Leonard I Garth Financial Disclosure Report for 2009

8/3/2019 Leonard I Garth Financial Disclosure Report for 2009

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, . ~ o J 0 ] FINANCIAL DISCLOSURE REPORT R e p o n R e q . ir e d b y t ~ e t h i c sin Government Act o f 1978Re~. t /2OtO I FOR CALENDAR YEAR 2009 0 u.s.c, app. lO!-Ill)i . P e r s ia n R e p o r t i n g ( l as t name, f i~t , m iddle in i t i a l) 2 . C o u r t o r O r g n n i z ~ t to n 3 . D a t e o f R e p o r tGAR TI t , LEONAR D I . T H I R D C I R C U I T C O U R T O F A P P E A L S 04/05/20

4 . T i t l e ( A r t i c le I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s ~ a t u s ; $ a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e t )q ~ e ) 6. Repor t ing Per iodm a g i s tr a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t im e ) 1 ~ N o m i n a t i o n , D a t e 01/01/2009S E N I O R C I R C U I T J U D G E [] Initial [] Annual [] Final to12/31/20095 b o [ ] A m e n d e d R e p o r t7. Chambers or Off ice A d d r e s s 8 . O n t he bas i s of the Informat ion conta ined I n t h is R e p o r t a n d a n ym o d i f i c a t io n s p e r t a i n i n g t h t r e t o , i t i s , | n m y o p i n i o n , i n c o m p l i a n c eU. S . C o u r t o f Ap p ea l s - P an , 5 0 4 0 with appl icable laws and regulat ions .M LK, J r . Fe d . B ld g . & U , S . Co ur tho us e5 0 Wa l n u t S tr ee tN e w a r k , N J 0 7 ] 0 2 Rev iew in g O fficer Date

I M P O R T A N T N O T E S : The ins truc t ions accom pato ing th is form must be fo l lowec Com ple te a lt par ts ,checking the NON E box for each part where you have no reportable information. Sign o n lastpage.

I . P O S I T I O N S . ~ R e p o r . - X l , ,a~.a.ot o-~y, .ee vv. ~ -~ oyyai.z l.,,.o.io.,.)D NONE (No reportable positions.)

PO T~$J~TLQ~ N A M E O F ORGANIZATION/EI. Executor o f the Estate o f : I Ap p o i n t ed an d a c c ep t ed E x ec u t o r sh i p c o n s i s t en t wi t h t h e C o d e o f C o n d u c t f o rU .S. Jud g e s . Se e Pa r t VI I I

I I . A G R E E M E N T S . (Reporting indh,idual onl),; seepp. 14-16 of Jiling instructions.IN O N E (No reportable agreements.) :

~ PARTIES AND TERMS " ~ .

2. ..s


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F ~ N A _ N C I A L D I S C L O S U R E R E P O R T " N . . . . tv . . . . R e p o , ~ J n g n,te , f i~po,P a g e 2 o f 8 G A R T H , L E O N A R D 1 . 0 4 / 0 5 ~ 0 1 0

I I I . N O N - I N V E S T M E N T I N C O M E . *Repor,inx ~,l ~d*r .... ; see p p . 1 7 - 2 # of filing instruction~)A . F i l e r s N o n - I n v e s t m e n t I n c o m e

N O N E (No reportable non-investment incom e.)D A T E S O U R C E A N D T Y P E I N C O _ I V I E(yours, not spouses)

I. 2009 Statuary Executors commission as Executor of the Estate of~ $ 2 6 , 5 5 0 . 0 0

2.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were n~arried during any t~rtlan of the reporling~ear, compl~ lht4 section.~llar amounl not required except for honorc~ria.)

[~ N O N E (N o re po r tabl e n o n - in v e s tm e n t in c o m e . )D A T E S O U R C E A N D T Y PE

I.

2.

3.

4.

I V . R E I M B U R S E M E N T S - ,ransporta~ion, lodging, food, enlertai(Includes tho~e to spouse and dependent children; see pp. 2~-27 of filing instructio~ .)

N O N E (N o reportable re imbursements .)~ ~ I , O C A T I O N P U R P O S E I T E MS P A ID O R P R O D D E D

1.2.

3.

4.

5.


