frederic block financial disclosure report for 2009

8/3/2019 Frederic Block Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/frederic-block-financial-disclosure-report-for-2009 1/9

A n 1 o

I

FINANCIAL DISCLOSURE REPORT R + , p o r ~ R e q , , i ,e ~ b ) ’ t h e E t h O sin Government Act of 1978Rev. 1/2010 FOR CALENDAR YEAR 2009 is u.s .c , app. §§ 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t ia l ) 2. Court o r Organization 3 . D a t e o f R e p o r t

B lo ck , Freder ic U .S . District Cou rt 05/10/2010

4. Title (Aaicle Ill judges indicate active or senior status; 5 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 te t y p e ) 6. Repor t ing Per iodmag istrate judges indicate full- or part4ime)

[ ] No m i n a t io n , D a t e 01/01/2009U.S. District Judge [] Initisl [] Annual [] Final to

5 b . [] A m e n d e d R e p o r t

7 . C h a m b e r s o r Off ice Address S, On the basis of the inform at ion contained in th is Repor t and anymodi f i ca t ions per t a in ing the re to , I t Is , In my opin ion , In com pl iance

225 Cadman P laza E . with applicable laws and regulat ions .

Easte r n Dis tdc t Court o f NYBroo k lyn , NY l l201

Reviewing Off icer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,

checking the NON E box for each part where you have n o reportable information. Sign on last page.

I . POSITIONS. t R e v o . i n g + . ., ,+ i , , u , ,, , t o n t y ; s , , o . , , ,o . 9 - 1 3 of f i ling instructions.)

[---] N O N E (No reportable posi t ions.)

POSITION NAME OF ORGANIZATION/ENTITY

1, Officer Frede r i c B lock , P .C.

NONE (No repoaable agreements.) r’ ~ --D A T E PAR~S ~ TE~S



N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tFINANCIAL DISCLO S URE REPO RT

[ Block, F r e d e r i c

of 9 O S t l O / 2 O l O

H I . N O N - I N V E S T M E N T I N C O M E . ( R e p o ~ n g ~ n d ~ d ~ a t a ~ , p o u ~ e ; , e e ~ , . 1 7 - 2 4 of filing instructions.)

A. Filer’s Non- Inve s tmen t I ncome

~] (No repor table non- inves tment income.)ONE

D A T E SOURCE AND TYPE INCOME( you rs , no t spouse ’ s )

1 .

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 - i f you we. married during any portion of the reporting year, complete this section,

( D o l l a r am a u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a . )

~-~ (No repor table non- inves tment income.)O N E

D A T E SOURCE AND TYPE

1.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertai .... l.

( I n c lu d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f fi ll n g i r ts t r u c t io n s . )

~-] ]~ONE (No rep or t a ble re i mb u rsemen t s .)

SOURCE .DATES LOCATION PURPOSE ITEMS PAID QP- PRQVIDED

I. NATIONAL ASSOC. OF 1/14/2009 to AS P EN, CO EDU CAT IONAL T RANS P ORT AT ION, LODG ING ANDCRIMINAL DEFENSE 1/21/2009 SEMIN A R FOODLAWYERS

2. NORTHWESTERN 4/22/2009 T O CHICAGO, IL PRO FESSIO N A L TRANSPORTATION, LODGING ANDUNIVERSIT Y SCHOOL OF 4124/2009 EDUCATION FOODLAW

3. GEO RGE MA SO N 1 !/30/2009 TO CAPTIVA IS LAND, P ROFES S IONAL FOOD AND LODG INGUNIVERSITY SCHOOL OF 12/6/2009 FLORIDA EDU CAT IONLAW



FINANCIAL DISCLOSURE REPORT Na.,e of P ....R e p o r t i n g Date of Report

of 9 B l o c k , F r e d e r ic 0 5 / 1 0 1 2 0 1 0

~-] N O N E (No reportable gifts.)

SD~CE DESCRIPTION

I.

2.

3.

4.

5.

V I . L I A B I L I T I E S . a n ¢ t , a , s those of spouse and dependent children; see pp, 32-33 of filing instructions.)

[] N O N E (No repor table l iabi li t ies .)

CREDITOR DESCRIPTION VALUE CODE

1 .

2.

3.

4.

5.



