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Judicial Watch • Neil V. Wake – 2006

Neil V. Wake – 2006

Neil V. Wake – 2006

Page 1: Neil V. Wake – 2006

Category:Federal Judges

Number of Pages:15

Date Created:January 31, 2008

Date Uploaded to the Library:December 30, 2014

Tags:Neil V Wake, Appraisal, Estimated, Growth, Estate, Market, 2006, assets, transactions, Codes, dividend, disclosure, reporting, report, Federal Judge, financial, income, Judge


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POSITIONS. (Repomng imlividual only; see pp. 9-13 o.f_instructhmsJ NONE (No reportable positions.) 
 
NAMEOFR-OANIZATIONffiNTITY 
Trustee Trust# 
Trustee Trui!t 
Trustee Trust# 
Trustee Law Offices ofNeil Vincent Wake 401K Profit Sharing Plan sole beneficiary)--Plan terminated October 16, 2006 and roled into IRA 
Trustee Law Offices ofNeil Vincent Wake Money Purchase Plan sole beneficiary) 
 
 
 
 
,.._, 
(f) 
::> rrt 
c.:::0 r;1 
__;JI 
= 
0}2:: rr1 
PARTIESANDTERMS .1= 
fT1 .) 
 
III. N-INVESTMENT COME. (Reporting individual and spouse; see pp. 17-24 instructions.) Filers Non-Investment Income 
IKJ NONE (No reportable non-investment income.) 
 
(yours, not spouses) Spouses Non-Investment Income -If you were maied during any portion the reporting year, complete this section. 
{Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 
 
 
 
Self-employed attorney aod mediator 
IV. REIMBURSEMENTS -transportation, lodging,food, entertainmenL 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) 
 
DESCRIPTION 
 
April 21-27. Science the Courts seminar, Tucson, Arizona (transportation, meals, aod lodging) 
 
Name Person Reporting 
 
 
Wake, Neil 
08/10/2007 GIFTS, (Includes those spouse and depmdent children. See pp. 18-31 instructions.) 
[K] 	NONE (No reportable gifts.) SOURCE 
 
 
VI, LIABILITIES. (Includes those spouse and dependent children. See pp. 31-33 ofinstruetions.) 
(K] NONE (No reportable liabilities.) 
 
 
 
Date Report 
Wake,NeiIV 
08/1012007 
VII. INWSTMENT and STS -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) (I) 
(2) (!) (2) (3) (4) 
Place (X) after each asset 
Amouot Type (e.g. Value 
Value Type (e.g. Date Value 
Gain 
Identity 
Code 
div., rent, Code 
Method 
exempt from prior disclosure buy, sell, Month-Code Code 
buyer/seller 
(A-H) int.) (J-P) Code redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) Wells Fargo accounts Interest 
Apache Peak Inv., LLC Distribution 
Whetstone Dev. Co.-{Gommon stock) Distribution 
Cowley-BGWM LLC Distribution 
Interstate Ventures Ltd. Ptshp Distribution 
40l(K) Plan (terminated 10-16) 
 
 
--Manulife Lifestyle Growth Fund Dividend Sell 10-16 Trust (trustee) Interest 
--Merrill Lynch accts-{below reporting 
minimum) 
10. 
--Lucent Technologies Inc (LU) (X) Sell 1-19 
 
11. 
--Interstate Vent. Distribution 
 
12. 
Trust# (trustee) Dividend 
 
13. 
--Merrill Lunch accts (below reporting 
 
 
minimum) 
14. --Bank Co. Inc. common stock (BK) Dividend 
15. --Pfizer Inc. Del (PFE) Dividend Sell.part 8-25 
 
16. --Lucent Technologies Inc (LU) (X) 
17. -Interstate Vent. Distribution Income Gain Codes: {See Columns and D4) Value Codes (See Columns and D3) Value Method Codes (See Cohunn C2) =$l,000 less =$50,00I -$100,000 =$15,000 less =$250,001 -$500,000 =$25,000,001 -$50,000,000 =Appraisal U=BookValue =$1,001 $2,500 =S!00,001 -Sl,000,000 =S!5,00I -$50,000 =$500,001-$1,000,000 =Cost (Real Estate Only) V=Other =$2,501 -$5,000 =$1,000,001-$5,000,000 =$50,001 -$100,000 =$1,000,001 -$5,000,000 =More than $50,000,000 =Assessment W=Estimated 45,001 -Sl5,000 =More than $5,000,000 =$100,001 -$250,000 =$5,000,001-$25,000,000 =Cash Market =$15,001 -$50,000 
 
 
 
08/10/2007 
-Wake,NeilV 
--vH.1NVESTMENTS and T:RUSTS -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 4isclosure 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
{I) (2) (I) (2) (!) (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) Code3 redemption) Day (J-P) (A-H) (ifprivate 
(Q-W) tranSactlon) 
 
18. Trust# (trustee) 
19. --Gary Eliz Loveness note None 
26. c*fanulifeiNS:-WHeIB-IoIFE INS None 
21. Brokerage Acct 
22. 23. --Active Assets Money Trust (formerly Liquid Asset Fund) --DC Gen Obi Bond Dividend futerest Buy 4-25 
24. IRA# 
25. --MS Charter Campbell None 
--z6. --MS CharterMSFCM Nooe 
 
