D

_ __________ Date _____ _

------···-· -·-------··· ----------

---- ···-----·--·--·-·--·------------------------

--·-·-·----------�--

LJ

(._ •. " r c ' c·

r\I -

( ;

;a cs , _

3 er---

---------------- ----------·----------------------------------------

---------------- ---- ·· -·-·---·--·-----·---- ------ -----------

AO 10 Rev. 112010

FJNANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

Report Reqwred by the Ethics 1n Government Act of 1978 (5 U.S.C. app. §§ 101-111)

1. Pe.rson Rrpo11ing (lase name, first middle mmal) 2. Court or Organization J. Dote of Rtporl

Crotty, Paul A. L'.S. District Court (S.D.N.Y.J

4. Title (. .tuticle 111 judges mdicate active or stnior status: magistrate judges indicate full- or par.-:1me)

Sa. Rej'.Jflrt Type (chec:, aripropriate: type) 6. lleporting Period

U.S. District Judge (Active)

7. Chambers or Offke Addres

500 Pearl Street Room 735 New York, 1'cw York 10007

D t\omi:mui:;n, Date

lnlltai [ZJ Ar:nual 5b. D Amended Rep:in

D Fmal

8. On the basi of the information contained in this Report and any modifications pertnining therE-to, it is, in my opinion. in compliance l\'·ith 11pplirnble bun nd regulations.

Oli0li2009 to

l 2131/200'1

Rt·vicwing Olfo.:cr ___ ____ _

IM PO RT ANT NOTES: The m>truction;· accompanying this form must befollowed Compl«te nil parts,

checking the ./\/ONE bux fur ach P"'' tt·here yuu It ave no reprJrtahle inf(lrmation. Sign on last ptige.

J. POSIT JONS. (Reportiny intlfriduui only;"' pp. 9-13 offilin instruc1ion.<)

[{] NONE (No reporlable posirio11s.)

POSITION N/\lv!E OF ORGANIZATION/ENTITY

I.

2. --·-··

3.

r-··

--·-- ------·

5.

ll. AGREEMENTS. (Ht'j)(H"lingintli1idual only,· .\"t't! pp l.J-16 of.filing insrru<.'lion:i.)

NONf:: (/\'o repor1ahle agreements 1

PARTIES AND TERMS

c>· .. -, ;---.-l

Pl

r---J c. "".1

r.1

r._.·-·1N

_,.c:_

}> ,. ..... , ; :

q CJ Ul N

I. 2005 Verizon Im:ome Dcfcrrnl Plan (No C.:.)ntrol)

2.

J.

Crotty, Paul A.

TYPE l"-:CO!vW

---- -·---- · ----·-·· ·----

· -----

---··----·-·------

•. :ep:for

SOlJH.CE TYPE

Ge

---- -- ·--··

SOURCE LOCATION PURPOSE

-----·----

OR PROVIDED

------

-·---- --------- -----------

---·

·--------

---- ------ ------·---------------------- ---

-----

Ill, NON-JNVEST.MENT JNCQJVIE. (ReportingindiYidualandspouse;seepp.17-24 of filing instructions.)

A. Filer's Non-Investment Income

--·l NONI·: (i\'o reportable non-mvestment mcome.)

SOUECE AND

I 2009 Verizon Communications (See VIII)

(yours. not :;pousc's)

$1 3,358.0tl

----·· -··----··--· -· 4.

Name or Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Crotty, Paul A. 05/10/2010Page 2of10

B. spou SC' s Non-In\' cstn1en t In conle - Ifyou tt'l!fe marrit!tl during any pvrti"n of the re?portjng year, complete this section.

(Dolkir amount nor rt:·quin·d "' x hanoruriu.j

0 NONE (Yo reportable 11011-investment income.)

A.!"11)

!. 2009 urge Arzt Communications - Salary

2

3.

4. --·· -·--·-

..

IV. REJMBUH.SEMENTS -- transportation. lodging,j(wd, <nterrainmenl.

NONL r.l\:o reporrab!e rei111burse111t·11ts.)

