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Judicial Watch • Pauley III William H – 2009

Pauley III William H – 2009

Pauley III William H – 2009

Page 1: Pauley III William H – 2009

Category:Federal Judges

Number of Pages:11

Date Created:September 13, 2013

Date Uploaded to the Library:January 22, 2015

Tags:pauley, Morgan, money, william, 2009, assets, dividend, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Rev. 1/2010 
FOR CALENDAR YEAR 2009 u,s.~ app. ) lOl.l ll.) Person Reporting (last name, first, middle initial) Court Organization Date Report PAULEY IlI, WILLIAM SOUTHERN: DISTP,1CT NEW YORK 05/12/2010 Title (Article IIl judges indicate active senior status; 5a. Report Type Icl~eck appropriae p,.,pe) Reporting Period 
magistrate judges indicate full- part-time) Nomination. Date 01/01/2009 
U,S. DISTRtCT JUDGE(active) Initial Annual Final 12/3 l./2009 
 
5b. Amended Report Chambers Office Address the basis the information contained this Report and any modifications pertainiog thereto, is, opinion, compliance 
UNITED STATES COURTHOUSE 
with applicable la~s and regulations. 500 PEARL STREET NEW YORK, NEW YORK 10007-1581 
Reviewing Officer. 	Date 
IMPORE4NT NOTES: The instructions accampanying this f~rm must f!llowed. Camplete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Reporting indiuidual only; see pp. 9-13 filing instructions.) 
[---] NONE (No reportable positions.) 
POSITION 	NAME ORGANIZATION/ENTITY Member Board Visitors 	Duke Univetsib, School ofkaw 
-__.. 
II. AGILEEMENTS. (Reporting individual only: see pp, 14-16 f!ling instructions,) --.-~i NONE (No reportable agreements.) ~o~_ DATE PARTIES AND TE~S Continuation payments agreement with fo~er law partner, Franklyn Snitow, and his law fim~, Snitow Kanfer Holtzer Mi[lus. LLP. 
Pauley III, William Person Reportillg .... PAULEY Ill, WILLIAM 
 
IlI. NON-INVESTMENT INCOME. (~e~,ora,,g i,,ai.ZUu.~ .,,a~po.se; ~ee :~. t~-2~ o::ti.~ instructions.) Filers Non-Investment Income 
NONE (No reportable non-im~estment income.) 
DATE SOURCE AND TYPE 2009 	Snitow Pauley, former law partnership winding-down its affairs (continuation payments agreement described Part II, line Spouses on-Investment Income -If you were married during any portion the reporting year, complete this section. (t)oHar amount nol required ~rcept for honoraria.) 	NONE ~%ro reportable non-investment income.) DATE SOURCE AND TYPE 
 2009 	Self-Employed Licensed Real Estate Sales Person 
 2009 	Self-Employed Floral Designer 
 
 
IV. REIMBURSEMENTS ........ po~,.,i,,., Iodgblg, food, entertainment. 
 
(Inch~dcs those ~)pouse and devendenl children; see 25-27 filing instrt ctions.) NONE (No reportable reimbursements.) 
 
SOURCE DATES LOCATION PURPOSE 	 
Duke University School April 16-17, 2009 Durham, Board Visitors MeetingLaw 	 
Duke University School October 29-30, 2009 Durham, Board Visitors MeetingLaw 	 
George Washington Univ Novcntbcr 10-11, Washington Moot Court Trial 
School Law 2009 
 
 
 
