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Judicial Watch • Neil V Wake Financial Disclosure Report for 2008

Neil V Wake Financial Disclosure Report for 2008

Neil V Wake Financial Disclosure Report for 2008

Page 1: Neil V Wake Financial Disclosure Report for 2008

Category:Financial Disclosure

Number of Pages:15

Date Created:December 4, 2009

Date Uploaded to the Library:November 13, 2013

Tags:Neil V Wake, Markets, Small, Growth, 2008, INVESTMENTS, EPA, transactions, TRUSTS, dividend, Financial Disclosure, ICE, CIA, financial, income, Judge


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Trustee Law Offices Neil Vincent Wake Money Purchase Plan sole beneficiary) ,.._, 

JJ. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 

PARTIES AND TERMS 

Wake, Neil 

0917/2009
Wake, Neil 
III. NON-INVESTMENT COME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income 
[ZJ NONE (No reportable non-investment income.) 

SOURCE AND TYPE INCOME (yours, not spouse's) Spouse's Non-Investment Income I/you were married during any portion the reporting year, complete this section.
(Dollar amount not required except for honoraria.) 2008 

IV. REIMBURSEMENTS -transportation, /odging,food, entertainmen 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) 
[ZJ NONE (No reportable reimbursements.) 

Date Report 

09/7/2009
Wake, Neil GIFTS. (Includes those spouse and dependent children; set pp. 18-31 filing instructions.) 
[Z] NONE (No reportable gifts.) 
SOURCE DESCRIPTION 

VJ. LJABJLJTJES. (Includes those spouse and dependent children; see pp. 31-33 filing instructions.) 
[Z] NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 14-60 filing instructions.; NONE (No reportable income, assets, transactions.) 

091712009
Wake, Neil 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those 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) (1) 
(5)(I) 
(2) 
Place "(X)" after each asset Amount Code
exempt from prior disclosure (A-H) 
18. --Liquid Asset Fund (MM) 
19_ --MSIF Emerging Markets Prospectus 
20. 
--MSIF Active Intl Allocatn Prospectus 

21. 
--MSIF Large Cap POrt Prospectu 
22. --MSIF Small Val Inst Prosp. 
Type(e.g., div., rent. int.) 
None 
Dividend 
Dividend 
Dividend 
Dividend 
Value Value Type(e.g., 
Code 
Method buy, sell, (J-P) 
Code redemption) (Q-W) 
Sold 
Sold 
Sold 
Sold 
Date Value 
Month-Code 
Day (J-P) 

12-31 
12-31 
12-31 
12-31 
Gain Identity Code buyer/seller (A-H) (if private 
transaction) 
--MSIF Mid Cap Growth Inst Prosp. Dividend Sold 12-31 
--Van Kampen Growth Inc Prosp. Dividend Sold 12-3 
25. 
--Van Kampen Small Cap Growth Prosp. Dividend Sold 12-31 

26. 
--MS Small-Mid Spec Value Fund Prosp. Dividend Sold 12-31 

27. 
BROKERAGE ACCT# 

28. 
--SE! Tax-Free Fund (MM) Dividend Sold 1-25 {part) 

29. 
--SE! Tax-Free Fund (MM) Sold 4-22 {part) 

30. 
--SE! Tax-Free Fund (MM) Sold 10-6 {part) 

3I.  --SE! Tax-Free Fund (MM)  Buy (add'!)  9-26  
32.  --SE! Tax-Free Fund (MM)  Sold {part)  10-6  
33.  --SE! Tax-Free Fund (MM)  Sold {part)  10-17  

