compile an annual tabulation of the occasions on which the Commission used each separate subparagraph or clause of [Section 21(h)(2)] or the provisions of the Right to Financial Privacy Act of 1978 [12 U.S.C. 3401-22 (the RFPA)] to obtain access to financial records of a customer and include it in its annual report to the Congress.” During the fiscal year, the Commission issued 4 subpoenas based upon Section 21(h)(2)(C)(ii). Set forth below are the number of occasions on which the Commission obtained customer records pursuant to the provisions of the RFPA: Section 1104 (Customer Authorizations) Section 1105 (Administrative Subpoenas) Section 1107 (Judicial Subpoenas) Section 1109 (Delayed Customer Notice) 34 164 22 0  SECSEC Total Investor Contacts by Fiscal Year Total Investor Contacts by Fiscal Year 90,000 80,000 70,000 60,000 50,000 40,000 30,000 20,000 10,000 2001 2002 Other Contacts 70,187 82,337 70,574 73,481 Table 5 76,221 2003 2004 Totals 2005 Complaints & Questions  Table 6 TEN MOST COMMON COMPLAINTS Complaint Type 1 2 3 4 Advance Fee Fraud* Spam: Unwanted Emails or Faxes Transfer of Account Problems Account Closing: Problems with Redemption, Liquidation, or Closing Manipulation of Securities, Prices, or Markets Bankruptcy or Issuer Reorganization Theft of Funds or Securities Unauthorized Transactions Account Records: Errors or Omissions Delivery of Funds or Proceeds FY 2005 Totals 2,219 1,146 844 FY 2004 Totals 1,263 623 789 Change Up 75.30% Up 83.79% Up 6.59% Rank in 2004 2 10 4 841 741 728 697 653 645 629 710 1,738 715 661 803 577 502 Up 18.03% Down 57.42% Up 1.68% Up 5.14% Down 18.68% Up 11.61% Up 24.90% 7 1 6 9 3 n/a n/a 5 6 7 8 9 10 Thirty-one percent of all complaints involved broker-dealers. *In an “advance fee” scheme, the fraudsters offer to help the investors recover their losses by exchanging the worthless stock for an established, blue chip stock or by purchasing the stock outright. But investors must first pay an upfront “security deposit” or post an “insurance” or “performance bond.” Type of Entity 1 2 3 4 5 Broker-Dealer Issuers (Public Companies)s Transfer agents, Paying agents, or Registrars Mutual funds (and Other Investment Companies) Newsletters and Investment Publications FY 2005 Totals 6,239 4,027 934 652 625 Percentage of Total 31% 20% 5% 3% 3%  Table 7 UNCONSOLIDATED FINANCIAL INFORMATION FOR BROKER-DEALERS 2000 - 2004 1/ ($ in Millions) Revenues Securities Commissions Gains (Losses) in Trading and Investment Accounts Profits (Losses) from Underwriting and Selling Groups Margin Interest Revenues from Sale of Investment Company Shares All Other Revenues Total Revenues Expenses Registered Representatives’ Compensation (Part II Only) 2/ Other Employee Compensation and Benefits Compensation to Partners and Voting Stockholder Officers Commissions and Clearance Paid to Other Brokers Interest Expenses Regulatory Fees and Expenses All Other Expenses 2/ Total Expenses Income and Profitability Pre-tax Income Pre-tax Profit Margin Pre-tax Return on Equity