ITEMS PAlD

J. Cieorge J\·fo.!. 1n l.fnivcr!)ity s hooJ ofl.itw Seminar

November 6, 2009 -November 12. 2009

Captiva, Florida Sero inar Re: Economic Analysis of Law

Air and Ground Transportation

-·-- ·--- --·- -·-·--· ·- ----···· ------- - -·-- -----2.

3.

------·· ---

-------------· ------·

4.

5. ·---------·-·--·-·- --··----

---- ---------

--·· · --

.DESCRJPTJON

---·--------- -···· ------ ·------ - ------····----- ----

----- -···--------

-----

CREDffOR VALUE

·---------

·---- ----

---- --- -----··-----

-- -----

---- - ·· ·-------··

---·-·-----·- -- - -- -

2.

--·---- -------

FINANCIAL DISCLOSURE REPORT Name of Per-son l eporting Date of Report

Page 3of10 C'rolt)', Paul /\. 05/1012010

V.. GJ S. (Jneludes thoJ;e to spou1;e and dependenr chil1Jren; seep(!. 28-31 of filing i11structilJ1is.)

[{] NONE rNo reportable g£1is.)

SOURCE

I.

J.

4. --- ------ ·-··--- --- - ---- ---- -··---

VI. LJA BJLJ].,JES. (111cludes thou <Jj"spmH and depend nt children, St't' pp. 32-3.l tif fiJing in.s/nu:tion. .)

NONE (No reportable liabilities.) /Z CODJ:::

I. ·-- -·- ------· .

-----·-----··

4. -- --··· -·

---·-· ··

!

! ...

(1) ' (2) (2) 1c) (4)

'3

!s

17

i I \Q

I

'

I o ----- ----- ---- --

·--·-··- ·----·

T

I i

i

l -------

i

I I

··----

· -·----··- ·-

natt of Rt.port Name of Ptrson Reporting FINANCIAL DISCLOSURE REPORT

Page 4of10 Crotty, Paul A. 05i]f)/2010

VII. lN.VES'fMEN'l'S and 1'.R USTS -- inwme. ""'"" cransactiom r1nc1ur1" 1huse of spouse and dep••.t""' ,·hildren: ue Pv .u-60 offllin11 in.iruc1ions.J

NONE (\Jo reporlable income, assets, or transactions.) I_,

A 13 c [) Dexnption of Assets Income during Gross value at end Transac,tons duri:ig reporting per;oJ

(includ:ng trust assets"; re porting period of reporting period ..

···--·-··i -·· 1'.I) 11.1 ,::;) \5) --·/Place ··0:)" ner e;H.:h assr:t Amount Type (e.g, Value Value Type: (t g. Date h1bc Join ldr:ntny.1f

exempt from prior disclosure Code I div., ent, Code 1 Mc:ho<l buy, en. mm/<lJ'yy Codec I 1 CoJe 1 buyr:r ..sefkr

(A·l!) mini) (J-P) Code 3 redempt10n) (_LP) (A-El (i7 pr watt: (Q-W) transact;,)n}

-·---- - --·

- ---- i.___ ---- --·--------

i l. American Express A Dividend K

I Amerirrise I' inl Inc A Dividend T12

Coca Coln B OividcnJ L T

14. Duk Energy Corp. A Dividend K T

E.,xon Mobil B Dividend I. '[

'6. Genera) Ele;;tric B Dividend K T

l lc'l.vlctt Packard i\ Dividend K T

JP -1organ Chase A Dividend K T Buy 3'26109 K

'9.I

11.

12.

' 13.

lvlarket Vecrnrs Russia

l\.·kdtroni

i\·1icrllSOft

!Vlurg"n Stanley

Stryker rorp.

A

Fl

A

A

A

Dividend

Dividend

Dividend

Dividend

l)ividt'.nd

L

K

K

K

T

T

T

Sold

Buy

1217i09

3.'26109

).,:

K

III

I

i 14. Tc:vs: Pharma1..:::!uli\.'.als ;\ [)i,idcnd K T

15. Alliance Bernstein Capital A Interest T

16.

l7.

