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Judicial Watch • D Smith Brooks – 2006

D Smith Brooks – 2006

D Smith Brooks – 2006

Page 1: D Smith Brooks – 2006

Category:Federal Judges

Number of Pages:14

Date Created:September 4, 2007

Date Uploaded to the Library:December 19, 2014

Tags:D Brooks Smith, Brooks, smith, 2006, assets, transactions, Codes, dividend, disclosure, reporting, report, Federal Judge, financial, 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.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME (yours, not spouses) 2006 Reliance Bank -Vice President, Commercial Lending -Sala. Spouses 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. Masters 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. Loews 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