27. 
--MS Charter Grahan None 
 
28. 
IRA# (closed 2004) 
 
29. 
IRA#3  Dividend 
 
30. 
--Liquid Asset Fund (MM) Dividend 
 
 
--MS Global Dividend Grwth Sec (Mut Fd) Dividend 
--MS Pacific Growth FundB..(Mut-Fd) Dividend 
--Templeton Global (Mut Fd) Dividend 
 
34. --Morgan Stanley Bank futerest Buy 10-17 Income Gain Codes: $1,000 orless 41,-0-01 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 415,001-$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 =$25,000,001 -$50,000,000 =More than $50,000,000 Q=Appraisal =Assessment Value Method Codes =Cost (Real Estate Only) =Cash Market 
(See Column C2) =Other =Book Value =Estimated 
 
 
wake, Neil 
08/10/2007 
VII. INVESTMENTS and TRUSTS -income, value, transactions (lncluiks those the spouse and dependent children. See PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Asset 
Income during oss value end Trans actions during reporting period 
(inclu ding trust assets 
reporting period rep ting period 
(2) 
(2) 
(3) 
(4) (5) 
Amou (e.g. 
Value Value Type (e.g. 
Gain lue 
Identity 
Place (X) after each set 
Code 
div., rent, 
Code2 Method buy, sell, 
exempt from prior dis clos ure 
Month 
Code2 
Code 
buyer/seller 
(A-H) int 
redemption) 
Day 
(J-P) Code3 
(A-H) 
(if priva 
tranSl!CtiO:tl) 
(Q-W) 
UTMAAcct#2 Dividend Acct closed 8-1 
36. --Liquid Asset Fund (MM) Dividend Sell 8-1 -Putnam Voyager (Mut Fd) Dividend Sell 8-1 
38. UTMAAcct#3 
--Liquid Asset Fund (MM) Dividend 
40. --MS Information Fund (Mut Fd) Dividend --MS European Growth Fund (Mut Fd) Dividend 
42. --Putnam Voyager (Mui Fd) Dividend 
BrokerageAcct 
44. --SEI Tax-Free Fund (MM) Dividend Sell part 
--SEI Tax-Free Fund (MM) Sell part 4-11 
46. -SEI Tax-Free Fund (MM) Sell part 10-6 
--SEI Tax-Mgd Large Cap Fund (MM) Dividend Sell part 10-9 
48. --Intel Corp common stock Dividend 
--Cisco Systems Inc common stock Dividend 
--Medtronic Inc common stock Dividend 
51. --Altera Corp common stock None lncome dain Codes: =$i,000 less =$1,001-$2,500 =$2,50I -$5,000 D=S5,00l -Sl5,000 =$15,001 -$50,000 
(See Columns and D4) =$50,001 -$100,000 =$100,001 -Sl,000,000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 orless K=$15,001 -$50,000 =$50,001 -Sl00,000 =$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 R=Cost (Real Estate Only) =More than $50,000,000 =Cash Market 
(See Column C2) Q=Appraisal V=Other =Assessment 
U=BookValue =Estimated 
 
-Wake, Neil 
08/10/2007 
VH. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) -NONE (No repo,-table income, assets, transactions.) 
tion AssetsDescrip Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
54. --RfMicro Devices Inc None 
55-. --Small Cap Value.Fund (Mut Fd) 
56. --SEI Small Cap Growth Fund (Mut Fd) 
-.:GeneraTElectfic common stock 
58. --Verizon Communications common stock 
59. --Sun Microsystems Inc common stock 
-60. --Microsoft Corp.common stock 
61. --SEI Intermediate-Tenn Municipal Fund 
(MutEd) 
62. --SEI International Fixed Income Fund (Mut 
Fd) 
 
-Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
I}ividend 
Dividend 
(2) 
(2) 
(I) 
(!) 
(2) 
(3) 
Value 
Value 
Amount 
Type (e.g. 
Place (X) after each asset 
Gain 
Date 
Type (e.g. 
Value 
Identity 
Code! 
div., rent, 
Code2 
exempt from prior disclosure Method buy, sell, Code 1Month Code2 
buyer/seller (A-H) int.) 
Code redemption) Day 
(if private (Q-W) 
(J-P) 
(J-P) (A-H) 
transaction) 
52. 	--Automatic Data Processing Inc common Dividend stock 
--XILINC Inc common stock 	None Divi_dend 
411 
Buy 
--SEI High Yield.Bond Fund.(Mut-Fd) DiYilmnns and D4) =$50,001 -$100,000 =$100,001 -Sl,000,000 =Sl,000,001 -$5,000,000 =More than SS,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 =$500,00l ,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 R=O>st(Real Estate Only) =More than $50,000,000 =Cash Market 
(See Column CZ) Q=Appraisal ther =Assessment =Book Value =Estimated 
 
Date Report 
Wake, Neil 
08/10/2007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Indicateparto/Rt:port.) 
II. 
 
 
Date Report 
Wake,NeilV 
 
08/10/2007 
 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, ifany} 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 reguJations. 
 
 
 
)...cJc1 
 
FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Cohunbus Circle, N.E. Washington, D.C. 20544