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Judicial Watch • Carlos F. Lucero – 2007

Carlos F. Lucero – 2007

Carlos F. Lucero – 2007

Page 1: Carlos F. Lucero – 2007

Category:Federal Judges

Number of Pages:10

Date Created:October 31, 2008

Date Uploaded to the Library:November 17, 2014

Tags:lucero, Carlos F Lucero, ISHARES, Carlos, Seminar, lodging, transportation, university, 2007, assets, Codes, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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lttitth intra Qlnurt 1pprnla tqr mrutlJ Qlirruit 823 STOUT STREET DENVER, COLORADO 80257 
CARLOS LUCERO 
CIRCUIT JUDGE 
August 29, 2008 
Ortrie Smith 
Judicial Conference the United States 
Committee Financial Disclosure 
 
-(/) 
One Columbus Circle, N.E. 
c-;_ 
 
Washington, 20544 
fl, 
:::0 
Re: Calendar Year 2007 Filing 
r- 
Dear Judge Smith: 
(II The iShares Trust: Dow Jones Telecom Sector was listed the prior year report line under the description iShares Dow Jones -US Telecom Sector Index Fund. This security was sold entirety July 27, 2007 (2007 report, line 23); repurchased August 13, 2007 (2007 report, line 25); and sold again entirety November 2007 (2007 report, line 3). The listings for iShares Goldman Sachs Software Index Fund (2006 report, line 26) and for iShares Goldman Sachs Software Index (2007 report, line 19) are the same asset. The listings for iShares Trust: SP Global Materials Index Fund (2007 report, line 20) and iShares: Com FKA Global Materials Index (2007 report, line 22) are the same asset. The listings for Rydex Fds Inverse Russell 2000 Fund (2006 report, line 22) and Rydex Inv Russell 2000 (2006 report, line 17) are the same asset. additional assets require reporting. 
Ortrie Smith Judicial Conference the United States 
August 29, 2008 Page The listing for the Rydex Ser Fds Inverse Small-Cap Fund (2006 report, line 21) the same fund Rydex Fds Inverse Russell 2000 Fund (2006 report, line 22) and this asset was sold entirety September 29, 2006 (2006 report, line 17). The listing for iShares MSCI EMU Index Fund (2006 report, line 30) listed the 2007 report iShares Emerging Markets (2007 report, line 12). 
Please not hesitate call any additional information clarification needed. 
 
CFL/sm 
 
 
AOlO Government Act 1978 
Rev. 112008 
FOR CALENDAR YEAR 2007 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Court Organization Date Repor 
LUCERO, CARLOS COURT APPEALS -lOTH CIR 
05/14/2008 Title (Article III judges indicute uctive senior status; magistrate judges indicate full-or part-time) 5n. Report Type (check appropriate type) Reporting Period 
ARTICLE III JUDGE-ACTIVE Nomination, Initial Date Annual Final 01/01/2007 12/31/2007 
Sb. Amended Report Chambers Office Address the basis the information contained this Report and any 
modifications pertaining thereto, is, opinion, compliance 
1823 STOUT STREET with applicable laws and regulations. 
DENVER, 80257 
Reviewing Officer Date 
 
IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE boxfor each part where you have reportable information. Sign lllst page. POSITIONS. (Reporti11g individual only; see pp. 9.13 of.filing i11structio11s.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATIONiENTITY PRESIDENT DIRECTOR CARLOS LUCERO, PROFESSIONAL CORPORATION 
 
 
II, AGREEMENTS. (Reporting l11dividual only; see pp. 4-16 filing l11structio11s.) 
[2J NONE (No reportable agreements.) coo ;:o 
r--r; 3:: 
O;:b. 
PARTIES AND TERMS :::0 :.r:: 
0-m 
(T) 
 
Date Report 
LUCERO, CARLOS 
05/14/2008 
Ill. INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 offiling instructions.) Filers Non-Investment Income [ZJ NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME (yours, not spouses) Spouses Non-Investment Income  fyou were 11uirried during any ortion the reporting year, complete t11is secti011. (Dollar amounJ not required exceptfor honoraria.) 
[ZJ NONE (No reportable non-investment income,) 
SOURCE AND TYPE 
 
 
IV. REIMBURSEMENTS transportation, lodging, food, entertainment. (Includes 1hose spouse and dependent childreni see pp. 25.27 filing instructions.) NONE (No reportable reimbursements.) SOURCE DATES PURPOSE ITEMS PAID PROVIDED Pace University Law School 2122-2512007 White Plaines, Non-FJC/Edu Seminar Tlansportation, Food, Lodging 
 
Harvard University Law 4/4-9/2007 Cambridge, Mass. Non-FJC/Edu Transportation, Food, Lodging School Seminar 	 
Boston University School 4118-20/2007 Boston, Mass. Non-FJC/Edu Transportation, Food, Lodging Law Seminar 	 
FJC-Medina Seminar 6/8-20/2007 Princeton, FJC/Edu Seminar Transportation, Food, Lodging 7/10-15/2007 Vail, Co. Judicial Conference Transportation, Food, Lodging 	 
Harvard University Law /13-15/2007 Cambridge, Mass. Non-FJC/Edu  Transportation, Food, Lodg_1g School Seminar 
 
 
 
Date Report 
LUCERO, CARLOS 
05/14/2008 
V GIFTS. (Includes those spouse and dependent chi/hen; see pp. 28-31 filing i11structio11s.) 
[{] NONE (No reportable gifts.) 
SOURCE DESCRIPTION 
 
 
DESCRIPTION VALUE CODE 
INSTALLMENT NOTE PURCHASE 1/2 INTEREST 160 ACRES, RIO ARRIBA COUNTY, N.lv!. 
 
