James M Peck

John Hancock Universal Life Insurance Money Market — Interest

Citibunk Money Market Acct — Interest

Chase Money Market Acct J (X) — Interest

Schulte Roth & Zabel Group Trust IRA — None

Brokerage-BBH Core Select Fund (X) — Int/Div — Buy

Brokerage-BlackRock Global Allocation Fund (X) — Int/Div — Buy

Brokerage-BlackRock Global Allocation Fund (X) — None — Sold

Brokerage- Driehaus Mutual Fund Active Income (X) — Int/Div — Buy (add'l)

Brokerage-Eaton Vance Global Macro — Int/Div

Brokerage-Fidelity Floating Rate (X) — Int/Div — Buy (add'l)

Brokerage-iShares Barclays Aggregated Bond Fund (X) — Int/Div — Buy

Brokerage-Loomis Sayles Bond Fund (X) — Int/Div — Buy

Brokerage-Looms Sayles Bond Fund(X) — None — Sold

Brokerage-Manning & Napier Equity Series (xX) — None — Buy

Brokerage-Mamning & Napier Equity Series (xX) — None — Sold

Brokerage-Matthews Asian Funds(X) — Int/Div — Buy

Brokerage-Matthews Asian Funds(X) — None — Sold

Brokerage-Pimco All Asset/ Authority Fund — Int/Div

Brokerage- Pimco Total Return Fund — Int/Div — Sold (part)

Brokerage-Schwab Cap TR S&P Invest Select Shares( X) — Int/Div — Buy

Brokerage-T Rowe Price Capital Appreciation Fund — Int/Div — Sold

Brokerage-Templeton Global Bond(X) — Int/Div

Brokerage- Vanguard Total INTL Stock(X) — Int/Div — Buy

Brokerage-Wasatch Equity Fund(X) — Int/Div — Buy

Brokerage-Wasatch Equity Fund(X) — None — Sold

Brokerage- Wasatch Long/Short Fund(X) — Int/Div — Buy

Brokerage-Wasatch Long/Short Fund(X) — None — Sold

Brokerage-Westcore Select Fund(X) — None — Buy

Brokerage-Westcore Select Fund(X) — None — Sold

Brokerage- Wells Fargo FDS ADVIN (X) — Int/Div — Buy

Brokerage- Wells Fargo ADV(X) — Int/Div — Buy (add'l)

IRA-Alliant TechSystems(X) — Interest — Buy

IRA-Altria Group Inc.(X) — Interest — Buy

IRA-Anadarko Pete Corp X) — Interest — Buy

IRA-Autozone Inc(X) — Interest — Buy

IRA-Autozone Inc X) — Interest — Buy (add'l)

IRA-Ball Corp(X) — Interest — Buy

IRA-Bank of America Corp(X) — Interest — Buy

IRA-Bank of America Corp(X) — None — Sold

IRA-Clean Harbors Inc.(X) — Interest — Buy

IRAComcast Corp(X) — Interest — Buy

IRACoventry Health Care Inc{X) — Interest — Buy

IRA-Crown Castle Intl Corp{X) — None — Buy

IRA-Deluxe Corp X) — Interest — Buy

IRA-Domnelley R R&Sons Co 4.95%(X) — Interest — Buy

IRA-Domnelley R R&Sons Co 4,95%(X) — Interest — Buy (add'l)

IRA-Domnelley R R&Sons Co 5.5%(X) — Interest — Buy

IRA-Echostar DBS Corp(X) — Interest — Buy

IRA-Ford Motor Credit Co{X) — Interest — Buy

IRA-Forrest Onl Corpi(X) — None — Buy

IRA-Freeport-McMoran Copper&Gold( X) — Interest — Buy

IRA-Frontier Communications Corp{ X) — Interest — Buy

IRA-General Electric(X) — Interest — Buy

IRA- GSC HLDGS Corp! Gamestop Inc(X) — Interest — Buy

IRA- GSC HLDGS Corp! Gamestop Inc(X) — None — Sold (part)

IRA-GSC HLDGS Corp/Gamestop Inc(X) — None — Sold

IRA-Host Hotels& Restortst X) — Interest — Buy

IRA-INTL Paper Co(X) — Interest — Buy

IRA-Iron MTN Inc(X) — Interest — Buy

IRA<Iron MTN Inc(X) — None — Buy (add'l)

