neil v wake financial disclosure report for 2009

8/3/2019 Neil V Wake Financial Disclosure Report for 2009

1/11

~ o 1 0 FINANCIAL DISCLOSURE REPORT g e p o r t g e q u i r e d b y t h e Ethicsin Government Act of 1978R ~ , - 1/20]0 FOR CALENDAR Y-EAR 2009 (5 u .s .c , app. lO1-111)1. Per son ~epo r t in -g ( last na~e , ~ t , m iddle ~ tia l) 2 ~ C o - o ~ o r Or g a ~ s ~ o n 3 . D a t e

W ak e, N e l l V . U.S. Dis~ct Co~, ~na 09 /10!20104. ~t le (A~icle ~ judg~ i~dicate act ive o r senior ~; 5 a . Re p o ~ T y p e ( c ~ k ~ r o p ~ a ~ ~ ) 6 . R e ~ r ~ n g~s~ate ~dg~ ~cme ~11- or ~-~e) ~ N~natio~ D a t e 0!/01/2~9U.S. Dis~ctJudge ~ ~fiM ~ A~ ~ Fi~ to.. 1 2 /31 /2 ~ 9-5b. ~ .~en~ Re~7 . C h a m b ~ o r O f fi c e A d ~ s g . O n ~ e b ~ o f t he i n f o maf i o n co n t o r t ed ~ t ~ R e~ an d an ym~fions ~g theret~ it ~ ~ my option, ~ ~mpfiance4 0 1 W . W ~ n ~ o n S ~ , SP C 5 2 w i ~ a p p H ~ b l e l a w s a n d r ~ a ~ n s .P h ~ M x , ~ 8 5 0 0 3

Re~ng ~cer D a ~ e

IMPOR T~T NO TES: ~e imwuctiom acco~anying th~ form mu~ be followeK ~mp&m Ml par~,ch e ck ~g t h e N ON E box fo r e a ch p a n w h ~e y ou h a v e no r e p ona b~ i n foma a o~ S i gn on l a ~p a g~

L P O S IT I O N S . m,~om,~ ~.~,,lo~;,~,r~ ~-~ o~ ~.~)~ NO~ (No reportableposi~ons.)

P O S I T I O N N~E OF ORGAN~AT1ON~NTITY~w Offi~ of Neff V~eent W~e Money ~ch~e Pl~ 0 ~ sole b~efici~)

I I. A G R E E M E N T S . (~ong.g i~i~l o~ ~ ~ 14-16 of filing i~tvtructions.? ~ : l[~ N O N E (No reportable agreemems.) .. "

D A T E P A R T I E S A N D T E R M S t , t . , , . ~1 .


2/11

IName of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT I Wake, Nell V.P a g e 2 of 1 1 09/10/2010Ill. NON-INVESTMeNT INCOME. o~,m,a.g ~.~ ~ , po ~ ; , **pp. : z-2 4A. Fliers N o n - I n v e s tm e n t I n c o m e

NONE (No r e p o r t a b le n o n - i n v e s t m e n t i n c o m e . ) "DATE S.OURCE AND TYPE (3"ours, not spouses)

1 .2.3.

4.

B. Spouses Non-Investment Income - l/yo~ wet~ mar~d du~ a~y roma n of the reporting year, complete this(Dol lar amount not requ i red e~ cep t f or hono raria . )

NONE (No r e p o r t a b l e n o n - i n v e s t m e n t i n c o m e . )D A T E SOURCE AND TYPE

m e d i a i o r. 2009 Self -emplo yed a t torney and

2.3.

4..

IV. REIMBURSEMENTS -( Inc ludes tho~ e to spouse and depe ndent ch i ld ren; see pp . 2 ~ -2 7 o f f i l ing imrm c~ o~ . )

N O N E ~ o reportable reimburs~ents.)~ ~ L O C A T I O N PU~OSE ITEMS PA~ OR PROV~ED

1 .2.3.4.5.


3/11

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 tP a g e 3 o f 1 1 W a k e, r~ e U V . 0 9 ! l O t Z 0 t 0

V. GIFTS. a,,a,,~N O N E ( N o reportable g~s,)SOURCE DESCRIPTION

I.2.

