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Judicial Watch • Neil V. Wake – 2004

Neil V. Wake – 2004

Neil V. Wake – 2004

Page 1: Neil V. Wake – 2004

Category:Federal Judges

Number of Pages:22

Date Created:December 13, 2005

Date Uploaded to the Library:December 30, 2014

Tags:MutFd, Neil V Wake, Gross, stock, 2004, INVESTMENTS, TRUSTS, dividend, disclosure, reporting, report, Federal Judge, financial, Judge


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rtRequired the Edllcs 
FINANCIAL DISCWSURE REPORT Government Act 1978 FOR CALENDAR YEAR 2004 U.8.C. app.  101-111) Person Reporting (Last name, Fust name, Middleinitial) Court Organization Date ofRq>ort Wake,Neil U.S. District Court, Arizona 8/12/2005 Title (Article Judges indkate actiw senior status; S. ReportType (check appropriate type) ReportingPeriod magistrate judges indicate full-or part-time)  Nomination. Date 1012212003 11112004 Initial @Annual Final 
1113112004 Chambers Office Address the basis the infoimatioo contained this Report and any 
cations pertaining thereto, is, opinion, compliance 
.401 Washington St, SPC 
with applicable laws and regulations. Phoenix, 85003 
IMPORTANTNOTES: The iustructions accompanying this form must.be followed. Complete all parts, checking the NONE box fur each part POSmONS. (Reporting individual on1y; see pp. 9-13 filing instructiona) NONE -(Noreportablepositions.) Law Offices ofNeil Vincent Wake Trustee Trust# Trustee Trust#2 
i. Tr..::a!J Appellate Practice Section, State Bar Association Arizona 
Trustee Law Offices Neil Vmcent Wake Maney Purohase Plan 
 
......... ...,., 
II. AGREEMENTS. (Repoitingvidual only; see pp; 14-16 filing instructions) NONE -(Noieportabteagn:emmts.) ..,, o(f)kc:: :Po ;o:Z[TlO ;J::>c:=en m-< ; 
.:! ::.:.-: 
 . .-, 
 
Ill NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 filing instructions) Filers;Nen-Jnvestmentlncome NONE (No reportable non-inwstment income.) 
(yours, not spouses) 2004 Law Offices ofNeil Vincent Wake (law practice) 259,618 Spouses Non-Investment Income (If you were D1lllried during anyportion the reportingyear, please complete this section. Dollar amoUDt not NONE . (No rCportable non-investment income.) 
 Self-employed attorney and mediator 
IV. REIMBURSEMENTS -tmnsportation, lodging, rooc:1, entertainmeul 
-w ..OOQbildtw. Si:epp, 2S27 instructions.) fi!I NONE (No sudl Iq>Ortable reimburseinents. 
 -- .: ___ :,.  ... 
Name Person Reporting 
Date Report 
Wake, Neil GIFTS. (Jllcludes those spouse and dependent children. See pp. 28-31 instructions.) NONE (Nosuchreportablegifts.) 
SOURCE 	James and Arlene Bak.er (i0tml: clients; fountain pen $520 gift investitore) James and Arlene Baker (former clients.. dinner gift certificate $100. gift investiture) IJABILITIBS. (Includes those spouse and dependentcbildm1. See pp. 32-34: ofinstructions.) NONB -(Non:portabteliabilities.> -i. -- -..  . :_; :;./.. ;: 	;;.:,. 
Name Person Reporting 
W::ke, 11..ei! 
F.11212oos vn. lNVBSTMENTS and TRUSTS -income, 8lue, tions (inclu lhoso the spouse and dependentchildren. Seo pp. 34-51 offiling ill5lnletions.) Jncomo during Gross 8lue end during rqx>rting period 
Descriptionof Assets 
reporting period reporting period 
(including 1[Ust assets) 
(2) (1) (2) (l) not 
(2) (3) (4) (5) pJaCe (X} .assetmiernpt Amount Type (e.g. Value Value Typo (e.g om prior disclosure div. nmt. buy, sell. Date: Value Identity 
buye:rlsollcr 
Code2 
Month 
Codo2 
Codol Codol Day (J.P)int) (JP) Code3 
(A-Hj (if private 
transal:lion) 
merger, 
tedemption) (Q-W) 
DNONB (No icportablo income, assets, ortransadioas) Wells Fargo accounts Interest 
Law Offices ofNeil Wake (ceased business) 	None -prot: corp (fbrmerly mistakenly listed her None uame) ApachePeak Inv., Dis1nbution Cowiey-OOwMI.LC Distribution 
------ir .......____ i:-;-. ....s -S.- :--. =i. ..... : ;;> 1UU1....,.  .I.AU.  1.Jli)lll.UU:URl. ....  A.:--:! fPJ {ti-:;:.::-1 !...,,,i.!.il.!,l.k.;;  12-04) 
401!.!Q !I.!!!? -Mamilife Lifestyle Growth Fund Dividend 
10. Trust# (trustee) 
11. -Murin Lynch accts Interest 
12. -ReimanScbneider note (paid 5-04) Interest 	PaidS-20 
13. -Bm!k ofN Co. Inc. commonstock (BK) (sold 12-None 2-..lt-03) 
14. ..:.Pfi7.ec IncDel (PFE) 	None Sold part 2-4 
15. 
-Pfizer Inc Del (PFE) 	None Sold 3-31 
 
