janet c hall financial disclosure report for 2009

8/3/2019 Janet C Hall Financial Disclosure Report for 2009

1/11

; ~ o 1 0 FINANCIAL DISCLOSURE REPORT ~ e p o r , R e q u i r e d b y t h e E t h i c . ,in Govermnent Act qf1978Re,,. 1 / 2 0 1 0 FOR CALENDAR YEAR 2009 (5 v.s.c. ~pp . , ~ . lOl - l tOI. Person R eporting (last name, first, middle initial) 2. Court or Organization 3. Date of ReportI1ALL, JANET C. U.S. District Uourt (D.CT) 5/7/2010

4. Title (Article Ill judges indicate active or senior status; 5a. Report T :,pe (check appropriate t)pc) 6. Reporting Periodmagistrate judges indicate full- er part-lime) [] Nomination. Date 01/01/2009LI.S. District Judge - Active [] inilial [] Annual [] Final to12/31/2009

5b. [] Amended Report7. Chambers or Office Addres~ 8. On the basis of the informalion contained in this Report and anymodifications pertaining thereto, It ig, in my opinion, in complianceU.S. District Court with applicable laws and regulations.915 Lafa)ette Blvd.B~idgeport , CF 06604 Reviewing Officer Date

IMPO R TANT NO TES: The instructions accompanying this form must be fotlowecL Complete all part.,checking the NONE box far each pa~t where you have no reportable inJbrmation. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; sre pp. 9-13 of filing instructions.)NONE (No reportable positions.)

POS1T!ON N A M E O F O R ~; A N I Z A T IO N / E N T tT YI.2.

3.

4.

5.

1 1 . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructionsO~ N ON E (N o r, Tortalde agreements.)

PARTIES AND TE~S -..1. ["

2.


2/11

FINANCIAL DISCLOSURE R EPORT N a m e o / P e r s o a R e p o r t i n g D a t o f R * p u r tPage 2 of 1 ] HALL. J A N E T C . 5 / 7 / 2 0 1 0

I 1 1. N O N - IN V E S T M E N T I N C O M E . (Re~,rtingindhiduolanaspo,se;~eepp. 17-24,filingh,structions.)A. Filers Non-Investment Income

N O N E (No reportable non-investment income.)D A TE S O U R CE A N D T Y P E IN.ME(3,ours, not spouses}

1.

2.

3.

4.

B. Spouses Non-lnveslmenl Income - tl).ou wer~ married during any port~n of the reportlng year, complete this sectiott(Dollar amount not requ~ed except for honoraria.)~ NO N E (No reportable non-investment income.)

D A T E S O U R CE A N D T Y P EI. 2009 Self-employed lawyer

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertal ....(Includes those to sln~t~e and d , l~endnt children; see pp. _5-27of fil ing inst~ctio~.)~ N O N E (No r~7~ or tab le reimbur~emcn t s . )

SOUR(~ D A T E S LO C A T I O N PUR PO S E IT E MS PA ID OR PR O VID E D1. Federal liar Council 4/30 New York, New York FBC Law Day Event Dinner

2.3.

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3/11

FINANCIAL DISCLOSURE REPORT [ Iage 3 of 1 1 IIALL, JANET C. 5 / 7 1 2 0 1 0~ N O N E (No reportable g~s.)

SOURCE DESCRIPTION VAL UE1.2.3.4.5.

VI. LIAB H, ITIES. t l ,, t~d~ ~o~ of , vo~ ~ g~.d~. , chi ldren; se pp. 32-33 of filing iastructiong)[~] N O N E (No reportable l iabi l i t i es . )

CREDITOR DESCRIPTIQN VA LU E C O D E1. U.S. Dcpt. Education S t u d e n t L o a n L2. C i ti z en s B a n k L i n e o f C r e d i t M3. C i ti z en s B a n k S t u d e n t L o a n L4. Sall ie M ac S t u d e n t L o a n K

5.


