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Judicial Watch • Brooks D Smith Financial Disclosure Report for 2006

Brooks D Smith Financial Disclosure Report for 2006

Brooks D Smith Financial Disclosure Report for 2006

Page 1: Brooks D Smith Financial Disclosure Report for 2006

Category:Financial Disclosure

Number of Pages:14

Date Created:September 4, 2007

Date Uploaded to the Library:November 13, 2013

Tags:Brooks D Smith, Brooks, smith, 2006, transactions, dividend, IRS, Financial Disclosure, ICE, CIA, income, Judge


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Government Act 1978 
Rev.112007 
FOR CALENDAR YEAR 2006 U.S.C. app. 101-111) Person Reporting (last name, first, middle initial) Smith, Brooks Court Organization Third Circuit Court Appeals Date Report 05/15/2007 Title (Article III judges indicate active senior status; magistrate judges indicate fuU-or part-time) Judge-Active  Sa. Report Type (check appropriate type) Nomination, Date Initial 129 Annual Final Reporting Period 01/01/2006 12/31/2006  
Sb. Amended Report Chambers Office Address Court Appeals, Ste 203 1798 Old Route 220N Duncansville, 16635 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date  

IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable informatiotL Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Truetee Mount Aloysius College, Cresson, Trustee Philadelphia University, Philadelphia, 

,._.., 
II. 
AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) [KJ NONE (No reportable agreements.) 

051151200.7
Smith, Brooks 
Ill. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.)  
SOURCE AND TYPE  INCOME (yours, not spouse's) 2006  Reliance Bank -Vice President, Commercial Lending -Sala. Spouse's Non-Investment Income -I/you were married during any portion the reporting year, complete this section. (Dollar amount not required except for honoraria.) 
[!] NONE (No reportable non-investment income.) 

SOURCE AND TYPE 
IV. REIMBURSEMENTS -transportation, lodging,food, entertainment 
(Includes those spouse and dependent children. See pp. 25-2 instructions.)  NONE (No reportable reimbursements.)  
SOURCE  DESCRIPTION  William and Mary Law School  2117-5120 Williamsburg, -Moot Court Competition[Travel, food and lodging]  Fordham Law School  3/5-317 New York, -Moot Court Competition[Travel, food and lodging]  Dickinson School Law the Pennsylvania State University  5/12-5/13 Carlisle, -Commencent address[Travel, food and lodging]  Center for International Legal Education (CILE),  5/21-5/23 Pristina, Kosovo -Legal education[Travel and from Skopje, Macedonia, food  
Pittsburgh School Law  and lodging connection with meeting]  Allegheny County Bar Association  6/15-6/16 Farmington, -Meeting[Food and lodging] New York Law School 11/9-11/10 New York, -Moot Court Competition[Travel, food and lodging] Duquesne University Law School 11/9-11/1 Pittsburgh, -Meeting[Travel, food and lodging]  

Date Report 

Smith, Brooks 
05/15/2007 
V GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
[RJ NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 

VI, LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 
[RJ NONE (No reportable liabilities.) 
DESCRIPTION VALUE CODE 

05/15/2007
Smith, Brooks 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(I)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.  Value  Value  Type (e.g.  Date  Value  Gain  Identity  
Code  div., rent,  Code  Method  buy, sell,  Month- Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code3  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  Euro Pac Growth  Dividend  Sell  07/25  FNB Corp (common  Dividend  Sell  07125  FNB Corp (common.  Dividend  Fifth Third Bancori:-9  Dividend  Sell  07/25  Fifth Third Banco  Dividend  Fidelity Mid Cap  Dividend  Sell  07/25  Fidelity Equity Grow  Dividend  Sell  07125  Franklin Small Cap  Dividend  Sell  07/25  Investment Company America-  Dividend  Sell  07/25  
10.  Master's Select Equity  Dividend  Sell  07125  
11.  Fidelity Advisor Ser Intermediate Bond FundClC  Distribution  Sell  07125  
12.  FerrisBakerWatts -Reserve Primary FuncW  Dividend  Buy  07128  
13.  FerrisBakerWatts -Reserve Primary FunJ9  Dividend  Rollover  07128  
14.  American Skandi ...  Dividend  Rollover  08/07  
15.  AST Capiral Growth Asset Allocatio-  Dividend  Buy  08/07  
16.  AST Balanced Asset Allocatio.  Dividend  Buy  08/07  
17.  MT Bank (common.  Dividend Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000  E=$15,00I-$50,000  
(See Columns and D4) =$50,00 I00,000 =$!00,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$!00,000 I00,001 -$250,000  
(See Columns and D3) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,00 -$25.000,000 Value Method Codes =$25,000,00 $50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal =Other =Assessment =Book Value =Estimated  

