frederick j scullin jr financial disclosure report for 2009

8/3/2019 Frederick J Scullin Jr Financial Disclosure Report for 2009

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I :lo to ] FINANCIAL DISCLOSURE REPORT ~ ¢ , . p , , , - , R e q t , i r e d b y t h e E t h i c sin Government Act O/!978

~.,,. ~ / : o ~ o ] FOR CALENDAR YEAR 2009 (~ u .s .c . ~ p . ~ . ~ v t o t - ~ ~ t )

I. P e r s o n R e p o r l l n g { l a s t n a m e , | i r s L m i d d I c i n i t = a i ) 2 . Cuur! or Organ iza t ion 3 . D a t e o f P . ~ p o r t

Scullin, , Frederick J . US D i s tdc: Cour f (NDNY) 04/30/2010

4 . T itle (.. \r tic hr Ill ju dg c~ in dica te ac tiv e o r sc nio r sla m s; 5 a. Re po rt Typ e ( ch eck a ppr op ria te l~ .pe ) 6. Rep~r t ing Pe r iod

~ Norn ina t ion . Date 0 1 / 0 1 / 2 0 0 9

SeniorJudge-Aclivc~ Initial [~ A ....... I ~ Final

,o

1 2 / 3 1 / 2 0 0 9

5b. ~ Amended Rcpo~

modif icaHon s pe r la in ing Ib tre to, II [~ , i n my opin ion , i n compliance

P O B o x 72 5 5 ~vi lh app l icable law~ and r~gulal ions .

1 0 0 S . C l i n t o n S t

Syracuse. NY 13261Revie~dng Off lee r D al e

I ~ [P O R T A N T N O T E S : The instructions accompanyinR this form must be f! ,go,,e~L Complete all parts,

checking the NONE box fbr each part u,here you have m, reportable inforntati,~ Sign on last page.

1 . P O S I T IO N S . (Reporting indi,,ideted vn{ ....... pp. 9-1J oflf i f iag instrt ,cti , , t ,s.I

N O N E (No reportable positions.)

G ’P O S I T I O N N A M E O F O R . ,A N I Z AT I O N E N T I T Y

, .--~

2 .... ~q 2 :

")

1 1. A G R E E M E N T S . ~u~v. ,a, , .~ it, dlvidual onl}

N O N E (No reportable agreements.)

D A T E PARTIES AND TERA/IS

I.



N

P a g eF I N A N C I A L 2 0 [ ’9 D I S C L O S U R E R E P O R T

llI. NON-INVESTMENT INCOME. (R,Tortb,gindi,’iduMandsp

A. Filer’s Non-Investment Income

N O N E (No reportable non-investment income.)

D A T E SOURCE AND TYPE INCOME

(yotlr5. ~lOt spouse’s)

1 .

2 .

3 .

B . Spouse’s Non-lnvestment Income - tf_rou were nn*rried during any portion oJ’the reporting ),ear, cmrq~h,te thi~ sectitm.

N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE

I.

2 .

3

4

[~ N O N E ( N o reportable reiml~u~:~ementx.)

~ DATE~ LOCATION PURPOSE ITEMS PA(D ()R PR()VII)ED

1 . C ~ im in a li za fi on o f C ~ po ra tc 4 1 2 0 / 2 0 0 9 Chicug o, I L Education Transp~rtation. tbod. ho~cl( ~ t m c l u c t

2 . M ill on Libc~y 1 0 / I 5 / 2 0 0 9 - San D iego, CA Educalion " l ~ a n s p o tX a t m n , f o o d , h o t e lI0/ I 8 /2009

3 4th Anntud Judicial 12/07/2009 - Chic;~go, IL Education "lran~por~ation. food, hotelSymp~sium en C iv i l Jus t i ce 1 2 / 0 8 ~ 2 0 0 9

4 NY ln~elleclual Prope~ March 2009 N ew Y ork, N Y An n u a l D in n er T r m ~ s p o t t a t i o n . fi ~ o d , h o t e lAssociation

5



P a ge F IN A N C I A L 3 o f 9 D I S C L O S U R E R E P O R T I Scullin,, Frederick J .0 4 7 3 0 , , ° 2 0 1 0

~ NONE (No reportable g{lts.)

