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Judicial Watch • Joan B Gottschall Financial Disclosure Report for 2008

Joan B Gottschall Financial Disclosure Report for 2008

Joan B Gottschall Financial Disclosure Report for 2008

Page 1: Joan B Gottschall Financial Disclosure Report for 2008

Category:Financial Disclosure

Number of Pages:16

Date Created:December 4, 2009

Date Uploaded to the Library:November 13, 2013

Tags:holders, jpmorgan, Joan B Gottschall, privilege, Members, chase, Bought, Morgan, committee, judicial, 2008, EPA, dividend, IRS, Financial Disclosure, ICE, CIA, income, Judge


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Government Act 1978 FOR CALENDAR YEAR 2008 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Court Organization 
Gottschall, Joan U.S. District Court, NDIL Title (Article Ill judges indicate active senior status; Sa. Report Type (check appropriate type) 
magistrate judges indicate full-or part-time) 
Nomination Date 

District Judge--active status 
Initial Annual Final
Ill 
Sb. Amended Report Date Report 
07/9/2009 Reporting Period 01/01/2008 
12/31/2008 Cbambers Office Address the basis the information contained this Report and any 
modifications pertaining thereto, is, opinion, compliance 
219 South Dearborn Street 

with applicable laws and regulations. 
Room 2356 
Chicago, 60604 

Reviewing Officer Date 
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITI NS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) Member Visiting Committee the Divinity School, University Chicago 
Member, Board Directors Illinois Humanities Council 
Member, Board Directors Martin Marty Center the University Chicago Divinity School ......, 

PARTIES 

Gottschall, Joan 

III. NON-INVESTMENT C011E. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income  NONE (No reportable non-investment income.)  

 SOURCE AND TYPE  INCOME  
(yours, not spouse's)  See Section VIII, note  $0.00 Spouse's Non-Investment Income  Jfyou were married during any porlWn the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
[{] NONE (No reportable non-investment income.) 
SOURCE AND 

JV. REIMBURSEMENTS -transportation, lodging.food, entertainment. 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) 
[Z] NONE (No reportable reimbursements.) 

ITEMS PAID PROVIDED GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 	NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 
See Part VIIl, Note 

VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) 
[ZJ NONE (No reportable liabilities.) 

VALUE CODE 

VD. INVESTMENTS and TRUSTS income, value, transactions (tnctudes those spouse and dependent children; see PP 34-60 filing instructions.> NONE (No reportable income, assets, transactions.) Income Gain Codes: =$1,000 Jess =$1,001 -$2,500  c=$2,501 -$5,000  0=$5,001-$15,000  E=$15,001 -$50.000  
(See Colmnns and D4) =$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 Jess =$15,001 -$50,000  L=$50,001 -$100,000 =$100,001 -$250,000  
(See Columns and 03) =$250,001 -$500,000 =$500,001 -$1.000,000 =$1,000,001 -$5,000,000  P2=$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cos! (Real Eslale Only)  s=Assessment =Cash Market  
(See Column C2)  U=BookValue  V=Olher  W=Eslin)aled  

VII. INVESTMENTS and TRUSTS income, value, transactions c1nctudes those spouse and dependent children; see PP 34-60 filing instructions.> NONE (No reportable income, assets, transactions.) 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 lban $5,000,000 Value Cedes =$15,000 less =$15,001 -$50,000 =$50,001 -$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 =.$25,000,001 -$50,000,000 =More lban $50,000,000 Value Method Codes  Q=Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2)  U=BookValue =Other =Estimated  

Name Person Reporting 
Date Report 

Gottschall, Joan 
07/9/2009 
VII. INVESTMENTS and TRUSTS --income, value, transactions  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 Code2 (J-P)  (2) Value Method Code3 (Q-W)  (I) Type e.g., buy, sell, redemption)  (2) Date Month-Day  (3) Value Code2 (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction) Morgan Tax Aware Short Intrmed Inc. Dividend 
36. Morgan Intermed. Tx. Free Bond Dividend Buy 4/24 Bought more 
37. Morgan Tax Aware Real Ret. Fd. Dividend Buy 4/24 Bought more 