16. 
-Wcent Technologies Inc (LU) (X) 
 
17. 
-Imerstare Vent (omittedbeforeby error) 	None 
 
 
FJNANCIAL DISCLOSURE REPORT 
Name Person Reporting Date Report 
P2ge1of!7 
Wake, !!ci! M2!2005 INVESTMENTS and TRUSTS -income, valuo, transQBtionS (includes those tho spoU5C and dependent hildren. See pp. 34-57 filing ins!IUctions.) 
Gross value end Transac:tions during reportingperiod 
Im:ome during 
Description Assets 
reportingperiod. 
(ini:ludingtrust assets) (2) (1) (2) (S}Place (X) after each assetCLUmpt Type (e.g. 
Type (e.g. Value Value 
from priordisc:losure 
div. rent. 
Date: 
Value Identity bllyc:r/scller 
buy. sell. MonthCode2 MethodCodel Code2 Codel tninsaction} Code3 mmger, Day (J..P} 
redemption) 
(AH) int.) (A-ff) 
(Q-W) 
18. TlllSt (trustee) 
19. -Merrill Lynch Money Market Interest 
20. -Reimansclmeider note (paid 5-04) Intaest Paid 5-20 
21. -Bank Co. Inc. common stock (BK) 
-Pfizer Inc. Del (PFE) Dividend 
23. -Lucent Technologies Inc (LU) (X) 
24. -Interstate Vent (omitted befuJe error) Distribution 
25. Trust# (trustee) 
26. -Gaty Lowness note None 
27. -Manulife Ins. whole life ins None 
28. Brohnge Acct 
 
1!- .a.---r..._.a .,o;.n.,.r. 7_.:__ J. UUU.a.u.a..1 ............ 
 
..,,:, ...,.!ifIPi n#--z-1 f.r--r -;;;; -.!: ni>.-iOrting period repol1ing period 
(meludiug trust assets) not exempt 
(1) (2) (l) (2) (1) 
Placo ocr afttz each asset exmopt Amount TYJIG (e.g. Value Value Type (e.g. Dale: Valuo Identity offiotn prior disclosure Code} div. mrt. Code2 Method buy, sell, Code2 buyer/seller (A.ff) int.) {J..P) Co!le3 .mcrpr. Day (J..P) (AH) {ifprivalo (Q-W) !Wemptiou) transaction) 
-Developing Gov Sec. (left out prior report) None 	Sold 5-21 
 