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! FINANCIAL DISCLOSURE REPORT N . m ~ o l P ~ r $ o n R e p o t t A n g DlteofR~portP a g e 3 o f 8 G A R T H , L E O N A R D L 0 4 / 0 5 / 2 0 1 0

V . G I F T S . a , ~ t u d e s , h o s e , o s p . . . .. . d dependent children. ~ e e p p . 2 8 - 3 1 of filing instructions:)[] N O N E (No reportable gifts.)

SOURCE DE$CRIPTIQN V A L U EI.2.3.4.5,

V I . L I A B I L I T I E S . a,ctude, ,hos, of sp ..... d e p e n d e n t c h i t d r e n ; s e e p p . J 2 . 3 3 of fitin z i n s t r u c t i o n s . )D N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION V A L U E C O D E1. Gu ar d i an L i f e I n su r an c e C o . ( s ee P ar t L o an ag a i n s t c ash v a l u e Jvno2. C r o wn L i f e I n su r an c e C o . ( s ee P ar t L o an ag a i n s t c ash v a l u e JVlil)

4.5.


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-FI NANCI AL D I SCLOSURE REPO RTP a g e 4 o f 8 G A R T H , L E O N A R D I . 0 4 / 0 . 5 / 2 0 1 0

V I I. IN V E S T M E N T S and TRUSTS -,NONE (No reportable income, assets, or transactions.)

A. B. C. D.De~r i p t i o n ~ f As~ I n c o m ~ d u r in g G r o s s v a l u ~ at ~ n d T ~ n s a c l i o n s d u ~ n g ~ i n g p ~ r i o d( i n c l u d i n g ~s t ~ s ~) r ep o s i n g ~ r i o d o f r c p o ~ i ~ ~f i o d0)Place "(x)" after ~ch as~t ~ o u n t ] T~ (e.g., V a h Va lue T)~ (g ., D a ~ e V a l u e G a i n I d e n t f l y o fCode I buyer/s:l lcr

.................................................... (Q-~ .1. G e n e r a l E l e c tr i c C o m m o n C D i v i d e n d K T2. AT & T I n c . C o m m o n A D i v i d e n d J T3. Exxon Mobi l Cor p . Com mon A Dividend K T4. Is r ael Bonds A Interest J T5. Is r ael Bonds A Interest J T

[ 6 . V e r i zo n C o m m o n A D i v i d e n d J T7. C h a s e S a v i n g s B a n k A Interes t J T Clo s e d 06/09 J A See Par t VIII

i 8 . C h a s e B a n k C h e c k i n g A Interes t J Ti 9 . D r e y f u s M u n i c i p a l B o n d F u n d A Interes t S o l d 1 2 , 0 9 J A

1 0 . Dr ey f u s Gr o wt h & I n c o m e ( I R A) A D i v i d e n d J T1 I. A A K P G r o w t h & I n c o m e F u n d ( D W S A D i v i d e n d J T See Par t VIIIInve s t m e n t s )1 2 . Dr ey f u s Gr o wt h & I n c o m e ( I R A) A D i v i d e n d J T1 3 . Nu v een R ei n v es t Ac c t ( NJ M u n ) A Interes l So ld 12/09 K A1 4 . Nu v een R ei n v es t Ac c t ( C T M u n ) A Interes t K T B uy 1 2 / 0 9 K1 5 . W a c h o v i a ( S a v i n g s ) ( Y ) Clo s e d 2008 J A Se e Pa r t Vl l l1 6 . P h o e n ix C o m m o n A Diidend J T1 7 . C o r n c a st C o m m o n A D i v i d e n d J T

; I . I n t o , m e G a i n C o d e s : A - $ 1, 0 0 0 o r l e s s B ~ J ;I,0 0 1 - $2 ,5 0 0 C ~ $2 ,5 0 1 - $5 ,0 0 0 D =$5 ,0 0 L - $15 ,0 0 0 E =$t5 .0 0 1 - $5 0 ,0 0 0( S c C o lu m ns B I a n d D 4 ) F ~ $5 0 .0 0 1 - $ I0 0 ,0 0 0 G ~ $ I0 0 ,0 0 1 - $1 .0 0 0 ,0 0 ~ H I =$1 ,0 0 0 ,0 0 1 . $5 ,0 0 0 ,0 0 0 H 2 =M o r e tha ~ $ $ , 0 0 0 ,0 0 0