DateofReport 
05/IZ2010 
INCOME (yours, not spouses) 
$3,081.00 
ITEMS PAID PROVIDED lravcl. tbod, and lodging. 
Travel, food, and lodging. 
Travel, food, and lodging GIFTS. a,~t,~s NONE (No reportable g~s.) SOURC~ DgSCRIPTION VALUE 
VI. LI~ILITIES. (Includes those ...... dependent child ........ pp. 32-33 filing instructions.) NONE reportable liabilities.) CREDITOR DESCRIPTION VALUE COOE .... fPerson Reporting DateofReport 
VII. INVESTMENTS and TRUSTS 
NONE reportable income, assets, transactions.) 
D~scfiption ofAssels (including trust assets) Place (X) after each asset exempl from prior disclosure Income during repoaing period ~)Amount Code div., rent, (A-H) int.) Gross value end reporting period Code Method (J-P) Code (Q-W) buy. sell, redemption) Transactions during reporling period mn~ddlyy Code Code (J-PI (A-II} buyer,seller 0fptivale transactioo) COMMON STOCKS EXXON/MOBIL Dividend Sold 08/25/09 AXA AMERICAN DEPOSITORY SttARES PRUDENTIAL FINL SRVS Dividend Dividend Sold Sold 08/25/09 08/25/09 IBM Dividend Sold 08/25/09 MUTUAL FUNDS ALGER BAL PORTFOLIO (ALBAX) DAVIS VENTURE Flo.,ND (NYVTX) 10. DRYDEN TOTAL RETURN BOND FUNE (PDB~%X) DRYDEN ACTIVE ALLOCATION FUND (PIBAX) I2. DRYDEN INTL EQTY (PJRAX) Dividend Dividend Dividend Dividend Dividend Sold Sold Sold Sold Sold 08125109 08/25/09 08/25/09 08,25/09 08/25/O9 
13. 14. 15. 16. 17, DRYDEN STOCK INDEX FUND (PSlAX) DRYDEN CAP CORE EQTY (PQVAX) FEDEfL,TED INTERNATIONAL VALUE FUND (FGFAX) GOLDMAN SACHS MID CAP VALUE FUND (GCMAX) HANCOCK GLOBAL LEADERS GROWTH (USGLX) Dividend Dividend Dividend Dividend Dividcttd Sold Sold Sold Sold Sold 08f25/09 08125109 08/25/09 08/25/09 08125/09 ...... ..... Reporting Date R.eport 
VII. INVESTMENTS and TRUSTS -i..,~. .......... tio,,s (Includes those spo ..... dependent children; see ptx 34-60 filing instructions.) 
 
