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Judicial Watch • Neil V Wake Financial Disclosure Report for 2007

Neil V Wake Financial Disclosure Report for 2007

Neil V Wake Financial Disclosure Report for 2007

Page 1: Neil V Wake Financial Disclosure Report for 2007

Category:Financial Disclosure

Number of Pages:18

Date Created:December 12, 2008

Date Uploaded to the Library:November 13, 2013

Tags:Neil V Wake, Small, Estimated, Growth, Estate, Market, 2007, transactions, dividend, IRS, Financial Disclosure, ICE, CIA, income, Judge


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Government Act 1978 
Rev: 112008 FOR CALENDAR YEAR 2007 u.s.c. app.  101-111) Date Report Person Reporting Qast name, first, middle initial) Court Organization 
Wake,NeilV U.S. District Court, Arizona 
09/ 12/2008 Reporting Period 
magistratejudges indicate full-or part-time) 
Nomination, Date Title (Article Illjudges indicate active senior status; Sa. Report Type (check appropriate type) 
01/01/2007
U.S. District Judge Initial Annual Final 
12/31/2007 
Sb. Aineoded Report Chambers Office Address the basis the information contained this Report and any 
modifications pertaining thereto, is, opinion, compliance 
with applicable laws and regulati1>ns. 

401 Washington St., SPC 
Phoenix, 85003. 
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 informaiion. Sign last page. POSJTJ 0NS, (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 
NAME 
Trustee (resigned) Trust# 
Trustee (resigned) Trust#2 Trustee (resigned) Trust# Trustee 
Law Offices Neil Vincent Wake Money Purchase Plan sole beneficiary) 

..:') 
c:.::> :AJ 
(-, !'-)  ,,.j i-r:  
t'.,.,;.;.,,.,_ ..... r"'
)>-''1 
II. GREEMENTS. (Reporting imlividual only; see pp. 14-16 filing instructions.) -r
--( 
[Z] NONE (No reportable agreements.) C:> .r.=
r-.1 

ID. NON-INVESTMENT COME. (R.eporting ituiiviauat ana spouse; see pp. n-u offig instructions.) Filer's Non-Investment Income 
[ZJ NONE (No reportable non-investment income.) 

(yours, not spouse's) Spouse's Non-Investment Income -If you were married t!uring any portion the reporting year, complete this section.
(Dollar amount not required except for hanoraria.) 

(Z] NONE (No reportable gifts.) 

DESCRIPTION 
)vn. INVESTMENTS and TRUSTS -income, vatue, transactions (Includes those spouse and dependent children; see PP 34..fio of.filing instructions.) reporting period Gross value end Transactions dming reporting period  
(J-P)  (2) Value Method Code3 (Q-W)  (1) Type(e.g., buy, sell, redemption)  (2) Date Mouth-Day  (3) (4) Value Gain Code2 Code (J-P) (A-Il) 
Description Assets Income dming (including trust assets) reporting period 
Identity 
buyer/seller 
(if private 
transaction) 
Value 
Code2 
Wells Fargo accounts Interest 
Apache Peak Inv., LLC Distnoution 
Whetstone Dev. Co. (common stock) (X) Distribution 
Cowley-BGWM LLC (company dissolved) Distnoution Redemption 12-31 

Type(e.g.,
Place "(X)" after each asset Amount 
Code 
div., rent,
exempt from prior disclosure 
(A-ll) 
Interstate Ventures Ltd. Ptshp Distribution 
Trust#l (trustee) (resigned trustee) Interest 
--Interstate Vent. Distribution Trust# (trustee) (resigned trustee) None 
--Bank Co. Inc. common stock (BK) Dividend Sell 1-17 

10. 
--Pfizer Inc. Del (PFE) Dividend Sell part 1-17
11. --Ptizer Inc. Del (PFE) 
Sell 
12.  --Lucent Technologies Inc (LU) (X)  Sell  4-3  
13.  --Interstate Vent. B  Distnoution  
14.  Trust# (trustee) (resigned trustee)  
15.  --Gary Eliz Loveness note  None  
16.  --Manulife Ins. Whole Life Ins  None  

BROKERAGE ACCT# Income Gain Oides: =$1,000 less =$1,001  $2,50-0 =$2,501. $5,000 =$5,001 -$15,00-0 =$15,001 -$50,000  
(See Columns and D4)  F=$50,00l -$!00,000 =s100,001-s1,ooo,ooo =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes  J=$15,000 orless  K=$15,001-$50,000  L=-$50,001-$100,000 =$100,001  $250,000  
(See Columns and D3) =$250,001  $500,000 =$500,001 -$1,000,000 =$1,000,00l -S5,000,ooo =$5,000,001 -$25,000,000 =$25,000,001  $50,0-00,000 =More than $50,000,000 alne Method Codes  Q=Appraisal =Cost (Real Estate Only) =Assessmeot =Cash Market  
(See Column C2) =Book Value  V=Other =Estimated  

