joan n ericksen financial disclosure report for 2009

8/3/2019 Joan N Ericksen Financial Disclosure Report for 2009

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I , ~ o t 0 I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c s in Governmen t Act of 1978R o y . 1 / 2 0 1 0 ] F O R CA LEN D A R Y EA R 2009 0 v.s.c, a p p . 1 . Pe rson Report ing ( la s t nam e , f i rs t , midd le in i t ia l) 2 . Cour t o r Organ i z a t i on 3 . D a t e a t " R e p o r tEr icksen , Jo an N . U.S . D i s t r ic t Cour t - Minne so t a 0 5 1 1 2 1 2 0 1 0

4 . T i t l e ( A r t i c le 1 I I j u d g e ~ m d i c m e a c t i v e o r s e n i o r s t a r e s ; 5 a . R e p o r t T ~ p e ( c h e c k a p p r o p r i a t e t y p e ) 6. Repor t ing Per iodmagis tra te judges ind ica te fu l l- o r pa rt- t ime) [ ] N o m i n a t i o n . D a t e 01 /01 f2009U.S . D i s t r i c t Judge - Ac t ive [] Initial [] Annual [] Final to12 /31 /2009

5 b, [] A m e n d e d R e p o r t7 . C h a m b e r s o r O f f ic e A d d r e s s 8. O n t h e b a s i s o f t h e i n f o rm a t i o n c o n t a i n e d I n t h i s R e p o r t and anym o d i f i c a t i o n s p e r l a i n i n g t h e r e t o , i t i s , I n m y o p i n i o n , i n c o m p l i a n c e

12 W Un i t e d S t a t e s Cou r t h ou s e wi th app l i cabl~ l aws a nd r egu l a t i ons .300 Sou th Four th S t r e e tMinneapo l i s , b in 55415 Reviewing Off icer D a t e

IMPORTANT NOTES: The ins truct ions accompanying this form must be followed. Complete all parts,check ing the N O NE box fo r each par t where you have no repor tabl e in fo rmat ion . S ign on l a .~t pag~

I. P O S I T I O N S . t R , ~ , o ,~ ,~ i ~ d i ~ id n o t n a y ; ,~ , p ~ . ~ - u o f ~ l in g[---] N O N E (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY.I. Boa rd o f D i re c to r s F r i e nd s o f the Ch i l d r e n Founda t i on

2. Bo a rd Fed e r a l Ba r A s s o c ia t i o n3. Rule s o f Evidence Comm i t t e e J ud i c ia l C o n f e r e n c e

4. Board o f D i r ec t o r~ M i n n e s o t a La w ye r

I I . A G R E E M E N T S . t ~ , ~ o , ~ . ~ individual O.I.g; see#p, l,t-t# of filing instructions-)~ NONE (No reportable agreements.)

~ PARTIES AND TERMSI. 2002 M i nn e s o t a S t a t e J u dg e Re t ir e m e n t P l a n - f o r m e r e m p l o y e r - n o c o n t r o l


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Ia m e o f P e r s o n R e p o r t i n g D a t e o [ R e p 0 r tPag eF I NAN CI AL 2 of 9 D I SCL OSU RE R EPO RT ] Er i e k~ e~ , aoa~ r ~ . o ~ n 2 / 2 0 1 0I II . N O N -I N V E S T M E N T I N C O M E . ~e~o,~i.~A. Filers N o n d n v e s tm e n t I n c o m e

NONE ~o reportable non-investment income.)~ SO~CE A~ ~E ~COME( y o u ~ , n o t s p o u s e s )

I. 2~9 T ~ c h i n g - W i l l i ~ M i t c h e l l Co l l e g e o f ~ w $850.00

2. Jan~ 09 Teaching - Unive~iW of St ~o~ ~9,0~.~

3 , Fa l l 2009 T~ching - U~ve~iW of ~ Law Sch~l $6,0~,~

4.

B. Spouses Non- l nve s tmen t I ncome - t f yoa were married during any portion of the reporting yenr, complete thi~ sectioe~( D o l la r a m o u n t not r e q u i r e d e x c e p t fo r h o n o r a r i a . )

~ NONE ~o reportable non-investment income.)DATE SO~Cg A~ T~g

1 .2.

3.4.

I V . R E I M B U R S E M E N T S -~ n c l u 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 ; ~ e e p p . 2 5 -2 7 o f f il in g i n s tr u c t i o n s . )

[~ NONE (No reportable reimbursements.)S O _ _ Q _ ~ L I L C ~ D A T E S LO~ATION PURPOSE IT E M S P A I D O R P R , O V ID E D ,

1 . A m e ri ca n Ba r As so ci ati on 04/01/2009 Denve r , CO Si t e Eva lu a t i on Transpo r t a ti on , m ea l s , ho t e l

2.3.4.5.