IRA-Kansas City Southem(X) — Interest — Buy

IRA- Kellogg Co(X) — Interest — Buy

IRA-Metlife Inc(X) — Interest — Buy

IRA- Nextel Communications Inc{ X) — Interest — Buy

IRA-Peabody Energy Corpl X) — None — Buy

IRA- Prudential Finl Inc MTNS Book(X) — None — Buy

IRA- Qwest Corp{ X) — Interest — Buy

IRA- Qwest Corp{ X) — None — Buy (add'l)

IRA-Seagate Technology HDD(X) — Interest — Buy

IRA-Seagate Technology HDD(X) — None — Buy (add'l)

IRA-Service Corp INTL{X) — None — Buy

IRA-Silgan Holdings Ine(X) — None — Buy

IRA-Steel Dynamics(X) — Interest — Buy

IRA-Steel Dynamics(X) — None — Buy (add'l)

IRA-Steel Dynamics(X) — None — Sold

IRA-Tesoro Corp(X) — None — Buy

IRA-Tesoro Corp(X) — None — Sold

IRA-Unisys Corp(X) — None — Buy

IRA-Valero Energy Corp(X) — None — Buy

IRA-Vomado RLTY (X) — None — Buy

IRA Vomado RLTY(X) — None — Sold

IRA R/O Schwab-Blackrock Global Allocation — Int/Div — Sold

IRA R/O Schwab-Driehaus Mutual Funds Active Income — Int/Div — Buy (add'l)

IRA R/O Schwab- Drichaus Mutual Funds Active Income — None — Sold (part)

IRA RO Schwab-Fairholme Fund — None — Buy (add'l)

IRA RO Schwab- Fairholme Fund — None — Sold (part)

IRA RO Schwab- Fairholme Fund — None — Sold (part)

IRA R/O Schwab-Fidelity Floating Rate(X) — Int/Div — Buy

IRA R/O Schwab-Fidelity Floating Rate(X) — None — Sold (part)

IRA R/O Schwab- FMI FDS Inci X) — None — Buy

IRA R/O Schwab- FMI FDS Inc(X) — None — Buy (add'l)

IRA RO Schwab-FMI FDS Inc(X) — None — Sold

IRA R/O Schwab-Greenhaven Cont Inx (X) — None — Buy

IRA R/O Schwab-Greenhaven Cont Inx(X) — None — Sold (part)

IRA R/O Schwab-Greenspring FD Inc — Int/Div — Sold (part)

IRA R/O Schwab-Harding Loevner Emerg mks Fund — None — Sold

IRA R/O Schwab- IVY FDS INC ASSET STRATGY(X) — None — Buy (add'l)

IRA R/O Schwab- IVY FDS INC ASSET STRATEGY — None — Buy (add'l)

IRA R/O Schwab-Ivy FDS INC ASSET STRATEGY(X) — None — Sold

IRA R/O Schwab-Manning& Napier Equity Series Fund — None — Buy (add'l)

IRA R/OSchwab -Manning& Napier Equity Series Fund — None — Sold

IRA R/O Schwab- Matthews Asian Funds Asian Growth & Ine — Int/Div — Buy (add'l)

IRA R/O Schwab-Matthews Asian Funds Asian Growth & Tne — None — Sold

IRA R/O Schwab: Nuveen INVT — None — Sold

IRA R/O Schwab- Pamassus FD — None — Sold (part)

IRA R/O Schwab-Parnassus FD(X) — None — Sold

IRA R/O Schwab-Perkins Mid Cap Value FD — None — Sold (part)

IRA R/O Schwab-Perkins Mid Cap Value FD — None — Sold (part)

IRA R/O Schwab-Pimeo ALL ASSET ALL AUTHORITY — Int/Div — Sold (part)

IRA R/O Schwab- Pimco ALL ASSET ALL AUTHORITY — None — Sold (part)

IRA R/O Schwab-Putnam Voyager FD Inet X) — None — Buy

IRA R/O Schwab-Putnam Voyager FD InetX) — None — Sold

IRA R/O Schwab- Ridgeworth Seix Floating Rawe(X) — Int/Div — Buy (add'l)

IRA R/O Schwab- Ridgeworth Seix Floating Rae(X) — None — Sold

IRA R/O Schwab-Schwab Cap TR S&P 500 Select shares(X) — Int/Div — Buy

IRA R/O Schwab- T Rowe Price Capital Appreciation FD — None — Buy (add'l)

