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Judicial Watch • Nicholas G. Garaufis – 2011

Nicholas G. Garaufis – 2011

Nicholas G. Garaufis – 2011

Page 1: Nicholas G. Garaufis – 2011

Category:Federal Judges

Number of Pages:9

Date Created:December 1, 2012

Date Uploaded to the Library:October 20, 2014

Tags:GARAUFIS, Nicholas G Garaufis, nicholas, Pension, 2011, assets, transactions, TRUSTS, Codes, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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AOJO Government Act 1978 
Rev. 112012 
FOR CALENDAR YEAR 2011 U.S.C app JOI-I Person Reporting (last name, first, middle initial) GARAUFIS, NICHOLAS Court Organization EASTERN DISTRICT NEW YORK Date Report 07/25/2012 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-lime) UNITED STATES DISTRICT JUDGE Sa. Report Type (check appropriate type) Nommation Date Initial [Z] Annual Sb. Amended Report Fmal Reporting Period 01/01/201I 12/31/2011 Chambers Office Address DISTRICT COURT EDNY 225 CADMAN PLAZA EAST BROOKLYN, 11202 
IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Insert signature last page. POSITIONS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY MEMBER, BOARD DIRECTORS SPECTATOR PUBLISHING COMPANY, INC. 
 
MEMBER, EXECUTIVE COMMITEE NEW YORK CITY BAR ASSOCIATION 
 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) NONE (No reportable agreements.) 
 
PARTIES AND TERMS 02/0911997 ABC, INC. PENSION PLAN MONTHLY SURVIVOR BENEFIT 
 
 
 
 
Date Report 
 
GARAUFIS, NICHOLAS 
07/25/2012 
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
 
SOURCE AND TYPE 
INCOME (yours, not spouses) 2011 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 excepl for honorana) NONE (No reportable non-investment income.) SOURCE AND TYPE 2011 CITIZENS BUDGET COMMISSION, FORM 099-MISC. -CONSULTING INCOME 2011 NEW YORK UNIVERSITY, FORM 1099-MISC-CONSULTING INCOME 2011 PROSPECT PARK ALLIANCE, FORM 1099-MISC-CONSULTING INCOME 2011 JPMORGAN CHASE FOR DELOITTE, FORM 1099-R-PENSION INCOME 
 
IV. REIMBURSEMENTS --transportation, lodging, food, entertainment. (includes those spouse and dependent children, see 25-27 fl/mg 1n;1ruc11ons) 
[{] NONE (No reportable reimbursements.) 
SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
 
 
 
Date Report 
GARAUFIS, NICHOLAS 
07/25/2012 GIFTS. (lnc/11des those spouse and dependent children; see pp. 18-31 filing instructions.) 
[{] 	NONE (No reportable gifts.) SOURCE DESCRIPTION 
VALUE 
 
 
VI. LIAB ITIE (Includes those spouse and dependent children; see pp. 31-33 filing instructions.) 
[{] NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION 
 
VALUE CODE 
 
 
 
Date Report 
07/25/2012 
GARAUFIS, NICHOLAS 
VII. INVESTMENTS and TRUSTS --income, value, transactions r1nc1udes those spouse and dependent children; see pp. 34-60 offilinc ins1r11ctions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreportmg penod 
 
Place (X) after each asset 
Amount (2) (1) (2) (I) (2) (3) (4) (5) 
Type (e.g., Value Value Type g., Dale Value Gain Identity 
Code 
exempt from prior disclosure 
div., rent, Code2 Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) ormt.) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) Income Gain Codes =$1 .000 less =$1,001 -$2.500 =$2.50t -$5,000 =$5.001  $15,000 =$15,001 -$50,000 
(See Columns and 04) =$50.001 -$100,000 =$!00.001 -$1.000.000 =$1.000,00I -$5.000.000 =More than $5,000.000 Value Codes =$t5.000 less =$t5.001 -$50.000 =$50.00t IOO 000 =$100.001 -$250.000 
(See Columns and DJ) =$250,00J -$500.000 =$500,00I -$1,000.000 =$1,000,001 -$5.000,000 =$5 000.00 -$25,000.000 =$25 .000.00 -$50.000,000 =More Jhan $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Asscssmen1 =Cash Market 
(See Column C2) =Book Value V=Othcr =Est11natcd 
 
 
Date Report 
GARAUFIS, NICHOLAS 
07/25/2012 
VII. INVESTMENTS and TRUSTS --income, vatue, transactions r1nc111des those spouse and dependent children; see PP 34-60 offitinc ins1r11c1ions.J NONE (No reportable income, assets, transactions.) 
Descnpt1on Assets Income durmg Gross value end Transactions during reporting penod 
(mcludmg trust assets) reporting penod ofreportmg penod 
 
