Arthur S Spiegel Financial Disclosure Report for 2010
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Transcript of Arthur S Spiegel Financial Disclosure Report for 2010
8/3/2019 Arthur S Spiegel Financial Disclosure Report for 2010
http://slidepdf.com/reader/full/arthur-s-spiegel-financial-disclosure-report-for-2010 1/9
A O I OR e v . 1 1 2 0 1 1
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2010
Report Required by the Ethics
i n G o v e r n m e n t A c t o f 1 9 7 8(5 U.S .C. app. §§ 101-111)
! . P e r u ~ R e p o t t in g ( l a s t n a m e , f ir s t , m i d d l e I n i t i a l )
S piege l , S . A r thur
T i t l e (Art ic le H I J u d a s Indicate active or s t a k ~ status;m a g i s tr a t ~ ju d g e s i n d i c a t e f u l l . c ~ p a r t - t i m e )
Uni ted States Sen io r Dis t r i c t Judge
7 . ~ a m b e r s o r O I T R ~ A d d r e ~
838 Pu tte r S tewart United S ta te s Courthous~
Cinc innat i , OH 45202
2 . Cour l o r Organ iza t ion
Uni ted States Dis t r i c t Cour t , SDO, WD
~a. Repert Type (~k appropriate type)
] N o m in a tio n . D a te
[] Initial [] Annual [] Final
5b. [] Amended Relx~
O~ the baxls ~’th¢ Information c~ntained in Ibis Rcl~rl tad any
modifications pertaink, g thertleb it I~ in my ~plnlon, In ~pllart~
w ith ap p l | ~b le laws l ind r t gu l a l l o n s .
3 . D a t e o f R e p o r t
05/15/2011
Reporting l~rl~l
01/01/2010
Io
12 /31 /2010
I M P O R T A N T N O T E S : The inUrucaons accompanying this form mu st be foliowe,Complete all part~,
checking the NO NE box for each par~ where you h ave no reportable information. Sign on laxt page.
I. POSITIONS. r~p.,nnt ~/,~ *no; ,,,
~ NONE (No reportab le posi t ions .)
p O S I T I O N
|o
2.
3.
4.
N A M E O F O R G A N I Z A T I O N / EN T I TY
I L A G R E E M E N T S . ~ ,~ o ,~ s ~ ,~ o~O ; , ,, ~,~. 1~.~ oI~’m~ t,,,~,ao,,.~
~ NO NE ( No r e p o r t a b le a g r e e m e n t s .)
D A T E PARTIES AND TERM S
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FINANCIAL DISCLOSURE REPORT
Page 2 of 9
Dttt of Repor~
0M15/201 i
HI. NON-INVESTMENT INCOME. rR~o,a ,z
A. F l i e r ’ s N o n - I n v e s t m e n t I n c o m e
[] (N o re po rta b le inco m e.)O N E non-inveMmenl
D A T E SOURCE AND TYPE
2.
3.
4.
I N C O M E( y o u r s , n o t s p o m ~ ’ s )
B. Spouse’s Non-Investment Income - t . f~ ,ou ,~e ,~ ma, ,~ea ,~ ,~g amy portion of~e ~ gy¢~ o~k te ~ se~
(~l~r amour n~ re~ired e~ept for ~rari~)
~ N O N E ( N o r e p o ~ a b l e n o n - i nv e s tm e m i n c o m e . )
DA~ SOUR~ ~D ~E
1 .
2.
3.
4.
( I n c l ~ leJ those to spouse a n d depen den t ch i l dren ; see pp . 2 5 -2 7 o f f ! l in 8 in s truc t ion s .)
~-~ (N o rep o r t ab l e re i mb u rsement s . )O N E
2.
3,
4.
5,
U~ ~ L O C A T I O N PURPOSE ITEMS PAID QR PROVIDED
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FINANCIAL DISCLOSURE REPORT
Page 3 of 9
Name of Pe rs~ Report ing
S p i e g e l , S . A r t h u r
D ~ t ~ o f R e p o r t
05 / I~/2011
V. GIFTS. (Inclmtt~ thost to spoust a~d depemt¢nt children; ste pp. 23-31 of fding in~ruction~.)
N O N E ~No reportable gifts.)
SOURCE D F . . $ C RI PT I ON
!.
2.
3.
4.
5.