Date Report 
05/15/2007
Smith, Brooks 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(I)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.  Value  Value  Type (e.g.  Date  Value  Gain  Identity  
Code  div., rent,  Code  Method  buy, sell,  Month  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

18.  MT Bank 40l(K).  Dividend  
19.  Reliance bank 40l(K  lnt./Div.  
20.  Northwestern Mutual Life Ins(Universal Life Policies)  Dividend  
21.  AKZO Nobel Sponsored ADR  Dividend  Sell  05/08  
22.  AKZO Nobel Sponsored ADR  Sell  05/11  
23.  Ameren Corp  Dividend  
24.  Amsouth Bancorporation  Dividend  Sell  09/27  
25.  BAA PLC Sponsored ADR  Dividend  Sell  02/17  
26.  BCE Incorporated (Canada)  Dividend  Exchange  07/17  
27.  BCE Incorporated Com New (Canada) (Formerly BCE Incorporate4  Dividend  Exchange  07/17  
28.  Boots Group PLC  Dividend  Name Change  08/09  
29.  Alliance Boots PLC(Formerly Boots Group PLC)4  Dividend  Name Change  08/09  
30.  Alliance Boots PLC  Dividend  Sell  08/14  
31.  Consolidated Edison  Dividend  
32.  Dividend  Buy  07/18  
33.  First Horizon National Corporation  Dividend  
34. Heinz  Dividend  Sell  07/31 Income Gain Codes: l,000 less  B=Sl.OOl-$2,500 =$2,50 -$5,000  0=$5,001-$150000  E=$15.00I  $50,000  
(See Columns and 04)  F=$50.001 -$100,000 I00,00 -$1,000,000 =$1,000,001 -$5,000.000 =More than $5,000,000 Value Codes  J=$15,000 less  K=$15,001-$50,000  L=$50,00 I00,000 =$!00,001 -$250,000  
(See Columns and 03)  N=$250,001  $500,000  0=$500,001. $1,000,000 =$1,000,001  $5,000,000 =$5,000,001 -$25,000,000 Value Method Codes  P3=$25,000,001-$50,000,000 =Cost (Real Estate Only)  P4=More than $50,000,000  T=Cash Market  
(See Column C2) =Appraisal  V=Other =Assessment  
U=Book Value  W=Estimated  
 

Date Report 
0511512007
Smith, Brooks 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Income during reporting period Gross value end reporting period Transactions during reporting period  
Place "(X)" after each asset exempt from prior disclosure  (I) Amount Code (A-H)  (2) Type (e.g. div., rent, int.)  (I) Value Code (J-P)  (2) Value Method Code (Q-W)  (!) Type (e.g. buy, sell, redemption)  (2) (3) Date Value Month-Code Day (J-P.)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

35.  Sell  05/18  
36.  Keycorp New  Dividend  
37.  Loew's Corporation Carolina  Dividend  Sell  09107  
38.  Sell  09/08  
39.  Sell  12/01  
40.  Sell  12/04  
41.  Marathon Oil Corp  Dividend  Sell  07/27  
42.  National City Corp  Dividend  
43.  Buy  02117  
44.  Nicor Inc  Dividend  Sell  12/21  
45.  Sell  12/26  
46.  Sell  12/27  
47.  Sell  12/28  
48.  Sell  12/29  
49.  Nisource Inc  Dividend  
50.  PNC Financial Srvs Group  Dividend  Sell  03/23  
51.  Sell  03/24 Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000  D=$5,001 -$15,000  E=$15,001-$50,000  
(See Columns and 04)  F=$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes  J=$15,000 less  K=$15,001 -$50,000  L=$50,001 -$100,000 =$100,001 -$250,000  
(See Colurns and 03)  N=$250,001 -$500,000  0=$500.001 -$1,000,000 41,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only)  P4=More than $50,000,000  T=Cash Market  
(See Column C2) =Appraisal  V=Other =Assessment  
U=Book Value =Estimated  