Assets, Liabilities and Capital Total Assets Liabilities (a) Unsubordinated Liabilities (b) Subordinated Liabilities (c) Total Liabilities Ownership Equity Number of Firms 2000 $ 54,106.7 70,777.7 18,717.6 24,546.9 19,394.9 161,949.4 $ 349,493.3 2001 $ 44,763.8 38,950.3 16,941.1 13,911.5 16,396.4 149,132.8 $ 280,095.8 2002 $ 45,001.1 24,240.9 14,698.2 6,439.9 15,654.9 115,775.9 $ 221,811.0 2003 $ 45,539.2 38,808.1 17,163.1 5,261.0 16,200.2 95,984.5 $ 218,956.0 2004 $ 47,569.0 $ 30,669.9 19,099.0 6,983.7 18,549.9 120,058.2 $ 242,929.6 $ 33,191.0 55,307.3 6,707.8 15,522.7 131,877.2 1,366.7 66,417.3 $ 310,390.0 $ 39,103.3 11.2% 31.1% $ 29,950.8 48,311.6 5,247.4 $ 27,388.6 43,508.7 3,973.9 15,003.9 56,401.6 1,383.0 58,889.2 $ 206,549.0 $ 28,578.2 44,800.5 4,058.2 $ 29,973.4 50,018.6 3,488.2 14,043.4 98,947.2 1,550.9 62,647.7 $ 260,698.9 $ 19,396.9 6.9% 13.8% 16,293.2 44,445.9 1,515.0 53,611.5 $ 193,300.6 17,374.6 59,726.0 1,670.2 57,489.7 $ 219,740.7 $ 23,188.9 9.5% 15.0% $ 15,262.0 $ 25,655.4 6.9% 11.7% 10.7% 17.6% $3,261,465.3 3,050,039.2 69,434.0 3,119,473.0 $ 141,992.5 6,768 $3,980,376.8 3,754,978.7 75,929.5 $3,830,908.2 $ 149,468.6 6,565 $2,865,721.0 2,663,758.3 64,362.3 2,728,120.6 $ 137,600.4 7,258 $3,371,298.1 3,158,257.2 68,693.6 3,226,950.8 $ 144,347.2 7,002 $4,830,925.7 4,584,567.8 86,665.6 $4,671,233.4 $ 159,692.3 6,284 Figures may not add due to rounding. 1/ Calendar, rather than fiscal, year data is reported in this table. 2/ Registered representatives’ compensation for firms that neither carry nor clear is included in “other expenses” as this expense item is not reported separately on Part IIA of the FOCUS Report. Source: FOCUS Report  Table 8 UNCONSOLIDATED ANNUAL REVENUES AND EXPENSES FOR BROKER-DEALERS DOING A PUBLIC BUSINESS 2000 - 2004 1/ ($ in Millions) 2000 Revenues Securities Commissions Gains (Losses) in Trading and Investment Accounts Profits (Losses) from Underwriting and Selling Groups Margin Interest Revenues from Sale of Investment Company Shares All Other Revenues Total Revenues Expenses Registered Representatives’ Compensation (Part II only) 2/ Other Employee Compensation and Benefits Compensation to Partners and Voting Stockholder Officers Commissions and Clearance Paid to Other Brokers Interest Expenses Regulatory Fees and Expenses All Other Expenses 2/ Total Expenses Income and Profitability Pre-tax Income Pre-tax Profit Margin Pre-tax Return on Equity Number of Firms $ 53,160.6 60,720.3 18,718.0 24,274.0 19,394.9 154,836.1 $331,103.9 2001 $ 43,798.5 33,566.5 16,941.2 13,749.1 16,396.4 144,758.2 $269,210.0 2002 $ 44,212.2 20,090.4 14,697.5 6,383.1 15,654.9 111,994.6 $213,032.7 2003 $ 44,868.3 33,747.9 17,163.1 5,252.9 16,200.1 95,559.2 $212,791.5 2004 $ 46,811.5 26,045.4 19,099.0 6,924.4 18,549.9 117,602.0 $235,032.3 $ 33,162.0 53,356.7 5,450.3 14,719.0 127,211.5 1,204.6 64,429.5 $299,533.6 $ 31,570.3 9.5% 27.5% 5,568 $ 29,948.6 46,967.1 4,976.9 13,422.4 96,120.5 1,343.7 60,747.1 $253,526.4 $ 15,683.6 5.8% 12.3% 5,493 $ 27,380.5 42,398.2 3,759.8 14,414.5 55,180.0 1,208.5 56,984.7 $201,326.3 $ 11,706.4 5.5% 9.2% 5,394 $ 28,567.6 43,885.8 3,855.3 15,803.2 43,315.8 1,280.5 51,722.7 $188,430.8 $ 24,360.7 11.4% 18.8% 5,301 $ 29,959.0 49,178.7 3,319.3 16,909.9 57,913.6 1,464.3 55,466.3 $214,211.0 $ 20,821.3 8.9% 14.9% 5,231 Figures may not add due to rounding. 