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Judicial Watch • D Hornby Brock – 2003

D Hornby Brock – 2003

D Hornby Brock – 2003

Page 1: D Hornby Brock – 2003

Category:Federal Judges

Number of Pages:18

Date Created:February 2, 2005

Date Uploaded to the Library:November 01, 2014

Tags:Homby, D Brock Hornby, Brock, Institute, 2003, TRUSTS, Codes, dividend, disclosure, reporting, report, Federal Judge, financial, income, Judge


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**AMENDED** 
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i11 Government Act 1978 Rev. ll/2fli04 
Calendar Year 2003 U.S.C. app.  101-111) 	Person Reporting (Last name, First name, Middle initial) Homby, Brock Title (Alticle Ill Judges indicate active senior status; magistrate jud1es indicate full-or paJt..time) 
District ud,ge (active) Chambers Office Address United Statc:s Dstrict Court 156 Federal Str1et Court Organization Date Report 
District Maine 4112/2004 ReportType (check appropriate type) Reporting Period Nomination. Date 11112003 Initial @Annual Flnal 12/3112003 the basis the information contained this Report and any modifications pertaining thereto, is, opinion. compliance with applicable laws and regulations. 
Portland, Cl4101 
IMlPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part wbc:re yo1;1 have reportable information. Sign last page. POSl1l10NS. (Reportirig :individual only; see pp. 9-13 offiling instructions) NONE -(No reportable posiiti1ns.) 
POSITJON NAME Member, Board ofVisitors University Maine School Law 
Member, Subcommittee Court Program Design CPR Judicial Project Advisory Council, CPR Institute for Dispute Resolution 
Council Member 	The American Law Institute T1rustee 	Estate Planning 
Member 	American Law Institute-American Bar Assll Committee Continuing Legal Education 
Evaluator for the Graduate Plro:gram for Judges University ofVirginiaSchoolofl.aw 
 
 
12/28/01 from the Committee Codes Conduct the 
Judicial Conference -0 the 
United States) 
II. AGREEMENTS. (Reprling individual only; see pp. 14-16 offiling instructions) 
 NONE -(No reportable agn::c:ments.) 
AND TERMS 
Name Person Reporting 
Date Report 
FINMC:IAL DISCLOSlURE REPORT 
Homby, Brock 
4112/2004 
III. NON-INVESTMENf INCOME. (Reporting individual and spouse; see pp. 17-24 offiling instructions) File1s Non-Investment Income NOJE  (No reportable ndging and meal expenses University Virginia School .Law Evaluator for the Graduate Program for Judges 7/24-26/03 Charlottesville, VA; paid travel, lodging and meal expenses Kenan fastitute Asia 	Member Judicial Delegation Thailand 8/24-29/03; Institute paid travel, lodging and meal 
expenses The American Law Institute ALI Advisors Meeting Restitution 9/19-2i/03 Louis, MO; paid travel, lodgi111g and meal expenses The American Law Institute 	Council Meeting New York City 10/22-25/03; paid travel, lodging and meal expenses 
Name Person Reporting Date Report Homby, Brock 4/12/2004 
(Includes those spouse and di,pendent children. See pp. 25-2_7 instructions.) NONI -(No such reportable reimbwsem.ents.) 	American Assn for the Advm:1cimient Science Conference Neuroscience and the Law 9/11-13/03 WashingtOO, D.C.; paid travel, liodging and meal expenses 
 
 
... FIN.ArCIAL DISCLOSURE REPORT Name Person Reporting Hornby, Brock Date Rep1Drt 411212004 GIFTS. NOJl.ffi_ (lneludes those spuuse and dependent children. See pp. 28-31 instructions.)  (No such report:ablle gifts.) 
DESCRIPTION 
 
VI. LIABilITIES. (Includes those spouse and dependent children. See pp. 32-34 ofinstructions.) 
 NONE -(No reportable liabili1ies.} 
VALUE CODE 
 