34-60 filing instructions.) 
Gross value end Transactions during reporting period Description Assets Income during (including trust assets) reporting period reporting period 
(I) 
(2)
(I) 
(4)
(2) 
(3) 
Gain Identity 
Value
Date
Value Type (e.g.,
Type(e.g., Value
Place "(X)" after each asset Amount 
buyer/seller
Code
Code 
Code2
Month-
Method buy, sell, 
div., rent, Code2
exempt from prior disclosure 
Day
Code3 redemption) 
(J-P) int.) (J-P) 
(if private 
transaction)
(Q-W) 
18. 	
--Morgan Stanley Active Assets Mon Dividend (Liquid Asset Fund) 

19. 	
--DC Gen Ob! Bond Interest 

20. 	
IRA# 

21. 	
--MS Charter Campbell None 

22; 	--MS CharterMSFCM None 
23. 	
-MS Charter Grahan None 

24. 	
IRA#3 Dividend 25. --Morgan StanleyLiquid Asset Fund (MM) Dividend 
26. 	--MS Global Dividend Grwth Sec (Mut Dividend Sell 8-21 
Fd) 	... 
27. 
--MS Pacific Growth Fund (Mut Fd) Dividend 	Sell 8-21 

28. 
--Templeton Global (Mut Dividend Sell 8-21 Fd) 

29. 
--Morgan Stanley Bank Interest Sell 8-28 

30. 
--MS Charter Aspect 	None Buy 9-1 

31. 
-MS Charter Graham 	None 9-1

Buy 
32. 
--MS Charter WCM 	None Buy 9-1 

33. 
UTMA Acct#2 Dividend Acct closed 8-1 

34. 
--Liquid Asset Fund (MM) Dividend Sell 8-1 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)  F=$50,001 -$100,000 =S100,001 1,000,000 =Sl,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less  K=$15,00J -$50,000 =$50,001-$100,000  M=Sl00,001-$250,000  
(See Columns and 03) =$250,001-S5oo,ooo =$500,001-S!,OOO,OOO =$1,000,001-S5,000,000  P2=$5,000,00I -$25,000,000 =$25,000,001  $50,000,000 =More than $50,000,000 value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value  v=Other =Estimated  

.)vn. INVESTMENTS and TRUSTS -income, value, transactions (Includes those ofspouse wu1t1epent1en1 children; see PP 34-60 offmng instructions.) NONE (No reportable income, assets, transactions.) 
transaction) 

Sell 8-1 
Transactions during reporting period Description Assets Ineome during (including trustassets) repo rting period (2) 
(5)
(2) 
Identity
Date 
Gain
Pia.;., "(X)" iifter each asset Amount
Code 1exempt from prior disclosure (ifprivate
(A-H) 
Day (J-P) 
(A-H) int) 
36. 
--Putnam Voyager (Mut Fd) Dividend 
UTMAAcct#3 
37. 
-Liquid Asset Fund (MM) None 

38. 
--MS Information Fund (Mut Fd) Dividend Sell 8-22 

--MS European Growth Fund (Mut Fd) Dividend Sell 8-22 
40.  -Putnam Voyager (Mut Fd)  Dividend  Sell  8-21 
.-  41. 42.  --MSIF Emerging Markets Prospectus --MSIF Active Intl Allocatn Prospectus  Dividend  Buy Buy  8-29 8-29  

-MSIF Large Cap POrt Dividend Buy 8-29 Prospectus 
44. 
--MSIF Small Val Inst Prosp. Buy 8-29 

45. 
--MSIF Mid Cap Growth Inst Prosp. Dividend Buy 8-29 

46. 
--Van Kampen Growth Inc Prosp. Dividend Buy 8-29 

47. 
--Van Kampen Small Cap Growth Prosp. Dividend Buy 8-29 

48. 
--MS Small-Mid Spec Value Fund Prosp. Dividend Buy 8-29 

BROKERAGE ACCT# 
50. 
--SEI Tax-Free Fund (MM) Dividend Sell part 1-10 

51. 
--SEI Tax-Free Fund (MM) Sell part 2-8 Income Gain Codes: =$1,000 less =$1,001-$2,500 =$2,501 -$5,000 =$5,001 -$15,000  E=$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 orless  K=$15,00l -$50,000 =$50,001-$100,000 4100,001-$250,000  
(See Columns and D3) =$250,001 -$500,000 =$500,001-$1,000,000 =Sl,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 Market  
(See Column C2) =Book Value  V=Other =Estimated NONE (No reportable income, assets, transactions.) 