~] N O N E ( No rep o r tab le l iab i l i t i e s . )
CREDITOR DESCRIPTION
I.
2.
3.
4.
5.
VALUE CODE
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FINANCIAL DISCLOSURE REPORT
Page 4 of 9 S p i e g e l , $ . Ar t h u r
D a t e of Repor t
O S I I 5 / 7 . D I 1
VII. INVE STMENTS and TRUSTS
N O N E ( N o r e por ta bl e in c om e , a s s e t s , or t r a n s a c t ion s . )
A. B. C. D.
D e s c r i p t io n o f A s r , ~ = Income dm~g G ro s s v a ~ m : a t c a d T r a n s a c t io n s d a r i n g i x ’ p o t t in g p e r i o d
( i n c l m i i n l t t ~ s t a s s e t a ) ~ol iag Ix:Hod o f t e l : r o t t i n g
( t ) ( 2 ) U) (2) O) (2) (3) (4) (5)
Pl a¢ ~ "(X)" ~ ~h as~ ~m T~ (e . g . , V~uc Va~ T~ (e.g . , ~m Val~ Ga ~ I~ of
( A - ~ ~ ~.) ( J ~) C~ 3 ~m~) ( J - P ) ( A - H ) (~
1 . B r o k e r a g e A c c o u n t # 1
2. A n a d a r k o P e t r o l e n m Co r p . A D i v i d en d K T
3. Exxom Mobil Corp . (XOM) D D i v i d e n d M T
4. Fif th Th ird Bancorp Ohio (FI’I’B) A D i v i d en d M T
5. Marathon Oil Corp . (MRO) B D i v i d en d L T
6. PNC Financial Serv ices Group (PNC) B D i v i d e n d M T
7. P ipe r Ja ff ra y C o m pa n ies In c . (P JC ) No n e J T
8. Procter & Gamble Co . (PG) D D i v i d e n d N T
9. J M S m u c k e r C o m p an y Ne w ( S J M) A D i v i d en d J T
1 0 . U . S . B a n c o r p . D e l a w a re N e w ( U S B ) A D i v i d e n d L T
I 1 . Un i o n P a c i f i c Co r p ( UN P ) B D i v i d e n d M T
1 2 . Uni ted States Stee l Corp (X) A D i v i d e n d J T
] 3. Eaton Van¢. . Balanced Fund (EVIFX) A D i v i d e n d J T
1 4 . G at e w ay F u n d ( G AT E X) B D i v i d e n d M T
1 5 . V i c t o r y O h i o M un i B o n d F un d ( S O H T X ) C D i v i d en d M T
1 6 . Westernbank PR Rate 2.3% Fixed CD B In t . /Div. L T
M a tu r e s 0 7 1 3 0 1 2 0 1 0
1 7 . S t e r l in g S av i n g s B an k W A U S R at e 4 .00% B In t . /Div . L T
Fixed CD Matures 01/’2
05110/10
01/25110
L
L
I , I n co me Ga in Co d es: A --$1 .0 00 o r less B =SI .0OI - $2, . .q30 C = $2 .5 0 1 - $5 ,0 0 0 D --.$5.0~1 - ,$
(Set Co]tin’ms BI and D4) F =$50.001 - $IOO,(X~) O --~111~1.001 - $1.000,O00 HI =S l ,O00 .001. $5 .000.000 H2
2 V t l u = C o d e s l = $ 1 5 . 1 3 1 3 0 o r I c t ~ . X -- . ,$15.~1 - $ ,~’ .0CO L = $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 M
P 3 = $ 2 5 . ~ 0 0 . 0 0 1 - $ 5 0 . 0 0 0 . 0 0 0 P 4 = M c ¢ ~ t h * m $ ~ 0 . ~ 0 0 . 0 0 0
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FINANCIAL DISCLOSURE REPORT
Page 5 of 9
Name ot P e r s o n R ~ r ~ i n ~
Spiegel, S. Arlhur
D a t e o r R e p e r I
0 5 / I 5 / 2 0 1 !
