Skip to content

Judicial Watch • Neil V Wake Financial Disclosure Report for 2006

Neil V Wake Financial Disclosure Report for 2006

Neil V Wake Financial Disclosure Report for 2006

Page 1: Neil V Wake Financial Disclosure Report for 2006

Category:Financial Disclosure

Number of Pages:15

Date Created:January 31, 2008

Date Uploaded to the Library:November 13, 2013

Tags:Neil V Wake, Appraisal, Estimated, Growth, Estate, Market, 2006, EPA, transactions, dividend, Financial Disclosure, ICE, CIA, financial, income, Judge


File Scanned for Malware

Donate now to keep these documents public!

  • demand_answers

See Generated Text   ˅

Autogenerated text from PDF

POSITIONS. (Repomng imlividual only; see pp. 9-13 o.f_instructhmsJ NONE (No reportable positions.) 

NAMEOFR-OANIZATIONffiNTITY 
Trustee Trust# 
Trustee Trui!t 
Trustee Trust# 
Trustee Law Offices ofNeil Vincent Wake 401K Profit Sharing Plan sole beneficiary)--Plan terminated October 16, 2006 and roled into IRA 
Trustee Law Offices ofNeil Vincent Wake Money Purchase Plan sole beneficiary) 

,.._, 
(f) --'  ('"") 
::> r'rt 
c.:::0 r;"'1 
__;JI'
=
0}2:: rr1 
'"Tl
PARTIESANDTERMS .1='"
fT1 .) 

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

(yours, not spouse's) Spouse's Non-Investment Income -If you were ma"ied during any portion the reporting year, complete this section. 
{Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 

Self-employed attorney aod mediator 
IV. REIMBURSEMENTS -transportation, lodging,food, entertainmenL 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) 

DESCRIPTION 
 
April 21-27. Science the Courts seminar, Tucson, Arizona (transportation, meals, aod lodging) 

Name Person Reporting 

Wake, Neil 
08/10/2007 GIFTS, (Includes those spouse and depmdent children. See pp. 18-31 instructions.) 
[K] 	NONE (No reportable gifts.) SOURCE 

VI, LIABILITIES. (Includes those spouse and dependent children. See pp. 31-33 ofinstruetions.) 
(K] NONE (No reportable liabilities.) 

Date Report 
Wake,NeiIV 
08/1012007 
VII. INWSTMENT 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  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  

(!) (2) (I) 
(2) (!) (2) (3) (4) 
Place "(X)" after each asset 
Amouot Type (e.g. Value 
Value Type (e.g. Date Value 
Gain 
Identity 
Code 
div., rent, Code 
Method
exempt from prior disclosure buy, sell, Month-Code Code 
buyer/seller 
(A-H) int.)  (J-P)  Code  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  Wells Fargo accounts  Interest 
Apache Peak Inv., LLC Distribution 
Whetstone Dev. Co.-{Gommon stock) Distribution 
Cowley-BGWM LLC Distribution 
Interstate Ventures Ltd. Ptshp Distribution 
40l(K) Plan (terminated 10-16) 

--Manulife Lifestyle Growth Fund Dividend Sell 10-16 Trust (trustee) Interest 
--Merrill Lynch accts-{below reporting 
minimum) 
10. 
--Lucent Technologies Inc (LU) (X) Sell 1-19 

11. 
--Interstate Vent. Distribution 

12. 
Trust# (trustee) Dividend 

13. 
--Merrill Lunch accts (below reporting 

minimum) 
14.  --Bank Co. Inc. common stock (BK)  Dividend  
15.  --Pfizer Inc. Del (PFE)  Dividend  Sell.part  8-25  

16. --Lucent Technologies Inc (LU) (X) 
17.  -Interstate Vent.  Distribution Income Gain Codes: {See Columns and D4) Value Codes (See Columns and D3) Value Method Codes (See Cohunn C2) =$l,000 less =$50,00I -$100,000 =$15,000 less =$250,001 -$500,000 =$25,000,001 -$50,000,000 =Appraisal U=BookValue =$1,001 $2,500 =S!00,001 -Sl,000,000 =S!5,00I -$50,000 =$500,001-$1,000,000 =Cost (Real Estate Only) V=Other =$2,501 -$5,000 =$1,000,001-$5,000,000 =$50,001 -$100,000 =$1,000,001 -$5,000,000 =More than $50,000,000 =Assessment W=Estimated 45,001 -Sl5,000 =More than $5,000,000 =$100,001 -$250,000 =$5,000,001-$25,000,000 =Cash Market =$15,001 -$50,000  

08/10/2007
-Wake,NeilV 
--vH.1NVESTMENTS and T:RUSTS -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 4isclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
{I)  (2)  (I)  (2)  (!)  (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)  (ifprivate  
(Q-W)  tranSactlon)  