4/11

FINANCIAL DISCLOSURE REPORT ~ .... f|e .... Reporting [ D a t e o f R c p o r lPage 4 of 1 1 h A L L , J A N E T C . ]S / 7 / 2 0 ~ O

VII. I N V E S T M E N T S and TRUSTS - i,,. ...... ~ , , , , ....... dons (Include, ~vae vf ~p ....... d d e p e n d e n t c h i l d r e n ; ~ e p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )N O N E (No reportable income, c~sets, or transactions.)

,~ ~. c. - 6 ~ . . . . .l ) e s c a p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a lu e a t e n d Tran~cdo~ during ~c~ing

( i n c l u d i n g t t u s l a s s c ~ ) re~ing ~riod of tc~rting period ...../ I d e n t i t y

c ~ e t u p t f r o m p r i o r d i s c l o s u r e C~ I [ d i v . , r e n t . C~c 2 Mclh~ buy,~ll. [mnz~d~yy ~ Code ~ Code ~ buycdscllcr(A H ) o r i n l . ) ( J - P ) C~e 3 r e d e m p t i o n ) ~ ~ ~J-P)" (A-H), ( i f p r i v a t e

1. State of lsracl Bond - Exp. 1/01/13 B I n t e r e s t K T2. Templcton Dragon Fund A Dividend K T I

3. Templeton Global Smal l Cos Growth Fd CI A Dividend J TMutual Fund

4. Mutual Quest Fund (Note) C Dividcud M T5. Chardinks. L.P. None J W

6. Strips-tprp Proton 10.625 2015 A Intcresl J TT/Bond-8/l 5/20157. Strips Tint-US Treasury Mat. 11/15/20 A I n t e r e s t J T

8. Vanguard W indsor I1 Iund B Dividend M T Buy 06/t2/09 J

9. Buy I 1 / 6 1 0 9 K(addl)I 0. Mutual Discovcry Fund CL2 A Dividend K T

il . --IPC" (Note) None M W1 2 . partnership Interest in Whimey-Ilumphrey A Dist[ibution L WAssc. (Note)1 3 . U.S. Savings I:~onds A I n t e r e s t J T1 4 . Metloifc Ins. Co. of cr (universal life)(Notel B I n t e r e s t K T1 5 . A X A Equitable Life Ins. Co. {life policy) C lntcrcst L T(Note)1 6 . Columbia Value Rcst. Fund A Dividend J T Sold 03/3/09 L

(parl)1 7 . Royce Total Return Fund None Sold 03/3/09 K


5/11

FINANCIAL DISCLOSURE REPORT ! Name of P .....Reporting |] Date olRep,,rtPage 5 of 11 I [ IIALL, JANET C."[

5/7/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i ......... t . e . t ..... tions (Includes those of sp ..... d d,pendent hlldr,n; seepp. _?4-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Descr ip t ion o f Assets I n c o m e d u r i n g G r o s s v a l u e a t c r ~ d : Transac t ions dur ing repo r t ing po r iod( i n c lu d i n g t r u s t a , ~ s c L ~ ) r e p o r t i n g p e r i o d ! o f repo r t ing pe r iod __ _ (~) _.

Placc" (X)" a l l .o r each ass t | T yp~ (e .g . , ! Value | Value Typ~ (e.g., DateI "Ca uo Gain Idontily ofcx,,:mpt from p d o r disi.-losurc / div., rcr, L i Code 2 Method [ buy, soil, mm /dd.~yy Code 2 i Code l buyer/seller(A- |I) or int.) (J-P) Code 3 , rcdcmptlon) (J-P) " (A-I{) (ifpriva,e

1~. Schwab US Trcaz Money Fund A Interest K T Sold 09/30/09 K p a r t )1 9 . Sound Shore Fund A Dividend M T B u y 09/11/09 J