Fidelity NY Muni Fund

Norbcllc !..LC

c Dividend

None

M

K

T

l:

! I

I. lncor:ic Code»: I (See Columns fi I anJ D-l)

2. Va.tu Code$ (See Co?umm; Cl and 03)

A -s1,uoo or less r ==sso,001 - S!00,000 J "'$15,000 or leu N s l0,001 · Sl00,000

C =$1,001 · S2,500 G ••·Si00,001 · S 1,000,000

K i5,00I • S50,000 0 =S500,00 I · $1,000,000

---··----·------

C 2. 0l · S),000HI =Sl,000,001 · $5,00-0,000

L-=$50,001 - Sl00,000

Pl s1.ooo,001 . si.000.000

D ""15.00l - Si5.00D H2 =More thun !5.000,000

M =SJ00.001 · $?50,000 :=15,000,001 . s2 .ocv,ooo

E $15,001 -SI0,000

Value M.::th.::..i Codt::

? -•S25,000,00J · $50,000.000

Q •Approi•al R ""'C:;st (Real Estote Only)

P4 "-'Mo1e th;m $ 0.000,000

S =Assessment

(See Columr C2) l! '-'Book Value V =Other W ...,.Esil;nakci

-----

1(1)/-

_____ _

!Amount

------ ------- ------�--�----

i

i 28

31

·--

I

Pl

(3)

---·--·-------

K

------

(-1)

'

·----- --------- ------

(5)

---/

I

-- - -.---,

\l)

! J 9.

30.

I)

Name- of Per on He porting Dote of Report FINANCIAL DISCLOSURE REPORT Page 5 of l 0 CrotlJ, Paul,\. 05110/2010

Vll. lNVEST1'-1ENTS and TRUSTS -- income, value. 1ran>ac11on., r1,,c1udes 1hase of •pouse and dependent ,·hitdren, supp ..u-60 of fiun8 ,,,,1ructions.J

NONE (No reportable income. asse/s, or transactions I ------·-· ,---·-

i\. c: D. . Description of Assets inc om dunng Transactions <lunng reporting peri\xl

(incluJing trust a.-.seLs) icpoiting p.:t 1tid -·I"(i)-·-

Place. n(X)" after each asse-t ! lyp (e.g. ! exempt frcm prwr disclosure

(2)Va:ue

(2) IGainValue Type (e g. Date

div , a·n·., t-..·1dwd buy. se!l, mm!ddJyy Codc.2 Code. I buyer/seller

Value Idmt;tyof ; CoJc l

(A-H) redemption) (J-P) (A-H) (1f private

l!:msacl!lm)i ----·--------

-----·-·

Nevi.· Entrepreneur Fund Dividend L

Rollover IHA I I) l..hvidc;nd

- Fidelity Low Priced Stock20,

21, - Baron Growth

22. - William Blair lnt'I (]rowth Sold 2"4/09 K (part)

23. - American Gro\'oth Ruy 2,' /09 K

24. .. Columbia Acom Class Z

25- - Dodge & Cox Stucki

26. - Harbor International Sold 2/4•09 K (pMI)

27. - Julius Racr lnt'l Equity Sold 2/4/09(part)

- Vanguard 500 Index Ru) 2/4.09 K

- RO}·Ct: Premier! 29.

- hdelity Cash Reserve;

Rollover IHA !:2 lnlr.:1 t: I T

32. - Campbell Soup Bond Redeo:::med

33.

34.

- !-loneywell lnt'I Bond

- Bank or America Bond Sold 216/09 L

I. I. Jncome

· ��n Codes. :\"'"!i,OOOoriejs

(Sec Cohunns Bl and 04) 2. Value COO.es

F s o.oo I • s I 00,000

(Stt Columns \.I anJ 03)

}. Value Method Cod(S

(See Column C2)

J--SIS.OOOor!i=sw N =S2.50,00J - S 00,000 1-'3 =$25,000,GV! - i}0,000.00C· Q·-=:\ppraisal U ····Book VaJue

--------

3"-S.i,r10t ·H,5VO G I OQ.00 l . s 1,000,0IY.l K='S!5,00l ·S.50.000 0 ."··S500,0C i · Si ,0:)0,QOO

