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Judicial Watch • Nicholas G. Garaufis – 2008

Nicholas G. Garaufis – 2008

Nicholas G. Garaufis – 2008

Page 1: Nicholas G. Garaufis – 2008

Category:Federal Judges

Number of Pages:9

Date Created:December 4, 2009

Date Uploaded to the Library:October 20, 2014

Tags:GARAUFIS, Nicholas G Garaufis, nicholas, Alliance, shares, 2008, assets, transactions, Codes, dividend, reportable, disclosure, reporting, report, CIA, Federal Judge, financial, income, Judge


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POSITIONS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) POSITION MEMBER, BOARD DIRECTORS SPECTATOR PUBLISHING COMPANY, INC. 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) NONE (No reportable agreements.) 02/09/1997 ABC, INC. PENSION PLAN MONTHLY SURVIVOR BENEFIT 
rTJ PARTIES AND TERMS 
Garaufis, Nicholas 
 
 
 
 
JJI. N-JNVESTMENT 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 2008 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.) 
 
 
SOURCE AND TYPE 2008 	CITY UNIVERSITY NEW YORK -FORM W-2 WAGES 
2.2008 	CITIZENS BUDGET COMMISSION, FORM 1099-MISC. -CONSULTING INCOME 
3.2008 	FORESTDALE, INC., FORM 099-MISC. -CONSUL TING INCOME 
4.2008 	NATIONALJAZZ MUSEUM HARLEM, FORM 1099-MISC. -CONSULTING INCOME 
 
JV. REIMBURSEMENTS transportation, lodging.food, entertainment 
(Includes rhose spouse and dependenr children; see pp. 25-27 offiling instructions.) 
[Z] 	NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
 
 
Date Report 
GARAUFIS, NICHOLAS 
0811012009 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[ZJ NONE (No reportable gifts.) 
SOURCE DESCRIPTION 
 
VALUE 
 
 
VJ. LJABJLJTJES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) 
[ZJ NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION 
 
VALUE CODE 
 
 
 
Date Report 
GARAUFIS, NICHOLAS 
08/10/2009 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing insrructions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during 
(including trust assets) reporting period 
(I) (2) 
Place (X) after each asset Amount Type (e.g., exempt from prior rusc1osure div., rent, 
Code (A-H) int.) 
----- 	PRIME FUND -CAPITAL RESERVES Interest 	DAVIS NEW YORK VENTURE CLASS Dividend Gross value end -----D. Transactions during reporting period 
reporting period (I) (2) Value Value Code Method (J-P) Code (Q-W) (I) Type (e.g., buy, sell, redemption) (3)Date Value Month Code Day (J-P) (4) Gam Code (A-H) (5) Identity buyer/seller (if private transaction) Buy (add!) 02/07 NEUBERGER BERMAN FOCUS FUND Dividend 
BLACKROCK MID CAP VALUE FUND Dividend CLASS 
VAN KAMPEN GLOBAL FRANCHISE Dividend Sold 02/26 (part) 	 
FIDELITY ADVISOR DIVIDEND GROW Dividend 	 
AIM BASIC VALUE FUND Dividend 	 
AIM INT. GOVT FUND Dividend 	 
AIM LARGE CAP GROWTH CL. Dividend 
10. 	AIM GLOBAL GROWTH Dividend 
II. ALLIANCE BALANCED SHARES Dividend 
12. 	AMERICAN CAPITAL WORLD GROW Dividend INCOME 
13. 
!SHARES TR. RUSSELL 000 Dividend Buy 05129 (add!) 
Sold 05120 
Sold 05/20 
Sold 01120 (part) 
Sold 08/06 (part) 
15. 
Sold 1114 (part) 
16. 	 
WALT DISNEY COMP ANY Dividend 
 