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N a me o f P e r son R ep or t ing D a t e of R ep or tF I N A N C I A L p a g e 3 o f 9 D I S C L O S U R E R E P O R T I Ericksen, Joan N . 0 5 / 1 2 / 2 0 1 0

V . G I F T S . a ~ d ~ a , o ~ ~ o ~ , o ~ , o and dependenl children; s e e p p . 2 8 - 3 1 of filing tnstrucflons.)N O N E (No reportable gifts.)

I.2.3.4.5.

~ NO N E ~ o reportable liabiliti~.)C R E D I T O R ~ ~

t. Count~ id~ Bank M o~g a g e N

2.3.

4.5.


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F IN A N C I A L D IS C L O S U R E R E P O R T ! S a m e off ..... R r p o r t i a g D a t e o t R e p o r tP a g e , 1 o f 9 Ericksen, Joan N. 05112 / 2 010V I I . I N V E S T M E N T S a n d T R U S T S - i , , c o , , , . , ,~.., , , o ~ s * c , i o n s a,,d.a~ , h o s . o / ~ o ~ . ~ . .~ . ~ . . ~ ch i ldren; s t t p~ 34-60 of filing n ~ m c d o n ~ )

NONE ~o reputable income, ~sets, or transactions.)A. B. [ C. D.

Des~pt i onofAsse t s ~m d~gI

Gross value at( i ~ l u d i n g t ~ a ~ e t s ) ~ing pe~od of r~o~ing ~

P l ace " (~ a~r eac~ a s~ t A~unt T ~ ( e . g . , Valu~ Valu~ T~exemp l ~m p r i o r d i ~ l o su r Code I d iv. , r~1 , C~2 M~ b u y , s o B , ~d&~ C ~ 2 C o d e I buyer /s l l~{ A - H ) o r h e . ) ( J - P ) C ~e 3 ~ption) ( J - P ) ( A - H ) ( i f p r i v a t e

1 . Min n e s o t a D e f e rr e d Co m p P l an A Dividend L T2. M i nne s o t a S t a t e Re t ir e m e n t S y s t e m - N o n e L TJ u d g e s R e t i re m e n t P l a n3. A m e f i p r i s e M one y M a r k e t A Int /Div. K T

4. AIM Globa l Rea l Es t a t c (AGKEX) S o ld t0 /29 J(par t )5. AIM GIoba l Rea l Es t a t e (AGREX) S o ld 08/28 K(par t )6. AIM Globa l Rea l Es t a t e (AGREX) B u y 06/03 J( a d d l )7. AIM Globa l Rea l Es ta |e (AGREx) Bu y 03 /03 J( a d d l )8. AIM Globa l Rea l Es t a t e A Div idend K T9. C re d i t Su is s c C o mm o d i t y (C R SAX) S o ld 12/30/09 K

1 0 . C re d i t Su is s e C o mm o d i t y (C R SAX) B u y 08/28( a dd l )I 1 . Cre d it Su is s e Co m m o d ity (CRSAX ) B u y 06/03( a dd l )1 2 . C re d i t Su is s c C o mm o d i t y (C R SAX) B u y 03 /03( a d d l )13 , C re i d t Su is s c C o mm o d i t y (C R SAX) A Div idend J T1 4 . Fid Adv Emerg ing Ma rkc ts (FAMKX) So ld 8/28 K

1 5 . Fid Adv Emerg i ng Ma rke t s (FAMK_X) B u y 03 /03 J( a dd l )

16 . Franklin M N Insurcd Tax Frec (FMINX) So l d 12/30 J( p a n )17 . Frank l i n MN In su re d Tax F rce (FMINX) B uy 09/01 K(addl )

1 . I n c o m e G a i n C o d e s : A -$1 ,0OO o r l e s s B =$1 ,0OI - 52 .~:00 C -$ 2 .50 1 - $ 5,0 O O D =$ 5,0 0 1 - $ 1 5,0 0 0( S e e C o l u r m a s B I a n d D 4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0 G = $ i 0 0 . 0 0 1 - $ 1 . 0 0 0 , 0 ~ 0 H ! = $ 1 , 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0 H 2 = M o r t f i x , a n $ 5 . 0 0 0 , 0 0 0