IRA R/O Schwab- T Rowe Price Capital Appreciation FD — None — Sold

IRA R/O Schwab- Templeton Income(X) — None — Buy (add'l)

IRA R/O Schwab- Templeton Income(X) — Int/Div — Buy (add'l)

IRA R/O Schwab- Templeton Income {X) — None — Sold

IRA R/O Schwab- Thornburg INVT (X) — Int/Div — Buy

IRA R/O Schwab- Thornburg INVT (X) — None — Sold (part)

IRA R/O Schwab- Thornburg INVT (X) — None — Sold

IRA R/O Schwab- Wasatch 1st Source Long/Short Fund(X) — Int/Div — Buy (add'l)

IRA R/O Schwab- Wasatch Ist Source Long/Short Fund(X) — None — Buy (add'l)

IRA R/O Schwab- Wasatch 1st Source Long/Short Fund(X) — None — Sold (part)

IRA R/O Schwab- Wasatch 1st Source Long/Short Fund(X) — None — Sold

IRA R/O Schwab- Westcore Select Fund — None — Buy (add'l)

IRA R/O Schwab- Westcore Select Fund — None — Sold

IRA R/O Hamlin-Abbott Labs( X) — Int/Div — Buy

IRA R/O Hamlin- Abbott Labs(X) — Int/Div — Buy (add'l)

IRA R/O Hamlin- Alliance Resource Partmerst X) — Int/Div — Buy

IRA R/O Hamlin- Alliance Resource Partmerst X) — Int/Div — Buy (add'l)

IRA RO Hamlin-AT&T(X) — Int/Div — Buy

IRA R/O Hamlin- Baytex Energy Trust(X) — Int/Div — Buy

IRA R/O Hamlin-Bristol-Meyers Squibb Co(X) — Int/Div — Buy

IRA R/O Hamlin-Bristol-Meyers Squibb Col X) — None — Sold (part)

IRA R/O Hamlin- Canadian Oil Sands(X) — Int/Div — Buy

IRA R/O Hamlin-Chevron Corp{X) — Int/Div — Buy

IRA R/O Hamlin. Chevron Corp(X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Cinemark Holdings Inc(X) — Int/Div — Buy

IRA R/O Hamlin- Cinemark Holdings Inet X) — Int/Div — Buy (add'l)

IRA R/O Hamlin. Cinn Financial Corp X) — Int/Div — Buy

IRA R/O Hamlin-Conagra(X) — Int/Div — Buy

IRA R/O Hamlin Conocophillips( X) — Int/Div — Buy

IRA R/O Hamlin-Douglas Dynamics Inc X) — Int/Div — Buy

IRA R/O Hamlin-Douglas Dynamics Inc(X) — None — Sold

IRA R/O Hamlin E Du Pont De Nemours & CoX) — Int/Div — Buy

IRA R/O Hamlin-Enbridge Energy Partmerst X) — Int/Div — Buy

IRA R/O Hamlin- Enbridge Energy Partners (xX) — Int/Div — Buy (add'l)

IRA R/O Hamlin- Enduro Rovalty Trust (X) — Int/Div — Buy

IRA R/O Hamlin-Enerplus Res FD TR(X) — Int/Div — Buy

IRA R/O Hamlin-Enerplus Res FD TR(X) — None — Sold

IRA R/O Hamlin-Federated Investors Incl X) — Int/Div — Buy

IRA R/O Hamlin- Federated Investors Ine(X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-FNB Corp Com{X) — Int/Div — Buy

IRA R/O Hamlin- FNB Corp Com({X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Freeport Memoran Copper & Gold(X) — None — Buy

IRA R/O Hamlin- Freeport Memorman Copper & Gold (X) — None — Buy (add'l)

IRA R/O Hamlin-Gallagher Arthur J & Co(X) — Int/Div — Buy

IRA R/O Hamlin- Gallagher Arthur J & ColX) — Int/Div — Buy (add'l)

IRA R/O Hamlin- Gallagher Arthur J & Col X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Genuine Parts Co(X) — Int/Div — Buy

IRA R/O Hamlin-Hemz H J Co X) — Int/Div — Buy

IRA R/O Hamlin Heinz H J Co(X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Hospitality Prop Trust(X) — Int/Div — Buy