1/ Calendar, rather than fiscal, year data is reported in this table. 2/ Registered representatives’ compensation for firms that neither carry nor clear is included in “other expenses” as this expense item is not reported separately on Part IIA of the FOCUS Report. Source: FOCUS Report  Table 9 UNCONSOLIDATED BALANCE SHEET FOR BROKER-DEALERS DOING A PUBLIC BUSINESS YEAR-END, 2000 - 2004 1/ ($ in Millions) Assets Cash Receivables from Other Broker-dealers Receivables from Customers Receivables from Non-customers Long Positions in Securities and Commodities Securities and Investments not Readily Marketable Securities Purchased Under Agreements to Resell (Part II only) 2/ Exchange Membership Other Assets 2/ Total Assets Liabilities and Equity Capital Bank Loans Payable Payables to Other Broker-dealers Payables to Non-customers Payables to Customers Short Positions in Securities and Commodities Securities Sold Under Repurchase Agreements (Part II only) 2/ Other Non-subordinated Liabilities 2/ Subordinated Liabilities Total Liabilities Equity Capital Number of firms Figures may not add due to rounding. 2000 $ 33,472.4 974,675.6 203,704.3 31,411.0 614,927.6 9,845.9 724,666.3 588.6 120,788.9 $2,714,080.5 $ 2001 50,722.9 $ 1,115,382.5 177,944.3 15,392.7 775,941.9 10,486.6 855,539.3 664.6 212,798.3 2002 47,710.9 1,032,041.5 132,739.7 14,237.2 789,608.2 9,729.6 951,803.1 684.5 135,646.5 $ 2003 50,219.2 2004 $ 64,996.5 1,792,465.9 214,374.0 44,085.5 1,071,660.1 13,489.6 1,189,010.4 666.5 213,735.9 1,414,127.2 163,107.2 18,124.0 1,004,562.4 11,516.8 966,629.5 675.2 154,872.6 $3,214,873.2 $3,114,201.2 $3,783,834.1 $4,604,484.3 $ 80,745.4 473,215.1 50,748.0 359,818.6 286,545.8 $ 75,897.2 $ 51,369.7 562,210.8 466,809.3 56,710.4 60,817.5 391,358.5 349,781.6 342,189.9 345,113.0 $ 74,199.5 $ 90,173.4 742,116.9 1,033,641.6 66,146.9 63,782.6 407,244.9 510,339.9 439,384.4 504,689.8 1,092,436.3 182,476.9 63,436.1 $2,589,422.2 $ 124,658.3 5,568 1,282,754.8 1,405,679.3 306,860.4 242,125.0 67,304.5 67,966.9 $3,085,286.3 $2,989,662.2 $ 129,586.9 $ 124,539.0 5,493 5,394 1,564,762.4 1,801,674.5 280,547.5 370,991.2 74,285.9 84,628.1 $3,648,688.4 $4,459,921.2 $ 135,145.7 5,301 $ 144,563.1 5,231 1/ Calendar, rather than fiscal, year data is reported in this table. 