---] NONE (No reportable income, assets, transactions.) 
Description Assets (including trust asse~s) Income during reporting period Gross value end reporting period Transactions during reporting period Place (X) after each asset exempt from prior disclosure Amoun~ Type (e.g., Code div., rent,(A-H) orint.) Value Code (J-P) Value lvlethod Code (Q-W) Type (e.g., buy, sell, rcdelnption) Date rnm/dd!yy Value Gain Code Code (J-P) (A-II)[ Identity buyeriseller (if private transaction) 
18. 19. 20. 21. 22. 23. 24. 25, FUNDJENENISONcL ANATURAL(PGNAX) RESOURCES  MODERATE ALLOCATION (JDTAX) JENNISON UTILITY FUND (PRU:aX) 3ENINSON SMALL CO. FUND CLASS (PGOAX) DRYDEN STRATEGIC VALUE FUND ($UVAX) SELIG INCOME A.ND GROWTII (SINFX) SELIG CAP VALUE (~SCVX) AGDAX ALLIANCE BEKNSTEIN HIGH INC Dividend Dividend Dividend None None Dividend None Dividend Sotd Sold Sold Sold Sold Sold Sold Buy 08;25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08125/09 
26. 27. 28. MCGFX- ASTOR FUNDS MONTAG CALDWELL SMGIX- COLUMBIA CONTRARIAN CORE GSFTX COLUMBIA FDS SER TRI DIV INC Dividend Dividend Dividend Buy Buy Buy 08;25109 08.!25109 08!25/09 
29. DPLTX DREYFUS HIGH YIELD Dividend Buy 08/25t09 
30. KDSSX DWS VALUE SER INC CAP Dividend Buy 08!25109 SGIIX FIRST EAGLE GLOBAL FUND Distribution Buy 08!25/09 
32. ICHHX FRANKLIN/TEMPLETON HARD CUR Dividend Buy 08/25/09 
33. FNYTZ FRANKLIN TAX FREE INT TRM Interest Buy 08/25/09 
34. HFMCX IlARTFORD MUTUAL MID CAP None Buy 08/25/09 lncomc Gain Codes: .000 lu~s $1,001 $2,500 $2.501 $5,000 =$5,001 $15.~0 Value Codes =$15.000 less 15,001 ~50.0(~ =$50.001 100.0~ =$I 00.0Ol $250.000 
Date Report 
NONE (No reportable income, assets, transactiot~.) 
Description Assets {including tmsl assets) Place(X) at~er each asset exempt liom prior disclosure Income during reposing pe~od (1) (2) Amount Type (e.g.,Code div., rcnk (A-H) orint.){ Gross value end reporting period (11 {2) Value Value Code Method [J-P) Code (Q-W) Type (e.g., buy, sell, ~demption) Tra~actiom during ~po~ing period Date Value Gain mm.,d~yy Code Code (J-P) (A-II) . ldnmity buyer/seller (ifpri~tc transactmn) 
35. 36. 37. 38. ~39. FDHIPIX HARTFORD INFLATION PLUS HSKSX MORGAN TRI HIGHBRIDGE STAT IVQAX MORGAN STANLEY ]%WL VALUE EQUITY SBN~ LEGG MASON MUN LSGIX LOOMIS SAYLES VALUE Interest None Dividend Interest Dividend Buy Buy Buy Buy Buy 08/25/09 08/25/09 08.25/09 08/25/09 08/25/09 
40. 41. LISFX LO~ ABBE~ INC INTER MG~X MFS INTL GROWTH Dividend Dividend Buy Buy 08/25/09 08/25/09 
42. 43. NEFJX NATIXIS ADVISOR CAP VAL PCG~ PIONEER MID CAP VAL Non~ Dividend Buy Buy 08/25/09 08/25/09 
~4. RMUNX ROCHESTER M~I Interesa Buy 08/~5/09 
45. J47. RYMFX RYDEX SGI MANAGED FUT ST~T TGB~ TEMPLETON GLOBAL BOND Dividend Interest Buy Buy 08/25/09 08/25/09 
48. ANNUITIES 
49. DISCOVERY PLUS Interest 
50. CASt AND CASIt EQUIVALENTS [ngOm~ Gain Codes: =$1,00) less 
~ame Person Reporting Date Reporr 
VII. INVESTMENTS and TRUSTS .... value, r ...... tious (Includes those esponse and dependent chitdrett; see pp. 34-60 filing itlstr~ctio~s.) 
NONE (No reportable income assets, transactions.) 
Description Assets (including ~s~ assets) Place (X) after each ~set exempt from prior d~sclosnre Income during reposing period (~) Amount] Type (e.g., Code div., rent, (A-H) int.) Gross value end repo~it~g perR~ (t) (2) Value Value Code Method (3-P) Code iQ-W) (~) T~e (e.g., bay, sell. redemption) Tr~sacfions during reposing peri~ (2~ (3) i4) Date Vaktc Gain r~medd!yy Code Code (J-P) ~A-ll) (5) Identi~, buyer/seller (ffprivn~e transaction) 
52. 53. ~4. MORGAN CHASE U.S. T~ASURY BILLS U.S. SAVINGS BONDS tnterest Interest Interest Sold tpart) Sold (part) 08:25/09 I0/15/09 55. 56. AXA FINL LIFE INS (C~h Surrender Value) AXA FINL LIFE I~S (C~h Su~ender Value) Dividend Dividend 
57. WACHOVIA MONEY MA~T ACCOST ~ntercst 
58. EVERGREEN ~IC~AL MONEY MANET F~D Interest Sold 08/25/09 
59. NEW YO~ STATE COLLEGE TUITION SAVINGS FUND PROG~M Interest Buy I2/23/09 
60. WACI IOVIA Interest Sold 08/25/09 
61, TPMXX RBC PRIME MONEY MARKEI Interest Buy 08/25/09 
62. ACMXX- KBC MONEY MARKET OBLIGATIONS TRUST Interest Buy 08/25/09 
63. 
64. RETIREMENT ACCOUNTS 
65, 401K PLAN ING Interest 
66. IRA SCUDDER Interest 
67. 68. ALGER CAPITAL APPRECIATION (AC,~X) JENNISON GROWTH (PJFAX) None None Sold Sold 08/25/139 08/25/09 Valtlc Codes 5,000 Jess =515,001 $50,~ =$50,001 $100.0~ i00,00] $250,000 
Name Person Reporting Date Reparr 
 
05/12/2010 
VII. INVESTMENTS and TRU STS ..... vat ........... ,ions (Includes those ..... dependent children; see pp. 34-60 filing instructions.) NONE ~qo reportable income, assets, transactions.) 
~scfiption A~ets Income during Gross vaiu end Transactions during rcpo~ing period 
(including trust assets) rcpo~ing period repoaing period (2) (2) (2) Place ~K) after each asset Amoun Type (e.g., Value Value Type (e.g., Date Value Gain [dcnti~ exempt fromprior disclosure Code div., rea~ Code Method buy, sell, amddd/yy Code Code buyer/seller 
~A-H) Jut.) (I-P) Code redemption) (J-P) (A-II~ (if private] (Q-W) transaction) 
69. 	 
JE~ISON MID-CAP GROWTtl FUND None Sold 08/25/09 (PEEAX) 
 
 
70. 	 
DAVIS VENTURE FLeD Dividend SoId 08/25/09 
(N~VTX) 
 
 
71. 	 
GOLDMAN SACHS TRUST F~D CAP 
 
None Sold 08/25/09 
GRWTH POKTFOLIO (GSCGX) 
 
