# Steven M. Gold

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/12607

## Record

- **Judge:** Steven M. Gold
- **Year:** 2014
- **Report type:** Annual
- **Pages:** 14

## Text

CHASE CHECKING M6 (1) — Interest
CHASE PLUS SAVING 767 ()) — Interest
CHASE DYNAMIC YIELD STRAT. (())
JPM Strat Inc Opp Fund (1) — Int/Div — Sold
JPM Trl MLT SC Inc Fund JPM Unconstrained Debt Fund — Int/Div — Buy (add'l)
JPM Trl MLT SC Inc Fund JPM Unconstrained Debt Fund — Buy (add'l)
JPM Trl MLT SC Inc Fund JPM Unconstrained Debt Fund — Sold (part)
Harbor High Yield Bond — Int/Div — Sold (part)
Harbor Convertible Sec (1) — Int/Div
Clearbridge Equity — Int/Div — Buy (add'l)
Clearbridge Equity — Buy (add'l)
SIT Dividend Growth — Int/Div
Tortoise MLP and Pipeling — Int/Div — Sold
Ridgeworth SEIX Floating — Int./y
Gateway Fund — Ine — Sold
Nuveen Global Infrastructure — Int/Div — Sold
Matthews Asia Dividend — Int/Div — Sold (part)
Eaton Vance Floating Rate — Int/Div
Blackrock High Yield Bond — Int/Div
Cohen & Steers Pref’s Sec & Inc — Int/Div — Buy (add'l)
HSBC Funds Total Return — Int/Div — Buy (add'l)
Doubleline Total Return (1) — Int/Div — Buy (add'l)
TRP Inst Floating Rate — Int/Div — Sold (part)
TRP Inst Floating Rate — Sold (part)
JPM Intrepid Eur Fund — Int/Div
Metropolitan West Funds — Int/Div
Avenue Mutual Funds — Int/Div — Buy (add'l)
Columbia FD Ser TRT — Int/Div — Buy (add'l)
Columbia FD Ser TRT — Buy (add'l)
Lord Abbett Invt Tr — Int/Div — Buy
Lord Abbett Invt Tr — Buy (add'l)
Lord Abbett Invt Tr — Buy (add'l)
CHASE TAP ABSOLUTE RET
JPM Str Ine Opp Fund — Int/Div — Sold (part)
JPM Str Ine Opp Fund — Sold (part)
JPM Tr I MLT SC Inc Fund/ JPM Unconstrained Debt Fund — Int/Div — Buy (add'l)
JPM Tr I MLT SC Inc Fund/ JPM Unconstrained Debt Fund — Sold (part)
PimcoUnconstrained Bond — Int/Div — Sold
Prudential Invt Portfolio 9 (1) — Int/Div — Buy (add'l)
RBC Funds Tr Blubay — hy
CHASE MANAGED ACCT (IRA (S)
Eaton Vance Floating Rate — Int/Div — Buy (add'l)
Eaton Vance Floating Rate — Sold (part)
Goldman Sachs Tr Strg — Int/Div — Buy (add'l)
Doubleline Total Return (1 — Int/Div — Sold (part)
Doubleline Total Return (1 — Buy (add'l)
Doubleline Total Return (1 — Buy (add'l)
HSBC Funds Total Return — Int/Div — Buy (add'l)
HSBC Funds Total Return — Buy (add'l)
HSBC Funds Total Return — Buy (add'l)
JPM Gbb Bd Opp FD — Int./hv — Buy
Columbia FD SER TR — Int/Div — Buy
VANGUARD HEALTHCARE FUND IRA — Int/Div
CHASE MANAGED ACCOUNT (IRA)
JP Morgan Core Bond Fund (IRA) — Int/Div — Buy
SPDR S&P S00 ETF Trust (IRA) — Int/Div — Buy
SPDR S&P S00 ETF Trust (IRA) — Buy (add'l)
SPDR S&P S00 ETF Trust (IRA) — Buy (add'l)