2 . V a l u e C o d e s J =$ I S ,000 o r l e s s K -$ 1 5.0 0 1 - $ ~ 0 ,0 0 0 L = $ 50 ,0 0 1 - $ 1 0 0 ,0 0 0 M =$ 1 0 0 ,0 0 1 -( S e e C o t u n m s C I ~ n d D 3 ) N =$2 .~0 ,001 - $500 .000 O -$ 50 0,0 01 - $1 ,0 00 ,0 00 P ! =$ 1.0 00 ,0 01 - 1 5,0 00 .0 00 P 2 = $ $ , 0 0 0 , 0 0 1 -

P3 =$25 .000 .001 - $50 .000 .000 P 4 = M o r e t h a n3 . V~ t lu M e tho d C o d e s Q =Ap p r a isa l R ~ C o st (Re a l Es ta te On ly ) S ~A s s cs s m en t T ,=Cash Ma~kCl

(Se c Co rm -a n C2 ) U ~ B o o k Va Lu e V ,~Othe r W =E s t i r s ~ . tcd


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F IN A N C I A L D IS C L O S U R E R E P O R T [ N a m e o f P e r $ o n R e p o r l i ng V,teofReportPage 5 of9] E r i c k s e n , J o a n N .

0 5 1 1 2 / 2 0 1 0

VII. INVESTMENTS an d TRUSTS - i~ .... e, value, I .......ions (l~lcludes those of sp ...... d dependent children; ~ee pp. 34-60 of f i ling instruction.r.)---] NONE i ncome , or transac t ions . )eportable ~ssets,

A. B. C. D.Desc r ip t ion o f Asse t s i n c o m e d u r i n g Gross value a~ . end Tr a ma e 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( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

( I ) ( 2 ) (i) (2) ( I ) (2) (3) (4) ( 5 )P l a c e " ( x ) " a f t e r e a c h a s s e t Amount T y p ~ ( e . g . , Value Value T y p e ( e . g . , D ate V al ue G ai n I d ~ n t i l y o f

e 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 d i v . , r a n t , Code 2 Method b u y , s e l l , m r ~ d d ! y y I C o d e 2 Code I b u y ~ / s l l e r1 (A-H) o r i n t . ) ( J - P ) Code 3 r~demption) 0-P) (A-H) ( i f p r i v a t e! (Q- W) ! t r a n s a c t i o n )

1 8 . Franklin bin Insured Tax Free ( FMINX) Sold 06/03 J(par t )1 9. Franklin MN Insured Tax .Free (FMINX) Buy 03 / 03 J, ( a d d l )2 0 . Franklin Nf/q Insured Tax Free (FMINX) A Dividend J " 1 "21 . R VS H ig h Y i e l d Bo n d ( I NE AX) Bu y 12/30 K( a dd l )22 , R VS H ig h Y i e l d Bo n d ( I NEAX) S o ld 10/29 J(par t )23 . R VS H ig h Y ie l d Bo n d ( 1 NE AX) Bu y 09/01 J( a dd l )24. R VS t t i g h Y i e l d Bo n d ( INE AX) B u y 03/03 J( a dd l )25. R VS t l i g h Y i e l d Bo n d ( INE AX) A Dividcnd J T

26 . Oppenhe im e r In t l Bond (OIBAX) B u y 12/30 J( a d d l )27 . Oppenhe im e r In t l Bond (OIBAX) B u y 08 /28 K( ad f f l )28 . Oppenhe im e r In t l Bond (OIBAX) B u y 03/03 J( a dd l )29 . O p p e n h e i m e r l n t l B o n d ( O IB A X ) A Div i d e n d L T30 . Oppenhe ime r R .och Na t IMun i (ORNAX) So l d 12/30 J(par t )31 . Oppenhe im e r Roch Na t l Mun i (ORNAX) B u y 03/03 J( a dd l )32 . Oppenhe im e r Roch Na t l Mun i (ORNAX) A Div i d e n d J T33 . Putnam lnt lCa p Opp (PN VAX ) S o l d 08/28 J( p a r t )3 4 . P u tn am I nt l C a p O p p ( P N V A X ) B u y 03/03 J(addl)

I. Incom e Gain Coch:s: A - $ 1 , 0 0 0 o r k - - s s la = $ 1 . 0 0 1 - $ 2 . 5 0 0 C =$2.5al - $5,000 D =$J.001 - $15.000{See Columns B 1 and 134 ) F =$50,001 - $100.000 G =$1 00 .fl0 ] - $1 ,000,000 HI -$1,000,001 - $5.000.000 H2 -Mace than2 . Va lue Codes J =$15,000 or less K -$15,001 - $50.000 L =$50.001 ~ $100,000 M =$ I00.001 . $250.00a( Sc ~ Co lu ra ns C 1 an d D3 ) N -$ 250 .0 01 - $ 50 0, 00 0 O ~ $ $ I X I . O O I - $ 1 , 0 0 0 . 0 0 0 PI -$1 .000.001 - $5 ,000.000 P2 ~$5,000,001 -

