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EL!NENTH ClRCUIT

SUITEC·S

UNrrEO STATES COURTHOUSE:

JOEL. F. DUBlNA ONE CHURCH STREET

U.S. CIRCUIT JUDGE MONTGOMERY.Al. 36104 TI'!LEPHONE: (334) 954-356:0

September 21, 2004

'O u;" ;a

Hon. Mary :NL Lisi Chair Committee on Financial Disclosure

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One Columbus Circle, N.E. c=; ,f'l N

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\-Vasbington, D.C. 20544 .I::'

Re: Calendar Year 2004 Filing

Dear Judge Lisi:

Thank you for your letter dated September 3, 2004, regarding my 2003 Financial Disclosure Report. In response to your letter, the following information is provided:

Part VII, page 4,'line 56, Money Market Funds $1,294.02 Sterne, Agee & Leach.

Please do not hesitate to contact me if the Conunittee requires further information.

1 . uma 1.JNITED STATES CIRCUIT JUDGE

JFD/j:nl

(Enclosures)

________ _ Dare. ____ _

POSITION NM!E OF ORGANIZAJJON/ENTlIY

PARTJ!l$ AND TERMS

II. AGREEMENTS.

621 NONE · (No reportable agree;r.ents.)

I.

,;;;,: -

:­-

Report Required by the Etkics FINANCIAL DISCLOSlJRE REPORT in ( o<vernment Act of 1978

Calendar Year 2003 (:l L'.S.C. app. §§ !Ol-ll i)

l ·; Pe.""SOn Reporting (Last name. First r.arne, Middle fnITlal)

Dubin.a. Joel F

2. Court or OrgM!zatiou

U.S. COURT OF APPEALS/II TH Cir

3. Date of Report

5!511004

4. Title (Article lTIJii.;iges Indicate act ve or senior status:

magistrate jµdges indicate full or part4.ime)

U. S. CIRCUIT .fUDGE-ACTlVE·

5. ReportType (eneck appropriate type)

0 Nomioolioo, Date

0 !ni6al 0 F1ual

6, Reporting Period

11112003

to

1213112003

7. Chamb= or Office Address

Post Office Box 867

Montgomery, AL 361 O !--0867

. 8. On the bnsis of the lnf:}rntation contained in this Report and any modifications pcrt.Ei::iing thereto, it is. ht my opinion, in compliance wlth appUcable laws and regulations.

Reviewing Officer

IMPORTA"NT NOTES: The instructions: accompanying this form must be followed. Complete aU parts, checking the NONE box for each part

where you have no reportable information. Sign oo lastpage.

I. POSffiQNS. (Reporting irulividual only; see pp. 9-13 offiling instructions)

N01'.'E - (No reportable positions.)

I. Trust#S

2. Investments Unlimited, a limited liabilitycorp. ("LLC")

3. Partner Cllateau Village To nhouses, a gene.ml partnership

(R<POrting individual only; see pp. 14-16 of filing instructions)

SOURCE AND TYPE GRO.SS INCQMJ;

SOURCE AND WE

SOURCE DESCRJPTIQN

¥JNANCIAL DISCLOSl:JRE REPORT Name of Person Reporting

Dubina, Joel F

m. NON-INVESTivlENT lNCOME. (Reporting individual and spc"se; see pp. 17-24 of filing instructions)

A. Filer's Non-Investment In com

0 NONE · (Norep-0l1Jlblenoo-investmentinoome.}

I.

Date ofReport

515;2004

()'OWS, not spouse's)

B.. Sponsets Non .. Investment Incom (If y{)u were IT'.arried during any portion of the repmting year, please complete this section, (dollar amount not required except fur honor.aria)

NONE - (No reportabJe non-investment income.)

IV. REIMBURSEMENTS tra:isportation, lodging, rood, entertainment -

(Includes those to spous.e and dependent children. See pp. 25w27 of instructions.)

0 NONE \No such repor!llble reimbursements.) ·

!. Cornell University April 4-6 (Ithaca, NY, moot court/transportation, food and lodging)

----------··------- -"---··----------- .. ----- ·------····--· ·--·----

SOURCE DESCRll'IION

CRE;)ITQR

Neme ofPc"o" Reporting .fL'i'Al'iCIAL DISCLOSURE REPORT Date of Reper.:

Dubina, Joel F 5/5!2004

V. GIFTS. (lnclcdest!mse to spouse and dependent children. See pp. 28-31 ofinslructions.)

[;;] NONE (No such reponable gif'.s.) ·

1.