2 0 . Thornburg Value Fund CL.A A Dividend M T B u y 06/12/09 J2 1 . B u y 6/22/09 .I2 2 . Westport Selcc! Cap.CLR C Dividend N " 1 B u y 5/12/09 K2 3 . B u ~ , 5 , 1 2 / 0 92 4 . B u y 6/22/0925. B u y 9/11/09 .I2 6 . Schwab Value Advantage Money Fund A Dividend J T Sold . 5 / I 1 / 0 9 K( p a r t )2 7 . B u y 5 / I 1 / 0 9 L28 . Sold 5/12/09 M( p a r t )29 . Sold 5/20/09 L( p a r t }30 . Sold 5/22/09 M( p a r t )3 1 . B u y 0 6 / 0 2 , ~ 0 9 L32 . Sold 6/4/09 K(part)3 3 . Sold 08/26/09 L

( p a r t )34 . Sold 11/06/09 K [( p a r t )


6/11

[~...r P . . . . . , ~ e p o r t i n ~[ D a t e o r a ~ o ~

FINANCIAL D IS C LO S UR E R E PO R TI |iALL, JAN ET C .

5/7/2010age 6 of 11V I !. I N V E S T M E N T S a n d T R U S T S - i ........ ~ , t ..... l i O n S (Includex those ofx I ....... d dependent children; s e e f p , 3 4 - 6 0 offiI~ng

N O N E (No reportable income, azsets, or transactions.)--- A.- .... B. . . . . . . . . c . D .

D e s c r i p t i o n o f A s s e l l I n c o m e ( l u r i n g G r o s s v a l u e a t e n d T~nsactions during ~rting pcriM{i~cludiag ~st assc~) reporting ~ri~ of reining pcriod

P l a c e " ( ~ " a f t e r e a c h a ~ e t A m o u n t T~ (e.g., V a lu e Value T)~ (e.g., D a t e V al u e G a i n I d e n t i t y o fexempt from pfor disclos~ C~e I d i v . , r e n t , C @ e 2 M e th o d b u y . s e l l, [ ~d~yy : C~ 2 C@ I buyer/seller( A - I t ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ~ , |J - P ) ( A - H ) t i f p r i v a l e

~ ( Q -W ) l ~an~ction)3 5 . Oakmark Select Fund None Sold 3~/09 J3 6 . W ells Fargo Adv SiC Value Z None Sold 03/03/09 K3 7 . Citizens Bank A Interest L T3 8 . Muhhrnkamp Fund A Dividend L T3 9 . AMR Corp. None J T4 0 . Artisan Intl Small Cap B Dividend M T4 I . Calamos Growth Fund - A None M "1- Sold 3i3i09 K(part)42. Buy l 1/06/09 K

43. Third Ave. Real Est. Valoe Fund A Dividend J T

44 . Third Ave. International Value Fund A Dividend K T45. Buffalo Sm. Cap Fund A Dividend J T Sold 3/3/09 K(part)4 6 . "L Rowe Price M idCap Growth A Dividend J T4 7 . T. l~.mve Price Cap.App.Fund C Dividend M T4S. Marsico (;rw,,,th Fund A Di,,ridcnd M T4 9 . iShare MSCI Canada Index Fund [Note) A Dividend K T Sold 03/03/09 J(part)5 0 . t-idelily Cash A cct. A I n t e r e s t 1. T5 1 . Bank of America A Interest J T


7/11

FINANCIAL DISCLOSURE REPORT N .... r r e r s o o r t ~ p , , . i . g ]Page 7 of ll m ~ L L , ~ A ~ E a " C . ~ n , ~ 0 ~ 0

VI 1. IN VESTME N TS and TRUSTS - i .... ~, value, t ......ctions ancludes ~hose qsI ....... d dependent children; seepp. 34-60 of filing ~structlo~s.)~ N O N E (No reportable income, assets, or transactions.)