 
Date Report 
LUCERO, CARLOS 
05114/2008 
 
(Sec Coiwnns and D4) =$50,00  00,000 =$100,001 -$1,000,000 =$!,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) =$250,00 -$500,000 =$500,00J -SI .000.000 =$1,000,001  $5,000.000 =$5,000,001  $25,000,000 =$25,000,001 -$50,000,000 =More thrui $50,000,000 
Value Method Codes =Apprnisnl =Cost (Real Es!alc Only) =Assessment =Cash Market 
 
 
 
 
Date Report 
LUCERO, CARLOS 
05/14/2008 
VII. INVESTMENTS and TRUSTS --income, value, transactians rrnciude., those afspause and dependent children; see pp. 34-60 filing instructians.J NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 
 
Income during 
 Gross value ate 
 Trnnsactions during reporting period 
 
reporting period 
 repotting pcriod 
 
(1) 
 (2) 
 (I) 
 (2) 
 (!) 
 (2) 
(3) 
 (4) 
 
Amount 
 Type (e.g., 
 Value 
 Vaiue 
 Typ (e.g., 
 Date 
Value 
 Gain 
 
Code 
 div., rent, 
 Code 
 Mctliod 
 buy, sell, 
 Month Code 
 Code 
 
(A-H) int.) 
 (1-P) 
 Code 
 redemption) 
 Day 
(J-P) 
 (A-H) 
 
(Q-W) 
 
 
(5) 
 
ldentity exernpl from prior disclosure Place (X) after each asset 
buyer/seller (if private 
___J Income Gain Codes: =$1,000 orless =$1,001 -$2.soo =$2,501 -$5 .ooo 
(See Columns and 04) F=$50,001 -$!00,000 =$100.001 -$1 ,000,00.l =$1,000,0tll $5,000,000 Value Codes 1:::$15,000orless =$15,001  $50,000 L=$50,001-$100,000 
(Sec Columns and 03) =$250,001 -$500,000 $500.001 -$1,000,000 =$!,000,001 $5,000,000 =$25,000.001 -$50,000,000 =More tbnn $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment 
(Sec Column C2) =Dook Value V=Other =Estimated =$5,00t -$t5,000  =More than $5,000,000 =$100,001-$250,000 =$5,000,001 -$25,000,000 
T=CashMarkct 
 
 
Date Report 
05/14/2008 
LUCERO,CARLOSF 
VII. INVSTMENTS and TRUSTS --i11come, vazue, 1ransacao11s r111c1udes those spouse and dependent c1zitdre11; see pp. 34-60 filing i11stmc1ia11s.J NONE (No reportable income, assets, transactions.) 
-------- ----------- ------ - 
B.A. 
ssetsDescription Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period ----------- 
(1) (2) (1) (2) (3)(2) (5) assetPlace(){) after Amount Type (e.g., Value Value Type (e.g., Date lue Gain Identity 
exempt from prior isclosure Code div., renr, Code Method buy, sell, MonthCode2 Code buyer/seller 
(A-H) int.) (J-P) Code redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) 
 
___.. 
.----- 
10129 
35. 
Proshares UJna Qqq: Dividend BUY 
 
36. 
 AMERITRADE BROKERAGE ACCOUNT 
 
 
TFS Capital FDS Market Neutral None BUY 1/19 
 
--------- Income Gain Codes:  A=$! ,000 Jess =$1,001 -$2,500 =$2,501 -$5,000 0=$5,00t -$15,000 00 
(Sec Columns nnd D4) F=$50,00t  $100,000. =$100,00l -$1 ,000,lJOO =$1,000,00l -$5,000,000 =More lhan $5,000,CXJO Value Codes =$15,000 Jess =$15,00l -$50,000 =$50,00 -$I 00,000 =$100,00 -$250,000 
(See Colunms and 03) N=$250,00l -S500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 !2=$5,000,001-$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal R=Cost (Real Estate Only) =Assessmenl ash Market 
(Sec Column C2) .:::Book Value V=Otllcr =Eslimntcd 
 
 
Dale Report 
05/14/2008 
LUCERO, CARLOS 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (l11dica/epartofReporl.) 
#1. Assets over $10,000 value consist -ranch, land, water rights, equipment, livestock and related property. 
#2. Assets over $10,000 value consist law partnership income earned prior June 30, 1995 the form annuities. For tax purposes, aru1uity income reported CFL, P.C. 
113. Assets over $10,000 value consists mutua funds. 
414. House was destroyed fire July 25, 2004. Insurance company paid $95,206 for damages 2004 and $5,823 2005. 
ilS Land was purchased January 2003 for $50,174 for the estate Maria Medina properly subject mortgaage (part VI, Line 1). 
 
416. Assets LCM LLC consist oil/gas investments tlum1gh Avanli Exploration, LLC and are believed worthless the close the year. 
 
 
 
 
 
Date Report 
LUCERO, CARLOS 
05/1/2008 
 
 
IX. CERTIFICATION. certify that all infonnation given above (including information pertaining spouse and minor dependent hildren, 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 tbat earned income from outside employment and houornria and the acceptance gifts which have been reported arc compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature 
NOTE: ANY INDIVIDUAL WHO KNOWINGL AND WlLFULLy FALSIFIES FAILS FILE THIS REPORT sun.mer 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