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Judicial Watch • Carlos F Lucero Financial Disclosure Report for 2007

Carlos F Lucero Financial Disclosure Report for 2007

Carlos F Lucero Financial Disclosure Report for 2007

Page 1: Carlos F Lucero Financial Disclosure Report for 2007

Category:Financial Disclosure

Number of Pages:10

Date Created:October 31, 2008

Date Uploaded to the Library:November 13, 2013

Tags:lucero, Carlos F Lucero, ISHARES, Carlos, Seminar, lodging, transportation, university, 2007, EPA, IRS, Financial Disclosure, ICE, CIA, income, Judge


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lttitth intra Qlnurt 1pprnla tqr mrutlJ Qlirruit 823 STOUT STREET DENVER, COLORADO 80257 
CARLOS LUCERO 
CIRCUIT JUDGE 
August 29, 2008 
Ortrie Smith 
Judicial Conference the United States 
Committee Financial Disclosure 

-(/)
One Columbus Circle, N.E. 
c-;_ 

Washington, 20544 
fl, 
:::0
Re: Calendar Year 2007 Filing 
r- 
Dear Judge Smith: 
(II The "iShares Trust: Dow Jones Telecom Sector" was listed the prior year report line under the description '"iShares Dow Jones -US Telecom Sector Index Fund". This security was sold entirety July 27, 2007 (2007 report, line 23); repurchased August 13, 2007 (2007 report, line 25); and sold again entirety November 2007 (2007 report, line 3). The listings for "iShares Goldman Sachs Software Index Fund" (2006 report, line 26) and for "iShares Goldman Sachs Software Index" (2007 report, line 19) are the same asset. The listings for "iShares Trust: SP Global Materials Index Fund" (2007 report, line 20) and iShares: Com FKA Global Materials Index" (2007 report, line 22) are the same asset. The listings for "Rydex Fds Inverse Russell 2000 Fund (2006 report, line 22) and "Rydex Inv Russell 2000 Fd" (2006 report, line 17) are the same asset. additional assets require reporting. 
Ortrie Smith Judicial Conference the United States 
August 29, 2008 Page The listing for the "Rydex Ser Fds Inverse Small-Cap Fund (2006 report, line 21) the same fund "Rydex Fds Inverse Russell 2000 Fund (2006 report, line 22) and this asset was sold entirety September 29, 2006 (2006 report, line 17). The listing for "iShares MSCI EMU Index Fund" (2006 report, line 30) listed the 2007 report "iShares Emerging Markets" (2007 report, line 12). 
Please not hesitate call any additional informati'on clarification needed. 

CFL/sm 

AOlO Government Act 1978 
Rev. 112008 
FOR CALENDAR YEAR 2007 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Court Organization Date Repor 
LUCERO, CARLOS COURT APPEALS -lOTH CIR 
05/14/2008 Title (Article III judges indicute uctive senior status; magistrate judges indicate full-or part-time)  5n. Report Type (check appropriate type) Reporting Period  
ARTICLE III JUDGE-ACTIVE  Nomination, Initial  Date Annual  Final  01/01/2007 12/31/2007  
Sb.  Amended Report Chambers Office Address the basis the information contained this Report and any  
modifications pertaining thereto, is, opinion, compliance  
1823 STOUT STREET  with applicable laws and regulations.  
DENVER, 80257  
Reviewing Officer  Date  

IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE boxfor each part where you have reportable information. Sign lllst page. POSITIONS. (Reporti11g individual only; see pp. 9.13 of.filing i11structio11s.)  NONE (No reportable positions.)  
POSITION  NAME ORGANIZATIONiENTITY  PRESIDENT DIRECTOR  CARLOS LUCERO, PROFESSIONAL CORPORATION 

II, AGREEMENTS. (Reporting l11dividual only; see pp. 4-16 filing l11structio11s.) 
[2J NONE (No reportable agreements.) coo ;:o
r--r; 3:: 
O;:b. 
PARTIES AND TERMS :::0 :.r:: 
0-m 
(T) 

Date Report 
LUCERO, CARLOS 
05/14/2008 
Ill. INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 offiling instructions.) Filer's Non-Investment Income [ZJ NONE (No reportable non-investment income.)  
SOURCE AND TYPE  INCOME (yours, not spouse's) Spouse's Non-Investment Income  fyou were 11uirried during any ortion the reporting year, complete t11is secti011. (Dollar amounJ not required exceptfor honoraria.) 
[ZJ NONE (No reportable non-investment income,) 
SOURCE AND TYPE 

IV. REIMBURSEMENTS transportation, lodging, food, entertainment. (Includes 1hose spouse and dependent childreni see pp. 25.27 filing instructions.) NONE (No reportable reimbursements.) SOURCE DATES PURPOSE  ITEMS PAID PROVIDED  Pace University Law School  2122-2512007  White Plaines,  Non-FJC/Edu Seminar  Tl'ansportation, Food, Lodging  

Harvard University Law 4/4-9/2007 Cambridge, Mass. Non-FJC/Edu Transportation, Food, Lodging School Seminar 	
Boston University School 4118-20/2007 Boston, Mass. Non-FJC/Edu Transportation, Food, Lodging Law Seminar 	
FJC-Medina Seminar 6/8-20/2007 Princeton, FJC/Edu Seminar Transportation, Food, Lodging 7/10-15/2007 Vail, Co. Judicial Conference Transportation, Food, Lodging 	
Harvard University Law /13-15/2007 Cambridge, Mass. Non-FJC/Edu  Transportation, Food, Lodg'_1g School Seminar 

Date Report 
LUCERO, CARLOS 
05/14/2008 
V GIFTS. (Includes those spouse and dependent chi/hen; see pp. 28-31 filing i11structio11s.) 
[{] NONE (No reportable gifts.) 
SOURCE DESCRIPTION 

DESCRIPTION VALUE CODE 
INSTALLMENT NOTE PURCHASE 1/2 INTEREST 160 ACRES, RIO ARRIBA COUNTY, N.lv!. 