FINANCIAL DISCLOSURE REPORT Name of P . . . . R e p o r t i n g D a t e o f R e p o r t

of 9 Block, Frede ric 05/10/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~.c o.~e, r~e, ,r=s.c~.s a.a=d.s ,ho;. o~’ ~

NO~ (No reponable income, assets, or tra~actions.)

A. [ B. C. D.Decept ion of As~ts [ Income dur ing G~ss v a lue a t end

( i~]uding t~s t a~ets )~

r e ~ i~g p e r i od of re~ing

’ , - i , ~ 1 . . . .. ~:~ ~ , ) .....m ......~ , ; ’ : m " m "[-~--; ...........i ) - -V a l a ~

............. ~ _~ ......... ~ - w , I

1 . B A N K O F A M E ~ C A S E R A P ~ A Interest K T B u y 01/ I 3 /~ K

2. B A N K O F A M E ~ C A S E R 2 P ~ A Interest S o l d 05~ K A

3. BECT ON DICKENSON CO A Dividend K T Bu y 0 1 1 1 3 1 0 9 K

4. FIRST T R TAX ADVANT. PFD INC FD A Dividend So ld 06/26/09 K

5, BIACKROCK NY MN 1 T R S B I C Dividend L T Bu y 06/26/09 J

6, EATON VANCE INS NY MU N C Dividend L T

7. CITIGROUP CAP. VII I DEF INT TRUS T A Interest J TPFD STK 6.950% 09/15/31

8. EATON VANCE RISK MANGD DIVRS C Dividend K T Bu y 07129/09 KEQ I NC FD

9. ABN AMRO CAP FD TR VII P FD NON C Dividend So ld 11/10/09 KCUM 6.08% PERP

1 0 . ROYAL BK SCOT G RP PLC 6.35% C DividendS o ld 09/15/09; KNONCUM PRF SR-N

1 t. BLACKROCK MU NIYIELD NY INS FD A Dividend K TI N C

1 2 . NUVEEN NY INV QU AL MUNI C Dividend L T

1 3 . NUVEEN NY QU AL INC MU NI C Div i d e nd L T

1 4 . PIM CO NY MU N INC FD B Div i d e nd K T

1 5 . COHEN & ST EERS CLOSED END A Dividend J TOPPT Y FD(2)

1 6 . I S H A R E S D O W J O N E S U S R E I N DE X F D A Dividend K T B u y 05/08/09 J

1 7 . MERRILL LYNCH BANK USA(2) A Interest K T Merged(wi th l ine 19)



FINANCIAL DIS CLO SURE REPO RT Name of Person Reporting DateorReport

o f 9 B l o c k , F r e d e r ic 05/I0/2010

N O N E (No repomable income, assets, or tra~actions.)

A. B. [ C. D,~fiption of Assets I n c o m e d u r i n g ~s value at end T~n~cfions during ~ing( i ~ l u d in g t r u s t ~ s e t s ) ~po~ng ~riod of r~ing

~ "(X)" dter ~ch =~t A m o u n t ,

(I)

V M u e Ty~ (e.g., Date Value Gain Ident i t yexempt fmmpfior di~losure C~ [ ~ M e thod bay,~l,, l~d~y y IC~e2 [C~* i buye r /~ l l e r

( A- H)

[

C~e3 r e d e m p t i o n )

/I (j.p) { (A.H)

(ifpfivate

.......( Q - W ) ~ans~tion)

18 . ~A CARD SERVICES NA A Interest K T

1 9 . SATU RNS-GS 2~ -2 SER GS 5 .75% B I n t e r~ t K T~ 1 5 1 3 3

20. BLACKROCK WORLD ~ A D i v i d e n d Sold 08/03/~ K

21 . NUVEEN NY PREF P~ MUNI C Dividend L T Buy 11/10/~ J

(add’l )

22, R~RCH IN MOTION LTD None J T

23 . VERIZON COMM COM B Div i d e nd J T B u y 05!13109 J

24 . WI~S- IERN ASSTICLAYMORE US B Div i d e nd S o l d 01/16/09 KTREAS. INFLATION