SO l IRCE DE SC R IP T IO N VALUE

3.

4.

5.

VI. LIABILITIES. a , , . ~ , , a ~ , ~ , , , ~ . ~ 4 . , t . . . . . . . . .. . . . ~ , t , , ~ , , , , , ~ , , , t ’ h i h t r ~ . t , ; .t e e p p . 3 2 - 3 3 t~:filh#,g ittstrttctitm~.)

N O N E ( N o reportable liabilities..)

( ’ R E D I T O R D E S C R I P T I O N V ALU E C O D E

1 .

3.

4.

5.



F I N A N C I A L D I S C L O S I J R E ~PORT

[ Scullin,, Frederick J.a g e 4 o f 9

V I I. ]N V E S T M E N T S a n d T R U S T S -- i,,. . . . . . . . . . t,,,,, t .......,i,,ns H,rh,h’., those o] .,7,ou., ....... dependent rhil,lre,,; see pp. 34-60 ,~[~[ling i . . . . . . . . . t it , t , , . )

N O N E (iVo reportable income, axsets, or transactions.)

Description { ,I Assets ~ I n co me du r i n g (hos~ va lue a~ end r ransact ion~ dur i ng rcpo~iag per iod

(h~d dh g ~ s t a s sc s~ ~ r~o r l i n g pc rm d ~ of reporting per:od

P~acc " (X) " a f te r c acha s sc t Atnount i Type(cg. V ; L I t l e Vah ; e ~ "lype(cm. Date i Waltlt" I Ga in Idc.tltyofI

dtv. .~cnt.~

(~de 2 Modred ~ buy. sell . ’ ’exempt f rom pr ior t l i sclosu rc Code 1 - " . - jmm, .dd. ’~w ;~ Code 2 : Code I bnyer:~cllcr

I (A-H) ~ oriut) i (J-l’) C ~1 c3 rcdcm ptim 0 {.l -I’l . { A dD {i fpr tva tc

1. Brokcraee Account # I

2 . iSha res-C O MEX G old Tmst ETF N olw 1 T

3. N ;~ t i on a l F i n :mc i : :113 r ok c r a g c Ac c ou n t - A In terest K T

q’rca~ury Fund M M

4. T. Rowe Price Africa & Middle East A In t. !D iv . Sold 0 2~26" 0 9 J

5. Lord , , \bbett La rge C ap V alue A A I n t . , i f ) i v . K "1"

! 6 . Putnam Int’ l Capi ta] Opps A A I n t . , q 3 i v . Sold 03/02 ,09 J

7. " I - . R o w e P r i c e L a t i n A m e r i ca A I n t . / D i v . S o l d 02’17/09 J

8 . ( . ?o n m ~ o t ~ s t t ~ c k -F P L Grt)up None J T Bu y 1 2 , ’ 3 1 ’ 0 9 .!

9. Rrokcrage Account

I0 . Alpine Int’l Real Estale A lnt.!Div. Sold 02/13/09: J

i I Nation:a[ Financial f~mkerage Account- A I n te r e s t K T

Prime Fund

1 2 Mallhu ’ ws - Pac i f i c T i ge~ A lo t . iDly. Sold 0 2 ! 2 6 ’ 0 9 J

13 . Vanguard Small Cap Value lodex A lot . iDly . Sold 02~04."0q .I

14 . Fidelity New Markets Irtcome A Int.~q)iv. Sold 02 / 2 f ! ; 00 J

15 . PIMCO Conmmdity Real Remm A A In t . iD iv . J T

t6 Common stock- ConocoPhillips A Dividend J .T Bu y 0 6 ~ 2 5 . , ’ 0 9 ,!

1 7 . ( 2 o m n m n s t o ck - F I : ’L G r o u p N o n e J T Bu y ; 1 2 ! 2 8 / 00 J



F IN AN C IA L D IS C L O S U R E R E P O R T

[

Pa g e 5 o f 9 s e , , , i. , . F r e d e r i c k J . 0 4 : 3 0 / 2 0 1 0

V H . IN V E S T M E N T S an d T R U S T S - - i . .. .. .. .. .. t . . . . . . . . . . . . . . . , i , , , , , . a.¢l t td cs t h os’e Of sT . . . . . . . . . .. l dtTendt.nt chihlren; s , ’ c p p . 3 4 - 6 0 , ~ ] ’ f il i n g it,.’tructi,,ns.)