05/15/2007
Smith, BrookS 
VII. INVESTMENTS and STS income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(I)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.  Value  Value  Type (e.g.  Date  Value  Gain  Identity  
Code  div., rent,  Code  Method  buy, sell,  Month- Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

52.  Sell  09/07  
53.  Sell  09/08  
54.  Packaging Corp America  Dividend  
55.  Peoples Energy Inc  Dividend  
56.  Pinnacle West Cap Corporation  Dividend  
57.  Progress Energy Inc  Dividend  
58.  Reynolds American Inc  Dividend  
59.  Scottish Pwr PLC  Dividend  Merger  05/18  
60.  Scottich Pwr PLC New(Formerly Scottish Pwr PLC)4  Dividend  Sell  12/08  
61.  Telecom Corp Ltd  Dividend  
62.  UST Inc4  Dividend  
63.  United Utilities PLC  Dividend  
64.  UPM Kymmene Corp  Dividend  Sell  07131  
65.  Carramerica Rlty Corp  Dividend  Sell  01/09  
66.  Sell  03/16  
67.  Duke Realty Corporation  Dividend  Sell  10/26  
68.  Sell  10/27 Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See.Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001  $50,000 =$50,001 -$100,000 =$I 00,00 -$250,000  
(See Columns and D3) =$250,001 -$500,000 =$500,001-$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal  V=Other =Assessment =Book Value =Estimated  

Name Person Reporting 
Date Report 
05/15/2007
Smith, Brooks 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior disclosure 
Income during reporting period 
(I) 
Amount 
Code 
(A-H) 
(2) 
Type (e.g. 
div., rent, int.) 
Gross value end reporting period 
(1) Value Code (J-P) (2) Value Method Code 
(Q-W) 
(1) Type (e.g. buy, sell, redemption) 
Transactions during reporting period 

(2) Date Month-Day 
(3)  (4)  (5)  
Value  Gain  Identity  
Code  Code  buyer/seller  
(J-P)  (A-H)  (if private  
transaction)  

69.  Sell  10/30  
70.  Sell  10/31  
71. First Indusstrial Realty  Dividend  
72. HRPT Property Trust  Dividend  
73. Health Care Property lnvs  Dividend  Sell  12114  
74.  Sell  12/15  
75.  Sell  12/18  
76. Health Care Realty Trust  Dividend  
77. Hospitality Properties  Dividend  Buy  03/16  
78.  Buy  03/17  
79. Liberty Property  Dividend  Sell  12/21  
80.  Sell  12/22  
81. Mack Cali Realty Corp  Dividend  Sell  10116  
82.  Sell  10117  
83.  Sell  10/18  
84. Nationwide Health Properties  Dividend  
85. Senior Housing Properties  Dividend Income Gain Codes: =$1,000 less =$1,001 -$2.500 =$2,50  $5,000 =$5,001 -$15,000 =$15,001 -$50,000 (See Columns and D4) =$50,00 -$I 00,000 =$!00,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50.000 L=$50,00l -$I00,000 =$!00,001 -$250,000 (See Columns and D3) =$250,001 -$500,000 =$500,00 -$I 0000,000 =$1,000,001-$5,000,000 =$5,000.001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000.000 (See Column C2) =Other Value Method Codes =Cost (Real Estate Only) =Cash Market =Appraisal =Assessment =Book Value =Estimated 

Date Report 
Name Person Reporting 
05/15/2007
Smith, Brooks 
VII. INVESTMENTS and STS income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(!)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.  Value  Value  Type (e.g.  Date  Value  Gain  Identity  
Code  div., rent,  Code  Method  buy, sell,  Month- Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