25. WEST ERN ASSETICLAYMORE B Div i d e nd K TINFL.-LNKD OPT & INC FD

26. IRA- F. BLOCK

27 . ALLIED CAPIT ALCORP NEW A Div i d e nd J T

28. ANNAL YCAP M G M T INC B Div i d e nd K T B u y 07/14/’09 J( add’ l )

29. ARROW ALTERN. SOLUTIONS FD CL A A Div i d e nd S o l d 12/15/09 L

30. BLACKROCK PFD INC STRAT B Div i d e nd S o l d 06/29109 K

31 . BLACKROCK. PFD & CORP INC B Div i d e nd S o l d 06/29/09 J

32. CGM ADVISOR TARG.EQ. FD CL C A Div i d e nd So l d 03/06/09 J

33 . DWA T ECH LEADERS PORT NoneS o l d 07/17/09 J

34 .

cLcEATON VANCE DIVIDEND BLDR FDA Div i d e nd K T

I . I ncome Ga in Codes: A - - - . $ 1 , 0 0 0 t ~ r l e s s B M 1,001 . $2.500 C =$ 2,501 - $5.000 D =$5,001 . 515.D00 E =$15,001 - $50.000( . g e e ~ " o 1 o r r m s B l a r id D 4 ) F = $ 5 0 . 0 0 } . $ 1 0 0 . 0 0 0 1 3 = . ~ 1 0 0 . 0 0 1 - 5 1 . 0 0 0 . 0 0 0 H I =$ 1.000.001 - 55,000.000 H 2 - - A ~ o r e th a n $ 5 . 0 0 0 . 0 0 0

2. Value Codes J =515.000 or lest K =$15.001 - $50.000 L = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0 M(See Columns CI and D3) N =$ 250.001 - $500.000 O = $500.001 - $ 1,000.000 PI =51.000.001 - $5.000.000 W 2 - - $ 5 ,0 0 0 , 0 0 1 .

P3 = $25.000.001 - $50.000.000 P4 = More than 550,000.000 I3. V~lue Mtthod tTodcs Q =Appra i~ l R =~ost (Real Estate Only) $ =As~e~srmnt T

(See Column C2) I L l = B o o k V a l u e V ~ W - - - E s t im a t e d



N a m e o f P e r s o n R e p o r t in gINANCIAL DIS CLO SURE REPO RT

I BIo~, ~d~n~

~ . ~ e 0 ~ ~ . r t o f 9

o s / t o / 2 o l o

V I I . I N V E S T M E N T S a n d TR U S T S .. i . e o m e , . a t .. . ,r ~ . . , ~ c . o . , a . e ~ , , a o . , ~ o , . o y . m ~ . . . .a a , ~ . . a . ~ t . ~ . : . . r p . 3 4 - 6 0 of fit~g l n a m c a o n s . )

NO~ (No reportable income, ~sets, or tra~actiom.)

~f ip t ion o f Asse t s ]Income dur ing ~ s v M u e a t e n dt ~ Tran s ac t i o n s du r i ng r ep~ng ~ f i od( i n c l u d i n g t r u s t a s s e t s ) [ ~ng period ’ o f redo ing

PIa~’ (X )" a f t e r~cha~e t ~Amou n t / Ty~ ( e . g . , Value ] Value T ~ ( e . g . , Date i Value [ G~n t I d ~ t i t y o fe x e m p t f ro m p d o r d i s c lo s u r e ~ C ~e I / d i v . , r e n t , C~e2I

M et h~ buy , sell, ~m m ld~ry

( A ’ H )Iorint .)

(J’P) IC~e 3 redempl ion) ~ I ( J ’ P ) ~ (A -H) ( i f p6va t e( Q - W )

...... I ........ 1. L.. ! ~nsac t i on~

35 . EATON VANCE RISK MANAGEDA Di ~den d S o l d 10~&~ KIVR S .E Q . ~C FD

3 6 . JOHN HANC~K ~ CAP EQ E~ CL C A Div i d e nd S o l d 0~4/~ K

37 . P I~CO T O TA L R~URN FD CL C B ~vidend L T B u y 12/15/09 J( a dd ’ l )