Gross value end 
Income during 
Description Assets 
reporting period
reporting period 
(including trust assets) (3) (4) 
(5)
(2)
(!)
(!) 
Identity 
Value Gain
Value
Value
Type (e.g., 
Amount
Place "(X)" after each asset 
buyer/seller
Code 
Code Code 
Method
Code 
div., rent, 
exempt from prior disclosure 
(ifprivate
(J-P) 
(A-H)
Code3
(A-H) inl) 
(J-P) 
transaction)
(Q-W) 
--SEI Tax-Free Fund (MM) Sell part 4-11 
53. 
--SEI Tax-Free Fund (MM) Sell part 7-11 

54. 
--SEI Tax-Free Fund (MM) Sell part 10-5 

-SEI Tax-Mgd Large Cap Fund (MM) Dividend Sell part 10-9 
--Intel Corp co=on stock Dividend Sell 12-6 
57. 
--Cisco Systems Inc co=on stock None Sell 12-6 

58. 
--Medtronic Inc common stock Dividend Sell 12-6. 
59. --Altera Corp common stock Dividend Sell 12-6 
60. --Automatic Data Processing Inc common stock  Dividend  Sell  12-6  
61. --XILINC Inc common stock  Dividend  Sell  12-6  
62. -.--RfMicro Devices Inc  None  Sell  12-6  

--SEI Small Cap Value Fund (Mut Fd) Dividend 
64. --SEI Small Cap Growth Fund (Mut Fd) Dividend  
65. --General Electric co=on stock Dividend  Sell  12-6  
66. --Verizon Communications common stock Dividend  Sell  12-6  
67. --Sun Microsystems Inc co=on stock Dividend  Sell  12-6  
68.  --Microsoft Corp common stock Dividend  Sell  12-6 Income Gain Codes: A=$1,000 less =$1,001 -$2,500 (See Colmims and D4) =$50,001  I00,000 =$100,001  $1,000,000 Vahle Codes =$15,000 less =$15,001-$50,000 (See Ollumns aod D3) =$250,00 -$500,000 0=S500,00I  $1,000,000 =$25,000,001  S50,000,000 Value Method Codes =Appraisal =Cost (Real Esrate Only) (See Olhlmn C2) =Book Value V=Other  C=$2,50! -$5,000 =$1,000,001  $5,000,000 L=$50,001-Sl00,000 =$1,000,001  S5,000,000 =More than $50,000,000 =Assessment W=Estimated =$5,001  $15,000 =More than $5,000,000 M=Sl00,001-$250,000 P2=$5,000,001  $25,000,000 =Cash Market =$15,001-$50.000 
)VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and depentlem children; see PP 34-60 offiling instructums.) NONE (No reportable income, assets, transactions.) 
Income during (including trust assets) 
Description Assets reporting period 
(2) Place "(X)" after each asset 
(1) 
Amount Type (e.g., Code 
div., rent, exempt from prior disclosure 
Gross value end reporting period 
(2)(1) 
ValueValue Method
Code2 
Transactions during reporting period  
(1)  (2)  (3)  (4)  (5)  
Type (e.g.,  Date  Value  Gain  Identity  
buy, sell,  Month Code2  Code  buyer/seller  

Day (J-P)
redemption)
Code3 
(A-II) 
(if private
(A-II) int) 
(Q.W)  transaction)  
69.  --SEI Intermediate-Tenn Municipal Fund  Dividend  
(MutFd)  

--SEI International Fixed Income Fund (Mut Fd)  Dividend  
--SEI High Yield Bond Fund (Mut Fd)  Dividend  
--SEI Emerging Markets Debt Fund (Mut Fd)  Dividend  
-SEI International Equity Fund (Mut Fd)  Dividend  

74. 
--SE! Emerging Markets Equity Fund Dividend Sold part 4-10 

75. 	
Broadridge Finl Sol Inc (common) stock div Dividend Sell 12-6 unknown before 

76. 	
Brokerage Acct# 
77'. --SEI Tax-Mgd Large Cap Fund (Mt Fd) Dividend Sell part 
78. 
--SEI Small Cap Value Fund (Mut Fd) Dividend 

79. 
-SEI Small Cap Growth Fund (Mut Fd) Dividend 

80. 
--SEI Intermediate-Term Municipal Fund Dividend (MutFd) 

81.  --SEI International Fixed Income Fund (Mut Fd)  Dividend  
82.  -SEI Emerging Markets Debt Fund (Mut Fd)  Dividend  
83.  --SEI High Yield Bond Fund (Mut Fd)  Dividend  

84.  --SEI International Equity Fund (Mut Fd)  Dividend  Sell part  7-9  
85.  -SEI Emerging Markets Equity Fund (Mut  Dividend  Sell part  7-10  
Fd) II]come Gain Codes:  A=SJ,000 orless  B=SJ,001-$2,500 =$2,501 -$5,000 =$5,001-$15,000  E=$15,00J-$50,000  
(S(:C Columns and D4) =$50,001-Sl00,000 =$100,001-$1,000,000 =Sl,000,001-$5,000,000 =More than $5,000,000 Value Codes  1=$15,000 less  K=Sl5,00l-S50,000 =$50,001 -$100,000 =SJ00,001-$250,000  
(See Columns and D3) =$250,001 -$500,000 =$500,001 -$1,000,000 =Sl,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,00! -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) ==BookValue =Estimared  

09/12/2008 
Transactions during reporting period 
Income during Gross value end 
Description A.