Date ReplOrt 
Name Person Reporting 
Homby, Brock 
4/12/2004 
vn. INVESTMENTS and TRUSTS -income, value, trausc:alioos (includes those the spouse and dependent clu1dren. See pp. 34.57 filing instructiDllS.) Income during Gross value cod Transactions during reporting period 
Dl:scriplion Assets reportingperiod reponing period 
{incuding trust assets) 
 
(2) (2) not exempt from 
(2) 
Place {X} after each asset CXCll Ip! Amount (e.g. Value Value Type (e.g. 
Date: Vaine Idelltity 
froin prior disclosurc Code! div. n:nt. Code2 Method bny,sell, 
Month 
Code2 
Code 
bllYClfseiler 
int.) (JP) Code) merger, 
Day (lP) (A-H) .(ifpriwte(QW) Rdemption)  lraruaction} NONE (Norcportableincome,asseIs, ttansaclions) Fleet Ba111k accounts Inmrest E*Tladc: Bank accounts Interest GMAC .Bank account Interest U.S. Savings Bonds Ruwe Price Mutual Funds - None buy 1/30,2/ 1/23 - International Stock Dividend Intemational Bond Dividend sell 412 Tallflee Intermediate Dividend sell 412 Tax-fiee High Yield Dividend 
10. nAmericain Century Investments iutual funds) 
11. Growth None 
12. Ultra None 
13. TIAA-CREF Mutual Funds 
14. Gmwtlh Income Dividend 
IS. Growth Equity Dividend 
16. Vang1iard Group Mutual Funds 
17. Ass:et Allocation Fund Dividend 
18. Value Index Fund Dividend Income/Gain Codes: Sl,000 less $l,OOl-S2,500 S2i01-S5,000 S5.0Cll-Sl5,000 $15,001-$50,000 
(See Colum1s and D4) $50.001-.$100,000 $100,00J-$1,000,000 =SI ,OOO,OOJ-S5,000.000 =More than $5,000,000 Value Codes: $15,000 less $15,001-$50,000 $50,001-$100,000 $l00,001.S250,000 
(Seo Colmrnts and D3) $250,000-$500,000 $500,00J-$1,000,000 Sl,OOO,OO!-S5,000.0()0 $5.000,00!-$25,000,000 $25,00.00!-$50,000.000 $11.forc than SSP,000,000 Vaiui: Method Codes tpprni1ml Cost (Real Estate Only) Assl!ssment Cash/Market 
(Se Column C::) ------ -------------;-- Book Ialue v-----,-------------=Other Ii Estimated 
 
FINANCli.L DISCLOStn REPORT 
Name Person Reporting 
Homby, Brock 
VII. INVESTMENTS and. TRUSTS 
Description Assets (incJuding trust assets) 
Plmle Ql.1 after each asset CXJ:rn1pt- 
frorn prior disclosure 
TuelMP63 Fund, Inc. (mutual tiJn 
19. 
Prudicntial Financial 
20. 
 
 
Broki erage Acct Rowe Price 
21. 
 
22. 
Cash Management Account 
 
incame, value, tmnscations (includes lhose the spouse and dependent children. See pp. 34-S7 filing instructions.) 
Iru:ome during Gross value end Transactions during reporting period reporting period reporting period 
disclosure 
{J) (2) (I) 	(2) (l) (2) 
Amount 	Type (e.g. Value Value Type (e.g. Date: Value Identity buy, sell, Month 
Codc2 Method 	Code2 buyer/sellCocle div. rent. 
(A-H) int.) (I.P) 	Code3 merger,_ Day (J.P) (AH) (if private (Q-W) redemption) 1ransaction) Dividend Dividend Interest 
23. COi stk UNUM Provident Corp Dividend 	 
24. COi JntI, Inc. sl:k Fairchild Ser!Jicond!:tl None sell part 12/31  
25. cor S1k TupperwareCorp. Dividend 
26. corn S1k Morgan Chase Dividend buy 1121 
27. cor:n stk General Elecbic Co. Dividend buy 1121 
 
Jnc. Dividend buy 1121 
C01111 stk SBC Conununication.s, 
28. 
 