38 , -MORGAN ~y- ~ V DEF INT A In teres t J TT R P ~ 5 . 7 5 % 7 / 1 5 ~ 3

39 . CBS ~RP. 7.25%~0151 B Interest K T

~. - C I T I G R O U P C A P V I I I D E F 1 ~ T R P ~ C ]n te~s t K T~K 6 .95% 09/15 /31

4 1. -VO~ADO R~LTY TRUST SERF B Interest K TCU M P F D SH S 6 . 7 5 % PE RP

4 2, AMERIC~ ~NDM IN~ CL C ~ A Dividend So l d 07/15/~ K

4 3. A M E R I C A N CAP WLD GRW & INC CL A Div i d e nd S o l d 07115/~ K

~. AM E R IC AN BOND ~ OF AME ~C A C L C Div i d e nd L T B u y 07/15/09 L( a dd ’ l )

45 . AMERICAN BOND FD OF AMERICA CL C D iv ide nd L T S o l d 10/13 /~ K

46 . A R R OW D W A B A ~ N C E D ~ C L A A Div i d e nd L T

47 . B L A C K R O C K E Q U I T Y D I V F D C A D iv ide nd K T

4 8 . B~CKR~K HL SC OPPCNone K T B u y 091~I~ K

49 . C A~MOS C ONV OPP INC FDC Div i d e nd K T B uy 0~4/~ K

50. CALAMOS CONVERTIB LE FD CL C

A Div i d e nd K T B u y 0~19/~ K

51 . CO~N & ~EERS CLOSED END B Div i d e nd K T B u y 08I~OP~Y FD( a dd ’ i )

I . I n c o m e G a i n C o d e s : A = $ 1 , 0 1 3 0 o r l e s s B = $ 1 , 0 0 1 - $ 2 . 5 0 0 C = $ 2 . 5 0 1 - $ 5 , ~ 0 0 D

2 . V a l u e C ~ ~ J ~15 ,~ ~ l e s s K =$15,~1 - $50.~ L =150,~1 - $1~,~ M ~1~,~1 - ~,~ !~o Colu~s CI a~ D3) N ~250,~1 - $5~,~ O ~5 ~ .~1 - $ 1 , ~ , ~ PI ~1.~1 - $5,~.~ ~ ~,~,~I - $25,~,~

3 . V a l u e M e r ~ ~ Q = A p p ~ R ~s t (Real Es~te On)y) S = A~ s s~ n l T ~ a ~ h ~ k ~ J[ U =B~ V~ V = O t h~ W = E ~ im a t e d



FINANCIAL DIS CLO SURE REPO RT Name of P ... . n R e p o r t i n g D a t e o f R e p o r t

o f 9 Block, Frederic 05110/2010

V I I . I N V E S T M E N T S a n d T RU S T S - i .c o , ~ e , ~ o , t ~ . ~ a c t io . s a . e lu d ~ t h o ~ o y ~ p o ~ ~ . ~ ~ . . d ~ .t c ~ U ~ r o . ; ~ . r r . 3 4 - 6 0 of filing instructions.)

[~] INONE (No reportable income, assets, or transactions.)

A. B. C. D.

D e s c r i p t io n o f A s s e t s Incom e during Gross va lu e a t end 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(including trust assets) repoa ing per iod of reposing peri ..~.~_~

P l a c e " ( X ) " a f t e r e a c h a s s e t Amount [ Type (e .g. . Value Value T y p e ( e . g .. [ Date [ 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 l o s u r e Code I I d i v . , r e n t , Code 2 M e th o d buy. sell, [mm/dd/yy t Code 2 C o d e 1 buyerlseller

(A-H) ~ o r i n t . ) ( J - P ) Code3

redem p t i on ) __ j . _ ( . _ . ~ ( J -P ),A-H, , i f p r i v a t e

.........( Q - W ) I r u n s a c t i o n )

52. -EVERGREEN MANAGED INCOME C Div i d e nd K TFUND Mul t i Sec to r

53 . IVY ASSET S TRAT EGY FD CL C None L T B u y 03119/09 J( a dd ’ l )

54 . BLACKROCK ALLOCATIONC A Div i d e nd S o l d 03/19109 J

55 . SAT U RNS-G S 2004 -2 SE R G S 5 . 7 5 % B Div i d e nd K T2/15/33

56 . T H ORNBU RG INC BU IL DE R F D CL C B Div i d e nd K T

57 . -MERRILL LYNCH BANK USA RASP A Interest J T Merged(wi th l ine 59)