4.5.

[] N O N E (No reportable liabilities.)CREDITOR DESCRIPTION VALUE CODE

1 .2.3.4.

5.


4/11

FINANCIAL DISCLOSURE REPORT t ~ , ~ ,~ o f e ~ o ~ a ~ p o r ~ gPage 4 of 1 1 W a k e , N e U V . ] 0 9 / 1 0 / 2 0 1 0

VII. I~ST~NTS and TRUSTS - ~ o ~ ~, tr~o~ a~des t~se of s~u~ aM d~Me~ c~re~ s~ pb 34-60 of fling ~u~.)~ N O ~ ~ o reportable income, ~sets, or ~ansactio~.)_ . . . . . . . . . . . . . . . ~ . . . . . . . . . ~ ............... ~.~ ~ ~ ...... ~ ......... ~ ..................... . .... ~ ...............................

(~cluding ~ ~ets) , re~g pefi~Pl~e"~)"afl~och~et ~untI T~(.g., [ V~e [ V~ue l T~(e.g., / Date [Vahe/ G~n ~ I d ~ t i Uof

1 . W~lls Fargo acco~ A ht~est ~ T2. A p a c h e P e ~ ~ v . , L L C N o n e M U

3. ~e~tone Dev. Co. (co~on st~k) ~ N o n e J4. I n t er s t a te V e n m ~ s V ~ d , ~ s h p B Dis~b~on .L U5, BRO~GE AC~ # 1

6. --Morg~ S~ey Active ~se~ Mon Tr A Divided J T(Liquid As~ F~d)

8. --MS Cheer C~pbell ~ N o n e J T9. - - M S Ch a~ er M SFCM L P ~ o n e J T

1 1 . ~3 C D i ~ d e n d K T1 2 . ~-Morg~ S~anleyLi~id Asse~ Fund (~ A Dividend J T1 3 . - -MS C h e e r A sp e c t L P N u n e J T

1 5 . --MS C~er WCM LP N o n e J TI6. UT~Aee~#3

1 7 . -Liquid ~set Fund ~) A Im~t K T

A = $ 1 , 0 0 0 o r l e s s B - $ 1 , 0 0 ! - $ 2 . 5 0 0 C -- $ 2 .5 0 1 - $ 5 .0 0 0 D = $ 5 ,0 0 1 - $ t5 , 0 0 02 . V aiu C o d e a J =$ | 5,0 0 0 o r le g s K - $ 1 5 ,0 0 1 - $ 5 0 ,0 0 0 L y $ 5 0 , 0 0 1 - $100,000 M - i 1 0 0 ,0 D J - $ 2 5 0 ,0 0 0

( Se ~ C o l u m n s 1 a a d D 3) N =$ 250 ,0 0 1 - $50 0 .0 0 0 0 ~$.50 0,0 01 - $ 1 ,0 0 0,0 00 P 1 =$ 1. O )0 .0 0 1 - $ 5. 00 0 .0 0 0 P 2 - $5 ,0 0 0, 00 1 - $ 25 ,0 0 0, 00 0P 3 = $ 2 5 , 0 0 0 , 0 0 1 - $ 5 0 , 0 0 0 , (1 0 0 P 4 = M o r e t h a n $ 5 0 . 0 0 0 . 0 0 0i 3 . V a l ue M e t h o d C o de s Q = A p p m i g a l R ~ C o s ! ( R e a l E s t a t e O n l y ) S = A s s t ~ s m e n t T =Cash Mm~te t( Se e C o l u m n C 2 ) U = B o o k Va l u e V =Other W = E s t i m a t e d


5/11

FIN A N C IA L D ISC L OS U R E R E POR T i [ NameofPerson Reporting [ Dateof Reporta g e 5 o f 1 1 I W a k e , r ~ eU V . 0 9 / 1 0 / ~ 0 1 0

~-q NO~ ~o repo~able income, ~sets, or ~ansactions0~ De~pt ion of Asse~ ~come d~g G r ~ s vM ue ~ ~ d ~ Tr~fiom d~g ~ag ~ ~[

