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Judicial Watch • Nicholas G Garaufis Financial Disclosure Report for 2006

Nicholas G Garaufis Financial Disclosure Report for 2006

Nicholas G Garaufis Financial Disclosure Report for 2006

Page 1: Nicholas G Garaufis Financial Disclosure Report for 2006

Category:Financial Disclosure

Number of Pages:9

Date Created:January 31, 2008

Date Uploaded to the Library:November 13, 2013

Tags:GARAUFIS, Nicholas G Garaufis, nicholas, Alliance, oppenheimer, partial, Growth, 2006, transactions, dividend, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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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.) Filer's Non-Investment Income  NONE (No reportable non-investment income.)  

 SOURCE AND TYPE  INCOME  
(yours, not spouse's) 2006  ABC Inc. Retirement Plan 13,053 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.) 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 wife's 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