IRA R/O Hamlin. INTEL Corp(X) — Int/Div — Buy

IRA R/O Hamlin-Kimberly Clark(X) — Int/Div — Buy

IRA R/O Hamlin- Kimberely Clark (X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Kimberly Clark(X) — None — Sold (part)

IRA R/O Hamlin-Legget & Platt Inc(X) — Int/Div — Buy

IRA R/O Hamlin- Leggett & PLatt Inc (X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Lockheed Martin Corpd X) — Int/Div — Buy

IRA R/O Hamlin- Lockheed Martin Corp(X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Merck &Co(X) — Int/Div — Buy

IRA R/O Hamlin-Meredith Corp(X) — Int/Div — Buy

IRA R/O Hamlin-Meredith Corpl( X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-National Cinmedia{ X) — Int/Div — Buy

IRA R/O Hamlin- National Cinemedial X) — Int/Div — Buy (add'l)

IRA R/O Hamlin- National Cinemedial X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Nucor Corp X) — Int/Div — Buy

IRA R/O Hamlin- Nucor Corp(X) — Int/Div — Buy (add'l)

IRA R/O Hamlin- Nucor Corp(X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Penn VA RES Partners(X) — None — Buy

IRA R/O Hamlin- RR Donnelley Sons(X) — Int/Div — Buy

IRA R/O Hamlin-RR Donnelley Sons{X) — None — Sold

IRA R/O Hamlin-Rayonier INC REIT(X) — Int/Div — Buy

IRA R/O Hamlin RPM INTL Inc( X) — Int/Div — Buy

IRA R/O Hamlin- RPM INTL Inc(X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Sunoco Logistics Partners X) — Int/Div — Buy

IRA R/O Hamlin-Sunoco Logistics Partmers{ X) — None — Sold

IRA R/O Hamlin-Sunoco Products Col X) — Int/Div — Buy

IRA R/O Hamlin-Sysco( X) — Int/Div — Buy

IRA R/O Hamlin- Sysco(X) — None — Buy (add'l)

IRA R/O Hamlin-Sysco(X) — None — Sold (part)

IRA R/O Hamlin-Sysco(X) — None — Sold

IRA R/O Hamlin- Telefonicas Sponsored ADRIX) — None — Buy

IRA R/O Hamlin- Telefonicas Sponsored ADRIX) — None — Sold (part)

IRA R/O Hamlin-Telefonicas Sponsored ADR(X) — None — Sold

IRA R/O Hamlin- Unilever PLC(X) — Int/Div — Buy

IRA R/O Hamlin-Unilever PLC(X) — Int/Div — Buy (add'l)

IRA R/O Hamlin-Valley National Bancorp X) — Int/Div — Buy

IRA R/O Hamlin- Valley National Bancorp X) — Int/Div — Buy (add'l)

IRA R/O Schwab 2- BBH FD Inc( X) — Int/Div — Buy

IRA R/O Schwab 2-Blackrock Global Allocation X) — Int/Div — Sold

IRA R/O Schwab 2-Driehaus Mutual FDS(X) — Int/Div — Sold (part)

IRA R/O Schwab 2-Fairholme Fund — None — Sold (part)

IRA RO Schwab 2-Fairholme Fund — None — Sold (part)

IRA R/O Schwab 2-Fairholme Fund — None — Sold

IRA R/O Schwab 2-Fidelity Floating Rate High Income — Int/Div — Sold (part)

IRA R/O Schwab 2-Greenhaven cont INX FIXX) — None — Buy

IRA R/O Schwab 2-Greenhaven cont INX FIXX) — None — Sold (part)

IRA RIO Schwab 2-Greenspring FD Inc(X) — Int/Div — Sold (part)

IRA R/O Schwab 2-Harding Loevner Emerging Mkt Fund — None — Sold (part)

IRA R/O Schwab 2-Harding Loevner Emerging Mkt Fund — None — Sold

IRA R/O Schwab 2-ISHARES Barclays Tips Bond FD — Int/Div — Sold

IRA R/O Schwab 2-ISHARES TR Lehman AGG Bad(X) — Int/Div — Buy

IRA RIO Schwab 2-Ivy FDS Ine(X) — None — Buy

IRA R/O Schwab 2<lvy FDS Inc(X) — None — put)