29. 
C011 stk General Motor:s Corp. Dividend buy/sell 1121 
 
30. IRAE:rol App1ais.a: Cost (Real Estate Only) Asessment Cash/Markel Book V:rilue -------- --- =Other Estimated 
 
Date ofRepolt 
Name Person Reporting 
4/12/2004 
Homby, Brock 
-income, value, transcations (includes those the spouse allld dependent clilldren. See pp. 34-:57 filing instructions.) 
VII. INVE:ST.MENTS and TRUSTS 
DejCription Assets (including trust assets) fucmiie dming reponing period (I) (2) Gross value end reporting period (I) (2) (I) Transactioos during reporting period not exempt disclosure 
Plat::c (>..) after each asset exCllllpt fron1 prior disclosure Amollnt Code) (A-H) Type (e.g. div. rent int.) Value Code2 (J-P) Value Method Code3 (Q-W) Type (e.g. buy, sell, merger,_ Jedemption) Date: Month-Day Value Code2 (J.P) Gain Code (A-H) Identity buyer/sellel (if private lnms:action) 
 
37. 
Iteme1mitted; below reportabie value 
 
mstk 1-800-Flowcrs.com 	None 
 
38. 	 
 
 
 
u.s. :reasury Security, stripped inl payt 	None T 
40. 41. COi COl mslk LandAmerica Financial Group, Inc. -rn stk U.S. Bancorp Dividend Dividend se11 part 12131 
42. COlnstk Intel Corp. -... Dividend 
43. COinsIlk Emerson Radio None 
 
44. COins1:k Motorola, Inc. Dividend 
45. COins1k Oakley, Inc. Dividend 
46. COins1k LA-Z-BOY, Inc. Dividend 
 
COTns1k Starbucks Corp. 	None 
48. COTn Campbell Soup Co. Dividend stk Fairchild Semicondu1:tor Intl, Inc. 	None 
50. COTn stk Inter Active orp. None buy I/21 
 
51. cor:n stk Sun Microsystems, Inc. None buy 2/23  
52. ;erage Acct Rowe Prico: 
53. Cash 1anagemenl Acct Interest 
54. lteTI -01nilled; below reportabh: value Income/Gain Codes: $1,000 iess S:l,OOJ-S2,:500 S2,50 l-SS,000 $5,001-$15,000 
$15,001-$50,ooor 
(Sec Cohumts and D4) $50,001-$100,000 $100,001-$1,000,000 S:l,000,001-$5,000,000 Moro than $5,000,000 Value Codes: $15,000 less $15,001-.$50,000 $50,001-$100,0()() $100,001-$250,000 
(See Columns and D3) 5250,000-$500.000 $500,001-$1,000,000 $1,000,001-$5,000,000 S5.000,00l-S25,000,000 $25,()(llO,OOl-$50,000.000 $More than $50,000,000 i Value Method Codes Appraisru =Cost (Real Estate Only) Asses>.tllent Cash!Market .(_S;oC!ililum ----v =Other =Estimated 
Date Rport 
Name Person Reporting 
Homby, Brock 
4/12/2()04 
-income, wlue, tnmscations (includes those the spouse and dependent children. See pp. 34-57 filing instructions.) 
VII. INVESTMENTS and. TRUSTS 
Income during Gross 8lue end Transactions during n:porting period O.:scriplion ofAssets n:porting period 
reporting period {including trust assets) 
not exempt from 
(I) 
(I) (2) 
(2) (3) (4) 
Type (e.g. Date: 
Value 
Plmce (X) after each asset exen lium prior disclosure 
!pl Value ValueAmount Type Gain Ideutity 
(e.g. 
buy, sell, MonthCode2 MethodCode div. rent. 
Code2 Code buyer/seller 
SS. com stk Occidental Petroleum Corp. stk Scudder New Euro11e Fund 
S6. 
57. Itcml omitted; below reportable value 
S8. C1om stk l.andAmerica Financ ial Group 
S9. 0:im stk Verizon Communic.at ,ions Co. 
60. Cl>m stk Nasdaq 100 
- 
61. 
Ci>m stk Sun Microsystems, fa1::. 
 