38. Morgan Intrepid Growth Fd. None 	Buy 4/24 Bought more 

JPMorgan Intrepid Growth Fd. None 	Sold 10/27 
40. Fidelity Adv. Inc Advantage Fd. Dividend Buy 4/24 Bought more 
41. Fidelity Adv. Inc Advantage Dividend Buy Bought more 
43. 
Harbor Fd. Intern'! Fd. Inst! Dividend Buy 4/24 Bought more Morgan Large Cap Core Plus Dividend 
44. Morgan Equity Fd. Dividend Buy 4/24 Bought more Morgan Intrepid America Fd. Dividend Buy 4/24 Bought more 
JPMorgan Intrepid America Fd. Dividend Buy Bought more 
46. 

47. Morgan/Chase checking account Interest 	Constant changes Morgan/Chase savings account Interest 	Constant changes 
49. Morgan Chase 100% Treasury Dividend See Part VIII, n.2 
Fd. (asset acct) 
50. Morgan Chase 100% Treasury Dividend See Part VIII, n.2 Fd. (investment acct) 

51. Morgan Chase 100% Treasury Dividend See Part VIII, n.2 Fd. (retirement account) 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,!XXJ =SJ00,001 -$1,000,!XXJ =Sl,000,001 -$5,000,000 =Mon: than $5,000,!XXJ Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$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 =$25,000.001 -$50.000.000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Mallet  
(See Column C2)  U=BookValue  V=Other =Estimated  

52. Morgan Chase 53. JPMorgan Chase  Interest Interest  Matured Buy  4125 4126  
54. JPMorgan Chase  Interest  Matured  11/25  
55. JPMorgan Short Duration Bd. Pd.  Interest  Buy  4/24  
56. !Shares Treas. lnfln.Prot.Secs. Pd.  Dividend  Buy  4/28 Renamed Barclays Bd.  
57. JPMorgan Intern'! Value Fund  Dividend  Buy  8/4  
58. JPMorgan Highbridge Stat Mkt Neut  Dividend  Buy  8/4  
59. Manning Napier Inc New Ser 60. Spdr Unit Ser 61. Eaton Vance Invt Cap Value 62. Dodge Cox Fds Intl Stk  Dividend Dividend Dividend Dividend  Buy Buy Buy Buy  8/4 8/6 10/27 10/27  

VD. INVESTMENTS and TRUSTS NONE (No reportable income, assets, transactions.) 
Description Assets 

Transactions during reporting period (including trust assets) 
income, value, transactions  
(5) Identity  buyer/seller 
(if private transaction) Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 (See Columns and 04) =$50,001-$100,000 =$100,001 -$1,000,000 =$1,000,001  $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -SI 00,000 
(See Columns and D3) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001  $5,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment (See Colwnn C2) U=BookValue V=Other =Estimated 

Name Person Reporting 
Date Report 
Gottschall, Joan 
07/9/2009 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicatepartofReport.) 
NOTE (Section III) 
Codes Conduct, which was attached that Report and attached hereto. realized income from this business during the reporting period. 

NOTE (Section VII, 11. 61-63) have renamed the "brokerage account" the "stock account" assist own record keeping. The entries lines 50-52 are sweep accounts, meaning that 
interest, dividends and receipts from asset sales are swept into these accounts and amounts for purchases are taken from these accounts. "Transactions" these 
accounts thus take place daily money swept and swept out. have set forth the value the last day 2008, but have not attempted account for the daily 
change value due these constant "transactions." 

