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Judicial Watch • Carlos F Lucero Financial Disclosure Report for 2005

Carlos F Lucero Financial Disclosure Report for 2005

Carlos F Lucero Financial Disclosure Report for 2005

Page 1: Carlos F Lucero Financial Disclosure Report for 2005

Category:Financial Disclosure

Number of Pages:15

Date Created:August 2, 2006

Date Uploaded to the Library:November 13, 2013

Tags:Competition, lucero, Carlos F Lucero, Carlos, school, university, court, 2005, investment, EPA, IRS, Financial Disclosure, ICE, CIA, 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 year's 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.) Filer's Non-Investment Income (K] NONE (No reportable non-investment income.)  
SOURCE  TYPE  INCOME (yours, not spouse's) Spouse's 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.) Filer's Non-Investment Income 
[KJ NONE (No reportable non-investment income.) SOURCE AND TYPE 
INCOME 
(yours, not spouse's) Spouse's 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.) Filer's Non-Investment Income 
(RJ NONE (No reportable non-investment income.) 

SOURCE AND TYPE INCOME 

;:o Spouse's 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.) Filer's Non-Investment Income 
[KJ NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME 

(yours, not spouse's) Spouse's 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.) Filer's Non-Investment Income [KJ NONE (No reportable non-investment income.)  
SOURCE AND TYPE  INCOME (yours, not spouse's) Spouse's 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.) Filer's Non-Investment Income 
IB"J NONE (No reportable non-investment income.) 

SOURCE AND TYPE INCOME (yours, not spouse's) Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
IB"J 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.) 
IB"J 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 Of' 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 COMl'ANY -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