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Judicial Watch • Laura T Swain Financial Disclosure Report for 2006

Laura T Swain Financial Disclosure Report for 2006

Laura T Swain Financial Disclosure Report for 2006

Page 1: Laura T Swain Financial Disclosure Report for 2006

Category:Financial Disclosure

Number of Pages:8

Date Created:August 31, 2007

Date Uploaded to the Library:November 13, 2013

Tags:Laura T Swain, Swain, laura, Growth, Market, 2006, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Government Act 1978
Rev. 112007 
FOR CALENDAR YEAR 2006 U.S.C. app. IOI-I Person Reporting (last name, first, middle initial) Swain, Laura Court Organization District Court -SDNY Date Report 05/10/2007 Title (Article III judges indicate active senior status; magistrate judges Indicate full-or part-time) District Judge (Active)  Sa. Report Type (check appropriate type) Nomination, Date Initial !?9 Annual Final Reporting Period 0110112006 12/31/2006  
Sb. Amended Report Chambers Office Address D.P. Moynihan U.S. Courthouse 500 Pearl Street New York, 10007 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/or each part where you have reportable information. Sign last page. POSITI NS. (Reporting individual only; see pp. 9-13 instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY 
Board Member  Coalition for Consumer Bankruptcy Debtor Education (terminated 2006)  
Board Member  Havens Relief Fund Society  
Board Member  Federal Judges Association 

JI. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) NONE (No reportable agreements.) 5195 

Swain, Laura 
05/10/2007 
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 instructions.) Filer's Non-Investment Income 
(KJ NONE (No reportable non-investment 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 lwnoraria.) NONE (No reportable non-investment income.) 2005 

IV. REIMBURSEMENTS -transportation, /odging,food, entertainment 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) 

DESCRIPTION 	Federal Bar Council Airfare, Lodging and Food for self and spouse connection with speaking educational program Feb. 2-10, 2006, Charlotte Amalie,  Federal Judges Association  Airfare, Lodging and Food for self connection with board meeting Arlington, May 6-7, 2006  Southern Vermont College  Lodging and Food for self and family connection with inaugural ceremonies for college president. Bennington, 11/17-19/06  

0511012007
Swain, Laura 

05/10/2007
Swain, Laura GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) [K} NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 

VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 
[K} NONE (No reportable liabilities.) 

DESCRIPTION 

Date Report 
Name Person Reporting 
05/10/2007 
Swain, Laura 
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 	Barclays Bank PLC -Account  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(I)  (2)  (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)  

Interest  HSBC Bank (frmrly Republic Bank NY)  Interest  
account  Charles Schwab Rollover IRA  Dividend  

-Dreyfus Appreciation Fund 	
-Wells Fargo Adv. Corp Bond Inv. Fund 	
-DWS (fmr Scudder) Growth Income Fund 	
-Neuberger Berman Socially Resp. Fund 	
-Old Mutual Select Growth Fund 	
-Neuberger Berman Genesis Fund 

--TCW Select Equities Fund 
11. 	
-Firsthand Technology Value Fund 

12. 	
-FMI Focus Fund 

13. 	
-Allianz RCMGlobal Technology Fund 

-GAMCO (fmr Gabelli) Growth Fund 
15. 	
-Managers Bond Fund 

16. 	
-Old Mutual Large Cap Growth Fund 

-Schwab Money Market Fund Income Gain Codes: 1,000 less =$1,001 -$2,500 =$2,50 -$5,000 =$5,00 15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,001 -$100,000 =$100,001 -Sl,000,000 =$1,000,00 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,00 -$I 00,000 =$I 00,00 -$250,000  
(See Columns and 03) =$250,00 -$500,000 =$500,00 -$1,000,000 =$1,000,00 -$5,000,000 =$5,000,001 -$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  

05/10/2007
Swain, Laura 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing ins/ructions.) NONE (No reportable income, assets, transactions.) Income Gain Codes: 1,000 less =$1,00 -$2,500 =$2,50 -S5,000 =$5,00 15,000 15,00 -$50,000  
(See Columns and 04) =$50,001  100,000 =SI00,001-$1,000,000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes 15,000 less =$15,00: -$50,000 =$50,001 -SI00,000 =SI 00,00 -$250,000  
(See Columns and 03) =$250,00 -$500,000 =$500,00 1,000,000 =Sl,000,001 -$5,000,000 =$5,000.00 -$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  

05/10/2007
Swain, Laura 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate parto/Report.) 
(Part VII, line 28) The investments this profit sharing plan are not participant-directed and the positions held the plan are not reported the statements issued participants. 

Date Report 
Swain, 

05/10/2007 

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. 
Signature NOTE: ANY 
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