--SE! Tax-Free Fund (MM) Sold 10-6 (part) Income Gain Codes: =$1,000 less =Sl,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001  $50,000  
(See Columns and 04) =$50,001 -SI00,000  G=SI00,001-$1,000,000 =Sl,000,001  $5,000,000 =More than $5,000,000 Value Codes =U5,000 kss =Sl5,00I -S50,000 =S50,00I -$100,000 =SI00,001 -$250,000  
(See Columns and 03) =$250,001 -$500,000  O-S500,00l -Sl ,OOO,OOO =Sl,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -S50,000,000 =More than $50,000,000 Value Method Codes  Q=Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value  V=Other =Estimated  

091712009 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those 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  

Place "(X)" after each asset exempt from prior disclosure 
35. 
--SEI Tax-Mgd Large Cap Fund (MM) 

36. 
--SEI Small Cap Value Fund (Mut Fd) 

37. 
--SEI Small Cap Growth Fund (Mut Fd) 

38.  --SEI Intermediate-Term Municipal Fund (Mut Fd)  Dividend  Sold (part)  10-9  
39.  --SEI Intermediate-Term --Municipal Fund Mut Fd)  Sold (part)  10-22  

(I) 
Amount 
Type (e.g., 
Code 
div., rent, 
(A-H) int.) Dividend Dividend Dividend 
Value 
Value 
Code 
Method 
Code 
(J-P) 
(Q-W) 

Gain
Value 
Identity buy, sell, DateType (e.g., 
Code 
Code buyer/seller redemption) Month- 
Day 
(A-H) (if private transaction) 
(J-P) 
Sold 10-9 
(3)
(2)
(2)
(I) 
(I) 
(5) 
Sold 10-9 
Sold 10-9 
40.  --SEI International Fixed Income Fund (Mut  Dividend  Sold  10-9  
Fd)  
41.  --SEI High Yield Bond Fund (Mut Fd)  Dividend  Sold  10-9  
42.  --SEI Emerging Markets Debt Fund (Mut  Dividend  Sold  10-9  

43. --SEI International Equity Fund (Mut Fd) Dividend Sold I0-9 
--SEI Emerging Markets Equity Fund Dividend Sold 9-26 
45. 
--SEI Short Duration Munical Distribution Buy 9-26 

46. 
--SEI Short Duration Munical Sold 10-22 (part) 

47. 
--STET Tax-Advantaged Income Distribution Buy 9-26 

48. 
--STET Tax-Advantaged Income Sold 10-22 (part) 

49. 
--SEI Tax Managed Volatity Distribution Buy 9-26 

50. 
--SEI Tax Managed Volatity Sold .10-22 (part) 

51. 
--SEI Real Esate Distribution Buy 9-26 Income Gain Codes: =$1,000 less =$1.001 -$2,500 =$2.50 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and 04) =S50,001  SI00,000  G=SIOO,OOI -Sl,000,000 =Sl,000,001  $5,000,000 =More than $5,000,000 Value Codes =$15.000 less =$15,001  $50.000 =$50.001 -$!00.000 =SI00.001  $250.000  
(Sec Columns and 03) =$250.001  $500.000 =$500.001  Sl.000,000 =Sl,000,001-$5,000.000 =$50000,001 -$25.000,000 =$25.0000001  $50.000.000 =More than $50.000,000 Value Method Codes -Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

091712009
Wake, Neil 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
Transactions during reporting period 
Gross value end 
Income during 
reporting period 
(including trust assets) reporting period 
Place "(X)" after each asset exempt from prior disclosure  (I) Amount Code (A-H)  
52.  --SEI Real Esate  

(2) (I) 
Type (e.g., Value div., rent; 
Code int.) 
(J-P) 
(I) 

Value 

(2) 