A . B. C. D.D c ~ f i p t i o n o f A s s e t s I n c o m e d u r in g Gro~ value at end

( i n c l u d i n g t r u s t a s s e t s ) re~rting ~iod ~ of repomng period .P l a c e " ( X ) " a f t e r e a c h a s s e t I A m o u n t T y p e ( g .. [ Value Value D a t e Value G a i n: Code I [ div..rent, / C~e2 [ MeNod b u y , s e l l ,{A-H) [ o r i n t . ) ~ / ( J - P ) 1:C~e3 [edcmption)I[ ( J - P } ( A - H I ~ lifprivate

5 2 , Vanguard lntl. Growfi~ Fund None Sold 03t031091 K

5 3 . Schwab Bank A Interest J T5 4 . Davis NT Venture Fd - A A Dividend M T Buy 9 / 1 I 1 0 9 J55. Artisan Mid-Cap Value FD B Dividend M T Buy 06/01/09 K56 . Bu y 6/12/09 K

5 7 . Dodge & Cox Intl. Stock A Dividend M T5 8 . Vanguard Strategic Equily A Divider~d J T

5 9 . W ells Fargo Adv. Sm all/Mid-Cap Value A l)ividend M TFund6 0 . Storage Inn Ltd. None L W

6 1 . Arcadia Wind Farms E nergies Ltd None L W6 2 . Limited Partner, Cummings Drive Family B Dividend L TL.P.6 3 . Mariso Inten~ational None Sold 3/3/09 K64. Mari.sco Intcr~]ational A Dividend L 1 Buy 6/3;09 K65. iSha|cs INC M SCI EM U Index I:und None l T6 6 . Ph|g Power h:c. None J T6 7 . T. Rowe Price Group A A Dividend J T6 8 . Buffalo Mid-Cap None J T


8/11

FINANCIAL DISCLOSURE REPORT N .... fP .. . . . R e p o r t i n g [ D a t e o f l ! . e p o t lPage 8 of 11 ~,,L~, a , ~ E ~ " C. I 5 / ~ / 2 o ~ oVI I. l N V E S T M E N T S a n dTRUSTS - i .........lue, t ..... t lo n s ( I n c l u d e s t h o s e q s f, . . . . . . . a depend .... h i l d r e n ; s e e P I . 3 4 - 6 0 o f f i l in g i n s t r u c t i o n . )

N O N E (No reportable income, ~ssets, or oansactions.)

I D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s ~ ~ a l u c a t e n d ~ c a n ~ c t i o n s d u r i n g r c ~ r t in g p e r i o d{ i n c l u d i n g t ~ s t a s s e t s } r~ing pcri~ of rcpo~ting period /P l a c e " ( X ) " a f t e r e a c h a s s e t [A .... t Ty~ (e.g., Value ]Value [ T ) ~ e ( e . g ., [ Date ~ Value G a i n I d c n t l t y o f

e x e m p t f i o m p d o r d i s c l o s u r e ~ C o d e 1 d i v . , r e n t . C~c ~ I M c ~od [ b u y , s e l l , ]m~dd/yy Code 2 C~e 1 b u y c r / z c l l e r~ (A H ) o r i n t . ) ( J - P ) ] C~e 3 [ r e d e m p t i o n ) ~ O - P ) ( A - I ! ~ ( i f p r l v a ~ e69 Pax W orld Balance Fnnd A Dividend J T7 0 . BlackRock Global None Sold 03/03/09 K7 1 . Morgan Stanley Bank CD B Interest Redeemed i 0 5 / 2 8 , 0 9 I _7 2 . Marisco Focus Fund A Dividend L "1- Buy 6/3/09 K7 3 . Fairholrne Fund A Dividend J T Buy 0 6 . 0 5 / 0 9 I J7 4 . Intrepid Small Cap Fund D Dividend L T 5 ; 8 , 0 9 Kuy7 5 . 1 3 u y 060 /09 ! K(addl)

! 7 6 . Matthews Asia Pacific A Dividend L "I" Buy 8/26/09 K7 7 . Seb\vab S&P 500 Index Fund B Dividend L "1" Buy 5/8/09 L