P3 ~$25.000.001 - $50,000.000 P4 -More than3 . Va lue Metho4 Codes Q -App rais a l g --Co st (Rea l Esta te On ly ) S =Assessn~mt $ " ~ . a s b . M a r k e t(S e e Co lu mn C2 ) U *Book Va lue V --Other W *Estimateel


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tP a g e F IN A N C I A L 6 o f 9 D I S C L O S U R E R E P O R T ,I. Erickseo,.~o.. N. 0 ~ / 1 v 2 o 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 - ~ ........ t~e, t ..... tlon$ (Includes those of sp ...... d depemten, children; ~,ep,. 34-60 of filing instructions.)[ ] NONE (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r ip t i o n o f A s s e t s Income during Gross va lue 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 tn.~t assets) r e p or t i n g p er i o d o f r e p or t i n g p o ri o d

(t ) (2 ) (t) (2) (t) (~) (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T yp e ( e .g . , Value Va lue T y p e ( e . g . , D a t e Value Ga in I d e n t i t y o f

e x e m p t f r o m p r i 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 o d e 2 M e t h o d buy, sell , mm/dd /yy Code 2 C o d e 1 buyer/seller( A - H ) o r i n L ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f " p r i v a t e] ( Q - W ) t r a n s a c t i o n )

3 5 . P u t n a m l n t l C a p O p p ( P N V A X ) A Div idend J T3 6 . V a n g u a r d M i d C a p V a l u e ( V OE ) S o ld 12/30( p a r t )3 7 . V a n g u a r d M i d C a p V a l u e ( V O E ) S o l d 08 /28( p a n )38 . Va n g u a r d M id C a p Va lu e (VOE ) B uy 03 /03( a d d l )3 9 . V a n g u a r d M i d C a p V a l u e ( V OE ) A Div i d e n d J T40 . V a n g u a r d M i d C a p G r o w t h ( V O T ) S o ld 08 /28 J(par t )41 . Va n g ua r d M id C a p Gro w th (VOT) B uy 0 6 1 0 3 J( a d d l )42. Va n g u a rd M id Ca p Gro w th (VOT) B uy 03/03 J( a d d l )43. Va n g ua r d M id C a p Gro w th (VO F ) A Div idend J T44. V a n g u a r d G r o w t h ( V U G ) So l d 1 2 . / 3 0 J(par t )45. V a n g u a r d G r o w t h ( V U G ) S o ld 08/28 J(par t )46 . Va n g u a rd Gro w th (VU G) B u y 03/03 J(addl)47 . V a n g u a r d G r o w t h ( V U G ) A Div i d e n d J T48 . R ive rSo u r c e U S Go v t (R FGXX) S o ld 01/16 L49 . Fid Adv 529 2010 C K T B u y 06/23

( a d d l )50. P i m c o C o m m o d i t y R e a l R e t u r n ( P C R AX ) B u y 1 2 / 3 151. Frank l in Illgh Y i e l d T a x F re e I n c o m e Bu y 10/29 J(FRHIX) (add l )

I . Income Gain Codes : A =$1 ,000 o r le ss B =$1 ,001 - $2 ,500 C -$2,501 - $5,000 D -$5.~01 - $15,000 E =$ t5,001 - $50.000(SeC Columns B I and D4) F =$50,001 -$104],000 13 -$100,00t - $1 ,000,000 H1 =$1,000,001 - $5,000,000 1 : 1 2 = M o r e t h a n2 . Va lue Co d e ) J -$ 1 5,0 00 ~ l e s s K =$1 5,00I - $50 ,000 L =$50,001 - $100.000 M =$100,001 -1ScColunmt Cl ~nd D3) N -$250,001 $SO0.000 O =$500.001 -$1,000.000 Pl =$1,000,001 -$5 ,000,000 P2 =$5,000,001 -$25,000,000

P] -$25.000,001 -$50,000,1~)0 P4 =More than $50,000.0003 . Va lue Method Coder Q -Appra iud R - C _ . .o ~ t ( R e a l E s t a t e O r d y ) S -As~ssm~n t T"Cash Market{Sc Co*lumn C2) O =Book Value V =Other W = E s t i m a ~ . ed


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F IN A N C I A L D I S C L O S U R E R E P O R T ] N ~ m e o f P , .. ..Repo,-,Jo~Pa ge 7 o f 9 Ericksen, Joan N. 0 5 / 1 ~ d 2 0 1 0V I I . I N V E S T M E I ~ T S a n d T R U S T S - i ........., , , ~ c , i o n s t ~ . a ~ , ~ , s , ~ o ~ e o y e z , . . . .. .~ , ~ , p o , ~ , ~ , ~ , ~ ; ~ , ~ ~ , .[~ N O N E (No reportable income, assets, or transactions.)