VI. LIABILITIES. fmcludes those of spouse and dependent chlldl:en. See pp. 32-34 of ins<ructions.)

0 NONE - (No reportable liabilities.)

L Colonial Bank

1st mtg Chateau Village To\vnhowes

VAIJJECODE

N

2. Ferlernl Land Bank 1st mtg 1iable for 50% B Triple D Fann ontgomery Co., AL J

(I) (l) (:)

Am::r.mt

(Q-W)

2

6.

9.

15.

[;;f .-

:. .. ' .,

A J

K

T

L

R

,f ,,,.,. ,, '" ;: . , �'·

,, ' ' :aD3) N.K ;'i '

J

T

. > :J:: , J.1- · :e < "' ... - > n

. His """ $50i'10l-Sl3CCi){} i::' ", '. _,_-_ .

(l)

I (5)

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···•,:,:·

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FINANCIAL DISCLOStl<E REPORT Name of Person Reporting ::lare ofRepon Page 1 of4 Dubina, Joel F 5/5/2004

VII. INVESTl\1ENTS and TRUSTS - income, value, transcatians (inciutles !hose c:ftlte spousl! and depen-derr: ct;J<l,.,,;::t See pp, 34 57 affi1ing insrruclions.)

A. B. c. D.boome during Gross Vlllue at e:id :rf Trnnsactions during rcpcrti!lg periOO D¢scriptiou of As?..ts reporting pericd reporting peri;;d

(it1dnding t:rost assets} ffact exempt fro.:n disc-,;o5 '"e ' (2)

(2) (l) ,.)Pl:m.:e "(X}" after each a:;set exempt Typo (e.g. Value V.alue TYPe (e.g. °""' Value Gatn ld ntity ::;f frt»n prior dlsclosote Code l div, rer.t. or Cnde2 Method buy. sell. Month Cede 2 1 Cede t bnye:isel!er

(A-H} int.) (J-P) C00.3 merger, Dey (J P) (A·H) (if private redemption} transaction)

=NONE (Noreportable Uumme, assets, or transact'. ens)

I. UOELF. DUBINA

COMMON STOCKS:

3. Insignia Finl Group Inc Dividend T

Torch.mark Corp A Dividend T4.

5. U.S. Shelter C-Orp. Del A Dividend J

Waddell & Reed Finl Inc, CJ,,,,, A Dividend K T

7. Money M>rlcel:Fund,$2028.78 A Interest J T

s.

10.

12.5% interest Investments Unlimited, general partnershlp

SO"!.. interest in fiand, 1-1on!gcmery County, AL

12.5% interest in house, liaAda. AL

D

A

A

Rent

None

None

'Pl

N

w

R

w

IL

12.

8% interest in Chateau Village Townhouses, Enterprise, AL

Fa:mie Mae (X)

E

A

Rent

Dividend

Pl

T lluy 814 J A Judge

13. AmSouth Bank (X) A IY.vid'..nd J lluy 7130 J A Judge

14.

15.

II. TRUST ASSETS # l

Cash $5,281.84

Federal National Mortgage

A

A

Inrerest

Dividernl

J

K

T

T

17.

18.

TRUST ASSETS #2

Cash $3,860.21 A Interest J

.•• ·• · · H2 _-�rMrire ?.h-�5,000,0DO· . ·

k: •.'·�···.'·· ... M -=- l 9 1 $2$0;D00

r-1 """-s5.boo,Dn1 ... .000Jioo. Pl --Si UOO/'J t5,\Jt:J(UJOO ,.,, -s:v:?rt;-•tl;:a_l;_ $5GJXJO,i!/JO

· . . . .· ''' . ·.· •• o .'.' . .'.·, =·Asse )>q; nt T """ CashJ:\·2rket ..c-E,<>tipmt::rl, '(S;e fr :nook Value· ""Oiher-·,

(!) (2)

.