Date Report 
LUCERO, CARLOS 
05114/2008 

(Sec Coiwnns and D4) =$50,00  00,000 =$100,001 -$1,000,000 =$!,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 D3) =$250,00 -$500,000 =$500,00J -SI .000.000 =$1,000,001  $5,000.000 =$5,000,001  $25,000,000 =$25,000,001 -$50,000,000 =More thrui $50,000,000 
Value Method Codes =Apprnisnl =Cost (Real Es!alc Only) =Assessment =Cash Market 

Date Report
LUCERO, CARLOS 
05/14/2008 
VII. INVESTMENTS and TRUSTS --income, value, transactians rrnciude., those afspause and dependent children; see pp. 34-60 filing instructians.J NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 
 
Income during 
 Gross value ate 
 Trnnsactions during reporting period 
 
reporting period 
 repotting pcriod 
 
(1) 
 (2) 
 (I) 
 (2) 
 (!) 
 (2) 
(3) 
 (4) 
 
Amount 
 Type (e.g., 
 Value 
 Vaiue 
 Typ (e.g., 
 Date 
Value 
 Gain 
 
Code 
 div., rent, 
 Code 
 Mctliod 
 buy, sell, 
 Month Code 
 Code 
 
(A-H) int.) 
 (1-P) 
 Code 
 redemption) 
 Day 
(J-P) 
 (A-H) 
 
(Q-W) 
 

(5) 

ldentity exernpl from prior disclosure Place "(X)" after each asset 
buyer/seller (if private 
___J Income Gain Codes: =$1,000 orless =$1,001 -$2.soo =$2,501 -$5 .ooo  
(See Columns and 04)  F=$50,001 -$!00,000 =$100.001 -$1 ,000,00.l =$1,000,0tll $5,000,000 Value Codes  1:::$15,000orless =$15,001  $50,000  L=$50,001-$100,000  
(Sec Columns and 03) =$250,001 -$500,000 '$500.001 -$1,000,000 =$!,000,001 $5,000,000 =$25,000.001 -$50,000,000 =More tbnn $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment  
(Sec Column C2) =Dook Value  V=Other =Estimated =$5,00t -$t5,000 ''" =More than $5,000,000 =$100,001-$250,000 =$5,000,001 -$25,000,000 
T=CashMarkct 

Date Report 
05/14/2008
LUCERO,CARLOSF 
VII. INVSTMENTS and TRUSTS --i11come, vazue, 1ransacao11s r111c1udes those spouse and dependent c1zitdre11; see pp. 34-60 filing i11stmc1ia11s.J NONE (No reportable income, assets, transactions.) 
-------- ----------- ------ -  
B.A.  
ssetsDescription  Income during  Gross value end Transactions during reporting period  
(including trust assets)  reporting period  reporting period ----------- 
(1)  (2)  (1)  (2) (3)(2) (5) assetPlace"(){)" after  Amount  Type (e.g.,  Value  Value Type (e.g., Date lue Gain Identity  
exempt from prior isclosure  Code  div., renr,  Code  Method buy, sell, MonthCode2 Code buyer/seller  
(A-H) int.)  (J-P)  Code redemption) Day (J-P) (A-H) (if private  
(Q-W) transaction)  

___..
.-----
10129
35. 
Proshares UJna Qqq: Dividend BUY 

36. 
 AMERITRADE BROKERAGE ACCOUNT 

TFS Capital FDS Market Neutral None BUY 1/19 

--------- Income Gain Codes:   A=$! ,000 Jess =$1,001 -$2,500 =$2,501 -$5,000  0=$5,00t -$15,000  '''00'  
(Sec Columns nnd D4)  F=$50,00t  $100,000. =$100,00l -$1 ,000,lJOO =$1,000,00l -$5,000,000 =More lhan $5,000,CXJO Value Codes =$15,000 Jess =$15,00l -$50,000 =$50,00 -$I 00,000 =$100,00 -$250,000  
(See Colunms and 03)  N=$250,00l -S500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000  !'2=$5,000,001-$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal  R=Cost (Real Estate Only) =Assessmenl ash Market  
(Sec Column C2) .:::Book Value  V=Otllcr =Eslimntcd  

Dale Report 
05/14/2008
LUCERO, CARLOS 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (l11dica/epartofReporl.) 
#1. Assets over $10,000 value consist -ranch, land, water rights, equipment, livestock and related property. 
#2. Assets over $10,000 value consist law partnership income earned prior June 30, 1995 the form annuities. For tax purposes, aru1uity income reported CFL, P.C. 
113. Assets over $10,000 value consists mutua funds. 
414. House was destroyed fire July 25, 2004. Insurance company paid $95,206 for damages 2004 and $5,823 2005. 
ilS Land was purchased January 2003 for $50,174 for the estate Maria Medina properly subject mortgaage (part VI, Line 1). 

416. Assets LCM LLC consist oil/gas investments tlum1gh Avanli Exploration, LLC and are believed worthless the close the year. 

Date Report 
LUCERO, CARLOS 
05/1/2008 

IX. CERTIFICATION. certify that all infonnation given above (including information pertaining spouse and minor dependent hildren, 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 tbat earned income from outside employment and houornria and the acceptance gifts which have been reported arc compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature 
NOTE: ANY INDIVIDUAL WHO KNOWINGL AND WlLFULLy FALSIFIES FAILS FILE THIS REPORT sun.mer 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, N.E. Washington, D.C. 20544