IRA R/O Schwab 2-Ivy FDS Inc(X) — None — Sold

IRA R/O Schwab 2- Manning & Napier Equity Series Fund — None — Sold (part)

IRA R/O Schwab 2-Manning & Napier Equity Series Fund — None — Sold

IRA R/O Schwab 2- Matthews Asian Funds — Int/Div — Sold (part)

IRA R/O Schwab 2- Matthews Asian Funds — None — Sold

IRA R/O Schwab 2-Nuveen INT TR(X) — None — Sold

IRA R/O Schwab 2-Parnassus FD — None — Sold (part)

IRA R/O Schwab 2-Parmassus FD — None — Sold

IRA R/O Schwab 2-Perkins Mid Cap Value — None — Buy

IRA R/O Schwab 2-Perkins Mid Cap Value — None — Sold (part)

IRA R/O Schwab 2-Perkins Mid Cap Value — None — Sold

IRA R/O Schwab 2-PIMCO ALL ASSET) AUTHORITY Fund — Int/Div — Buy (add'l)

IRA R/O Schwab 2-PIMCO ALL ASSET) AUTHORITY 1 — None — Sold (part)

IRA R/O Schwab 2- Polen Growth X) — Int/Div — Buy (add'l)

IRA R/O Schwab 2-Pumam Voyager FD(X) — None — Sold

IRA R/O Schwab 2-Ridgeworth Seix Floating Rate — Int/Div — Sold

IRA R/O Schwab 2-Rovee Low Priced — None — Sold

IRA R/O Schwab 2-Schwab Cap TR S&P S00 lnvs Select X) — Int/Div — Buy (add'l)

IRA R/O Schwab 2-Schwab Cap TR S&P S00 Invs Select( X) — None — Sold (part)

IRA R/O Schwab 2- Steelpath MLP — Int/Div

IRA R/O Schwab 2- T Rowe Price Capital Apprecition — None — Sold (part)

IRA R/O Schwab 2- T Rowe Price Capital Apprecition — None — Sold

IRA R/O Schwab 2-Templeton Income — Int/Div — Sold (part)

IRA R/O Schwab 2-Thomburg INVT(X) — Int/Div — Buy (add'l)

IRA R/O Schwab 2-Thomburg INVT(X) — None — Sold (part)

IRA R/O Schwab 2-Thomburg INVT(X) — None — Sold

IRA R/O Schwab 2-Vanguard Total INTLIX) — Int/Div — Buy (add'l)

IRA R/O Schwab 2-Vanguard Total INTLIX) — Int/Div — Buy (add'l)

IRA R/O Schwab 2-Wasatch 1st Source Long/Short Fund — Int/Div — Sold (part)

IRA R/O Schwab 2-Wasatch 1st Source Long/Short Fund — None — Sold

IRA R/O Schwab 2-Westcore Select Fund X) — Int/Div — Sold (part)