NOTE (Section VII, 1.18) This asset will henceforth identified its symbol, MFEB since identified differently name different statements. NOTE (Section VII, II. These assets, which were sold during 2008, were acquired before 1995, and were held IRA accounts, meaning that basis information was never preserved the brokers provided monthly brokerage statements. The assets were acquired from brokers with whom have not worked for many years. spent many hours (days) trying ascertain basis infonnation from individual monthly brokerage statements which were old, disordered and/or incomplete. These assets had probably experienced stock dividends and stock splits, and had definitely undergone name changes, making basis determinations very difficult. While might able determine the basis for each asset spent weeks organizing and combing through monthly brokerage statements, concluded after many days work that the effort was close futile and was interfering significantly with judicial work that should abandon it. concluded that suffered loss the sale these assets; this conclusion represents only best estimate from the many days spent trying piece this information together. current broker recommended selling these assets non-performing. her opinion, based historical information which she has access, that sold each loss. 
NOTE (Section past years, have reported "gift" the difference between what pay monthly fee the Union League Club Chicago and what non-judicial member the public would pay dues. This year, result legislation restricting judges' ability receive honorary club memberships, various colleagues mine, including the Chief Judge Circuit, researched the nature the "judicial memberships" most enjoy. Research various colleagues has determined that judges are NOT members the Club, but rather pay monthly fee (the same fee that paid members the clergy and military privilege holders) order enjoy certain limited club privileges, for most which judges pay the same amount regular Club members. The Club has indicated that the $73 monthly fee paid judges for these privileges more than covers the overhead costs incurred the Club connection with such privilege holders. Because have learned that not hold membership the Club and simply pay monthly fee hold limited privileges (which pay for use), not believe appropriate report this matter gift, and not this Report. attaching letter from Margaret McKeown Chief Judge Frank Easterbrook setting forth the opinion the Committee Codes Conduct response Judge Easterbrook's inquiry. 

Name Person Reporting 
Date Report 
Gottschall, Joan 
07/912009 
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 regnlations. 

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 

ATTACHMENT 
 NOTE 

1991 
United States District Court 219 South Dearborn Street Chicago, Illinois 60604 
Re: Docket No. 828 Canadian corporation whos.e shareholders will the partners the dissolved partnership. After the partnership formed, your sole role will serve shareholder. shareholder, you will share proceeds arising from the sales the book and the use the rights the book. You ask whether you may pdrticipate this ar:::-3.s-ct t:itho-:.!t trm:gressing either the Code Conduct for United States Judges the Ethics 
Reform Act 1989. 
The receipt income rom writing editing book permitted under the Code Conduct. canon says, judge may non-legal subjects. The committee believes that and proofreading are activities covered the word And the Committee has approved, least implicitly income from writing. Advisory Opinion No. 55. There are restr ictions the manner which judge's name may used the promotion book, but, assume, these restrictions are not likely involved your -case since you are not the author and your name unlikely used connection with selling the book. Nor there anything about the nature the 

1991 
book, "Food and the Gut Reaction", that suggests your association with the book would "detract from the dignity the judge's office." Canon SA. 
Under Canon 5C(2) judge may serve "director (or] any business wholly owned ....... all whom are related the judge
degree according the civil law system. are related you within the third degree, and you may their partner 1111111111111 business shareholder the -corpcra-tion. The language Canon permits, 
you participation inactive partner and nonofficer shareholder 111111 enterprise. Your participation the enterprise would not violate your duty under Canon 5C. "manage . financial interests minimize the number cases which the judge disqualified"; this because could not, any event, her cases which have interest. Canon 3Cl{d). 
Finally, the Ethics Reform Act does not generally prohibit either serving prrtner shareholder. There are 

ATTACHMENT 
NOTES 

COMMITTEE CODES CONDUCT THE 
JUDICIAL CONFERENCE THE UNITED STATES 

UNITED STATES COURT APPEALS FOR THE NINTH CIRCUIT 
401 WEST STREET, SUITE 2000 
SAN DIEGO, CALIFORNIA 92101-7908 

JUDGE MARGARET Mcl



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