2 . V a l u e C o d ~ J =$15.000 or l e ~ s K " $ 15 , 0 0 1 - $ 5 0 , 0 0 0 L =$50,001 - $ 1 0 0 . 0 0 0 M = $ I O ~ ,0 0 l - $ 2 S 0 . 0 0 0(S ee Co lu rn ng CI a nd D.1) N =$2 50 ,0 01 - $5 00 ,0 00 O = $ 5 0 0 , 0 0 1 - $ 1, 0 0 0 , 0 0 0 P I =$ 1 , 0 0 0 .0 0 1 - $ 5 , 0 0 0 , 0 0 0 P 2 - $ 5 . 0 0 0 , 0 0 1 - $ 2 5 . 0 0 0 , 0 0 0P J ~$ 2 5 .0 0 0 .0 91 - $ 5 , 0 , 0 0 0 .0 0 0 P 4 ,~ M o ~ t h a n $ 5 0 ,0 0 0 ,0 0 03 . V ,a lu M e th o d Co d e ~ Q ~ A p p r a ls a l R =C o s t (R e a l E s ta te O n ly ) S =Assessm en t T = C a s h M a r k e t( S c c C o l u m n C2 ) U = B o o k V a h ~ V -01~m W = E st i m a t e d


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N a m e o f P e r s o n R e p o r t in g DateofgeportPageFINANCIAL5 of 8 DISCLOSURE REPORT G A R T H , L E O N A R D 1 . 0 4 / 0 5 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, t ...... tions (Includes those of sp ...... d dependen l children: seepp. 34-60 of f iling i t ,st,uetions.)N O N E (No reportable income, assets, or transactions,)

.......................... ~7 .................. ~ . c. D . " .................D e s c r i p t io n o f A s s e t s In c o m e d u r in g G ro s s v a lu e at e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( in c lud in g In ,s t a s s e lx ) re p o r tin g p e rio d o f r e p o r t i n g p e r i o d

O) J (2) -(-~---i (2) (0 (2)[ O) (4)P l a c e " 0 0 " a f te r e a c h a s s e t AmountI Type (e.g., V a l u e I V a lu e T y p e (e .g ., Dat~ I Value Gain I d e n t i t y o fe x e m p t f r o m p r i o r d i s c lo s u r e C o d e ] div_ , ren t , C o d e 2 [ M e t h o d buy, s el l , mm/dd/y), Code 2 [ Code I I buyer / s el l er( A - H ) or i n l . ) ( J -P) Code(Q-W)3 e d e m p t i o n ) ( J -P)( A ~ H )I ( A - H ) transaction) (ifpriva

18 . Wachovia (Checking) N o n e J T

19 . AIcateI-Lucent Common A D i v i d e n d J T

2 0 . Smith Barney (Y) See Part VIII

2 i. Bank of America Estate Checking Account A I n t e r e s t Closed 10109 K See Part VIII

2 2 . Capmark Bank Utah - CD (Y)

2 3 . Discover Bank DE-CD (Y)

2 4 . Dorall Bank PR- CD (Y)

2 5 . Eagle National Bank of Miami FL - CD (Y)

2 6 . Fimt National Bank of Omaha- CD (Y)

2 7 . Washington Mutual Bank NV - CD (Y)

2 8 . Proficio Bank Utah (Y)

2 9 . Park Avenue Bank NY(Y)

3 0 . lndymac Bank FSB, CA (Y)

3 1. Eurohank PR (Y)

3 2 . Vir~us Investment Panners, lnc. Common None J T

3 3 . FairPoint Communications Common None J T

3 4 . Guilford Savings Bank, CTCD A Interest L T

I . Incom e Gain Codc~ A "$1.000 m" less B2 . V a l u e C ~ s J = S 1 5 , ~ o r l e ~ K = S 15.~ I - $50,0~ L = $ 5 0 , 0 0 1 - $ 1 ~ . ~ M ~ $ 1 ~ . ~ 1 - $ 2 5 0 , ~

( S ~ C o l u m n C 2 ~ U ~ B ~ k V a l u e V ~th W


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N .... f r ....R e p o r t i n g

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D . t e o f R e p o r tF I N A N C I A L D I S C L O S U R E REPORT] GARTtl, LEONARD 1.a g e 6 o f 8 0 4 / o 5 / 2 0 1 0

