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Judicial Watch • Carlos F. Lucero – 2005

Carlos F. Lucero – 2005

Carlos F. Lucero – 2005

Page 1: Carlos F. Lucero – 2005

Category:Federal Judges

Number of Pages:15

Date Created:August 2, 2006

Date Uploaded to the Library:November 17, 2014

Tags:Competition, lucero, Carlos F Lucero, Carlos, school, university, court, 2005, assets, investment, spouse, Codes, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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1823 STOUT STREET DENVER, COLORADO 80257 
CARLOS LUCERO 
303-844-2200 
CIRCUIT JUDGE 
FAX 844-2201 
May 18, 2006 
SELF INITIATED AMENDMENT 
Committee Financial Disclosure 
Administrative Office the United States Courts ......, 
One Columbus Circle, N.E., Suite 2-301 Washington, D.C. 20544 ..,o(J)Z :::?:: 
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Ladies and Gentlemen: OJ> .., ... understanding from conversation with the staff the Coffimitte following receipt Chairman Ortrie Smith, dated May 16, 2006, that judging moot court competition sponsored law school expense paid seminar that requires reporting Section our Financial Disclosure Statements. This has not been previous understanding the rule the examples provided. 
Enclosed quadruplicate are amended parts this years Financial Disclosure, well amended parts for the reporting years 2000, 2001, 2002 and 2004. 
 
CFL/sm enclosures 
AMENDED 
 
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-U instructions.) Filers Non-Investment Income (K] NONE (No reportable non-investment income.) 
SOURCE TYPE INCOME (yours, not spouses) Spouses Non-Investment Income -I/you mre married during any portion the reporting year, complete this section. 
(Do/Jar amount not required except for honoraria.) 
,._,CJ 
(K] NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE 
 
 
IV. REIMBURSEMENTS -transportation, iod glng,food, entertainmenL (lnc/ude.r those spouse and dependent children. See pp. 25-27 ofinstructions.) NONE (No reportable reimbursements.) Duke University Law School Moot Court Competition University Pennsylvania Law School Participation Latin American Law School Association Program Cornell University Law School Moot Court Competition Yale University Law School Moot Court Competition George Washington University Law School Participation Symposium the Legacy the Rehnquist Court University California Los Angeles Moot Court Competition 
 
 
AMENDED 
2004 
 
LUCERO,CARLOSF 
5/18/06 
III. N-INVESTMENT COME. (Reporting individual and spouse; see pp. 17-U instructions.) Filers Non-Investment Income 
[KJ NONE (No reportable non-investment income.) SOURCE AND TYPE 
INCOME 
(yours, not spouses) Spouses Non-Investment Income -If you ,..re married during any portion the reporting year, comp/eu this section. (Dollar amount not required except for honoraria.) 
(gJ NONE (No reportable non-investment income.) 
,.._.., 
 
SOURCE AND TYPE 
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IV. REIMBURSEMENTS -transportation, lodging.food, enUrtainment 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) American Bar Association Participation with Justice Breyer, al., the ABA Commission program Commemmorate the 50th Anniversary Brown Board Ed. 
 
 
 
 
AMENDED 
2002 
 
Date Report 
Name Peno Reporting 
 
LUCERO, CARLOS 
5/18/06 
JIJ. NON-INVESTMENT COME. (Reporting individual and spouse; see pp. 17-24 instructions.) Filers Non-Investment Income 
(RJ NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE INCOME 
 
 
;:o Spouses Non-Investment Income -I/you married during any portion the reporting year, comple this section. 
(Dollar amount not required except/or honorafa.) 
[Kl NONE (No reportable non-investment income.) 
 
 SOURCE AND 
 
 
JV REIMBURSEMENTS -transportation, /odging,food, entertainmen (Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) Cornell University Law School Moot Court Competition 
 
 
 
 
AMENDED 
2001 
5/18/06 
 
 
III. NON-INVESTMENT INCOME. (Reporting individual andspouse;supp.17-14 instructions.) Filers Non-Investment Income 
[KJ NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME 
 
 
(yours, not spouses) Spouses Non-Investment Income -If you married during any portion the porting year, complete this section. (Dollar amount not required except for honoraria.) 
 NONE (No reportable non-investment income.) 
 