7 8 . Schwab EFIS Intl Equity ET F A Dividend K T Buy I I/6/09 K7 9 . Schwab ETFS - US Large Cap ETF A Dividend K T Buy I 1 / 6 / 0 9 K8 0 . Pctrobank Energy & P, es LTDF None K T Buy I I/I 0/09 K8 1 . iShaIes lt,I, lt.ussel13000 B Dividend M T Buy 5/20/09 J8 2 . Buy 07/21/09 L8 3 . Buy 8/25/09 L8 4 . Sold 1 I / 5 / 0 9 K D( p a r t )8 5 . Schwab Tn~al Market A Dividend K Y Buy 5/11/09 K


9/11

N a m e o f P e r s a n R e p o r l in g D a t e o fPageFINANCIAL9 of l 1 DISCLOSU~ ~PORT .ALL, JANE T c .

N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s c ~ ~ I n c o m e d u r in g G r o s s v a ~ u e a l e n d Tran~ctio~ d~ng rc~ing ~riod(including t~st ~sc~) [ reposing pcri~ o f r p o ~ i n g p e r i o ~

~ x e m p I f r o m p r i v r d i ~ l o s u t e ~ Ct~c I [ d i v , , ~ e n t , C~c 2 Me~ b u y , s e l l , m~d~tYY I C~e 2 C~e I buycr/scllcr(A-I[) [ o r i n l . ) ( J - P l [ Code 3 ~ c d e m p t i o n ) 0-P) ~ IA-III { i f p r i v a l c

8 7 . Greenspring Fund B Dividend K T Buy 5 . / I 1 / 0 9 K8 8 . Nicholas 11 Fund A Dividend K T Buy 5II2/09 K8 9 . Nicholas Ltd E dition Fund A Dividend K T Buy 5 / 1 2 1 0 9 K90, Schwab Investor Money Fund A Dividend J "f Buy 1/20/09 L

9 1 . Sold 5/11/09 K(pan)9 2 . Schwab Advantage Cash (Note) A Dividend J T


10/11

N a m e o f P e ~ o n R e p o r t | n g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT~ A L L , J A r ~ E ~ C . ~ / 7 : - 0 1 0age l 0 of 1 1

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. an~ic~,ep~r,o~,o~O

Iarl VII:Lines 4: N ame Change: Mutual Qualifi~-d Fund renamed M utual Quest FundLiue 11 : Passive income from sub-chapter S corporation.Line 12: The appraisal date is 412008.Line 14: At some point, this policy was assigned by Travelers 1o MetLife.Line 15; la April, 2009, 1 transferred the cash value of the Crown I,ife Policy ~o a new policy with Axa.Line 49: In the 2008 Reporl, this investment was reported sold. However, the sale was only a partial sale.Line 92: This is one of many Schwab Money Market Funds held. It was opened before 111109~ but overlooked last year.Line 48:(2008 Report): The p artial sale on I 1/24/08 disposed of all of this fund


11/11

FINANCIAl., DISCLOSURE REPORT r ~ . . . . . t ~ e , . s o , a , ~ p o , l i , , , ~ [ t ~ , , o r a w o aPage 11 of 11 IIALL, JANETC. I ~ . , 7 / z 0 , 0ix. CERTIFICATIO N.

1 certify that all information given above (including in[ormation pertaining to my spouse and minor or dependcnl children, if any) isaccurate, true, and complete to the best of my k nowledge and belief, aud that any informalion not reporled was *vithheld because it met applicable slalutoryprovisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported arc incompliance with the provisions ors U.S.C. app. 501 ct. seq., 5 U.S.C. 7353, and Judicial Confcrrncc regulations.

NOTE: ANY INDIVIDUAl, WltO KNOWINGLY AND WIL ILAN D CRIMINA L SAN CTIONS (5 U.S.C, app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Coxnmittcc on Financial DisclosureAdmiuislrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

janet c hall financial disclosure report for 2009

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