37. Brokerage Acct# (acct closed 10-31-04) 
-Amgen Inc cOmmoo. stock None Sold 3-24 
 
-Analog Devices Inc CODl1llQn stock 	None Sold 5-14 
40. -AppliedMaterials Inc commoo stock 	None Sold 5-14 
-AW!l Products Inc stock (X-sold in2003) None 
42. -Bank America Corp C01lDJKlD stock (X-soldin None 
2003) 
43. -Beeton Dickinson$ cOmmoo stock (X-soldin 2003) -Bed Bath Beyond Inc common stock None None Sold 5-14 
45. -Bell South Corp COIDmOB stock (X-sold 2003) None 
46. -Best Buy common stoek None 5-i4 
47. iW-=.. ....._.... .1.-L 
 ........ .r::? ..rWiiTnlmi..-=ti..w;. ..,...... dlC.lr (Y. so1d 2003) -C.astoo Wbol..f!S!!le C.om New llL... 5-14 
50. -Dell Inc common sioclc None Sold 5-14 
St. -BMC Corp Mass 00mmon stock None Sold 5-14 
52. -G8nnett Inc common stock (X-sold 2003) None 
53. -Gilead Science common stock None Sold 5-14 
 
mmsaction) 
Name Person Reporting 	Date ofReport 
Dcscriplion Assets (inclucfmg 1tust assets) Incomo during Gross value end Transsetions during reporting period 
Place {X) after each asset exemptliom priOr disclosure (1) Amount Codel (2) Type (e.g. div; n:ut. (1) Valuo Code2 (2) Value Method (I) Typo (e.g. buy, sell, (2) Date: Monlh- Value Code2 Codel Identity boyer/seller 
 
int.) Day(.J..P) Code3 
merger, 
(.J..P) (AH) 
(Q-W) Tool Wodi;s Jne common stock (X-sold in2003) None 
-Intuit Inc common stock (X-sold 2003) None 
-Marsh MCLennan Cos Jne common stcick (X- None 
 
56. 
..dmWO) 
57. 	 
-Maxim Integrated Products Inc oommon (X-sold None 2003) 
 
58. 	 
-Medlrooie Jne common stook None Sold 5-14 -Mimosoft Coip common stool: 	None Sold 2-5 
60. -NOlthc:m Trust Coq> common stook 	None Sold 3-26 
61. -Novellus .System eommon stock 	None Sold. S-14 
62. -OmnicomGroup common stock 	Sold 5-14 
-C>racle Colp common stock 	None Sold 
64. 	-Robett Hallint common smet: None Soid 5-i4 
lo.- 
65. 	ra-{X-m;.w;) ......... 
->:.-7h-.........t AiolinAA ldpart 8-5 
250. -Nortel Networks CorpNew l.lOtnlllOll stock None 
251. -SEJ Tax-Free FUDd (MutFd). Dividend 
 
buy, sell, 
.FINANCIAL DISCWSURE REPORT 
Name Person Reporting 	Date Report 
Wake, Neil 	!!Jl22005 
VII. INVESTMENTS and TRUSTS -income, va!QO, tnmscations Cinc1u Inc:omc during Gross value end Transactions during reporting period 
Description Assets reporting period(including-trosussm) 
(2) (1) (2) (1) 
(2) 
 Amount 
Codcl 
(q;div. lCllt. 
VallMt Value 
Codc2 Method -Dam: Valoo Identity 
 
MonthCode2 Codcl buyor/scller 
(A-H) int) (J-P) Codc3 (Q-W) merger,redemption) Day (J..P) (AH) (ifprivatolnUlsaetion) 
252. Maricopa County land None Sold 1-27 
253. Pinal County land None 
254. Mohave County land None 
 
Roth IRA 
255. Dividerid 
257. Manulife Financial Life Ins Dividend 
258. 
Section 529 Accx>unt 
 
-8M Alger AggressiveGF CL-B (MutFd) 	Ncme 
 
259. 
 
IRAl#5 
 
260. 
 
 
Nooe Nmle-;;. 
26T. 
 