R o !(Re:al £!-tf! :JnlyJ \:=Other

_____,__________

C =1.2. 0I • S5,000 JI I «$1,000,0Ji - $5,000,000 L ,,..-S.50.001 - $!0Cl,OOO P -SJ ,000,001 - $5,000.000 P-l -'-M01c- than S C.,000,000 S .,...Asscs3mt::ni \\. =-!:•tunll.ted

--- -------·

D ;:$5,001 · Sl),000 H2 =-More thR.n t.\000,000 M =S ICO,OOJ - .$250,000 P2 =1.5,000,GO\ . S2},000,DOU

T ""<:ash Mmht

---- --

E"115.00J , Sl•J.OUO ·1

D

(1)

c

(2)

-·----�-�----,----.,------ -�.-�---,--��-,-�-

!

!

--- --------- ______ ..___ ---·�---

·--···--·---------

(l)

I

5 l.

D.

Date of Rtpnrl Namt. of Person Re-porting FINANCIAL DISCLOSURE REPORT

Croll), Paul A. 05'1012010Page 6 of l 0

VII. INVESTJ\-1ENTS and rr.R USTS - in com•. ··a1 •• 1ran;ac1ians (Jn dudes th use of '"""seund dependent chi/Jrm: ,u PP· JJ-60 of filing instructions.;

D NONE (No reportable income, asseH. or transaction.s..i

Dc:$c.·11pt1on of Asset.!:! Transc!cl1ons dur1.'1g re or!1ng period

(incluJing lrusl as:;e1s) ----

(4) (5) --; Pl 1:t' "C\)" <:ifter rn(:h a-;.set VAiue Value vniue Gam Jd nrnyof

t':V.:r.:mpt frnm prior discloswe Code 2 Method : C-0de 2 CoJe l bt1yer;sell r (A-Il) (J-Pl C0d.:- J (J.P) (A-ll) (1f p:ivate

(Q-W) 1ran.sactmn)

-·�-�-

35. - IV alt Disney nond

36. - Cisco Bond

37. - Amcriurin Exprt Bond Sold 4.'15/09 K

i 38. - l:lottling Group LLC Bond

! i 39. - 0T"cle RonJ

[ ·10 - /\kt I. ifr lfon d Sold 3;30;09 K

-11. - JP tvforgnn C'h sc Bond Sold }fl 1109 [.

42. - h1mbcrly Clark flond

4}. - Deere & Co. Bond Sold L

H. - Fedcrul Fam1 l."r Ilk< f),,11d

· 45 - TVA Bond

- Jl.:Jorg;1n swnky Hnnd Redeemed Ji] 5/09 K

- Lchm an Uro!i Sold 9130;09

49. - DuPont Bond

50. - CIT Bond Sold 6.'9i09 K

- Hartford Fin. S,.,,,, Sold 10123109 K

- -·-------

A =S 1.000 .:ir leu B =St,00 -.S2,500 C "'='S2,501 - S.l,000 D =S5,00I · 1! 5,000 E =$I 5,001 - SS0,000

(Ste Colwnn.s Bl ill<l l."H) F ••$50,001 . 1100,000 G :-SI 00.00 I - SJ ,000,000 'ii •Sl,000,001·15.000,0<JO H2 °"More tfom 15.000,000

2 VaJuc Codes- J 15,UOI) or Jen K =-$ D,UOl - S C),000 L =150,00I - SI00.00(1 M <=tl00.001 -$250,000

(Sl·c Columil9 (;I and [J.3 > N =Sl50,00I - S500,000 0 :.:SS00,00 I - $ J ,000,000 Pl :Sl,000,001 - 15,(•00,000 P2 =$),000,001 - S1\000,()'J0

P3 "125.000,001 · $50,000,()(JO P4 =More lh.an SS0,000,000

3 Value MeUh Cod ·s Q '-Aµpra:s-11.l R "-'Cvsl (Re.i.l Eru.tc Only) S ""'"Asscs.snuml T =C'ash Market (Src Ce>lu.'Tlr1 C2) U -Booi: Value I/ ·-:<)the:r W-=E,timated

------ ------�

B

(I)

___ _

c

--�----

;.:;

----------------

---------- -----------�----- �-----·- ----�----�------r----r---�---.,------- --

! I

--------�--�-----' --�----� ---------·-·--'--·-

(2)

55.