 
IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenL 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) University Southern California Law School Moot Court Competition 
 
 
 
 
 
AMENDED 
N2me Person Reporting Date Report 
LUCERO, CARLOS 5/18/06 
 
III. NON-INVESTMENT COME. (Rtporting individual QJld spouse; set pp. 17-14 instructions.) Filers Non-Investment Income [KJ NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME (yours, not spouses) Spouses Non-Investment Income -IJyou were married during any portion the reporting year, complett this section. 
(Dollar amount not required except/or honoraria.) 
NONE (No reportable non-investment income.) Notre Dame University Law School Moot Court Competition George Washington University Law School Moot Court Competition American Bar Association Appellate Judges Planning Conference Govemment Act 1978 
Rev. 112006 
FOR CALENDAR YEAR 2005 V.S.C. opp. IOI-I Person Reporting Oast name, lirst, middle Initial) Court Organization Date Report 
LUCERO,CARLOSF COURT APPEALS-I OTH CIR 05/16/2006 Title (Article Ill judges indicate active senior status; Sa. Report Type (check appropriate type) Reporting Period 
magistrate judges Indicate full-or part-time) ARTICLE Ill JUDGE-ACTIVE Nomination, Date Initial Annual Final 01/01/2005 12/31/2005 
Sb. Amended Report Chambers Office Address 1823 STOUT STREET DENVER, COLORADO 80257 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Oflicer Date 
 
 
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have 110 reportable i11formalio11. Sign 011 las/ page. POSITI NS. (Reporting indMdual only; see pp. 9-13 Instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY PRESIDENT DIRECTOR CARLOS LUCERO, PROFESSIONAL CORPORATION 
II. AGREEMENTS. (Reporting individual only; see pp. U-16 instructions.) NONE (No reportable agreements.) 
[KJ 
 
 
 
 
 
III. NON-INVESTMENT COME. (Reporting individual and spouse; see pp. 17-14 instructions.) Filers Non-Investment Income 
IBJ NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE INCOME (yours, not spouses) Spouses Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
IBJ NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE 
IV. REIMBURSEMENTS -transportation, lodging.food, entertainment 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) 
IBJ NONE (No reportable reimbursements.) 
 
 
05/1612006 
LUCERO, CARLOS 
V GIFTS. (Jncludesthose spouse and deper1dent children. See pp. 28-31 instructions.) 
fKJ NONE (No reportable gifts.) 
 
VALUE 
 
VJ. LJABJLJTJES. (lllc/udes those spouse and dependent children. See pp. 32-34 instructions.) ESTATE MARJA MEDINA INSTALLMENT NOTE PURCHASE 1/2 INTEREST ..RIO ARRIBA COUNTY, N.M. 
 
 
 
 
 
 
05/16/2006 
LUCERO, CARLOS 
 
VII. INVESTMENTS and TRUSTS -income, varue, transactions (lnc1ut1es those the spouse and dependent children. see PP 34-s1 filing 
instructions) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period not exempt from disclosure 
(2) Date (3) Value (4) Gain (5) Identity 
Month- Code Code buyer/seller 
Day (J-P) (A-H) (if private 
transaction) 
 
(2) (2) 
Place (X) after each asset exempt from prior disclosure 
OMMERCIAL BUILDING, OSA COUNTY, ARTMENTS; ALAMOSA TY,CO 
3.1/4 SECTION FARM LAND; CONEJOS COUNTY, SINGLE UNIT RENTAL. ALAMOSA COUNTY, 
Amount 
Code 
(A-H) 
Type (e.g. div., rent, int) 
Rent 
Rent 
Rent 
None 
Value Code (J-P) 
Value Method Code 
(Q-W) 
Type (e.g. buy, sell, merger, redemption) 
SEE* 112 INTEREST RIO 
None Income Gain Codes: =$1,000 less =$1,00 $2,500 =$2,501 -$5,000 D=$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 K=$15,001 -$50,000 =$50,001 -$100,000 M=Sl 00,001-$250,000 
(See Columns and 03) =$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 =$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 W=Estimated 
 
 
 
VII. INVESTMENTS and TRUSTS -income, valtu, transactions (includes those the spouse and dependent children. PP 34-57 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 
{I) Amount Code (A-H) (2) Type (e.g. div., rent, int.) {I) (2) Value Value Code Method (J-P) Code (Q-W) (I) Type (e.g. buy, sell, merger. redemption) Ifnot exempt from disclosure (2) (3) (4) (5) Date Value Gain Identity Month-Code Code buyer/seller Day (J-P) (A-H) (if private transaction) 
 