Type (e.g., Method buy, sell, Code redemption) 
(Q-W) 
Sold (part) 
(2) Date Month-Day 
10-22 
(3) (4) 
(5) 
Value Gain 
Identity 
Code  Code  buyer/seller  
(J-P)  (A-H)  (if private  
transaction) 
53. --ING USA Annuity Life Ins (annuity) None Buy 10-17 
--Amer. Inv. Life Ins. Co. (annuity) None Buy 10-22 
BROKERAGE ACCT# 
56. --SEI Tax-Mgd Large Cap Fund (Mt Fd) Dividend Sold 9-26 
--SEI Small Cap Value Fund (Mut Fd) Dividend Sold 9-26 
--SEI Small Cap Growth Fund (Mut Fd) Dividend Sold 9-26 
--SE! Intermediate-Tenn Municipal Fund Dividend Sold 9-26 (Mut Fd) 
60. 
--SEI International Fixed Income Fund (Mut Dividend Sold 9-26 Fd) 

61. 
--SEI Emerging Markets Debt Fund (Mu! Dividend Sold 9-26 

62. 
--SEI High Yield Bond Fund (Mut Fd) Dividend Sold 9-26 

63. 
--SEI International Equity Fund (Mut Fd) Dividend Sold 9-26
--SEI Emerging Markets Equity Fund (Mut Dividend Sold 9-26 Fd) 
65. 
--Cisco Systems Inc (common) (tranfer from None other acct) 

66. 
--SE! Short Duration Municipal Dividend Buy 9-26 

67. 
-STET Tax-Advantaged Income Dividend Buy 9-26 

68. 
--SEI Tax Managed Volatity Dividend Buy 9-26 Income Ga.in Codes: =St ,000 less  B=$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000  E=S15,00J -$50,000  
(See Columns and 04)  F=S50,001-Sl00,000  G=Sl00,001-Sl,000,000 =SJ,000,001-SS,000,000 =More than $5,000,000 Value Codes  J=$15,000 less  K=Sl5,00J -$50,000 =$50,001-$100,000  M=Sl00,001 -$250,000  
(See Columns and DJ) =$250,001 -$500,000 =$500,001 -SI ,oo0,000 =SJ,000,001-S5,000,000 =$5,000,001  $25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes  Q=Appraisal =Cost (Real Estate Only)  S=Assessment =Cash Market  
(Sec Column C2)  U=Book Value  V=Othcr =Estimated  

FINAI'lCIAL DISCLOSURE REPORT  Name Person Reporting  Date Report  

VII. INVESTMENTS and TRUSTS -income, v_arue, transactions (Includes those spouse and dependent children; see PP 14-60 filing insrructions.J NONE (No reportable income, assets, transactions.)
,-----
Transactions during reporting period Gross value end Description Assets Income during 
(including trust assets) reporting period reporting period 
Place "(X)" after each asset exempt from prior disclosure 
(I) Amount Code (A-H)  (2) Type (e.g., div., rent, int.)  (!) Value Code (J-P)  (2) Value Method Code (Q-W)  (!) Type (e.g., buy, sell, redemption)  (2) Date Month Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  '"Identity buyer/seller (if private transaction)  

69. 
--SEI Rea!Esate Dividend Buy 9-26 
70. 
--SEI Tax-Free Dividend Buy 9-26 

71. 
BROKERAGE ACCT# 

72. 
--SEI Large Cap Growth Fund (Mut Fd) Dividend 	Sold 9-26 

--SEI Large Cap Value Fund (Mui Fd) Dividend 	Sold 9-26 
74. 
--SEI Small Cap Value Fund (Mut Fd) Dividend 	Sold 9-26 

75. 
--SEI Small Cap Growth Fund (Mut Fd) Dividend 	Sold 9-26 

76. 
--Medtronic Inc common stock Dividend 	Sold 10-7 

--Microsoft Corp common stock Dividend 	Sold 10-7 
78. --Verizon Communications common stock Dividend 	Sold 10-7 
--SEI International Equity Fund (Mut Fd) Dividend 	Sold 9-26 
80.  --SEI Emerging Markets Equity Fund (Mut  Dividend  Sold  9-26  
Fd)  
81.  --SEI Core Fixed lncom Fund (Mut Fd)  Dividend  Sold  9-26  

82. 	
--SE! International Fixed Income Fund (Mut Dividend Sold 9-26 Fd) 

83. 	
--SEI High Yield Bond Fund (Mut Fd) Dividend Buy 9-26 (add'!) 