P~ "~" ~ ~ch ~et ~t I T~ (e.g, V ~ ue ] Value [ T~ (e.g.. / Dale I V~ue

1 8 . B R O K E ~ G E ACCT # 31 9 . --SEI T~-Free F~d (~ N o n e J T S ol d 03 / 2 3 / ~ K20 . --SEI T~-Free F~d (~ B uy ~ 1 0 7 / 0 9 J( a d d q )21 . --SEI T~-Free Fm~d (~ S ol d : 04/09/09 J., __ .... ,22 . --SEI T~-F~e F~d(MM) S ol d 05/18/09 K( p ~ )

~ 3. - - S E I T a x- F r e e F u n d ~ S o l d 07a7/09 K24 . --SEI Tm-F~e Fund (~ B~ 10/06/09 J25, --SEI T~-Free F~d (~ S ol d 1 0 / 0 8 t 0 9 J2 6 . --gEl Inte~e~at~Te~ M~icipal Fund B D i v i ~ n d K T~ut Fd)2 7 . " --SEI Shoa ~afion M~ Fd D D ~ i d e n d M T S ol d 01/06/09 K

--SEI Sho~ D~afion Mu~l Fd S ol d ~ / 0 7 / 0 9 J~m)29 . - - S E I Sh o ~ ~ r a 6 o n M ~ i c a l F d B uy 12 / ~ / 09 J( a d d ~ )30. -STET T~-Adv~mg~ Income Fd # 19 A Di~ddend L T Buy 01/06/09 J( ~ d ~ )

Tax-A~v~mged- ~come ~d # 19 Sold [10/06/09 J ~ a ~ )--SEI T~ M~aged Vola6~ Fd A Dividend K T Buy 01/06/09( ~ d ~ )

33. ~-SEI ~1 E~te Fd A Diddend K T Buy 01/06/09 J( a d d l )3 4 . --~G USA ~ & .Life Ins Co (~ty~ None M T

!


6/11

Page 6 o f 11 W . k e , r c e U v . 0 9 / 1 o n o 1 0V I I . I N V E S T ME N T S a n d TRUSTS - i~co.~ ~e, ~a.~o~ a.a~., tno~ o~ ~d ~ ~,~; ~ ~ ~o o~ ~.~

N O N E ~ o re~rtable incom e, ~sets, or ~a~actions.)A. B. C. ~ D.

o f A ~ e t~ ~e d~ G m ~ ~ u e a t ~ d [ T~cfio~ ~Ring p~( h ml u d ~ g ~ a s s e t s )Placc"~)"~ch~set .~o~t~T~(e.g., Value / Value ] Ty~(.g., { Date [V~[C~in { I d ~ t i ~ o f~pt~mpfior~I~ [ C ~ 1 ~v.,~t, C~2 ] Me~ ~ buy sen [~d~]C~e2 ~C~el ~ b uy ~ / ~ n e r( A - H ) or ht.)

3 5 . --.~er. ~v. Life ~. (AVWA) Co. N o n e N T3 6 . BRO~SE ACCT # 4 I ......

3 7 . - - S E I ln t e m ~ . T e ~ M m f i ci p a l F d A D i vi d e n d J T3 8 . --C~o S~t~s Inc (common) (~fer ~om N o n e J To~er a~t)3 9 . --SEI Shoa ~afion M~icipal Fd B Dividend L T40 . - - S~ . T T m x - Ad va n ~ g e d I n c o m e F d # 1 ~ A D i f i d e n d J T4 1 . - - SE I T ~ M ~ a g ~ V o l a f i W F d A Divided J T42 . --SEI R~sate Fd A ~fidend J T43. - -S E I T ~ -F re e F d D~bufion ; T~. BRO~GE AC~ # 54 5 . , - -G E l C o ~ F ~ e d l n c o m F d A D ifid e n d So ld 01/06/09 Jo m )46. - -g E l C ore F i x ~ l n c om F d A Di~d~d S ol d 10/06/09 K47. - - SE I H i ~ Y i e l d B o n d F u n d ~ u t F d ) A D i v i ~ n d K T S ol d 01/06/09 J4 8 . - -SEI High Yield Bond Fund (Mut Fd) S ol d 07/07/09 J~ m )