V I I. IN V E S T M E N T S a n d T R U S T S - i ....... lue, t .....,~ns an,t~aes ,ho,, o/,p ......d dependent children; ~eepp. 34-60 of filing instructions.)[ N ONE (No reportable income, assets, or transactions.)i.....................;,7 ..... B . c . , D .[ D e s c r i p t io n o f A s s e t s In c o m e d ur in g G ro s s v a lu e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d[ ( in c lud in g tru s t a s s e ts ) re p o r t in g p e r io d o f r e p o r t i n g p e r i o d

P l a c e " C X ) " a f t e r e a c h a s s e l Amount ] Type (e.g.. V a l u e V a lu e T y p e (e .g ., D a t e V a l u e G a in Ic ie n lJty o fe x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 ] d iv . . r en t , C o d e 2 M e t h o d buy . se l l , m m / d d / y ~ , C~e)2 C o d e I buye~r!seller( A - I l l or i n t . ) ( J-P) C o d e 3 re d e m p tio n ) (A-Il l ( i f p r i v a t e

( Q - W ) t r ans ac t i on)

3 5 . ING Direct CD A Interest K T

3 6 . M o r g a n S t a n l e y B a n k C D A Interes t K T3 7 . M o r g a n S t a n l e y B a n k C D A Interest K T3 8 . G o l d m a n S a c h s C D A Interest K T3 9 . GE M o n e y B an k , S a l t L ak e C i t y , UT C D A Interest K T40 . JB Han au er F ed er a t ed M o n ey M ar k e t ( Y )

4 1 . Gu m d i an L i f e I n su r an c e A D i v i d e n d J T4 2 1 C r o w n L i f e I n s u r a n c e ( X) A D i v i d e n d l T43 . G u i l f o r d S a v i n g s B a n k A Interes t J T S e e P a r t V l l I

4 4 . R B C I n v es t m en t s A Interes t J T See Part VII1

I . I n cm n ~ G a i n C o d e ~ : A "$1,000 ~ kss f i =$1,0 0 1 - $2 ,5 0 0 C =$2 ,5 0 1 - S 5 .0 0 0 D =$5 ,0 0 1 - $15 .0 ~ 0

( S e e C o l u m n ~ C I a n d D 3 ) N =$ 2 ~0 , 0 0 1 - $ 5 0 0 , 0 0 0 O - $ 5 0 0 , 0 0 1 . $ 1 , 0 0 0 , 0 0 0 P I - $ 1, 0 0 0 , 0 0 1 - $ $ , 0 0 0 . 0 0 0 P 1 = $ 5 ,0 0 0 ,0 ~ ) I . $ 2 5 ,0 0 0 ,D 0 0


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D a t ~ o [ R e p e r t F I N A N C I A L D I S C L O S U R E R E P O R TI