56.

59.

Dal< ur RtportName ofl,erson ReportingFINANCIAL DISCLOSURE REPORT Page 7 of JO 05'10i20JOCrotty, Paul A.

Vll. INVESTMENTS and TRUSTS -income . ..aiue. rransartinns r1nctudu tho.-. of spouu and d•p•nden1 chi/dun: see pp. N-60 of fifing instruction>.J

C NONE (No reportable income, assets, or transacrions.)

A Description of Assets Income Jurmg Gross value at end Transactions dur111.g rcpo.'"\.!ng period

(mdudmg t:-ust asset">) rcport1::g per io,: of rtportmg rcm.:Jd

(2) (I) (2) (3) 1:4) (5) Place (X)" afler each &:>st::t Amount ! Type (cg. Value Type(cg. Date Value Gain Jden!Jt)' Jf

exempt from prior d1sc osure C:odt I dtY . :-.:nt Method buy, sell, mm/dd')'Y t'.c<lc 2 Cede I bl!yer/selli:r (A-H) L'I 1.ht' (J-P) Cede J redemption) ( -P} (A-l!) (ifpni.·a!c

'.Q-'.V) trnn.-.act!on)!

52. - T•rget Co111. Bond Sold 10/21109

53. - Gen worth Globul J3ond Suld !0!15109 K

54. - GE Bond Sold '..\.'19/09 K

- JJ3 M J3ond

- Boeing Corp. Bond Sold 11/17/09 K

57 - Wa.,hovia Bond Sold .1.'11.'09 K

58. - Allstate Bond Sold 3:27109

-Wells Fargo Bond Sold 1127109 K

60. - Anheuser Busch Bond

61. - HSBC Bond Sold 4114/09 K

, 62. - \Volgreen's Bui 3,20;09 !.

63. - �vier ck & Co. Buy 411109 K

6-l. - Federal Fnnn Uuy 4/6!09 K

· 65. - Federal flomc Loan lluy 4.'8109 K

: 66. - Pfizer Ii:. Co. Buy 4,1 ).'09 K

67. - Verizon Communications Bu} 5!!8i09 "

'68. - SBC Buy 619109 K

. ··----·--· --------- --

\. Income C'r.iin Codes A =Sl,OOC or leu B=Sl.001 - $2,500 c =$2,50i - $5,000 {.See Cot·,::inns At and 04) F =Sl0,001 - $100,000 G-=SI00,001 -Sl,000,000 HI .=$1,0UO,OOJ . $5,000,000

2. Value Cod s J -=$ 1 5,000 or !es K "1:15.001 - $50,000 L =Sl0,001 -Sl00.000

(See Columns CI a.nd 03) N ""$250.00 I - $500.000 0 =SSOC.001 £1,000,000 ?I =!l.OJ0.001 - $5.000,000

1'3 ··$25,000,001 - !l0,000.(.00 ?.: ""More than $50.000,000 ). Value MeU:od I.odes Q =l\ppraiial R .=:C'vsl (Real Es-tate Only) .S=Asscssment

iSec Column C1) LT =Bo0k Valtie V=Other W =fatimate:i

D =-$5,001 · lll ,000 E --sD,001 - 150,000

H2 :-:More than S5,000.000 1 =SlOO,OOi - t25C.OOO

P2 =S .000,0CI - $25,000,000

T "-C2Sh M ket

(I) (2) (3) ({· (5)

169. 1'fof)onald's ---�---�----r----.-----------··-----

i

i

FINANCIAL DISCLOSURE REPORT Nil me of Person Reporting Di.le oJ'Rcporl

Page 8 of 10 Crony. Paul A. OSIJ{l.'2010

VII. INVESTMENTS and TRUSTS --income, ,.a1ue, 1ransac1itms onc1uaeo1hose ofspnuseandt1epent1en1 children: '"PP· J4-6o offilinc iMtructions.1

D NONE (No reprmab!e income, asse/s, or transactions.)