18.  Trust# (trustee)  
19.  --Gary Eliz Loveness note  None  
26.  c*fanulifeiNS:-WHeIB-IoIFE INS  None  
21.  Brokerage Acct  
22. 23.  --Active Assets Money Trust (formerly Liquid Asset Fund) --DC Gen Obi Bond  Dividend futerest  Buy  4-25  
24.  IRA#  
25.  --MS Charter Campbell  None  
--z6.  --MS CharterMSFCM  Nooe  

27. 
--MS Charter Grahan None 

28. 
IRA# (closed 2004) 

29. 
IRA#3  Dividend 

30. 
--Liquid Asset Fund (MM) Dividend 

--MS Global Dividend Grwth Sec (Mut Fd)  Dividend  
--MS Pacific Growth FundB..(Mut-Fd)  Dividend  
--Templeton Global (Mut Fd)  Dividend 

34. --Morgan Stanley Bank futerest Buy 10-17 Income Gain Codes: $1,000 orless 41,-0-01 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 415,001-$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 =$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 Q=Appraisal =Assessment Value Method Codes =Cost (Real Estate Only) =Cash Market 
(See Column C2) =Other =Book Value =Estimated 

wake, Neil 
08/10/2007 
VII. INVESTMENTS and TRUSTS -income, value, transactions (lncluiks those the spouse and dependent children. See PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Asset 
Income during oss value end Trans actions during reporting period 
(inclu ding trust assets 
reporting period rep ting period 
(2) 
(2) 
(3) 
(4) (5) 
Amou (e.g. 
Value Value Type (e.g. 
Gain lue 
Identity 
Place "(X)" after each set 
Code 
div., rent, 
Code2 Method buy, sell, 
exempt from prior dis clos ure 
Month
Code2 
Code 
buyer/seller 
(A-H) int 
redemption) 
Day
(J-P) Code3 
(A-H) 
(if priva 
tranSl!CtiO:tl)
(Q-W) 
UTMAAcct#2 Dividend Acct closed 8-1 
36. --Liquid Asset Fund (MM) Dividend Sell 8-1 -Putnam Voyager (Mut Fd) Dividend Sell 8-1 
38. UTMAAcct#3 
--Liquid Asset Fund (MM) Dividend 
40. --MS Information Fund (Mut Fd) Dividend --MS European Growth Fund (Mut Fd) Dividend 
42. --Putnam Voyager (Mui Fd) Dividend 
BrokerageAcct 
44. --SEI Tax-Free Fund (MM) Dividend Sell part 
--SEI Tax-Free Fund (MM) Sell part 4-11 
46. -SEI Tax-Free Fund (MM) Sell part 10-6 
--SEI Tax-Mgd Large Cap Fund (MM) Dividend Sell part 10-9 
48. --Intel Corp common stock Dividend 
--Cisco Systems Inc common stock Dividend 
--Medtronic Inc common stock Dividend 
51. --Altera Corp common stock None lncome dain Codes: =$i,000 less =$1,001-$2,500 =$2,50I -$5,000  D=S5,00l -Sl5,000 =$15,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001 -Sl,000,000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 orless  K=$15,001 -$50,000 =$50,001 -Sl00,000 =$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  R=Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2)  Q=Appraisal  V=Other =Assessment  
U=BookValue =Estimated  

-Wake, Neil 
08/10/2007 
VH. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) -NONE (No repo,-table income, assets, transactions.)  
tion AssetsDescrip  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period

54. --RfMicro Devices Inc None 
55-.  --Small Cap Value.Fund (Mut Fd)  
56.  --SEI Small Cap Growth Fund (Mut Fd) 
-.:GeneraTElectfic common stock  
58.  --Verizon Communications common stock  
59.  --Sun Microsystems Inc common stock  
-60.  --Microsoft Corp.common stock  
61.  --SEI Intermediate-Tenn Municipal Fund  
(MutEd)  
62.  --SEI International Fixed Income Fund (Mut  
Fd)  

-Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
I}ividend 
Dividend 
(2) 
(2) 
(I) 
(!) 
(2) 
(3) 
Value 
Value
Amount 
Type (e.g.
Place "(X) after each asset 
Gain
Date
Type (e.g. 
Value 
Identity 
Code! 
div., rent, 
Code2
exempt from prior disclosure Method buy, sell, Code 1Month Code2 
buyer/seller (A-H) int.) 
Code redemption) Day 
(if private (Q-W) 
(J-P) 
(J-P) (A-H) 
transaction) 
52. 	--Automatic Data Processing Inc common Dividend stock 
--XILINC Inc common stock 	None Divi_dend
4'11
Buy 
--SEI High Yield.Bond Fund.(Mut-Fd) DiYi