A, B. D.De~ r i p t i o n o f As s e t s I n co m e d u r i n g Gro s s va lu e a t e n d Tra n s a ctio n s d u rin g r e p o r tin g p e r io d

( i u c l ud i n g t r u s t a s s e t s ) r e po r t i n g p e r i o d o f r e p o r t i n g p e r i o d(i) (2) (l) (2) O) 1 (2) (3) (4)P l a c e ~ ( X) " a t ~e r e a c h a s s e t A m o u n t Ty p e (e .g ., Va lu e V a l u e T y p e ( e . g . , ! Date Val ue Gain I d e n l i t y o f

e 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 ay . , r e n t , code 2 M e tho d bu y , s e ll , I m m . / dd / y y C o d e 2 Code 1 buye r] se l l e r( A -H) o r in t . ) ( J -P ) C o d e 3 r e d e m p t i o n ) ~ ( J-P ) (A-H) ( i f p r iva t e( Q - W ) I t r a n s ac t i o n )

52. Frank l in Hig t t Yield Tax Free Incom e Bu y 08 /28 Jf f g r l L X )53 . Franklin High Yield Tax Free Income A Dividend K T(FRHIX)54~ Vanguard Value (VTV) Buy 0 6 / 0 3 J(addl)55. Vanguard Value (VTV) Buy 1 2 / 3 0 J

(addl)56 . Vangua r d Va lue {VTV) A Dividend J T57. iSha rc s iBoxx Inve s tm en t Grade Co rp B u y 12/30 J( LQD )5 8 . i S h a r e s B a r c l a y s T 1 P S ( T IP ) Bu y 12/30 J59 , Oppenheimer Main Street Sm Cap Buy 1 2 f 3 0 J( O P M S X )60.

1 . Incom e Ga in Code s : A ~$1,000 o less(~ Cdu~s B I and ~) F -$50.001 - $1~.~ G = $ 1 0 0 ~ 1 - $ 1 . ~ 0 , 0 ~ HI ~$1,~,001 - $5,~,~ H 2 = M o r e t h a n ~ 5 . ~ .~2. Value C~ J ~ $ 1 5,0 ~ ~ l~ s K ~ $ 1 5,~ 1 - ~ 50 ,~ L ~$50,~ I - $ I~.~ M -$1~ ,~1 - $250 ,~0

3. Value M~ Cod~ Q =Ap~i~ g ~o s t ( R ~I Es t a t e O ~y ) S = A s ~ s s ~ n t T ~ a ~ M a r k e t{~ Col~ C2) O =Book Va lue V ~her W =Esti~


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FINANCIAL DISCLOSURE REPORTPage 8 of 9

] rricksen. Joan N.05/12/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


9/9

N a m e o f P e r s o n R e p o r t i n gF IN A N C I A L D IS C L O S U R E R E P O R T Ir i cks en , Joan N . D a t e o t R e p o r tPa ge 9 o f 9 0 5 / ~ 2 ~ O l 0I X . C E R T I F I C A T I O N .

l c e r ti f y 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 cl u d i n g i n f o r m a t i o n p e r t a in 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 , if 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 my 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 rm a t i o n n o t r e p o r t e d w a s w i t hhe l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e rm i t t i n g n o n - d i s c l o s u r e .1 f u r t h e r c e r ti f y t h a t e a r n e d i n c o me f r o m o u t s i d e e m p l o y m e n t a n d ho 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 l f t s wh 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 . 501 e t . s e q . , 5 U . S .C . 7 353 , a n d J ud i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature

N O T E : A N Y I N D I V ID U A L W I I 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 IE 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 ILA N D C R I M I N A L S A N C T I O N S (5 U.S.C. app. 104)

FILING INSTRUCTIONSM a i l s i 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 co p i e s t o :

C o m m i t te e o n F i n a n c i a l D i s c lo s u r eA d m i n i s t ra t i v e O f f i ce o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.W a s h i n g t o n , D . C . 2 0 5 4 4

joan n ericksen financial disclosure report for 2009

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