 
72. 	 
JENN1SON HLTH SCI (PHLAX) D~vidend Sold 08/25/09 
 
73. 	 
JE~ISON SELECTGROWTII FUND 
 
 
None Sold 08/25/09 (SPFAX) 
74. 	SELIG COMM INFO None Sold 08/25/09 
(SLMCX) 
75, WACHOVIA MONEY MARKET FUNDS lnterest 	Sold 08/25/09 
76. 	UTS GOVT SEC EQUITY TRUST Dividend Sold 08/25,/09 
77. 	 
TPMXX- RBC PRIME MONEY MARKEI Interest Buy 08/25/09 
 
 
78. 	 
ACMXX RJ3C MONEY MARKET Interest Buy 08/25/09 
OBLIGATIONS TRUST 
 
 
79. 	 
AGDAX- ALLIANCE BERaNSTEIN HIGII Dividend Buy 08/25/09 
INC 
 
 
 
g0. 	MCGFX ASTON FUNDS MONTAG Dividend B~y 08/25109 
CALDWELL 
 
81. 	BGN1X BLACKROCK GNMA Dividend Buy 08125!09 
PORTFOLIO 
82, SMGIX COLUMBIA CONTRARIAN Dividend Buy 08/25/09 
CORE 
83. 	GSFTX COLUMBIA FDS SER TRI DIV Dividend Buy 08/25109INC 
84. 	DPLTX- DREYFUS HIGH YIELD Dividend Buy 08,25/09 
85. KDSSX DWS VALUE SER INC CAP Dividend Buy 08/25/09 
(Sec Colmm C2) rBca~k Value -Other =Estimated 
Narae Person Reporting 	Dateof Reporl 
VII. INVESTMENTS TRUSTS -i.eo.,., v.t~e, ...... tion.v (Includes those spouse and dependent children; see pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) B.!c. 
Description Assets Income during. Gross value end Trausacfiuns during repor~ing period (including mast assets) reporting period reporting period (i) (2) (l) (2) (i) (2) (3) ~4) Place (X)~ after each a~set Amount Type (e.g., VaIne Value Type (e.g., Date Value Gain Identity exempt from prior disclosure Code div., rent. Code Method buy, sell, mn~dd;yy Code Code buyer;seller 
(A-H) int.I (J-P) Code redemptiun) J-P) (A-H) (ifpxivate (Q-W) traasaclion) 
86. 	 
SGIIX FIRST EAGLEGLOBAL FUND  Distribution Buy 08/25/09 
 
87. 	 
ICHHX FRANKLINfFEMPLETON Dividend Buy 08/25/09 
HARD CUR 	HFMCX -HARTFOR3) MUTUAL MI.E Dividend Buy 08,25.;09CAP IIPIX tARTFORD INFLATION PLUS Dividend Buy 08..25/09 JFD 
90. 	HLLVX- MORGAN SHORT DUR Dividend Buy 08/25/09 
BOND 
91. 	 
HSKSX MORGAN TR1 Dividend Buy 08/25/09 JII1GHBRIDGE STAT 
 
92. 	 
WOBDX MORGAN TR2 CORE Dividend Buy 08/25/09 
 
 
93, 	LSGLX- LOOMIS SAYLES VALUE Dividend Buy 08/25/09 
94. 	 
MGRAX MFS INTL GROWTH Dividend Buy 08/25.;09 
95. 	 
IVQAX MORGAN STANLEY INTL Dividend Buy 08..25/09VALUE EQUITY 
 
96. 	 
NEFJX- NATIXIS ADVISOR CAP Dividend Buy 08/25/09 
VAL 97, PAGNX PIMCO GNMA Dividend gny 0812511)9 
98. 	PCGR.X PIONEER MID CAP VAL Dividend Buy 08/25109 
99, 	RYMFX RYDEX SGI MANAGED FUT Dividend Buy 08~5109 JSTRAT 
100. 	TAIBX TARGET PORTFOLIO INTER Dividend Buy 08125.,09 
TERM 
101. 	TGBAX TEMPLETON GLOBAL BOND Dividend Buy 08125/09 Income Gain C~bas: :,$1,000 less =$I.0~31 $2.500 :$2,501 $5.Y30 :~5,001 $t5.~0 
lScc Column C2) =B~k Va~ue ~Other 
Name Person Reporting 
 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. 
Nolle, 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent chilttrcn, any) isaccurate, 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 lhat earned income front outside emplo)Tnent and honoraria and the acceptance gifts which have beeu reported are incompliauce ,,~th the provisions U.S.C. app.  501 et. seq., I.I.S.C.  7353, and Judicial Conference regulations. 
Signatu 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND W1LFULLY FALSIFIES FALLS FILE TillS 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