A

c

A

[l) (21

T

T

T

T

T

L

L

T

-

7

T

(2) (3;

l I

'"···"·'•

!4)

-·

'

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19.

35.

FI.XAt CLt\L DISCLOSURE REPORT Da!e of ReportName of Person Reporting

Dubin14 Joel F Page 2 of4 5/512004

VII. INVES1"'ME.NT s and TR us TS - income, \'alue. lrans.cat:ions (in udes !hose of the spouse and dependent chi:.dnm. See ?;J. 34-37 of filing instructions.)

!I. ll. c. D.

Dtscriptfrm of Assets (incllld g trust assets)

Inrome during reporting perio<l

Gross value at er.d of reporting p:::ritid

(l)

Tra.'l:in.ctions dming rep01ting e:wd

If not exeopt fron disclosure

Place "(X) after each exetllpt fram prior disclosure

A:mmrnt Corle l (A·!!)

Type (e.g. av. rent or int.)

Value Code2 (J-l')

Vn.!ue: Method Cude 3 (Q·W)

Type (e.g. buy, sell, merger.redemption)

Dat:>: Mcmh-D<ly

Va'.ue C:JC22 (J-P)

Gain Corle I (A H)

(5) of

imyep'seUer{if private transaction}

20.

M.U1''lCIPALOBLlGA'TIONS:

Alabama StDocks Fae Rv B Interest K

Mobile Co Al Tax Rv B Interest K2l.

Huntsville 4.1 .Hlth Rv ll Interest K22.

COMMOK STOCKS:n.

Abbott Lab A Divi<lend K24.

-

25. Ba.."lk.America Corp A Dividend K

Coca Cola Co Dividend K26.

Genera! Electric Co Dividend M27.

28. Home Depot Inc A Dividend K

Johnson & Johnson A Dividend29,

Merck&Co Inc A Dividend K30.

Pfizer Inc. A Dividend31.

32. Torchmark Corp B Dividend M

Waddell & Reed Finl Inc Cl A B Dividend L33.

34. Wrigley Wm Ir Co A Dividend K

T

T

T

T

T

T

T

T

Integrity Life lns Policy A Dividend L

36. Microroft Cmp. Dividtmd K

D

El - s;.000.000

M s1lio,orilci2'so.c1oc l>2 S>.0110:Gll1�&25.G00.<Xlf/;

- -

B

A

: .: . Qb : r b·b : ;C>

>-1;/ ·"'-ssoo;qo),SJ;il9V .. 0D :

- --

·

. K tr

FINANCL<\L DISCLOSURE REPORT Name of Person Reporting Date of.Report

Page 3 of 4 Dubina, Joel F 51512004

VIL INVESTMENTS and TRUSTS

A. De3cription of Assets

(including trust assets)

Place "(JC)" after each asset exempt from prior disclosure

37. TRUSTS ASSETS #3

38. Money Market Funds $1,302.29

39. TAX EXEMPT OBLIGATIONS;

40. Alabama Ind. Access R&B

41. COMMON STOCKS:

42. Coca Co1a

WaJt Disney 43.

44. Schlumberger Ltd

45. Torchmark:

46. Waddell & Reed Finl Inc Cl A

47. AOL Time Warner

48. (PERSONAL HOLDINGS):

49. Money Market Funds $8,421.21

50. Torchmark Corp

51. Waddell & Reed Finl Inc Cl A

52. 56 TMK, United Inc.

53. 12.5% interest Investments Unlimited, a genera1 partnership

54. 12.5% interest in house, Ada AL

- income, value, transcatiol15 (indndes those of the spouse and dependent children See pp. 34-57 of filing instructions..)

B. c. D. Income during Gross value at end of Transactions during reporting period

reporting period reporting p-eriod

(I) (2) (I) 12) (I) If not exempt from disclosure

AmountCodd (A-H)

A

A

A

A

A

A

A

A

A

A

A

D

Type (e.g.div. rent. or int.)

- .