" ~ 9 . - - S E I Hi g h Y i e ld B o n d ~ d ( M u t F d ) S ol d 10/06/09 K5 0 . --SEI ~e Obligation Fund ~oney A D i ~ d e n d N T B~ 0 1 / ~ / 0 9 MM a n e t ) ( ad d l )

5 I . - - SE I P f im O b l ig a t i o n Fu n d ~ o n ey S o/ d 01/09 /09 JM~ k e t ) ~)


7/11

FINANCIAL DISCLOSURE REPORT N ~ m e o ~ e r ~ o ~ a .~ o . ~ gP a g e 7 o f 1 1 Wake, Neff V. 0 9 / 1 0 ~ 0 1 0

~ ~0~ ~o reportable income, asse~, or~ p t i o n o f A s s o ~ In.me ~g ~ G r o s s ~ l u e a t e n d T~om

5 2 . --SEI ~me Obligation F~d ~oney S e l l p~ ~/09/~ JM~e05 3 , - S E I P r i m e O b l ig ~ o n F ~ d ( M o n e y B uy 07107/09 JMa rk e 0 (add l )5 4 . --SEI P~e Obligation F~d ~oney S ol d 10/06/09 JM~e0 ~)5 5 , -S~T E~ced Income (Fd) A Divi~nd K T S ol d 01/06/09 J5 6 , -S~T E~ced Income (Fd) S ol d 1 0 / ~ / 0 9 K57. - - SE I Mmm g ed V o l af i ~ Fd A Dividend ~ T S ol d 0 1 / ~ / 0 9 J58. - -S E I Ma ~ g e d Vo l a f i ty F d S ol d 10/06/09 J59. - -S E I Re a l ~ m t e F d A Dividend S ol d 01/06/09 J

So ld 10/06/09 J6 1 . --S~T Global M~aged Vola~ Fd A Dividend J T S ol d 01/06/09 J6 2 . - ~ J a o k s o n N a t L i f e I ra . C o . ( ~ n ~ ) N o n e O T6 3 . Pinal County, AZ, land N o n e L W6 4 . Mohave County, AZ, land Non e J W6 5 . RothIRA#4

6 6 . - -Morgan Stanley Liquid Asset Fund (Mut A Dividend J T S ol d 08114/09 J6 7 . Manul i fe Financial Life Ins N o n e K T

6 8 . Sect ion 529 Account


8/11

FINANCIAL DISCLOSURE REPORT ~,e on, e~ a~,o ,x~g D ~ t , o f ~ , ~ ,~Page 8 o f I 1 W ~ . k e ~ N e l l V . 0 9 / ] 0 / 2 0 1 0

~ONE ~o reportable income, ~sets, or wansactio~.)

Deception of Asse~ [ ~me ~g [ G~s v~e at cad i T~o~s d~ng ~ng(~c~g ~ asse~) ! ~g ~ ofm~g ~6~

(Q-~ ! i I [ [ ~aetion)69 , - - I~ Cap i ~ l A p p r ee , E ( 4 2 2 ) N o n e K T70. [~ # 5--

71. --Al~a~ Life I~ Co ofNo~ ~ ~q) N o n e N T

73. -SEI ~ Obligation F~d B Int~iv. L T S ol d 0 5 / 0 1 1 ~ J74. ~ #675. - -Morgan Stanely Liquid Assets Fund A Dividend J T76. - L e g g M a s o n P t n e r s I n v V o l A N o n e So ld 0t/05/09 J7 7 . - -Fide li ty Adv Dvrsfd In tl A Propec tu .s N o n e S ol d 0 1 / 0 5 1 0 9 J

78. - - JP M o r g a n M i d C a p C a l ue A P r o s p e c u ts N o n e So ld 01/05/09 J! 7 9 . - - Am e r i c a n G r F d o f Am e r i c a F P r o s p e c t us None So l d 01/05/09 J