A Dcscopt1on of Asscr.s

(including trust asseL<>)

Place "(X)" after each asset t>.xernpt from poor disclosu:>!

----·-1 ·

Type(< g . Date

buy_ s<il. :mm!d<liyy

rc<lcmp!JOii)

Ve:ilut

C\lde 2

(J-P;

Gam

CoJe I ( . .;.Hi

ldrnuty of

buyc::r:'sdler (d rrivr:lc

-

'. 70. - Con Edison

71 - Gt:nc:ral Dynamit.:s

72. - \Val-!\·Jflrt

73. Verizon Income Deferral Plan F Interest 0

Buy

Buy

Buy

Buy

T

6:J 7!l)9 K

8'}5,09 L

10121/09 K

lll/29109 L

t Income Gain Codes A :::.S:l,000 or ku 9 =$1,UOI - S2,500 C =-$2,501 · SS,000 D =$5,00 l - .S ! 5.00C E :=$15,001 - S.S0,000

(See Columns BJ and 04) f =Sl0,00! - SIOU,000 G--1<100,001 -S!,000,000 HI ,·s1.ooo.001 -Sl.LW,000 H2 =More than $S,C-OO.OOO 2. Value Cod ts J uS 15,000 or less K =Si .001 · S50,i'.:OO L "1:50,001 - SI G0,000 M 100,001 - S250,000

(See Colunms Cl and 03) N •S2l0.001 - $500,000 0 =SS00,0-01 -$1,000,000 Pl 1.000,001 - $\000.000 P2 =S.:5,000,001 . $25,000,(.(10 P3 ::i:.$.25,00..'1,00I - $50,000,000 P4 ='More than $5C,OOO.OOO

). Value Mer.hod Code Q•Apprai1rn.l R =Con i Real Estate Only) S =Assessment T "'(°ashMa6.:et (See Column C2) U =300\; \'aln..- V =Olhe! W =E timated

D;1te or Report ame of Person ReportinFINANCIAL DISCLOSURE REPORT

Crotty, Paul A. 05110/2010Page 9of10

Vlll. ADDITIONAL INFORI\tlA TION OR EXPLANATIONS. 11n11icaupar1ufHepor1.J

1n 2009, I uuntinu d to rc::c..:i\·C paymenl'i from my Vcr1Lon Inco1ftl: Dckrral Plan tl0/2009). Th(;'. lolal paym 11ts are shown in IJL supra.

.'

..

Oate of Report Namt of Ptr.son Repor1ing FINANCIAL DISCLOSURE REPORT

Page 10of10 Crotty, Paul A. 05.'10:2010

IX. CERTIFICATION.

J c:ertify that all information giv("n above (including information pcrtainin to 1ny spouse and minor or dependent children, if any) i.s ;ururate, true, and c-om pkte to th<' bt?st of m) knowledge and belief, and that any inforn,ation not reported 'ff.as withheld bel'ausr it met a1>plh:ablt" srntutory provi.!iions permitting non-disdosur·e.

I further cer1ify that earned in<·ome from outsidC' employml"nt and honornrin: and the acceptanC'e of gifts nhirh have hecn rcportl•d ure in rnmpliance with the provisions of 5 I .'.S.C. app. § 501 et. seq., S 11.S.C. § 7353, and .Judidal Conferenre regulations.

Signaturt! ___

NOT :: ANY JNDIV!DliAL WllO KSOWINGLY AND WJLFL'LLY Fi\LSIFrns OR FAJLS TO FII.E TIIJS HEPORT ''IAY HE SUBJECT TO CIVJL AND CRJ:'vlJN,\L SANCTIONS (S l!.S.C. app. § I04)

FlLING INSTRUCTIONS

Mail signed orig,inal and 3 add1tional copies lo:

Committee on Financial Disclosure Admrnistrntivc Office of the United States Cow-ts Suite 2-JO l One Columbus Circle, N.E. Washington, D.l'. 20544