17. 	 
FIDELITY ADVISOR INFLATION PRO Dividend 
TECTED 	 
Income =$5.001 $15,000 =$15.001 -$50.000 (See Columns and 04) =$50,00 -$I 00,000 =$I 00,001 -$1.000,000 =$1,000.001 -$5.000.000 fl2 =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 03) =$250,00 -$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 
Value 	Method Codes ::::Appraisal =Cost (Real Esrare Only) =Assessment =Ca Market 
(See Column C2) =Book Value =Other =Estimated 
Date Report 
GARAUFIS, NICHOLAS 
08/10/2009 
VII. INVESTMENTS and TRUSTS income, value, 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) reporting period reporting period 
 
Identity 
(I) (2) (2) (I) (2) (4) (3) Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Code 
 
exempt from prior disclosure 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. 	 
ALLIANCE REAL EST JNVESTMEN Dividend TFDA 
 
19. 
OPPENHEIMER MID CAP VALUE Dividend FUND 
 
 
20. ALLIANCE GLOBAL TECHNOLOGY Dividend FUND 
21. 
ALLIANCE GROWTH INCOME FUND Dividend 
 
22. 
ALLIANCE PREMIER GROWTH FUND Dividend Sold 05120 
 
 
CITY NEW YORK DEFERRED COMP Dividend ENSA TION PLAN 
24. 
EQUIVEST VARIABLE ANNUITY 
 
25. 	 
TRUST#! 
 
26. 	 
ABC PENSION PLAN 
 
27. 	 
AIM GLOBAL EQUITY FUND 
 
28. 	 
AIM MID CAP CORE EQUITY 
 
29. 	 
!SHARES MIDCAP 
 
30. 	 
!SHARES TRMSCI 
 
 
31. Dividend 
None Transferred (to line 67) 06/15 
None Dividend Dividend Sold 08/13 Dividend Sold (part) 12/10 Dividend Sold (part) 02126 
Sold (part) 11/14 
 
!SHARES RUSSELL 2000 Dividend Buy 05129 (add 
Buy 01/16 (add!) 
34. Income Gain Codes: (See Columns and 04) 
Value Codes (See Columns and DJ) 
Value Method Codes (See Column C2) =$1,000 less =$50,00 -$100,000 15.000 less =$250,001 -$500,000 =$25,000,001 -$50,000,000 =Appraisal =Book Value =$1,00 -$2,500 =$100,001 -$1,000,000 =$15,001 -$50.000 =$500,001 -$1,000,000 =Cost (Real Estate Only) =Other 
Sold 07/31 (part) 
----- 2,50 -$5,000 =$1,000,001 -$5,000,000 =$50,00 -$I 00,000 =$1,000,001 -$5,000.000 =More than $50,000,000 =Assessment =Estimated =$5,001 -$15,000 =More than $5,000,000 =$!00,001 -$250,000 =$5,000,001 -$25,000,000 =Cash Market 
 
Date Report 
GARAUFIS, NICHOLA 
0811012009 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing insrructions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
Place (X) after each asset 
exempt from prior disclosure 
(I) 
Amount 
Code 
(A-H) 
(I) (2) (I) (2) (3) (4) (5) :;,- 
 
M: 
 
aC: 
;t:d 
 
C:: 
 
b1;::;:1:r 
MUTUAL SERIES CLASS Dividend 
Sold 12/08 
(part) 
36. STANDARD POORS DEPOSITORY Dividend 
CEIPTS 
37. ROCHESTER LIMITED TERM Dividend Transferred 
(to line 44) 
PIMCO TOTAL RETURN 
38. Dividend Sold 02/07 
(part) 
Buy 10/23 
(addI) 
PIMCO ALL ASSET ALL AUTH Dividend Sold 
40. 05/12 OPPENHEIMER GLOBAL FUND Dividend Sold 04/29 
(part) 
42. 
VAN KAMPEN EQUITY INCOME Dividend 
 