8 0 . - -Jel li son SmaLl Co A N o n e S ol d 01/05/09 J8 1 . - -Am E tuopaoif ic Grw Fd N o n e So l d 01/05/09 J8 2 . B R O K E R A G E A C C T # 6 ,~8 3 . - - V a n Ka m p e n G r w & l n c A A Dividend K T

1 8 4 . ~-Ivy Large ~:ap Grw A Fd A Dividend K T B uy 01/05/09 KI 8 5 . - - Am e r Ba l a n c e d F d B Dividend L T B uy 01/05/09 K

3 VaMe Method C~ Q ~App~l(See Colu~ C2) U = B ~ k V a l u e


9/11

FINANCIAL DISCLOSURE REPORTPage 9 o f 11 W ~ e , N e l l v . 0 9 / 1 0 ~ 0 1 0~. ~ST~NTS and TRUSTS - ~o~, ~,

N O ~ ~ o repo~able income, ~vsets, or ~ansactions.)A. B, C. D.D~pt ion of Asse~s ~me d~g(~clu~g ~ a~e~) ~h~g ~fi~ of~

ex~ ~om prior ~1o~ ~ C ~ e l div., ~ ~e 2 M e ~ o d buy, ~, ~ ~e 2 ~ C~e I buyer /~l l~~ ( A - ~ or ~t.)

86. Callon Pe~le~ Co (~n~on) N o n e t T87. B RO K ERAG E AC C T # 88 8 . --Morgan Stanley Bank (t ransfer from other A Interest M Taec t )89. B RO K ERAG E AC C T # 990 . - -MS BankDep Prg~n (new bank account ) N o n e J T9 I . --!IFS Total Return A A Dividend K T92 . - -Blackrock Equi ty Dividend A A Dividend K T93 . - -Colum bia Selex: t LG CP Growth A N o n e K T94 . gILA # 7 C Dividend M T95 . --MS Lic!alid Asset Fd J T9 6 . - - A m Gr o w t h Fd o f A mer F A Dividend K T97. - -Crabel l i EQ Ine AAA B Dividend K T9 8 . - ,MS Strateg ist Fund A B Dividend L T99 . - - Am e r i c a n G R F D o f Am e r i c a F A Dividend K T

I . I n co m e G a i n C o d e s : A -$1,000 ~ I~s ..........


10/11

Ia m e o f P e r s o n R e p o r t i n ~ I l)ate of I~eportDISCLOSUREREPORT[ Wake, Nei! V,P a g e 1 0 o f 1 1 09/10/2010I

V I I I. A D D I T IO N A L IN F O R M A T I O N O R E X P L A N A T I O N S . a . m c ~ , p ~ . I e e ~ , o r o


11/11

N a m e o f P e r s o n R e p o r t in g

I

D a t e o f R e p o r tINANCIAL D IS C LO S UR E R E PO R T[ W a k e , ~ e U v . o g n o / 2 o ~ oag~ 11 o f 11

IX. CER TIFICATION.I ce r t i fy t h a t a l l i n fo r ma t i o n g i v en ab o v e ( i n c l u d i n g i n f o r mat 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 en d en t ch i l d r en , i f an y) i saccu r a t e , t r u e , an d co m p l e t e t o t h e b es t o f my k n o w l ed g e an d b e l i e f, an d t h a t an y i n f o r mat i o n n o t r ep o r t ed w as w i t hh e l d b ecau s e i t me t ap p l i cab le s t a t u t o r yp r o v i s i o n s p e r mi t t i n g n o n - d i s c l o s u r e .I f u r th e r ce r t i fy t h a t ea r n ed i n co m e f r o m o u t s i d e em p l o ymen t an d h o u o r a r i a an d t h e accep t an ce o f g i f ts w h i ch hav e b een r ep o r t ed a r e i ncompliance with the pro~ is ions of 5 U.S.C. app . 501 et . seq. , 5 U.S.C. 7353, and Judicial Conference regulat ions.

N O T E : A N Y I N D I V ID 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 IF I E S O R F A I L S T O F I L E T H IS 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 IM IN A L SA N CTIO N S ( 5 U . S. C. ap p . t 0 4 )

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

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

neil v wake financial disclosure report for 2009

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