62. 
cc>m stk American Woodmark Inc. 
 
63. c>mitted; below reportablle value 
 
64. 
C(1m :stk Fleetwood Enterpris1i:s Inc. 
 
65. 
ccm :stk lmmunogen Inc. 
 
66. 
cc1m 11tk Trizetto Group Inc. 
 
67. 
CCIm i;tk Abgenix 
 
 
68. adIr Nokia 
69. 
Sill1jle IRA Charles Schwab 
 
70. 
 
71. 
com :tk Abercrombie Fitch 
 
72. 
Vimguard Strategic Equity 
 
 
{A-H) int) Dividend Dividend Dividend Dividend Dividend 
None Dividend 
None 
None 
None 
None Dividend Interest Dividend 
None Dividend 
{JP) 
Code3 (Q-W) merger. redemption) Day (l-P)  (A-H) (if private tran.saction) 
 lucome/Gain Oodes: ,000 o:rless =$!,OOl-S2,SOO $:!,SOl-SS,000 $5,00l-Sl5,000 $15,001-$50;-00C 
(See Columns and D4j $50.(lOJ-$100,000 $100,001-$1,000,000 $1,000,00l-$5,000.0[)(1 More than ,000,000 Value Codes: $15,000 less $15,00J-S50,000 $50,001-$100,000 SIOO,OOJ-S250,000 
(Sec Columns and D3) $250,000-$500,000 $500,00l-S!,OOO,OOO ,000,001-$5,000.000 $5.000,001-$25,()0(l,OOO $25,000,001-$50,00(J.000 =$More than $5100,000 
 
,J_ 
V11luc Mulh Insurance: DjscoVCQ. Jife plus; flexi)le None 
97. 	 
(insuranc.e name corrected) 
 
98. 	 
PruCCll :fe Insurance: Variable Appreciable Life 
 
99. 	 
Ccmsc:rvative Balanced Portfolio None 
 
100. 	 
Flt:xit1le Management Portfolio None 
 
101. 
Eq1uit:vPortfolio 	None 
 
102. 
AlG Sun. A.merica Life Assurance Co.; life None insur.mcc :on 
 
 
io3. life (inadvertently omitted) 
104. Estate Plan: trusk:e two 
im:vocab 
105. 	 
trusts funded life insurance. 0111: funded with 
 
106. term_po !icy from Empire General w/ftxed premium;.The 
 
107. 	 
other mded w/policies from MONY Life 
 
 
America 
 
108. flexi lole premium where exces1; premiums are invested Income/Gair1 Cm $5,000,000 Value Codes: $15,000 less $15,00l-$SO,OOO $50,001$100,000 Slll0,001$250,000 
(See Columns am! 03) S250,000-S500,000 $500,001$1,000,000 Sl,000,00l$5,000.000 S5.00(),001-S25,!l00,000 $25,000,001-$50,000.000 =$More than $50,000,000 YtJlue Methl Codes Apprnisal =Casi (Real Estate Only) =Assessment =Cash/Market - =Estimated 
 
Date Report Name Person Repmting 
VII. INVESTMENTS and TRUSTS -income, value, transcations (includes 1hose the spouse and dependent children. See pp. 34-57 filing instructiOlllll.) 
Dellaiption Assets Income during reporuitg period Gross value end reporting period Transactions during reporting period 
 
FINANCIAL DISCLOSUlt.E REPORT 
(inclluding trust assets) 
Ifnot exempt from d1scSUR: 
(2) (I) (I) 
(2) 	(3) (4) (S) 
(e.g. 	Value Value Type (e.g. 
Pince (X) aft each asset exempt 
Date: 
Amounl Type Value Ideotityorbuy, sen, 
liorr1 prior disclosure Code 
Month 
Code2 Method 
div. RD!. Codel buyer/seller int.) (J-P) Code3 merger,. Day(AH} (if private (J..f) 
redemption) 
(Q-W) 
transaction) 
109. thf: folllowing MONY mutual funds: 
llO. Gi.:owthIncome None 
111. Ini ational Growth None 
 