18. 
-!SHARES MSC! JAPAN FUND BUY 11/08 
 
19. 
-!SHARES RUSSELL 1000 Dividend BUY 06/03 GROWTH INDEX 
 
20. 
-!SHARES SP LATIN AMERICA SELL 04/15 40INDEX Income Gain C-Odes: =$I ,000 Jess =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50,00 -$I 00,000 =$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 =$100,001 -$250,000 
(See Columns and 03) =$250,001 -$500,000 0=$500,001 -$1,000,000 =$1,000,001 -$5,000,000 $5,000,001 -$25,ooo,ooo Value Method Codes =$25,000,001 -$50,000,000 ost (Real tate Only) =More than $50,000,000 =Cash Market 
(See Column C2) =Appraisal Y=Other =Assessment =Boole Value =Estimated 
 
 
0511612006 
LUCERO, CARLOS 
VII. INVESTMENTS and TRUSTS -income. varue, transactions (inclulks those oflhe spouse and dependent children. see PP 34-57 offuing instructions) NONE (No reportable income, assets, transactions.) 
Description Assets 
 
Transactions during reporting period (including trust assets) 
Place 11(X) after each asset 
Type (e.g. exempt from prior disclosure 
buy, sell, merger, 
redemption) 
Income during Gross value end 
reporting period reporting period 
(1) (2) (I) (2) 
Amount Type (e.g. Value Value 
Code div., rent, Code Method 
(A-H) int.) (J-P) Code3 
(Q-W) 
 
(1) Ifnot exempt from disclosure 
(2) Date Month-Day (3) Value Code (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (if private transaction) 
 
35. -SUN AMERICA FOCUS TECHNET SELL 02123 
36.TD TERHIOUSE BROKERAGE ACCOUNT 
37. --BRAZOS MUT FDS MICRO CAP PORTFOLIO Dividend SELL 05113 
38. -DIAMOND HILL FOCUS LONG SHORT FUND Dividend BUY 02/25 
 
39. -EMERALD MUTUAL FUNDS Income Gain Codes: $1,000 less =$1,001 -$2,500 c=$2,501 -$5,000 D=$5,001 -$15,000 E=$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 H2=More than $5,000,000 
2.Value Codes J=$15,000orless K=$15,001 -$50,000 L=$50,001 -$100,000 =$100,001 -$250,000 
(See Colwnns and 03) =$250,001 -$500,000 0=$500,001 -$1,000,000 =$1,000,001-$5,000,000 P2=$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 vOther =Assessment 
U=Book Value W=Estimated 
 
 
0511612006 
LUCERO,CARLOSF 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those the spouse and dependent children. see PP 14-s1 offumx instructions) NONE (No reportable income, assets, transactions.) 
Description Assets Income during (including trust assets) reporting period 
Place (X) after each asset Amount 
exempt from prior disclosure Code 
(A-H) 
 
52. --SCHWAB 1000 INDEX FUND 
(2) Type(e.g. div., rent, int.) 
None 
Gross value end Transactions during reporting period 
reporting period 
 
(I) 
Value Code2 (J-P) 
(2) (I) Value Type (e.g. Method buy, sell, 
Code merger, 
(Q-W) redemption) 
SELL 05/31 not exempt from disclosure 
(2) (3) (4) (5) 
Date Value Gain Identity 
Month Code2 Code buyer/seller 
Day (J-P) (A-H) (if private 
transaction) 
 
53. EQUITABLE LIFE ASSURANCE Dividend SEE*2 SOCIETY -ANNUITY 
54. SAFECO LIFE INSURANCE COMlANY -ANNUITY 55. COLORADO BONDSHARES Dividend Dividend SEE*2 . LCM LLC (SEE None BUY 05128 
57. 
58. 
59. Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns andD4) =$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 =$100,001 -$250,000 
(See Columns and 03) =$250,001 -$500,000 =$500,001 -$1,000,000 =Sl,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 T=CashMarlcet 
(See Column C2) =Appraisal =Other =Assessment =Book Value W=Estimated 
 
 
05/16/2006 
LUCERO, CARLOS 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicatepartofReporL) 
*I. Assets over 0,000 value consist ofch, land, water rights, equipment, livestock, and related propety. 
*2. Assets over$ 10,000 value consist oflaw partnership income earned prior June 30, 1995 the form annuities. For tax purposes, annuity income 
reported CFL, P.C. 
*3. Assets over$ 10,000 value consists mutual funds. 
*4. House was destroyed fire JUiy 25, 2004. Insurance company paid$ 95,206 for damages 2004 and$ 5,823 2005. 
 
*5. Land was purchased January 2003 for$ 50, 174 from the estate Maria Medina. Property subject mortgage (Part VI, Line I). Assets LCM llc consist ofoil/gas investments Avanti Exploration, LLC. 
 
 
 
 
05/16/2006 
LUCERO, CARLOS 
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. 
Signature NOTE: ANY 
FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544