84. 	
--SEI Emerging Markets Debt Fund (Mut Dividend Sold 9-26 

--SEI Prime Obligation Fund (Money Mark Dividend Buy 9-26 et) 
(add'!) 
r------------------------ 
 Income Ga.in Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001  $50,000 (See Columns and 04) =$50,001 -SI00,000 =SI00,001 -Sl,000,000 =Sl,000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =SI 5,001 -$50,000 L=S50,00l -SIOO,OOO =$100,001 $250,000
 
(Sec Columns and DJ) =$250,00t -$500,000 0=$500,001-$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,00I -$50,000,000 =More than $50.000,000 Value Method Codes Q=Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value V=Othcr s:::Estimatcd 

Name Person Reporting Date Report 
-Wake, Neil 091712009 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

Wake, Neil 

091712009 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instrucnons.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during 
Gross value end 
Transactions during reporting period 
(including trust assets) reporting period reporting period 
(I) 
(2) (I) 
(2) 
(4)
(I) 
Value Gain
Value 
Identity 
Type(e.g., Value 
Type (e.g., Date
Place "(X)" after each asset Amount 
Code 
Method 
buy, sell, Month 
Code2 
Code 
buyer /se lier 
div., rent, Code
exempt from prior disclosure 
(A-H) 
Code 
redemption) Day 
(if private int.) (J-P) 
(A-H)
(J-P) 
(Q-W) 
transaction) 
103.  Trust# (beneficiaries)  
104. 105.  --SE! Prime Obligation Fund IRA#6  lnt./Div.  Sold (part)  10-16  

106. 
--Morgan Stanely Liquid Assets Fund Dividend 

107. 
--Legg Mason Ptnrs Inv Val (formerly Sal Dividend omon Investors) 

108. 
--Fidelity Adv Interrned (reported sold, Dividend Sold 11-7 but only part) 

109. 
--Fidelity Adv Dvrsfd Intl Propectus Dividend 

110. 
--JP Morgan Mid Cap Calue Prospecuts Dividend 

111. 
--American America Prospectus Dividend 

112. 
--Jellison Small Dividend 

113. 
--Am Europacific Grw Dividend 

114. 
--Blackrock Opport. SVC Dividend Sold 12-31 

115. 
--Western Asset Core Plus None Buy 11-7 

116.  --Western Asset Core Plus  None  Sold  12-30  
117.  BROKERAGE ACCT#  

118.  --Morgan Stantley Mid-Cap Value Fund  Dividend  Sold  12-31  
119.  --MSIF Active Intl Allocatn  Dividend  Sold  12-31 Income Gain Codes: (See Columns and 04) Value Codes (Sec C!umns and DJ) Value Method Codes (See Column C2) 1,000 less =$50.001  SI00.000 15.000 les.s =S250.00I  $500.000 =$25.000.001  $50.000.000 Q=Appraisal =Book Value =$1.001 -$2.500 =SI00,001  ,000, 000 K=Sl5,00I -S50.000 =S500,00I SI .000.000 =Cost (RealEstate Only) V=Other =S2.50  SS.000 =Sl,000,001  $5,000,000 =S50.00I -SJ00.000 =s1,ooo.001 -S5.ooo.ooo =More than $50.000,000 =Assessment =Estimated  0=$5.001-$15.000 H2=More than $5,000,000 =SI00.001  S250.000 =S5.000.00I  $25,000,000 =Cash Market  E=$15.00l $50,000  

09/7/2009
Wake, Neil 
VII. INVESTMENTS and TRUSTS income, varue, transactions {Includes those spouse and dependent children; see PP 14-60 filinc ins1ructions.J NONE (No reportable income, assets, transactions.) 