58 . FIACARDSERVICES NA RASP A Interest K T

59. USB CAPITAL VI 5 .75% 3/9 /35 B Div i d e nd K T B u y 10/21/09 K( a dd ’ l )

60. -LOOMIS S AYLES INV GRADE BOND C D iv ide nd K T Sold 06/09/09 KFD CL C ( p a n )

61 . LOOMIS SAYLES ST RAT INC FD CL C C D iv ide nd L T B u y 10/26/09 K¯ ( a dd ’ l )

62 . MFS U TILIT IES FD SER TR VI UTL CL ( B Div i d e nd L T B u y 12/10/09 L

63 . PIM CO ALL ASSET ALL AUTH FD CL C C Div i d e nd K T B u y 1 0 / 0 7 1 0 9 K

64. PIM CO REAL RETU RN FD CL C B Div i d e nd L T B u y 06/04109 L

65. NUVEEN QU AL PREF INC 2 C Div i d e nd S o l d 08IIM/09 K

I 6 6 . BANK OF S M I THT OWN None J T

( g e e Co lu~ B I a n d D4) F = $50,001 - $100.000 G =$ lO0.001 - $1,000.000 HI =$I.000.001 . $5.000.[130 H2 =Mo~ Ihan $5.000.0(10 |2. Value Codes I =$15,000 or less K =$ I 5.001 ¯ $50,000 L - - $ 5 D . 0 0 1 . $ I 0 0 , 0 ( ~ 0 M - - - ~ 1 0 0 . 0 0 1 . $ 2 5 0 , 0 0 0

(See Columns CI and D 3 ) N =$ 250,001 - $500,000 O ~ - - $ 5 0 0 . 0 0 1 . $ 1 . 0 0 0 ,0 0 0 PI :$1.000,001 - $5,000.1X)0 P2--$5.000,001. $25,000.000P 3 - - - - $ 2 5 . 0 0 0 , 0 ~ l - $50,000.000 P4 =Mote t h a n $50,000.000

3 . Va l ue Me l~d Cod~ Q -App raisal R ~:o~ t (Rea l Eg ta te On ly) $ =Assessmenz T - - - C a g h M a r k e ~(See Cnlur~ C2) L I =Book Val ue V =Other W = E ~ ’ i m . ~ te d

,



FIN A N CIA L D ISCL O SU RE REPO RT ! Name of Person Repor t ing Date of Repor t

o f 9 Block , Frede r i c 0 5 1 1 0 / 2 0 t 0

VHI. ADDITIONAL INFORMATION OR EXPLANATIONS.



FINANCIAL DISCLOSURE REPORT N a r n e o r P e r s o n R ¢ p o r t i n g O a t e o f R e p o r t o f 9 Block , Frede r i c

05/10/2010

IX. CERTIFICATIO N.

I c e r t if y t h a t a l l i n f o rm a t i o n g i ven above ( i n c lud i n g i n f o rm a t i o n p e r t a i n i n g t o my spo u se and m i no r o r d ependen t ch i l d r en , if any ) i sa ccu r a t e . , tr u e , and com p le t e t o t he be s t o f m y know ledge and be l ie f , and t h a t any i n f o rm a t i o n n o t r epo r t ed was w i t hhe ld becau se i t me t ap p l i c able s t a tu t o ryp ro v i s i o n s p e rm i t ti n g n on - d i s r i o su r e .

I f u r t he r c e rt i f y th a t e a r n ed I n com e f r om o u t s i d e emp loym en t and hono r a r i a and t he a ccep t an ce o f g i f ts wh i ch hav e been repo r t ed a r e I nCom pl i a nc e w i th t h e p r o v i s i on s o f 5 U .S .C . a pp . § 501 eL s eq ., 5 U .S .C . § 7353 , a nd Jud ic i a l Con fe r e nc e r e gu l a t i on s .

S i g n a t ~

NOTE: ANY INDIVIDUAL WH O KNOWINGLY AND WILFULLY FAIAND CRIMI NAL SANCTIONS (5 U .S.C. app . § 104)

FILING INSTRUCTIONS

M a i l si g n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

C o m m i tt e e o n F in a n c i a l D i s cl o s u r eAdm in i s t r a ti v e O f f i c e o f th e U n i t e d S t a t e s Co u r t sSuite 2-301One Columbus Circle, N.E.W ash i n g t o n , D .C. 20 5 4 4

frederic block financial disclosure report for 2009

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