Skip to content

Judicial Watch • Nicholas G. Garaufis – 2006

Nicholas G. Garaufis – 2006

Nicholas G. Garaufis – 2006

Page 1: Nicholas G. Garaufis – 2006

Category:Federal Judges

Number of Pages:9

Date Created:January 31, 2008

Date Uploaded to the Library:October 20, 2014

Tags:GARAUFIS, Nicholas G Garaufis, nicholas, Alliance, oppenheimer, partial, Growth, 2006, transactions, Codes, dividend, reportable, disclosure, reporting, report, CIA, Federal Judge, financial, income, Judge


File Scanned for Malware

Donate now to keep these documents public!


See Generated Text   ∨

Autogenerated text from PDF

Government Act 1978 
Rev. 112007 
FOR CALENDAR YEAR 2006 U.S.C. app. JOI-I Person Reporting (last name, first, middle initial) GARAUFIS, NICHOLAS Court Organization EASTERN DISTRICT NEW YORK Date Report 07/3112007 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) UNITED STATES DISTRICT JUDGE Sa. Report Type (check appropriate type) Nomination, Date Initial Annual Final Reporting Period 0110112006 12/31/2006 
Sb. Amended Report Chambers Office Address DISTRICT COURT EDNY 225 CADMAN PLAZA EAST BROOKLYN, 11201 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date 
 
IMPORTANT OTESt The instructiony aecompanying this form must followed. Complete all parts, checking NONE box for each part where youhave reportable information. Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Member, Board Directors Spectator Publishing Company, Inc. Member, Executive Committee United States Tennis Association 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) NONE (No reportable agreements.) 
 
PARTIES AND TERMS 02/09/97 ABC, INC. PENSION PLAN MONTHLY SURVIVOR BENEFIT. 
 
 
 
Date Report 
GARAUFIS, NICHOLAS 07/31/2007 
III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
 SOURCE AND TYPE INCOME 
(yours, not spouses) 2006 ABC Inc. Retirement Plan 13,053 Spouses Non-Investment Income -I/you were married during any portion the reporting year, complete this section. (Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 2006 	Not-for-profit Consultant -Self-employed 
2006 	City University New York -Form W-2 wages 
IV. REIMBURSEMENTS transportation, lodging,food, entertainment. 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) SOURCE DESCRIPTION 	U.S. Tennis Association Received $580.60 expense reimbursement attend USTA annual meeting March -23, 2006 
 
 
Date Report 
GARAUFIS, NICHOLAS 07/31/2007 
V GIFTS. (Includes those spouse and dependent children. See pp. 28-3I instructions.) 
[2[J NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 
VJ. LIABJLJTJES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 
[2[J NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 
 
 
 
Date Report 
GARAUFIS, NICHOLAS 07/31/2007 
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) Income during reporting period Gross value end reporting period Transactions during reporting period 
Place (X) after each asset exempt from prior disclosure (1) Amount Code (A-H) (2) Type (e.g. div., rent, int.) (1) 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) (5) Identity buyer/seller (if private transaction) Oppenheimer Municipal Interest Oppenheimer Quest Opportunity Value Fund Oppenheimer Equity Fund Cl. Dividend Partial Sale Var Pershing Govt. Acct Dividend Walt Disney Company Common Stock Dividend Fidelity Advisor Inflation-Protected CIA Dividend Alliance Real Estate Investment Fund Class Dividend Oppenheimer Quest Small Cap Value Fund Dividend Alliance Global Technology Fund Dividend Partial Sale 09/08 
10. Alliance Growth Income Fund Class Dividend 
11. Alliance Premier Growth Fund Class Dividend 
12. City New York Deferred Compensation Plan Dividend 
13. Equivest Variable Annunity Dividend 
14. Trust None 
15. ABC Pension Plan None 
16. Aim Global Equity Fund Cl. Dividend 
17. Aim Mid-Cap Core Equity Dividend 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 D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,00 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,00 -$250,000 
(See Columns and D3) =$150,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$15,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market 
(See Column Cl) =Appraisal =Other =Assessment =Book Value =Estimated 
 