P a g e 7 o f 8 G A R T H , L E O N A R D I , 0 4 / 0 5 / 2 0 1 0

V III. ADD ITIONAL INFORMATION OR EX PLANATIONS. a.az~,r.~r~l-,~,~o,z~P ar t I T h e E s t a t e was c l o sed i n 2 0 0 9 b y t h e F i n a l Di s t r ib u t i o n o f F u n d s h e l d i n t h e B an k o f Am er i c a c h ec k i n g ~c c o u n t ~S ee P ar t V I I I, #2 1 )P a r t V I # 1 1 h a v e p r e v i o u s l y r e p o r t e d t h i s p o l ic y a s " O w n e r . " I a m n o t t h e O w n e r . i s t h e Own e r . I am t h e I n su r ed .P a r t V I # 2 1 h a v e p r e v i o u x l y r e p o r t e d t h i s p o l i c y a s " O w n e r . " I a m n o t t h e O w n e r . i s t h e Own e r . I am t h e I n su r ed .P ar t V I I #7 C h ase B an k S av i n g s . I c l o sed o u t a l l th e s av i n g s a n d t r an s f e r r ed t h em t o t h e C h ase B an k C h ec k i n g Ac c o u n t ( s ee #8 i n f r a ) . I d o n o t h av e an y C h a seB an k S av i n g s Ac c o u n t r em a i n i n g . L e t m e a l so ad v i se t h a t t h e r easo n I h av en o t su p p l i ed th e sp ec i f i c d a t es ( a l t h o u g h I h av e i n m o s t c ases f u r n i sh ed t h e m o n t h an dt h e y ear ) , i s t h a t t h e sp ec i f i c d a t e o n wh i c h t h e t r an sac t i o n s o c c u r r ed i s u n av a i l ab l e t o m e an d i t i s n o t an t i c i p a t ed t h a t I wi l l b e ab l e t o o b t a i n su c h d a t es i n t h ef u t u r e .P ar t V I I #I I DW S was f o r m er l y r ep o r t ed as AAP , . P . AA. R P Gr o wt h & I n c o m e F u n d i s n o w k n o w n as DW S I n v es t m en t s . T h e sam e a c c o u n t n u m b er r em ai n s . Iu n d er s t an d t h a t AAR P b ec am e " S c u d d er I n v es t m en t s" in 2 0 0 6 a n d , t h e r ea f t e r , in 2 0 0 8 o r l a t e r , i t b ec am e DW S I n v es t m en t s .P ar t V I I #1 5 S o m e t i m e d u r i n g 2 0 0 8 , I c l o sed m y sav i n g s ac c o u n t a t W ac h o v i a b y d ep o s i t i n g t h e f u n d s i n t h e W ac h o v i a c h ec k i n g ac c o u n t ( s ee #1 g i n f r a ) .P a n V I I # 2 0 S m i t h B a r n e y w a s a n E s t a t e :| 1 B r o k e r a g e A c c o u n t w h i c h w a s c l o s e d s o m e t i m e i n 2 0 0 8 , w i t h a l l fu n d s d e p o s i t e d i n t h e B a n k o fAmerica Estate Checking Account ( see #~ I [~:f r~)~P a r t V I I # 2 1 B a n k o f A m e r i c a E s t a te C h e c k i n g A c c o u n t . T h i s w a s t h e E s t a t e ] ~ e s t a te f u n d s w e r e a c c u m u l a te d i n t h i s a c c o u n t . In O c t o b e r2 0 0 9 t h e f i n a l c h e c k s f o r c o m m i s s i o n s a n d t o t h e r e s i d u a r y b e n e f i ci a r i e s w e r e ~ i d ~ ~ e l i ~ t h ~ c c o u n t a n t a n d t h e E s t a t e l a w y e r . T h e A c c o u n t a n d E s t a t e w e r ec l o s e d .P an V I I #4 0 JB l l an au er i s n o w k n o w n as R B C I n v es t m en t s , I n No v em b er 2 0 0 8 , c o n c u r r en t wi t h t h e s a l e o f o u r r es i d e n c e , I t r an s f e r r ed a l l m y sec u r i t i e s t o JBH a n a u e r ( n o w k n o w n a s R B C I n v e s t m e n t s ) f o r m a n a g e m e n t . R B C I n v e s tm e n t s m a n a g e s m y s e c u r i ti e s a n d a c c u m u l a t e s a n y c a s h d i v i d e n d s o r s a l e s p r 0 c e e d s i nt h e i r F ed er a t ed M o n ey Ac c o u n t .P ar t V I I #4 3 Gu i l f o r d S av i n g s B an k was o p en ed b y m e i n wh i c h t h e i n t e r es t an d o t h e r d ep o s i t s r ec e i v ed b y m e i n C o n n ec t i c u t c o u l d b e d ep o s i t ed . T h i s i s d i s t in c tf r o m t h e Gu i l f o r d S av i n g s B an k C D ( see #3 4 su p r a ) a s r ep o r t ed .P ar t V I I #4 4 R B C I n v es t m en t s i s t h e su c c es so r o f JB Han au e r ( s ee #4 0 su p r a ) . R B C I n v es t m en t s n o w h av e a l l o f t h e s ec u r i t i e s t h a t JB Han au er h ad r ec e i v ed , a swel l a s an y f u n d s r ec e i v ed wh i c h a r e d ep o s i t ed i n t h e R B C I n v es t m en t s F ed er a t ed M o n ey Ac c o u n t .


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F I N A N C I A L D I S C L O S U R E R E P O R TPage 8 of 8 G A R T H , L E O N A R D I . 0 4 / 0 5 / 2 0 1 0I X . C E R T I F IC A T I O N .

1 c e r t i fy t h a t a l l in f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e t o t h e be s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b le s t a t u t o r yp r o v i s i o n s p e r m i t t in g n o n - d i s c l o s u r e .

! f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . 5 0 1 e t . s e q . , 5 U . S .C . 7 3 5 3 , a n d J u d i c ia l C o n f e r e n c e r e g u l a t i o n s .

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

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

Leonard I Garth Financial Disclosure Report for 2009

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Transcript of Leonard I Garth Financial Disclosure Report for 2009