N O N E ( N o r e po r ta bl e in c om e , a s s e t s , or t r a n s a c t ion s . )
Description of Assc, tS I n c o m e d u r i n g
(including u’ust ~u) ~g ~
(]) ~)
( A - H ) ~ ant)
(I) (2)
VaI- ," Vain~
C o d e 2 Me th od
( J-p) C o d e 3
( Q - W)
d u r i n g r c 1 ~ l i n g p e r i o d
(t)
Ty~ (g~
b u y . ~ell,
r e d e m p t i o n )
( 2 ) (3 ) (4 ) (5)
D a t e V a l u e G a i n l d e . n ~ l y of
n ~ / d d / ~ C o d e 2 C o d e I b ~ i e ~ / ~ l l ~
( J - P ) ( A . r l ) (if r~vate
u a n . n c t i n n )
1 8 . RMA Tax Fr,," Fund Inc.
19 . Brokerage Account # 2 - Trust
20 . UBS RMA Money Market Pcnffolio (FKA
Victory O hioMunicipal Mo
2 1 . B a n k o f N o v a S c o t ia C a n a d a C A D ( B N S )
2 2 . E x x o n M o b i l C o r p . ( X O M )
2 3 . J P M o r g a n C h a s e & C o m p a n y (J P M )
2 4 . P e p s i c o I n c . (P E P )
2 5 . Pfizer I n c . (PFE)
2 6 . Pitney Bowes Inc.(PBl)
27 . Procter & Gamble (PG)
28 . 3M Co.(MMM)
2 9. USBancorp(USB)
30 . Bcrea Ohio 3.75% due )2.~ll/l 1
3 1 . But le r Coun ty Ohio 4 .9 5% due t2 /011 l 0
32 . Ea s te r n OH R egiona l Wa s tewa te r 4 .25%d u e | 2 / 0 1 1 1 0
- 33. Hamilton County, OH 3.125%du~ 12/01/12
34 . O h i o S t a t e 3 . 5 0 % d u e 0 3 / 0 1 1 1 1
A Divkle~d
E ! Int ./Div.
N
PI
T
T
0 2 / 1 0 1 1 0 J
08/06 /10 K
0 2 / 1 2 / 1 0 K
0 8 / 0 6 / 1 0 J
12/01/10 K
12/01110K
E
E
I . I n c o rn ~ G a i n C o d e s ! A =$I.000 ci" less B = , $ l . O 0 1 ¯ $ 2 , 5 0 0 C =$2,501 - $5.000 D = S 5 . O 0 1 - $ 1 5 . 0 (3 0
(S¢~ Coltmms BI and IM) F = $ 5 4 ) , 0 0 1 - $ 1 0 0 . 0 ~ 1 G - - $ 1 0 0 , ~ 0 1 ¯ $ 1 , ~ 3 0 . { ~ 0 HI =$J,~O.001 - $5,~O3,0C0 H 2 = M i n e th a n S 5 , 0 0 0 ,~ O 0
2 Value Code~ J
(S~ Co~ CI and D3) N
3. Value Method C o d ~ s Q =Apprais~ R = l ~ o s t (Real E.,,I tIe O n ! y ) S =Asscssme~ T = C a s h M a t k r l
( S ~ e C ~ l u n m C 2 ) U = B o o k V a J u e V --’O~ W = E ~ t ) m a l e d
E = $ ) 5 D 0 ! - $ 5 0 . 0 O 0
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FINANCIAL DISCLOSURE REPORT
Page 6 of 9
N a m e o f P e r u ~ R e p o r t i n g
Spiegel, S. Arthur
D a l e o f R e p o r t
05/15/2011
N O N E (No repor tab le incom e, asse t s , or t ransac tions . )
G ros ~ valu e a t e nd
O) (2)
Val ue Val ue
C o d e 2 Me th od
(J-P) C o d e 3
T r a n s a c t io n s d u r i n g r q x ~ i n g
(I) (2) 13) t4)
T.’v~e (e.g~ D a ~ V a l u e
( 5 )Id~dty of
buy~r l~el lex
p ’ ivate
3 5 . De ~ f i e ld T wp . Oh l o 4 . 0 0 % d u e 1 2 A 3 1 1 1 3
3 6 . Vanguard Short Term Tax Exempt Fund(VWSTX)
37 . Brokerage Accotmt # 3
3 8 . Victory Estab~hed Value Fund (GETGX)
39. Vic tor3’ Fu nd fo r I n c o m e (GG I F X)
4 0 . UBS Ret Money Fund
41 .
4 2 .
43 .
4 4 .
45 .
4 6 .
4 7 .
48 .
4 9.
50 .
51 .