IRA R/O Schwab 2-Westcore Select Fund(X) — None — Sold

SRZ Retirement Savings- Oukmark Equity — Int/Div — Sold

mE Standish Schwab-Citizens PPTY Ins Corp(X) — Interest — Buy

mmm Standish Schwab-Detriot Mich City Sch Dist(X) — Interest — Buy

EEE Standish Schwab-E 470 Pub HWY AuthiX) — Interest — Buy

IEE Standish Schwab-Houston Tex Hotel Occupancy X) — None — Buy

mE Standish Schwab-Louisiana HSG FIN AGY MTGEX) — Interest — Sold

EEN Standish Schwab-Metropolitan Transn Auth(X) — Interest — Buy

EEE Standish Schwab-Michigan St BLDG Auth(X) — Interest — Buy

MEA Standish Schwab-Michiagn St HSG Auth Rental X) — Interest — Sold

EEE Standish Schwab-New York NY City Indl(X) — Interest — Buy

mum Standish Schwab- New York NY City Mun WTR(X) — Interest — Sold

EEE Standish Schwab-New York NY City TR Cultural(X) — None — Buy

IEEE Standish Schwab-New York St Dorm Auth Revs 4. 92:4X) — Interest — Sold

EEE Standish Schwab-New York St Dorm Auth RevsS%i X) — Interest — Buy

EEE Standish Schwab-New York St Dorm Auth Revs §.2%(X) — Interest — Sold

HEE Standish Schwab-New York Dorm Auth Revs Non 4.75% X) — Interest — Sold

MEER Standish Schwab-New York St Energy Resh&Dev(X) — Interest — Sold

IEEE Standish Schwab-New York St MTG AGY ReviX) — Interest — Sold

EER Standish Schwab- North Dakota St HSGIX) — Interest — Sold

EEE Standish Schwab-Palm Beach Cnty FLA Health X)» — Interest — Buy

WEEE Standish Schwab- Port Auth NY & NIX) — Interest — Sold

EEE Standish Schwab-Teton CNTY Hosp(X) — Interest — Buy

EEA Standish Schwab- University ILL xX) — Interest — Buy

EE Standish Schwab-Washington St HSG Finl X) — Interest — Sold

HEE Schwab-Baron Asset(X) — Int/Div — Buy

IEE Schwab- Calamos Inv tr New MKT Neutral X) — None — Sold

EER Schwab-Janus Balanced Fund(X) — Int/Div — Sold

mm Schwab-Ouakmark Equity & Income FIX) — Int/Div — Sold

EER Schwab-First Eagle Global Fund(X) — None — Sold

EEE Schwab-Lousiana FIN AGY MTG xX) — Interest — Sold

EEE Schwab- Mich ST HSG(X) — Interest — Sold

mE Schwab-New York NY City MUN WTR FIN(X) — Interest — Sold

EEE Schwab- New York ST Dorm Auth 4.9%(X) — Interest — Sold

EEE Schwab- New York ST Dorm Auth £90(X) — Interest — Sold (part)

IEEE Schwab- New York ST Dorm Auth $2%IX) — Interest — Sold

MEER Schwab- New York ST Dorm Auth 4.75%(X) — Interest — Sold

EE Schwab- New York Energy 5.3%(X) — Interest — Sold

EEE Schwab- New York St MTG AGY 4.8%(X) — Interest — Sold

EEE Schwab- North Dakota ST HSG(X) — Interest — Sold

HE Schwab-Port Auth NY&NJX) — Interest — Sold

EE Schwab-Washington ST HSG FINIX) — Interest — Sold

IEEE Corby Schwab- Alps ETF TR Alerian MLP(X) — Int/Div — Buy

IEE Corby Schwab- Annaly Capital Mgmt Ine(X) — Int/Div — Buy

I Corby Schwab- Annaly Capital Mgmt Ine(X) — None — Sold

SEEN Corby Schwub-Astellas Pharma Inet X) — Int/Div — Buy

IEE Corby Schwab-Baytex Energy Trust X) — Int/Div — Buy

EEE Corby Schwab-Canadian Oil Sands(X) — Int/Div — Buy

EEE Corby Schwab-Capstone Infrastructure Compt X) — Int/Div — Buy

I Corby Schwab-Cellcom Israel LTIXX) — Int/Div — Buy

JER Corby Schwab-Cellcom Israel LTIXX) — None — Sold

EE Corby Schwab-Doublelme Total return Bondi X) — Int/Div — Buy

IEEE Corby Schwab-Duet Group Stapled Secure! X) — None — Buy

IEEE Corby Schwab-DWS Portfolio TR FLT RT Plus S(X) — Int/Div — Buy

mE Corby Schwab-DWS Portfolio TR FLT RT Plus S(X) — None — Sold

JER Corby Schwab-Eaton Vance Floating Rute(X) — None — Buy

IEEE Corby Schwab-Eaton Vance Floating Rute{X) — None — Sold

EEE Corby Schwab-Enerplus RES FD TRIX) — Int/Div — Buy

EEE Corby Schwab-Enerplus RES FD TRIX) — None — Sold

EER Corby Schwab-Enerverst Diversified Income{ X) — Int/Div — Buy

IEEE Corby Schwab-Enerverst Diversified Income X) — None — Sold (part)