112. S11118.11 Company Growth 
113. owl 
114. UdPshiJl (aggregate:ownen;hi11.ammgement) 
115. -Slnit!i Barney Money Funds 
116. rtk Hudson City Bancorp Inc. 
117. itk Peoples Bank Bridgc:p1Drt, 
118. -prefs Dominion Resources hie. 
119. -prefstk Public Storage 
120. -prief Talismm Energy Inc, 
121. -corp >0nd Ford Motor Credit Co. Notes 
 
None None None 12/12  
 
122. 	 
-gDvt borul Federal Home I.Dan Mortgage Corp. Bonds 
 
123. 
gDvt ll>ond Federal NatI Mortgage Assn Bonds 	 
 
124. 
-ml bond Cottonwood Municipal Bonds 
125. 	-mlmi li>ond State Housing Finance Agency Bonds 
126. IDLmi li>ond State Dormitory Auth. Sinai Income/Gain Codes: ,000 Jess $i,001-S2,500 S.!,501-$5,000 $5,001-$15,00[) 5.001-$50,000 
(See Coltunns and 04) $50.(IOl-$100,000 SHl0,001-$1,000,000 SL000,001-$5,000.000 =More than $00,000 
Value Codes: $15 ,000 orles5 $15,001-$50,000 $50,001-SIOO,OOO $100,00l-S250,000 
 
(See Columns and D.l) $250,000->51}(),000 $500,001-$!,000,000 S:l,000.001-$5,000,000 $5,000,001-S25,000,00fl $25,000,01Jl-S50,000.000 =$More than SS0,000,000 
Value Method Codes =Appraisal Cost (Real Estate Only) Assessment Cash!Markel 
 
 
2---_ll,...!:---------- 
__,,....1tl;. ..... 
{l) (2) (I) (2) (I) Place (X) aflcr each asset ex1:n 1pt from prior disclosure Amount Code (A-H) Type (e.g. div. rent. int.) Value Code2 (J-P) Value Method Code3 merger,. Type (e.g. buy, sell, (2) Date: Month Day (3) Value Code2 {I-P) (4) Code (A-H) (S) ldemity buyer/seller(ifprivate 
 
redemption) 
FINANCIAL DISCLOSlnRE REPORT 
Date ofRepc11t 
Name Person Reporting 
4/1212004 
-income, value, tra11scations (includes those ofthe spouse and dependent children. See pp. 34-57 filing instructions.) 
VII. INVESTMENTS and TRUSTS Income during Gross value end T181lsactions during reporting period 
0.;1!criplion Assets 	reporting period reporting period 
(in1cludilig tJUst assets) ffnot exempt from disclosure 
(Q-W) 
tnuu:action} 
127. 
-lnuni bond Louisiana Public: Facilities Auth. 
 
128. 
-nuni bond State Housing Dev.Auth. 
 
129. 	 
-rnm1i bond Wisconsin State Gi/O RefVets How;ing 
 
130. 
-rmmi bOlld Clay Cty Hous ing Fin. Auth. 
 
131. 
-lnutl1i bond Puerto Rico Publi Bldgs Auth. 
 
132. 
-II11uni bond State; Var P_l!!P. - 	- 
 
133. 
-11:iuni bond So. Jersey Port Coi rp. 
 