43. 
AMERICAN BALANCE Dividend 
OPPENHEIMER LTD. TERM MUNI 
Sold 05/12 
44. Dividend 
(part) 
Sold 06109 
(part) 
46. ALLIANCE BERNSTEIN CAP GROW Dividend 
AMERICAN CAPITAL INS. BLDR. Dividend 
48. ROCHESTER FD. MUNI Dividend 
OPPENHEIMER GLOBAL CLASS Dividend 
50. AMERICAN GROWTH AMERICA Dividend AMERICAN HIGH INCOME Dividend Buy 04/02 
(addJ) Income Gain Codes: =$1,000 less 41,001 -$2,500 =$2.50I -$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 03) =$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 Value Mei hod Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market (See Column C2) =Book Value =Other =Estimated 
 
Date Report 
GARAUFIS, NICHOLAS 
08110/2009 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 14-60 filing insrructions.J NONE (No reportable income, assets, transactions.) 
 
(including trust assets) reporting period 
 
reporting eriod Description Assets Income during 
Gross value end Transactions during reporting period 
(!) 
(2) (!) 
(2) (3) (4) (5) 
(2) 
 
 
 
/c:, 
 
Amount 
Value 
Type (e.g.,Place (X) after each asset Type (e.g., Value Date Value 
Identity buyer/seller (AH) (if private transaction) 
52. 	ALLIANCE GROWTH INCOME Dividend Sold 11/06 (part) 
Code 
div., rent, 
Code Method buy, sell, 
Month-Code 
exempt from prior disclosure 
 
(A-H) int.) Code redemption) Day(J-P) (J-P) 
53. 
Sold 05120 (part) 
54. AIM DEVELOPING MKT Dividend Buy 01/16 (add!) 
55. 
Buy 12/08 (add!) 
 
56. 
OPPENHEIMER INT Dividend 
 
57. 
VANGUARD INT TERM TAX Dividend 
 
58. 
PIMCO COMM REAL RETURN Dividend 
 
 
60. 
AIM CONSTELLATION 
Dividend 
GABELLI ASSET FUND lnt./Div. 
Buy 020/8 
(add!) 
61. ROYCE TOTAL RET. INV. Dividend 
62. 
63. SHARES SP SMCAP 600 Dividend 
64. COLUMBIA CAP VAL CIA Dividend 
65. EAGLE CAP Dividend 
 
66. SHARES RUSSELL 2000 ALEUE Dividend Buy 03/19 
Buy 06/10 
Buy (add!) 07/21 
Buy 09/04 
Buy 04129 
Buy 12/26 
 
2004 TRUST None Transferred 06/15 (from line 25) 
68. 
Codes: =$1,000 less =$1,001 -$2,500 =$2,50 -$5,000 =$5,001 -$15,000 =$15,001  $50,000 
(See Columns and 04) F=$50,001 -$100,000 G=$100,00I -$1,000,000 =$1,000.001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,00  $100,000 =$100.001 -$250,000 
(See Columns and DJ) =$250,001 -$500,000 0=$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 
{See Column C2) =Book Value =()ther =Estimated 
 
 
 
 
 
Name Person Reporting 
Date Report 
GARAUFIS, NICHOLAS 
08/J 012009 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate pano/Reporl) 
VII, PAGE LINE 25: TRUST WAS TERMINATED AND THE CASH SURRENDER VALUE EQUITABLE LIFE INSURANCE COMPANY LIFE INSURANCE POLICY HELD TRUST WAS USED PURCHASE TERM LIFE INSURANCE POLICY HELD THE 2004 TRUST INCLUDED LINE PAGE 
VII, PAGE LINE 26: 
ABC, INC. PENSION PLAN. DESIGNATED RECEIVE MONTHLY PENSION BENEFITS PART Ill, LINE DISCLOSES INCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON 
VII, PAGE LINE 37: 
ROCHESTER LIMITED TERM ALSO KNOWN OPPENHEIMER LTD TERM MUNICIPAL AND INCLUDED LINE 44. 
 
 
 
 
 
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. 
 
Sign 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT 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