2/ Resale agreements and repurchase agreements for firms that neither carry nor clear are included in “other assets” and “other non-subordinated liabilities,” respectively, as these items are not reported separately on Part IIA of the FOCUS Report. Source: FOCUS Report  Table 10 UNCONSOLIDATED REVENUES AND EXPENSES FOR CARRYING/CLEARING BROKER-DEALERS 1/ ($ in Millions) 2003 Dollars Percent of Total Revenues 18.0% 17.5 9.6 3.1 5.0 8.0 0.1 32.4 -1.0 7.2 100.0% Dollars 2004 Percent of Total Revenues 17.0% 11.8 9.4 3.7 5.0 8.5 0.1 35.7 0.8 7.9 100.0% Percent Change 2003-2004 5.2% -24.8 9.5 31.8 12.2 19.3 22.8 23.1 -195.5 21.9 11.6% Revenues Securities Commissions Gains (Losses) in Trading and Investment Accounts Profits (Losses) from underwriting and Selling Groups Margin Interest Revenues from Sale of Investment Company Shares Miscellaneous fees Revenues from Research Other Securities Related Revenues Commodities Revenues All Other Revenues Total Revenues Expenses Registered Representatives’ Compensation Other Employee Compensation and benefits Compensation to Partners and voting Stockholder Officers Commissions and Clearance Paid to Other brokers Communications Occupancy and Equipment Costs Data Processing Costs Interest Expenses Regulatory fees and Expenses Losses in Error Accounts and bad Debts All Other Expenses Total Expenses Income and Profitability Pre-tax Income Pre-tax Profit Margin Pre-tax Return on Equity Number of firms $ 30,190.3 29,299.3 16,062.4 5,252.9 8,340.7 13,370.6 172.0 54,284.6 -1,617.6 12,137.3 $167,492.3 $ 31,752.0 22,039.1 17,592.8 6,924.4 9,360.2 15,952.5 211.2 66,816.7 1,545.4 14,790.0 $186,984.4 $ 28,567.6 32,192.1 1,785.1 6,429.9 4,376.2 6,796.2 3,056.1 42,685.7 1,041.9 358.8 19,837.7 $147,127.2 17.1% 19.2 1.1 3.8 2.6 4.1 1.8 25.5 0.6 0.2 11.8 87.8% $ 29,959.0 36,272.1 1,063.6 6,580.1 4,624.3 6,342.2 3,227.0 57,499.9 1,266.0 330.9 22,742.4 $169,867.6 16.0% 19.4 0.6 3.5 2.5 3.4 1.7 30.8 0.7 0.2 12.2 90.8% 4.9% 12.7 -40.4 2.3 5.7 -6.7 5.6 34.7 17.7 -7.8 14.6 15.5 % $ 20,365.0 12.2% 19.3% 585 12.2% $ 17,116.8 9.2% 15.1% 576 9.2% -15.9% figures may not add due to rounding. 1/ Calendar, rather than fiscal, year data is reported in this table. Note: Includes information for firms doing a public business that carry customer accounts or clear securities transactions. Source: fOCuS Report  Table 11 UNCONSOLIDATED BALANCE SHEET FOR CARRYING/CLEARING BROKER-DEALERS 1/ ($ in Millions) 2003 Dollars $ 46,355.9 1,399,285.0 55,291.7 1,290,205.9 53,787.4 163,107.2 17,239.0 973,224.4 48,951.4 534,095.4 24,107.6 201,076.6 98,391.3 15,580.6 33,990.2 17,030.9 0.3 10,736.4 966,629.5 614.4 127,052.3 $3,704,243.9 Assets Cash Receivables from Other broker-dealers (a) Securities failed to Deliver (b) Securities borrowed (c) Other Receivables from Customers Receivables from Non-customers Long Positions in Securities and Commodities (a) bankers Acceptances, Certificates of Deposit and Commercial Paper (b) u.S. and Canadian Government Obligations (c) State and Municipal Government Obligations (d) Corporate Obligations (e) Stocks and warrants (f) Options (g) Arbitrage (h) Other Securities (i) Spot Commodities Securities and Investments Not Readily Marketable Securities Purchased under Agreements to Resell Exchange Membership Other Assets Total Assets Liabilities and Equity Capital bank Loans Payable Payables to Other broker-dealers (a) Securities failed to Receive (b) Securities Loaned (c) Other Payables to Non-customers