Interest

Interest

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Interest

Dividend

Dividend

Dividend

Rent

None

Value Value Code 2 Method(J-P) Code 3

(Q-W)

J T

K T

J . T

J T

K T

K T

J T

J T

J T

L T

K T

-

J T

Pl w

L w

(2) (3) Type {e.g. Date: Value buy, sell, l'v!onth- Code2 merger, D•y (J-P)redemption)

(4)

Gain Code .I (A-H)

(5) Identity of buyer/seller (if private transaction)

.; $2; 0l�$s,ooo D ="SS,001-SlS;O-OO . ..-::, H2 = 1\1ore than.$:5,00G,000. Iv! =·Sloo,001 250,0GO .= s1s,-,O:di 9 @_i- - : -- ,=$$il QPl: $1:00,000

= $J ooo,001:.Ss,oon,oo.o P2 = ss.ooo,001 s2s-,ooo,ooo

T = Ca.si1iviai-ket

_,

62,

63.

-· -

' '

(l) (2)

I ! I

A

B

B

B

(!) {2) (I; (2}

. (3)

T 9m

T

I

r

T

-

(4) (5) Gfiln Corle I (Ml)

D """®

D

'C

D

58.

FINA.c CIAL DISCLOSURE REPORT Date of Report Name of Person Reporting !)u bina, Joel F Page 4of4 515/2004

- incooie. t'<!Lle, transcations (includes u"mse of the apouse anrl dependent children. See pp ;.4.57 cf filin i:ustructlmm.) VJI. INVESThIENTS and TRUSTS

i\, B. c. D, Incrurm dl;ting Grnss value flt eOO of T:an>:ictio11.s. during rcp-:i:-:::r.f( p:!r:;;d

Description of Assets reporting period reporting rkid (includingtimt <ISsets)

l, mJt exempr from d:scicsure

P!aee '(.X)" after each asset exempt Ammmt T)'l'O (e.g. Value Valtte Type (<.g. Date:; ldtntityofValue fron prior disclosure Code 1 div, rent fl.!' Code 2 M'.efaoi buy, sell, l\.funt:; - Ccde2 buyer/seller

(A-H) int.) (J-P) Code J merger, o.,, {J P) (ifprlvareQ-Vlj redemption) transaction)

rv. Trust #555.

Money Marl<<t Funds $1,294.02 A Interest J T56,

COMMON STOCKS:57.

BeJlsouth

Coca Cola

' Fannie Mae

General E!ectric

Johnson & Johnson

Pfizer

Regions

Torchmark

Torchmark

59,

60.

61.

64.

65.

66.

Torchmad<67.

Waddell & Reed A 68.

Earth.link69.

A Dividend K sell K

A Dividend K T

A Dividend

A Dividend

A Dividend

Dividend

A Dividend

Dividend

Dividend

Dividend

J

K T

K T

J T

J T

partial. saleK !16 K son

partial saleK 41!7 K son

partial sale 6/16 KK T son

A Dividend K T

A Dividend J T

·D =S:i):O!-Sl'.5,000 ..:$1;00tr,oo:.·-ss;OOO;GCO .H2 .,,_ l\fQ;'C';hrut$5,mJG,OOO

""':$::\ip0-:1-$100,C-0('. -.;y{ ·=$1,00;00i-:S:JS:0,000 ': "'i$i,QoO OOl-S5;ogn rr o ?2 ."'"' S,<:·,O !J;0:/1-$2).000,QDC''

P:J.' - . More-tP. tJ£ S50,,.1}:(1 -01J{l

84 &was M nas £ T *vas

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Dubina, Joel F

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS (Indicate part ofReport.)

Section VII-- Investments and Trusts

page 1, line 9, purchased on 10/7/76 for $64,475.68; purchased on 12114/78 for $50,000:; and purchased on 917182 for $93,248.00

page 1, line 11, Chateau Village Townhouses was purchased on 5!31/84 for $1,080,000.00

51512004

oa1e_s-+j---1s)_o t -

A:!

.FINAl'ICIAL DISCLOSURE REPORT NameofPcrumRcporting

Dubina, Joel F 51512004

Date ofRepcrt

IX. CERTIFICATION.

I certify that all infonnatimi given above (including in.tbrmation pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because innet applicable statutory pro> sions pemtitting non-disclosure.

I further certify that earned income from outside empJoyment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. § 501 et.. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: IDUALWHO KNOW]NGLY AND WILFULLY FALSIFIES OR FAILS TO FILE TIIIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.$.C. app. § 104)

FILING DISTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washingwn, D.C. 20544