(2) (I) (2) (I) (2) (3) (5) 
Place (X) after each asset exempt from prior disclosure Amount Code (A-H) Type(e div, rent, Value Code2 (J-P) Value Method Code (Q-W) Type g., buy, sell, redemption) Date mm/dd/yy Value Code2 (J-P) Gam Code (A-H) Identity buyer/seller (if private transaction) 
17. ABC PENSION PLAN None 
 
18. INVESTCO GLOBAL EQUITY FUND Dividend Income Gam Codes =$1.000 less =$1,001 -$2.500 =$2.501 -$5.000 45,001 -$15,000 =$15,001 -$50.000 
(See Columns 04) =$50.001 -$100,000 =$100.001 -$1.000.000 =$1.000,00I -$5,000.000 =More lhaa $5,000.000 Value Codes =$15,000 less =$15.001 -$50.000 =$50.001 -$100.000 =$100.00 -$250.000 
(See Columns and 03) =$250.00 -$500.000 =$500 -$I 000.000 =$1.000.001 -$5.000,000 =$5,000,00 -$25,000,000 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes Q=Apprmsal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other W=ES1unatcd 
 
 
Date Report 
07/25/2012 
GARAUFJS, NICHOLAS 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc111des those spouse and dependent children; see pp. 34-60 offilinc instructions.) NONE (No reportable income, assets, transactions.) 
Descnpt1on Assets Income during Gross value end Transactions dunng reporting period 
(mcludmg trust assets) reportmg period reporting penod 
 
(2) (2) (2) (3) (4) (5) 
Place (X) after each asset exempt from pnor disclosure Amount Code (A-H) Type(eg, div., rent, int Value Code2 (J-P) Value Method Code3 (Q-W) Type (e.g., buy, sell, redemption) Date mm/dd/yy Value Code (J-P) Gam Code (A-H) Identity buyer/seller (if private transaction) 
34. OPPENHEIMER GLOBAL CLASS Dividend Merged (with line 28) 01/03/11 
 
35. 
AMERICAN GROWTH AMERICA Dividend 
 
36. 
AMERICAN FUNDS: AMERICAN HIGH D1v1dend INCOME CLASS FUND Income Gam Codes =$1.000 less B=$1,001-$2.500 42.501 -$5,000 =$5 001 -$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50.001 -$I 00.000 ;$100.001 -$1.000.000 ;$1.000,001 -$5,000.000 fl2 ;More than $5,000.000 Value Codes 5.000 less =$15,001 -$50.000 =$50.00t -$t00.000 =$I00.00t -$250 000 
(See Columns and D3) =$250,00 -$500 000 =$500,001 -$1,000.000 =$t,000.00I -$5,000,000 =$5 000,001 -$25,000.000 =$25.000 -$50.000,000 =More 1han $50.000.000 Value Melhod Codes ppraisal ;Cost (Real Es1a1e Only) =Assessment =Cash Market 
(See Column C2) =llnok Value =Other =Estimated 
 
 
Date Report 
07/25/2012 
GARAUFJS, NICHOLAS 
VII. INVESTMENTS and TRUSTS -income, vatue, 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) reportmg period reporting penod 
 
(I) (2) (1) (2) (I) 
Amount Type g., Value Value Type (e.g., Date Value Gain Identity 
Place (X) after each asset 
Code 
exempt from pnor disclosure 
div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code buyer/seller 
(A-H) mt) (J-P) Code redemption) (A-H) (if private 
transaction) 
(Q-W) Income Gam Codes =$1.000 less =$1,00 -$2.500 =$2.501 -$5,000 0=$5.001-$15.000 =$15,001 -$50.000 
(See Columns and 04) =$50.001 -$100,000 =$100.001 -$1.000.000 =$1.000,001 -$5.000.000 =More lhan $5.000,000 Value Codes =$15.000 less =$15.001 -$50.000 =$50.001 -$100,000 =$!00.001 -$250.000 
(Sec Columns and 03) =$250.00 -$500 000 =$500.001 -$1,000.000 =$1.000.001 -$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 
(Sec Column C2) =Book Value =Other =Cst1matcd 
 
 
Name Person Reporting 
Date Report 
GARAUFIS, NICHOLAS 
07/25/2012 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicatepartofreporl.) 
VII, PAGE LINE 
NAME CHANGED FROM PRIME FUND -CAPITAL RESERVES BANK DEPOSIT SWEEP PROGRAM. 
Vil, PAGE LINE 
NAME CHANGED FROM INVESTCO LARGE CAP GROWTH INVESTCO VAN KAMPEN AMERICAN. 
 
Vil, PAGE LINE 17. 
ABC, INC. PENSION PLAN. DESIGN TED RECEIVE MONTHLY PENSION BENEFITS UNDER/hf PENSION PLAN. 
PART III, LINE DISCLOSES INCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON DEA TH. 
 
 
Date Report 
GARAUFIS, NICHOLAS 
07/25/2012 
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. 
Signature: NICHOLAS GARAUFIS 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104)