~ N O N E ( N o reportable income, assets, or transactions.)

................. a ~ c . " ......... fi: .................

V M u c ~ G ~ mJ a c c " ( X ) " a l i c ~ e a c h a s s c ~ A m o u n t ~ T y p e ( e . g . ,~

V a l u e Val ue ~ T y p e ( e . g . . . D a m l d c n l ~ t y o fC o d e 1 ~ d i v . . r c n t . Code2 M c l ho d : bu y sell . ~ m m , < M ’ y~ Code2 t Code I buycr~sc l l c rx e m p ~ f r o m p r i e r d i s cl o s u r e

[ (A-Ill o r i n t . ) U -P ) ~ C o d e 3 r e d c m p r i o n l t (bP) [A-Ill l i f p m . ’ a t c

...................... ~ .~ . . . . . . . . . . . . . . . . . . .1 : ~O-W~ ~ ~ ......... "0

18 Powershares ~mmrging ~arkeFs ~vercign A InteI’¢st J T Btly t )~, iO6iO0 J

Debt ETF

1 9 SPDR Lehman Int’ l 1-rcasury ETF A ]uterest J r [lily 0~/20 , ’19 ] J

2 0 . C o m m o n Stock- GE None D . l y 03/19/09

2 1 . Corllmorl Stock- GE N o r s e Sold 0 4 / 1 7 1 0 9

2 2 . C o m l n c n Stock- BMY A D ividen d Bu y 03!26/09 J

2 3 . C o m m o n Stuck- BMY A Dividend Sold 1 2 / 2 2 / 0 0

2 4 . Claymu re China Real Estate ETF None Bu y 0 7 , " 2 8 / 0 9 1

25 . Claymore China Real Estate ETF N o n e Sold 12,’01,.’09 J

2 0 . iSharcs S&P Sina llcap 600 V;, lue Index ETF None Bu y 0 8 1 0 1 0 9 J

2 7 . iShares S&P Smallcap 600 V alue Index ETF None Sold 1 2 t 0 1 t 0 9 J

2 8 . iShares S&P Smal lcap 60 0 Growth Index None Buy 08 /0 ’09 JE ~ f F

2 - ’ 0 . iShares S&P Smallcap 601) Growth Index None Sold 1 2 / 0 1 / 0 9 JE . T F

3 0 . l ’oweiSharcs [ .ehnlan lnt ’ l "l ’ rcasuiy E T F A lnteiest ! "1 Bu y ( ) , R ! 3 1 / 0 9 : .I

3 I. Brokerage Account

3 2 . Na t io n a l F i n an c i a l B r o ke r ag e A c c o u n t - A I n t e r es t K 1Prime Fund MN1 "l

]~. Common stock- ConocoPhi llips A Dividend 1 " 1 Bny 0 6 ! 2 5 / 0 9 J

34. Common stock- FI’L Gronp A D i v i d e u d J T Fhly I2 /3 1 /(1 9 J



F IN A NC I AL D IS C L O S U R E R E P O R T N .....fP .....Reporting D:,,.! . l’Rept, rt

of 9 Sc.llin,, Frederick J. ( 14 ~ 3 0 / 2010

NONE (~b reportable income, assets, or transaction ~.)

(including trust asscts) ] repor t ing pe r iod ~of rcpor f in~ pe r iod

exempt I iom pr ior d tsc losu rc I C o d e 1 div. . rent. C ode 2 Mclhu d b u y . sclh [ l l ~ r n [ d d / y y

35 . iSharcs iBOXX hwesuncnt Grade Co~ A In terest J T~ond ETF

1 3 6 . Powershares fimergmg Markets Sovereign A In terest J T Bu) 08il l z09

Debt ETF

~37. SI’DR Lehman hWI Treasnry ETF A Imerest J "l Bu y 08 / 2 5 / 09

3 8 .Vanguard Growth Index N o n e Sold 0 21 0 3 / 0 9

39 . T. Rowe Price 12merging Europe N o n e Sold 02 tl 3 / ( J9 J

4 0 . Third Avenue ReH Eslate N o n e Sold 0 2 / 1 3 . ’ 0 9 J

4 1 . Common Stock-GE N o n e J "[ h hD ’