mm Corby Schwab-First Eagle FDS Inc Gold(X) — Int/Div — Buy

EER Corby Schwab-First Trust Aberdeen GLBLIX) — Int/Div — Buy

IEEE Corby Schwab-Gamco Global Gold Natruatl Resource(X) — Int/Div — Buy

IER Corby Schwab-H&Q Healthcare Investors X) — Int/Div — Buy

IEEE Corby Schwab-Hugoton Royalty Trust Units(X) — Int/Div — Buy

IEEE Corby Schwab-lsrael Chemicals LTD SHS(X)} — Int/Div — Buy

EEE Corby Schwab-Marine Harvest(X) — None — Buy

IEE Corby Schwab-Marine Harvest(X) — None — Sold

EEE Corby Schwab-Morgan Stanley Emerg MKTS(X) — Int/Div — Buy

EEE Corby Schwab-Pargesea HLDG (X) — None — Buy

mmm Corby Schwab-Pargesa HLDG(X) — None — Sold

JE Corby Schwab-Pembina Pipeline Corp(X) — Int/Div — Buy

IER Corby Schwab-Peyto Exploration& Development X) — Int/Div — Buy

IEE Corby Schwab-Rayonier Inc(X) — Int/Div — Buy

IER Corby Schwab-Rayonier nc(X) — None — Sold (part)

IEEE Corby Schwab-Redwood Trust(X) — Int/Div — Buy

IEE Corby Schwab-Redwood Trust(X) — None — Sold (part)

HE Corby Schwab-Redwood Trust(X) — None — Sold

IER Corby Schwab-San Juan Royalty Trust X) — Int/Div — Buy

IEEE Corby Schwab-Southern Copper Corp(X) — Int/Div — Buy

EEE Corby Schwab-Sydney Airport(X) — Int/Div — Buy

Em RA Contributoy Schwab- American Beacon LC Value(X) — None — Sold

IER 'RA Contributry Schwab- American Century Value Invi X) — None — Sold

EEE RA Contributry Schwab- American Century MUT FDS (X) — None — Sold

IEEE RA Contributory Schwab. Columbia Acorn USA(X) — None — Sold

EEE RA Contributory Schwab- Davis New York Venture( X) — None — Sold

IEE 'RA Contributry Schwab- Driehaus Mut Funds Active (X) — Int/Div — Buy

EER IRA Contributory Schwab- Eaton Vance Large Cap(X) — None — Sold

mE RA Contributry Schwab- Excelsior Large Cap Growth(X) — None — Sold

JER 'RA Contributory Schwab- First Amern Imvt FDS (X) — None — Sold

IEEE RA Contributory Schwab- FMI FDS Ine Large Cap(X) — None — Buy

EER IRA Contributory Schwab- FMI FDS Inc Large Cap(X) — None — Sold

IEEE RA Contributory Schwab- Harbor FD INTL(X) — None — Sold

IER RA Contributory Schwab. Henderson Global FDS INTLIX) — None — Sold

IEE RA Contributory Schwab- IShares TR Lehman AGG Bad(X) — Int/Div — Buy

IEEE RA Contributory Schwab- John Hancock FDSIX) — None — Sold

EEE RA Contributory Schwab- Julius Baer INTLIX) — None — Sold

IEEE RA Contributry Schwab- Loomis Sayles Small Cap FIX X) — None — Sold

mE RA Contribry Schwab- Maming & Napier World Opp. (X) — None — Sold

IR RA Contributory Schwab. Matthews Asia Dividend FIXX) — Int/Div — Buy

JER 'RA Contributory Schwab- Northern FDS SM Cap Value(X) — None — Sold

IEEE RA Contributory Schwab- Oakmirk INTL Small Capi X) — None — Sold

NEE RA Contributory Schwab- RS Emerging Markets Fund(X) — None — Sold

EE RA Contrbry Schwab- Schwab Cap TR S&P S00 lnvs Sel X — Int/Div — Buy

IE 'RA Contribry Schwab- T Rowe Price Cap Appr X) — None — Sold

IEEE RA Contribry Schwab- Thomburg Inves Inc BuildtX) — Int/Div — Sold

JER 'RA Contributory Schwab. Thomburg Invt TR Value FD(X) — Int/Div — Sold

IE IRA Contribry Schwab- Wasatch 1st Source Long/Shory(X — Int/Div — Buy

IEE IRA Contribry Schwab- Wasatch Ist Source Long/Shory(X — None — Sold

WEEE IRA Contributory Schwab. Westcore Select Fund(X) — None — Buy

MEER RA Contributory Schwab Westcore Select Fund(X) — None — Sold

IEEE IRA Contributory Schwab2- Fidelity Fiftv(X) — Int/Div — Sold (part)

EER 'RA Contribtry Schwab2- [Shares TR Lehman AGG BNDIX) — Int/Div — Buy

Reimbursement — Tk pyr — Bank Insolvency Task Force — I pr RY) aa ar. Ta Te

Reimbursement — Columbia und National Judicial Institute of Canada — of Insolvency Law Conference — TT Tr I TE i ea i.