Payables to Customers Short Positions in Securities and Commodities Securities Sold under Repurchase Agreements Other Non-subordinated Liabilities Subordinated Liabilities Total Liabilities Equity Capital Number of firms Percent of Total Assets 1.3% 37.8% 1.5% 34.8% 1.5% 4.4% 0.5% 26.3% 1.3% 14.4% 0.7% 5.4% 2.7% 0.4% 0.9% 0.5% 0.0% 0.3% 26.1% 0.0% 3.4% 100.0% $ 2004 Dollars 60,640.1 1,773,899.5 87,703.7 1,614,340.0 71,855.8 214,374.0 43,141.2 1,030,816.7 45,959.8 538,843.5 31,534.7 219,906.9 125,122.3 14,903.6 35,159.7 19,385.8 0.4 12,831.2 1,189,010.4 624.3 178,797.2 $4,504,134.6 Percent of Total Assets 1.3% 39.4 1.9 35.8 1.6 4.8 1.0 22.9 1.0 12.0 0.7 4.9 2.8 0.3 0.8 0.4 0.0 0.3 26.4 0.0 4.0 100.0% Percent Change 2003-2004 30.8% 26.8 58.6 25.1 33.6 31.4 150.3 5.9 -6.1 0.9 30.8 9.4 27.2 -4.3 3.4 13.8 33.3 19.5 23.0 1.6 40.7 21.6% $ 73,997.4 731,863.0 56,383.3 616,626.0 58,853.7 65,457.3 407,244.9 420,190.9 1,564,762.4 257,713.2 72,323.8 $3,593,552.8 $ 110,691.1 585 2.0% 19.8% 1.5% 16.6% 1.6% 1.8% 11.0% 11.3% 42.2% 7.0% 2.0% 97.0% 3.0% $ 86,991.5 1,014,395.6 104,912.0 850,694.6 58,789.0 63,043.9 510,339.9 487,203.7 1,801,674.5 342,482.5 81,711.8 $4,387,843.4 $ 116,291.2 576 1.9% 22.5 2.3 18.9 1.3 1.4 11.3 10.8 40.0 7.6 1.8 97.4% 2.6% 17.6% 38.6 86.1 38.0 -0.1 -3.7 25.3 15.9 15.1 32.9 13.0 22.1% 5.1% figures may not add due to rounding. 1/ Calendar, rather than fiscal, year data is reported in this table. Note: Includes information for firms doing a public business that carry customer accounts or clear securities transactions.  Table 12 TRANSACTION ACTIVITY IN EQUITIES, OPTIONS, AND SECURITY FUTURES MARKET VALUE OF SALES (Millions) Year 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 Total $2,472,504 $2,229,226 $2,666,702 $3,148,024 $4,261,937 $4,591,283 $6,321,475 $8,266,339 $11,692,830 $15,164,183 $23,218,783 $36,275,278 $26,138,050 $23,028,157 $22,736,795 $27,808,141 $34,561,572 Equity Trading $2,348,189 $2,153,676 $2,590,422 $3,077,507 $4,179,743 $4,501,577 $6,207,746 $8,123,748 $11,487,872 $14,903,153 $22,813,331 $35,557,087 $25,636,203 $22,657,944 $22,290,859 $27,090,516 $33,219,676 Option Trading $40,423 $27,219 $27,104 $26,586 $33,779 $35,883 $50,803 $67,862 $104,535 $140,261 $260,294 $485,106 $277,549 $161,278 $164,085 $222,958 $350,365 Option Exercises and Futures Deliveries $83,891 $48,331 $49,177 $43,931 $48,415 $53,823 $62,926 $74,729 $100,422 $120,769 $145,159 $233,085 $224,298 $208,935 $281,851 $494,666 $991,531 307,169 2,501,247 2,175,093 5,493,850 Security Futures Trading1/ Calendar Year 2005 AMEX BSE CBOE CHX CMX ISE NASD NSX NYSE OneChicago PCX PHLX $724,658 $229,016 $313,699 $397,217 $14 $357,426 $10,430,821 $3,488,667 $14,381,510 $11,590 $3,995,174 $231,782 $558,353 $160,104 $12,916 $397,217 $0 $0 $10,430,821 $3,488,667 $14,381,510 $0 $3,741,941 $48,147 $42,112 $17,895 $78,065 $0 $0 $91,698 $0 $0 $0 $0 $71,269 $49,325 $124,192 $51,017 $222,717 $0 $14 $265,728 $0 $0 $0 $11,590 $181,964 $134,309 0 0 0 0 8,391 0 0 0 0 5,485,459 0 0 Data are the value of all sales of equities and options listed on an exchange or subject to last-sale reporting. Also reported are the value of such options that were exercised, the value of single-stock futures that were delivered, and the number of round turn contracts in single-stock futures traded on an exchange. Specifically excluded are options and futures on indexes. 