091712009
Wake, Neil 

VII. INVESTMENTS and TRUSTS -income, varue, transactions (Includes those spouse and dependent children; see PP 14-60 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) (1) 
(4) (5)
(2) 
Place "(X)" after each asset exempt from prior disclosure  Amount Code (A-H)  Type (e.g., div., rent, int.)  Value Code (J-P)  Value Method Code (Q-W)  
137.  --MSIF Large Cap Growth Port  Dividend  

Type (e.g., buy, sell, redemption) 
Sold 
Date 
Month Day 

12-31 
Value 
Gain Identity Code Code buyer/seller (J-P) (A-H) (if private transaction) 
138. 
--MSIF SMall Cap Val. Inst. Dividend Sold 12-31 

139. 
--MS Small-Mid Spec. Value Fund Dividend Sold 12-31 

140. 
--MFS Total Return None Buy 12-31 

141. 
--Blackrock Equity Dividend None Buy 12-31 

142. 
--Columbia Select Growth None Buy 12-31 

143. IRA#7 Dividend 
144. 
--MS Liquid Asset 

145. 
--Jennison Small Sold 12-30 

146. 
--Mainstay fli Yid Corp Bond Sold 12-30 

147. 
--Western Asseet Core Inc. 

148. 
--RS Partners 

149. 
--MFS Research Intl 

150. 
--Lazard Emerging Markets 

151. 
--Am Growth Amer 

152. 
--JP Morgan Mid Cap Value 

153. 
--Alliance Bernstein Intl Value Income Gain Codes: 1,000 less 
(See Columns and D4) =$50,001  $100,000 
Value Codes J=$15, 000 less 

(See Columns and DJ) N=$250,001  $500,000 p]=$25,000,001  $50.000,000 
Value Method Codes =Appraisal 
(See Column C2) =Book Value 1,001-$2,500 
G=SI00,001  Sl,000,000 
K=Sl5,00I. $50,000 0=$500,001  Sl.000,000 =Cost (Real Estate Only) Y=Otber 
Sold 
Sold 
Sold 
Sold 
Sold 
Sold 
c=$2,501 -$5,000 =Sl,000,001  $5,000,000 L=$50,001-SI00,000 =$1,000,001 -$5,000,000 =More than $50,000,000 S=Assessment =Estimated 
12-30 12-30 
12-30 
12-30 
12-30 
12-30 
D=S5,001-Sl5,000 E=$15,001-$50,000 =More thao $5,000,000 I00,001  $250,000 =$5,000,001-$25,000,000 =Cash Market  --'"'"' =SJ ,000 Jess 1,001 -$2,500 =$2,501 -SS,000 =$5,001 -Sl5,000 =SJ5,00J -SS0,000 =$50,001-SI00,000 =$100,001 -Sl,000,000 =Sl,000,001 -$5,000,000 =More than $5,000,000 =$15.000 Jess =Sl5.00J  SS0,000 =SS0.001  SI00,000 =SI00,001  $250.000 =$250.001 -SS00.000  O=SS00,001  Sl.000.000 =SJ.000.001 -$5,000.000 =S5.000.00J -S25.000,000 =S25.ooo.001-sso.000.000 =1:1ore than $50.000.000 =Appraisal =Cost (Real Estate Only) sessment =Cash Marke =Book Value =Other stimated  

Date Report 
Name Person Reporting 
091712009
Wake,NeilV. 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions (Includes those spouse and dependent children; see PP 14-60 fl/inc ins1ruc1ions.J NONE (No reportable income, assets, transactions.) 

Date Report 
Wake, Neil 
091712009 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicateparto/Report.) 
The 2007 Report line 208 listed "--MSIF Small Cap Val. Inst" asset under "IRA# 7." That asset has been omitted from this Report without transaction because was listed error the 2007 Report. 

Date Report 
Wake, Neil 
0917/2009 
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. 

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL 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