-- 
_......,.,, ..I. 1-J.......-.P. 
266. 
-Seoeca MidCap Growth (Mut Fd) 	None 
 
267. 
-Tech Portfolio (MutFd) 
 
 
-WangerlJS Smaller Cos (Mut Fd) None 269. -.AbMleen Jntl (MutFd) None ::: -: ..... : 	Name Person Reporting 
Deseriplionof(includingtrust assets) 
reporting period 
Gross valuo end 
reporting period 
Transactions duringroporting period 
 
(l) (2} (1) (2) 
Dam: 
Place *(X)! a1lez eacb.assd-a:wnpt Amount (e.g. Valw Value Type. (.e.g. from prior disclosure div. mrt.or Codo2 
Codol(AH) 
Identity 
buyor/aeller 
(ifprivato 
ttansaclioll) -Vahw 
Codo2 
Monthbuy, soil, Coda 
(1-1) 
Day(AH) (.J.P) 
mager, 
redemption)(W) 
270. 	 
-Wanger Intl SmallCap (Mut Fd) None -Phoenix Wealth Mngmt 
 
271. 
 
 
Phoenix Uniwrsal Variable Lire Ins (held trust) 
272. 
-OakhUist Allocation (Mut Fd) 
-WangeiUS SmallerCos (MutFd) 
274. 
 
275. 	 
-Wanger Intl SmallCap (Mut Fd) 
 
 
-AllBemEnbancedI (MutFd) 
276. 
-Oakhurst GrowthIno (Mut Fd) 
277. 
 
278. 	 
-AIM Gfoth (formerly MFS In:veGrowthStoc) (Mut Fd) 
 
 
279. ,_Teoh PbrtfoJio 286; -S-- 
ii(ft Dividend Dividend Dividend Dividend Dividend 
Div.ictend 
.,.;.,,_. .n.:..:.:J-.::.2 -....in.ir.. -Openeti-20 .,__- .:: ,..1 
 
?-.!. 	.CZ-?! 
n:_,-; Bl..V 5-21 
284. -Amer Ceut Growth Adv None Bay 5-21 
285. -BlaclaookLo Dumlion Dividend Buy 5-21 
286. -Fidelity.Adv Intenned Buy 5-21 
287. -Davis Real Estate Dividend Buy 5-21 
 
FINANCIAL DISCWSURE REPORT Date Report 
Name Person Reporting 
 
VIl. INVESTMENTS and TRUSTS -incomo, value, transcations (indudcs those the spouse and dCpendent cl!ildren. Seo pp. 34-57 filing instructions.) 
 
288. Description Assets {imlhuling tmstassets) PJaco.{X)!! afta: from prior diselosuto -Fidelity Adv Mid Cap IncOmo during reporting period (1) (2) T(c:.g.Codel div. rent (A.JI) int) A Dividend Gross vainut end reporting period (1) (2) Value-ValuCodo2 Mcdiod (J.P) Code3 (Q-W) Transactions during icporting period (1) (2) (3) (4) (S) Typo. {e.g. Date: Value Identity buy. sell, Month Codo2 Codol buyer/seller merger, Day {J.P) (AH) (ifJlriva=redemption) transaction) Buy 5-21 
289. Brokerage Acct# (opened S-20-04) Opened5 
290. -Speeial Value Fund Dividend Buy 5-24 
291. -Mid-Cap Value Fund Dividend Buy 5-24 
292.. -Van Kampen Grw Inc Dividend Buy 5-24 
293. -MSIF Equity Port Inst Dividend Buy 5-24 
294. 295. -MSIF Small Growth -MSIF Mid Cap Growlh Inst Dividend Buy 5-24 Buy S-24 
296. :-MSIF Real F.state Port Dividend Buy 5-24 
MslFEqnity (}rowJ)lPbrt/t. It. Dividend Buy 5-24 t it-1-1 Jacbon p-t (;;- 
r.r.. ..o.q.# . -H::i l:-.mt l.L.,..,.....r 11!:;rl:-Fl! riff =i.r;:-r.m..-.:t) _...... .,,..:. .!- - ---: A 
101 -C!soo Jw(!eft()ff) 
 
Date ofReport 
Name Person Reporting 
.lilNANCIAL DISCLOSURE REPORT .rl.:..Ji-v 
(lndicatc-partmR) 
vm. ADDmONAL INFORMAllONOR EXPLANATIONS. Positions: amthe trustee and the sole benefi.ciai.y the Law Offices-ofNeilVince.tit Wake Money Putcbase Plan, which holds retirement funds rolled 
 
 
over fromthe plans ofprevious law firms. the tru.