A
Dividend
D i v i d e n d
D i d d e n d
L T
K T
J T
09/17110 K A
11/30110 JA
I. Income Gain Ccdel:
( S e ~ O ~ l u m n s B 1 a n d D 4 )
2. V,hz C~,
(~ C~ CI ~D3)
3 . Va1~ M~ C~
(See C~n ~)
B =$t .o01.
o =$5~3.ool . $1 ,0~3.{]00
R ---~mt troll Estate O ~y)
V = O~e~
P2 = S 5 . 0 ~ , 0 0 1 - $2 5 . ( X 3 0 .0 0 3
T ~s h M~rk~
E = $ 1 5 . 0 0 ! - $ 5 0 . 0 C O
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FINANCIAL DISCLOSURE REPORT
Page 7 of 9
N a m e o f P e r s o n R e ~ r f l n g
Sple~el, S. Arthur
N O N E (No reportable income, assets, or transactions.)
A. B. C.
~lXiO~ of Assets I n c o m e d u r i n g G r o t e v a l u e a t e n d
( inc lu d ing t ru ~ ~as e ta) r e p o t t i n g period of report ing l m ~ O d
el) (2) (I) (2)
Pl i c e " ( X )" a f i e* eac h a sse t A m o ~ m ! TyIx (e.g., Valu ~ Val ue
exempt from p rior disclosure: Code I day . , ren t , Code 2 M e t h o d
(A-H) or in t . ) (I-P) Code 3
O)T y l x ( e . g ~
b u y , s e l l ,
r e d e m l ~ i o n )
d u r i n g t r 4 x ~ i n g i x ~ o d
(2 )
Date V alue Gain Idr.mity of
naWdd,’yy Code 2 Cod~ 1 tmy~/ te l ler
(J-P) (A-H) (if private
’ ~ 2 .
5 3 .
5 4 .
! 5 5 .
5 6 .
5 7 .
2. V, lu¢ Cod¢s J ~1S .O ~l ot less g = $15 .001 -
( Se ~ C ~u t r m l C I a nd D 3 ) N -4 2 5 0 , 0 0 1 - $ 5 0 0 , 0 t 3 0 0 =$5~0,001 - $ I .~ tqO,0t30 Pl --$ I ,~.001 - $5.000,000 P2 =$$ ,0~30,001 - $25,000.( ]00
P3 --.$25 .000 .~ ! - $50 .(300 .000 P4 ~ M o r e t h a n $ ~ 0 . 0 0 0 . 0 0 0
( ~ e C o l u m n C 2 ) U = B e o k V l ~ o ¢ V . - - O r , h e r W = F ~ i m a t e d
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FINANCIAL DISCLOSURE REPORT
Page 8 of 9
N a m e o ~ P e r s o n R ~ p o r l i n !
Spiegel, S . Arthur 05/15/2011
VIII¯ ADDITIONAL INFORMATION OR EXPLAN ATIONS.
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FINANCIAL DISCLOSURE REPORT
Page 9 of 9
N a m e o ~ e r s o n R e p o r t i n g
Spiegel. S. A r t h u r
D ~ t e o ( ’ R e p o r t
O ~ l l 5 / 2 0 1 1
LX. CERTIFICATION.
I c e M f l ’ y t h a t a l l information given abeve (including information pertaining to my spouse and minor or dependent children, if an y ) h
accurate, true, and complete to the best of m y k n o w l e d g e a n d b e l i e f , an d t h a t an y Information not repor ted was withheld because it met applicable statutory
pr o ~’ I s l o n s l ~ r ml l l in g n o n ~l i s c l o s u r e .
I further certify that earned income I’com outs/de employme nt and honorar ia and the acceptance of gifts which have been reporte d are I ncompliance w ith the provisions of $ U.S.C. app. § 501 et. seq., $ U.S.C. § 7353, and Judicial Conference regulatlou~.
Si
N O T E : A N Y I N D I V I D U A L W H O K N O W I N G LY A N D W I L F U LL Y F A L S I FI E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I MI N A L S A N C TI O N S ($ U . S .C . a pp . § 1 0 4 )
C o m m i t te e o n F i n a n c i a l D i s c lo s u r eA d m i n is t r a t iv e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1
O n e C o l u m b u s C i r c le , N .E .
W a s h in g t o n , D . C . 2 0 5 4 4