1/This is the number of round turn contracts, or one purchase and one sale of a contract for future delivery. Security futures began trading in November 2002. Sources: Form R31 for October 2003 and later months. For September 2003 and earlier months, submissions to the SEC by national securities exchanges, the NASD, and the OCC, and various issues of the Nasdaq Factbook. 0 Table 13 SECURITIES LISTED ON EXCHANGES 1/ December 31, 2004 EXCHANGE Registered: American boston Cincinnati Chicago New York Pacific Philadelphia Total Includes foreign Stocks: New York American boston Chicago Pacific Philadelphia Total 469 75 5 0 0 0 549 853,061.7 80,743.0 125.5 0.0 0.0 0.0 933,930.2 20 0 0 0 0 0 20 5,259.6 0.0 0.0 0.0 0.0 0.0 5,259.6 185 0 0 0 0 0 185 0.0 0.0 0.0 0.0 0.0 0.0 0.0 674 75 5 0 0 0 754 858,321.3 80,743.0 125.5 0.0 0.0 0.0 939,189.8 COMMON Market value Number (in Millions) 725 189,161.4 40 890.6 0 0.0 3 136.3 2,159 12,821,035.2 3 987.7 0 0.0 2,930 13,012,211.2 PREfERRED Market value Number (in Millions) 56 1,821.1 0 0.0 0 0.0 0 0.0 358 49,012.3 2 44.9 3 10 419 50,888.3 Number 20 0 0 0 874 0 0 894 bONDS value 2/ (in Millions) 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 TOTAL SECuRITIES value Number (in Millions) 801 190,982.5 40 890.6 0 0.0 3 136.3 3,391 12,870,047.5 5 1,032.6 3 10.0 4,243 13,063,099.5 figures may not sum due to rounding. 1/ Excludes securities that were suspended from trading at the end of the year and securities that, because of inactivity, had no available quotes. 2/ Principal value for all exchanges, except Pacific (PSE). PSE could provide only market value. The American (AMEX) and New York (NYSE) exchanges no longer can provide market values for bonds. Source: SEC form 1392  Table 14 VALUE OF STOCKS LISTED ON EXCHANGES ($ in Billions) As of Dec 31 1938 1940 1945 1950 1955 1960 1965 1970 1975 1980 1985 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003r 2004 $ New York Stock Exchange 47.5 46.5 73.8 93.8 207.7 307.0 537.5 636.4 685.1 1,242.8 1,882.7 2,692.1 3,547.5 3,877.9 4,314.9 4,240.8 5,755.5 6,947.7 9,413.1 10,384.8 11,556.2 11,633.0 11,126.2 9,119.7 11,470.9 12,870.0 American Stock Exchange $ 10.8 10.1 14.4 13.9 27.1 24.2 30.9 39.5 29.3 103.5 63.2 69.9 90.3 86.4 98.1 86.5 113.3 106.2 131.3 149.7 82.5 94.4 82.9 57.8 107.6 191.0 Exclusively On Other Exchanges $ ..... ..... ..... 3.3 4.0 4.1 4.7 4.8 4.3 2.9 5.9 3.9 4.3 5.9 7.2 4.7 6.8 5.7 3.6 4.7 6.7 4.7 9.4 5.2 2.6 2.1 $ $ Total 58.3 56.6 88.2 111.0 238.8 335.3 573.1 680.7 718.7 1,349.2 1,951.8 2,765.9 3,642.1 3,970.2 4,420.2 4,332.0 5,875.6 7,059.6 9,548.0 10,539.2 11,645.4 11,732.1 11,218.6 9,182.7 11,581.1 13,063.1 Source: SEC form 1392