03 ! 19 /09

4 2 . Common Stock- GE N on e Sold 4 / t7/0 9

4 3 . Claymore China Real Estate E’[F No,,e . "1 Bu y 07,’28/It9 .I

4 4 . Claymore China Real Eatate None Sold 1 2 / 0 1 ! 0 0 J

’4 5. iEha res S m a l l CapVa lue I ndex ETF None Bu y O S . ’ ) 7 , ’ 0 0 J

4 6 . iSha~s Small Cap Va ILIc Index ETF None Sold [ 1 2 4 ) ~ . , ’ 0 9 J

4 7 .agha res Small Cap Growth Index hTF None [ h ~ y 08/07/09 J

4 8 . iShares Small Ca p Growth Index IiTF None Sn]d 1 2 / 0 1 i 0 9 .I

4 9. Men-ill Lynch C M A account A l n t . i D i v . J T

5[). Merrill Lynch CMA account A I n t . /D iv . J T

5 1 . GE Interest Plus Money Market A I n t e r e s t J T



F IN .~ N C IA L D IS C L O S U R E R E P O R T ’ ] t ~ . , . e o r P e r ~ o , , n ~ p o r , l . gP a g e 7 of 9

t S c u l l i n , , F r e d e r i c k J , ~

04,"30, / 2010

V II. INV E STM E NTS and TR U STS -- i,,,. . .. .. .. .. . t . . . . . . . . . . . . . . , ~ , , , , . , ( I n c h t d e s t l . . . . . . . . f,p ...........d tT ,cn den tch i ld ren ; see l ,p. 34-60 ,~ ] fili,,; , i . . . . . . . . ’ti,,,,.~.)

N O N E ( ~ V o r~ 7 9 o r t a b l e i ~ T co me , a s s e t s , o r t ra n s a c t i o n s . )

( inc luding t rust z~sc ls) I~_rep~rt in~’- period’

cff repotting, period_ ......................

P :~ce"IX)" a~c e : tch assc~ Amount ~ Typq (e . g . , i Va ~ uc Valt tc

cxem ptf ro m pdo rd l sc lo su r c ~Codcl i dlv .,rcn t. C odc2 Mcfl,mt i buy, sell. [n~/dd.".~" Code2 Codel buyer/ scl lcrIA-I l) or int ~ ~ (.I-P) t.’odc J ~ rcdemplion) l (J-P) (A-H) (if p~iv:~tc

~ I (Q - W )

52 Massac l~u : ; s c r t s Mu t tm l SPLD N o n e IZ T

5 3 . Franklin 529 Plan- Sm~dl Mid c~lp Growth A lnt.iDiv. .I

5 4 . F~anklin 529 P1;m- Growth A Int/Div. J "I-



F h N A N C I A L DISCLOSURE REPORT

Pa g e 8 o f 9

VIH. ADDITIONAL INFORSIATION OR EXPLANATIONS.



F IN AN C IA L D IS C L O S U R E R E P O R T

of’9

IX. CE RTIFICATIO N.

I certify that all information given above (including information pertaining to my spouse and minor or dependent chihlren, if ony) is

accurate, true, and complete to the best of my knowledge and belief, and that an.,.’ infi~rmation not reported was withheld because it met applicable statotory

provisions permitting non-disclosure.

I fi~rtber cerlit’y that earned income from outside employment and honoraria and the acceptance t~f gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. § 591 el. seq., 5 U.S.C. § 7353, and Judicial Cotffercnee regnlations.

Signatnre

NOTE: AN\’ INDIVIDUAL VCHO KNOV¢INGLY AND WILFULLY FALSIF|ES OR FAI1.S TO FILE THIS REPORT MAY BE SUBJE~:TI" TO CIVIL

AND CRIS|IN:\L SAN~YI’IONS (5 U.S.C. app. § lf14)

FIL ING INSTRUC TIONS

M ail signed original and 3 ad ditional copies to:

Committee on Financial DisclosureAdm inistrative O ffice of lhe I Inited Slates Cou rtsSuite 2-30 IO ne Columbus Circle, N.E .W ashington, D.C. 20 544

frederick j scullin jr financial disclosure report for 2009

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