86. Kimberly Clark Corporation  Dividend  Buy  04/27  
87.  Dividend  Buy  05/18  
88.  Dividend  Sell  12/14  
89.  Dividend  Sell  12/27  
90. Allied Cap Corporation  Dividend  Buy  12/19  
91.  Dividend  Buy  12/20  
92.  Dividend  Buy  12/21  
93.  Dividend  Buy  12229  
94.  Dividend  Buy  12/26  
95. Coamerica Incorporated  Dividend  Buy  03/27  
96. Deutsche Telekom  Dividend  Buy  09/08  
97. Enel Societa Per Azioni ADR  Dividend  Buy  10/16  
98. Gallagher Arthur Company  Dividend  Buy  07/31  
99.  Dividend  Buy  08/14  
100. Kingfisher PLC  Dividend  Buy  01/11  
IOI.  Dividend  Buy  02/17  
102. Lloyds TSB Group PLC  Dividend  Buy  09/08 Income Gain Codes: =$1,000 less 41,001 -$2,500 42,50 I-$5,000 =$5,001 -$15.000 =$15,001  $50,000  
(See Columns and 04) =$50,001  $100,000 =$100,001 -$1,000,000 =$1.000,001 -$5.000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000  L=$50,00I -$100,000 100,00 -$250,000  
(See Columns and 03) =$250,00 -$500,000 =$500,001 -$1,000,000 =$1,000,001-$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only} =More than $50,000,000 =Cash Market  
(See Column C2} =Appraisal =Other =Assessment =Book Value =Estimated  

05/15/2007
Smith, Brooks 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

(3)
(1) 
(2) 
(4) 
(5) 
Date 
Value 
Gain 
Identity 
Code
Month 
Code 
buyer/seller 
Day 
(if private 
(J-P) 
(A-H) 
transaction) 
103.  Dividend  Buy  09/28  
104.  Pfizer Incorporated  Dividend  Buy  12/14  
105.  Dividend  Buy  12/15  
106.  Dividend  Buy  12/18  
107.  Telecom Italia SPA New  Dividend  Buy  12/06  
108.  Dividend  Buy  12/08  
109.  Telstra Corporation Limited  Dividend  Buy  11/01  
110. Bancorp Del Com New  Dividend  Buy  12121  
111.  Dividend  Buy  12/22  
112.  Dividend  Buy  12/26  
113.  Dividend  Buy  12/28  
14.  Dividend  Buy  12/29  
115.  Unilever PLC  Dividend  Buy  05/11  
116.  Dividend  Buy  05/18  
117.  Verison Communication  Dividend  Buy  12/21  
118.  Dividend  Buy  12/22  
119.  Dividend  Buy  12/26 Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5.001 -$15,000 =$15,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,00 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,00 -$50.000  L=$50,00I -$100,000 =$100,001 -$250,000  
(See Columns and D3) =$250,001 -$500,000 =$500.001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal =Other  S=Assessment =Book Value =Estimated  

Date Report 
Name Person Reporting 
05/15/2007
Smith, Brooks 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period  
(!) Amount Code (A-H)  (2) Type (e.g. div., rent, int.)  (I) Value Code (J-P)  (2) Value Method Code (Q-W)  (1) Type (e.g. buy, sell, redemption)  (2) Date Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

120.  Wachovia Corporation 2nd New  Dividend  Buy  12/08  
121.  Washington Mutual Incorporated  Dividend  Buy  09/27  
122.  Weyerhaeuser Company  Dividend  Buy  07/31  
123.  Dividend  Buy  08/01  
124.  Brandywine realty Ben Int  Dividend  Buy  03/23  
125.  Dividend  Buy  03/24  
126.  Health Care Reit Incorporated  Distribution  Buy  05/11  
127.  Lexinton Corporation PPTYS  Dividend  Buy  08/14  
128.  Dividend  Buy  08/15  
129.  Dividend  Buy  08/16  
130. Bank Deposit Program(X)  Dividend Income Gain Codes: =$1,000 less =$1,00 -$Z,500 =$Z,50 -$5,000 D=$5,001 -$15,000 =$15,001 -$50,000 (See Columns and 04) F=$50,001-$100,000 G=$100,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes J=$15,000 less K=$15,00 -$50,000 =$50,001 -$!00,000 =$!00,001 -$Z50,000 (See Columns and 03) =$Z50,00I -$500,000 0=$500,001 -$1,000,000 =$1.000,001 -$5,000,000 =$5,000,001 -$Z5,000,000 =$Z5,000,00I -$50.000,000 =More than $50,000,000 (See Column CZ) V=Other Value Method Codes =Cost (Real Estate Only) T=Cash Market =Appraisal =Assessment 
U=Book Value W=Estimated 

05/15/2007 Self directed IRA Fidelity Advisors Ser Intermediate Bond was inadvertently omitted from the listing asset the 2005 report. The correction included the current years report. 

Smith, Brooks 
05/15/2007 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 

FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, .E. Washington, D.C. 20544