134. 	 
-nmni bond Wyandotte Cty City Uni Gov1:PLT CTL 
 
135. 	 
conectioin the nature the iillick Income/Gain Ct:1des: $1,000 Jess =$!,OOJ-$2,500 $2,501-$5,000 $5,00J-$15,000 Sl5,00l-$50,000 (See Columns andD4) $50.0011-$100,000 $100,001-$!,000,000 Sl,000,001-$5,000.000 =More than $5,000,000 Value Codes: $15,00(l cir less $15,00J-$50,000 $50,001-$100,000 SJ00,001-$250,000 
(See Columns and 03) .$250,000SS00.000 $500,001-$1,000,000 Sl,000,00!-$5,000.000 S5.000,001-S25,000,000 
p:; $25,IJ00,00!-$50,000.000 $More than $50,000,000 ,.C.S..1o1_C.0J.!!!l!!C..!L. ... IL=_Bwk.al;ue .__Qli}r Apprni5fit corporations. 
 
Name Person Reporting 
Date Report 
Homby, Brock 
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 vvas 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.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature Date 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE nns REPORT SUBIBCT CML 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 
 
School Laws graduate program for judgE?s. You have asked the Committee whether your service evaluator would violate the Code Conduct for United States Juqges and whether your service suff iciertly relate te:aching and e:du.:: ation that: would permissible for you accept the modest stipend. 
With your inquiry letter from the director the program, which 
 
 
p1rovides details about the program. 
 
Specifically, judges enrolled the University Virginia 
 
School Law Graduate Program for Judges come Charlottesville for six weeks classes each two consecutive 
summers. During the followin9 academic year, each participant the program writes thesis.under the supervision law school faculty member. The degree Master Laws the Judicial Proce awarded upon succe ssful completion the course work and the 
 
 
 
 
 
 
 
l?ag_2 
thesis. 
 
The Graduate Program for Judges receives 
amount its funding through grant from the 
Institute. One the conditions the grant 
University Virginia have outside evaluation 
lby highly qualified reviewer. The evaluation 
the reviewer travel Charlottesville during period two three days each. The evaluator 
classes, interviews judges concerning the quality 
E:xperience:, gathers pertinent information from 
administrators, and prepares interim report 
first summer and final_ report following the second 
Evaluation.s are .ari iinpori:..a.uc paft v the: -i.e.:.>;:t 
 
 
grant 
cycle. 
The 
Graduate would reimburse you 
incurred Charlottesville and 
reports 
 
are paid modest stipe_:q9. 
The concludes that your sen.rice evaluator permissible under the Code Conduct for United States Judges. Canon provides that [a] judge may engage extra-judicial activities improve the law, the legal system, and the administrat:iion justice. Specifically, Canon provides that 
[a] judge may speak, write, lecture, teach, and participate other activities concerning the law, the legal system, and the administrat:i.1::m justice. Clearly, your -service evaluator 1::if graduate program for judges the University Virginia qualifies such permissible activity. There also nothing inappropriate about the fact that your assessment will used the state evaluate the program and make future 
grant decisions. fact, Canon expressly notes that [a] 
judge may make recommendations public and private fund 
granting agemcies projects and programs concerning the law, 
the legal system, and the adrninistrat-ionjustice. 
The Committee also concludes that you may accept the modeststipend, not because the activity related teaching, but 
Because the payment does not constitute honorarium defined the Code. Section (a-) the Ethics Reform Act 1989 provides that [n]o judicial officer employee shall receive a:ny honorarium while that individual judicial officer employee. Section 4(b) defines honorarium mean payment money anything value (excluding reduced travel expenses provided U.S.C. App.  505(3) and (4)) for appearance, speech article judicial officer employee. 
 
 
 
Pag_3 
 
Your service! evaluator, explained the program director, does not fall within this definition. :stipend dc>es not constitute honorarium. Rather, the concludes that the stipend constitutes compensation for related extra- judicial activitie s permitted the Code. provides that judge may receive such compensation, does not exceed reasonable amount, nor exceed the person who not judge would receive for the same Canon also requires financial disclosures. 
restrictions the receipt compensation are imposed the Ethics Reform Act 1989. Specifically,  3(a) provides that [n]o covered senior employee may have outside Earned incmme attributable calendar year which exceeds percent the annual rate basic pay for Level the lecutive Siehedule under U.S.C.  5313 January that calenda::r; yi:i):. A:ccordingly, although you may accept the_