Reimbursement — University of Texas Luw School

Reimbursement — World Bank Judicial Colloquium

Reimbursement — American Bankruptcy Institute — 331011 -4/1/11 — Washington. D.C — Speaker at Annual Spring Meeting — transportation, lodging and food

Reimbursement — Association of Commercial Finance Attormeys — S031 851051) — Montreal, Quebec, Canada — Speaker at contimuing legal education program — transportation, lodgmg and food

Reimbursement — Institute und Georgetown: Law School — Beuch™ Conference

Reimbursement — INSOL Europe — 922/11 - 9/25/11 — Venice, Italy — Speaker at INSOL Europe Congress — transportation, lodging and food

Reimbursement — Nanonal Conference of Bankruptcy Judges — 1/0110 = 1v1571) — Tampa, Florida — Speaker at NCBI annual conference — transportation, lodging and food

Reimbursement — Institute — American Cross-Border Insolvency Symposium — RR A ARERR vr TT Ne

Spouse's income — 2011 — Earle K. & Katherine F. Moore Foundation - Trustee Fee

Spouse's income — 2011 — Metropolitan Life Insurance Company - Pension Benefits

This year's report provides information regarding a number of new investments listed in Part VII. These disclosures reflect (1) sales and purchases recommended

by an independent financial advisor and two newly engaged asset managers, (ii) the investment of certain proceeds realized from the sale in 2011 of residential

real estate and (iii) the inclusion of additional financial assets held by JN os a consequence of JN that occurred during calendar year 2011 . Please

also note for purposes of Part VII that investments in the Schulte Roth & Zabel LLP Group Trust (line 4) are managed by an advisory committee. In 2011, the

SRZ Group Trust invested in thirty-three separate and independently managed hedge funds selected in the sole discretion of this committee. These thirty-three

funds are managed by twenty-seven mdividual fund managers. With the exception of individuals who serve on the advisory committee, current and former

partners of the firm do not know the identity of any of these hedge funds and have no control over the selection of an individual fund or the decision to transfer

investments from one fund to another. The fund selections are changed from time to time based on performance. | have no knowledge regarding the names of any

of these hedge funds, and so this information is not set forth in the report. A similar explanation regarding the SRZ Group Trust appeared in my initial disclosure

report and in reports for the years ended 12/31/06, 12/31/07, 12/31/08, 12/31/09 and 12/31/10.

The following statements are responsive to requests for clarification made m a letter from the Committee on Financial Disclosure dated September 11, 2012: The

reference to "Chase Money Market Acct{JJJl]" on page 5, line 3 has been amended to include a parenthetical "(X)" to show that this asset was added to this

year's report as a result of

mentioned above. The reference on page 19, line 252, to "SRZ Retirement Savings - Oakmark Equity” did appear in the

disclosure report for 2010 (the “2010 Report") with slightly different wording, and the reference relates buck to page 5, line 5 of that report. Part VIL, page 6,

line 19 of the 2010 Report references “Citifunds NY State Tax Free Fund." but that item is no longer an asset as a result [HH - As a result of reviewing the

listing at page 6, line 28 of the 2010 Report that refers to "Hancock Policy « Tremont Oppty Fund 111" | have found that the Tremont Oppty Fund 111 ("Tremont

Fund") was not an investment under the Hancock Policy but was held under the NY Life Policy identified at line page 6, line 29. As indicated on page 5, line 2

of the 2010 Report, the New York Life Poly wus surrendered on February 17, 2010. Consequently, Tremont Fund is not a reportable asset and wis not included

as an investment for calendar year 2011. However, Tremont Fund does have pending claims in the liquidation of Bernard L. Madoff Investment Securities LLC

("Madoff"). These claims relate to a reduction in the net asset value of Tremont Fund due to its investments with Madoff, and future distributions attributable to

this former investment are possible. The 2010 Report also listed "2d Brokerage Acct - JPMorgan Market Neutral Fund" on page 7, line 46. | have determined that

another transaction occurred during the reporting period of the 2010 Report that should have been listed in that earlier report; JPMorgan Market Neutral Fund was

sold on 07/14/1 und so is not a reportable item for this year,