Date Report 
GARAUFIS, NICHOLAS 07/31/2007 
 
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 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(I) (2) (I) (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) 
 
18. Aim Constellation Fd. Dividend 
19. Oppenheimer Quest Balanced Value Fund Class Dividend Partial Sale Var 
20. Davis New York Venture Class Dividend Purchase Var 
21. Neuberger Berman Focus Fund Dividend Partial Sale 10/27 
22. Blackrock Mid Cap Value Fund Class Dividend Partial Sale 04/17 
23. Growth Fund America Class Dividend Purchase 01124 
24. Van Kampen Globe! Franchise Dividend 
25. Fidelity Advisor Dividend Growth Dividend 
26. Aim Basic Value Fund Dividend 
27. Aim Int. Govt. Fund Dividend 
28. Aim Large Cap Growth Fd. Cl. Dividend 
29. Aim Global Growth Dividend 
30. Alliance Balanced Shares Dividend 
31. Alliance Bernstein Muni Dividend 
32. American Capital World Growth Income Dividend 
33. Gabelli Asset Fund Dividend Partial Sale 05102 
34. Ishares Russell 1000 Dividend 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) =$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 K=$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 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 
 
Date Report 
GARAUFIS, NICHOLAS 07/31/2007 
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 Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(2) 
(2) 
(I) 
(1) 
(2) 
(I) 
(5) 
Amount 
ValueValueType (e.g. 
Place (X) after each asset 
Code 
Code Methoddiv., rent, exempt from prior disclosure 
(A-H) int.) 
Code (Q-W) 
(J-P) 
Type (e.g. buy, sell, redemption) Date Month-Day 
Value Gain Identity 
Code Code buyer/seller 
(J-P) (A-H) (if private 
transaction) 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) =$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 
(Sec 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 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market 
(See Column C2) =Appraisal =Other -=Assessment =Book Value =Estimated 
 
Date Report 
Name Person Reporting 
GARAUFIS, NICHOLAS 07/31/2007 
VII. INVESTMENTS and 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 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(I) (2) (I) (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) 
 
52. 53. 54. Aim Trimark Rochester Fd. Muni Oppenheimer Global Cl. Dividend Dividend Dividend Purchase Purchase Purchase 10113 11122 6120 
55. American Growth America Dividend Partial Sale Var 
56. American High Income Dividend Purchase Var 
57. Alliance Growth Income Dividend 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) =$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 Value Method Codes (See Column C2) =$25,000,00 -$50,000,000 =Appraisal =Cost (Real Estate Only) =Other =More than $50,000,000 =Assessment =Cash Market =Book Value =Estimated 
 
Date Report 
GARAUFIS, NICHOLAS 
0713112007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofReporL) 
VII, Page Line 
Oppenheimer Quest Opportunity Value Fund was sold 2005 and reported Line the 2005 Disclusure Report, but was erroneously left Schedule 
Line Therefore, value activity being reported for 2006. 
 
VII, Page Line14: 
 
Trust# funded with Equitable Life Insurance Company life insurance policy with cash surrender value 12/31/06 $42,529. 
 
VII, Page!, Line 15: 
ABC, Inc. Pension Plan. designated receive monthly pension benefits under late wifes pension plan. Section III, Line for income received. These 
payments will cease upon death. 
 
VII, Pagel, Line 16: 
Name changed from Aim Global Trends Aim Global Equity 
 
VII, Page Line 28: 
Name changed from Aim Blue Chip Aim Large-Cap Growth 
 
VII, Page Line 49: 
Oppenheimer Ltd Term Muni same fund Rochester Limited Term (Line 40) and included Line 40. 
 
VII, Page Line 57: 
Previously included Alliance Growth Income Linc 10. 
 
 
 
Date Report 
GARAUFIS, NICHOLAS 
07/31/2007 
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. 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULL 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