SPDR S&P S00 ETF Trust (IRA) — Buy (add'l)
JPMorgan TR EX-G4(IRA) — Int/Div — Sold
JPM Intrepid Value (IRA) — Int — Sold
JPM China Region (IRA) — Int/Div — Sold
JPM Strat Inc Opp (IRA) — Int/Div — Buy (add'l)
JPM Short Duration Bond (IRA) — Int/Div — Sold (part)
JPM Short Duration Bond (IRA) — Buy (add'l)
JPM TR I MLT SC Inc / JPM Unconstrained Debt (IRA) — hy — Buy (add'l)
JPM TR I MLT SC Inc / JPM Unconstrained Debt (IRA) — Sold
JPM TR Infl Mngd Bd (IRA) — Int/Div — Buy (add'l)
JPM Tax Aware Equity (IRA) — Int/Div
AIM Invt FDS Bal Risk (IRA) — Int — Sold
Aberdeen Asia Pacific — Int/Div — Sold (part)
Aberdeen Asia Pacific — Buy (add'l)
Pimco FDS Unconstr Bd (IRA) — Int/Div — Buy (add'l)
Pimco Commodities Plus Strat (IRA) — Int/Div — Sold (part)
Neub Berman Multi Cap Opp (IRA) — Int/Div — Sold (part)
Primecap Odyssey Find (IRA) — Int/Div
Principal Invs Fd Midcap (IRA) — Int/Div
Doubleline FDS TR — Int/Div — Buy (add'l)
Gateway Fund — Int/Div
T Rowe Price Overseas Stock (IRA) — Int/Div — Buy (add'l)
T Rowe Price Overseas Stock (IRA) — Sold (part)
Blackrock High Yield Bond (IRA) — Int/Div
Columbia FDS Series TR 11 Mass Asia (IRA) — Int/Div
Arbitrage Funds (IRA) — Int/Div
Ishares MSC Emerging Mkis (IRA) — Int/Div
Ishares MSC EAFE Index Fd (IRA) — Int/Div — Buy (add'l)
Ishares Core S&P Midcap (IRA) — Int/Div — Sold
SDR S&P SOO ETF Trust (IRA) — Int/Div
MFS Int Value (IRA) — Int/Div
Equinox FDS Tr (IRA) — Int/Div — Buy (add'l)
Dodge & Cox Int’ Stock (IRA) — Int/Div — Buy
Dodge & Cox Int’ Stock (IRA) — Buy (add'l)
Brown Adv Japan Alpha (IRA) — Int/Div — Buy
Inv Balanced Risk Alloc-Y (IRA) — Int/Div — Buy
Inv Balanced Risk Alloc-Y (IRA) — Sold
Fundvantage Tr Abs Rr Instl/Gotham Absolute Retn (IRA) — Int/Div — Buy
Fundvantage Tr Abs Rr Instl/Gotham Absolute Retn (IRA) — Buy (add'l)
Oppenheimer Developing Mkt (IRA) — Int/Div — Sold
Ridgewirth SEIX Floating (IRA) — Int/Div — Sold
Eaton Vance Global Macro (IRA) — Int/Div — Sold
Vanguard FTSE Eur (IRA) — Int/Div — Sold
Capital Priv Client (IRA) — Int/Div — Sold
JP Morgan Liquid Assets MMKt (IRA) (S) — Int/Div
T Rowe Price New Income (IRA) (S) — Int/Div
Goldman Sachs Small Cap Value (IRA) (S) — Int/Div
Thomburg Intl Value (IRA) (S) — Int/Div — Sold (part)
Thomburg Intl Value (IRA) (S) — Sold
Pimco Total Return (IRA) (S) — Int./y — Buy (add'l)
Pimco Total Return (IRA) (S) — Sold
Oppenheimer Developing Markets (IRA) (S) — Int/Div
Aston/Fairpomte Mid Cap (IRA) (S) — Int/Div — Buy (add'l)
Wells Fargo Advantage Growth (IRA) (S) — Int/Div
SDPR S&P S00 ETF Trust (IRA) (S) — Inv
Oakmark Fund (IRA) (S) — Int/Div
JP Morgan High Yield Bond (IRA) (S) — Int/Div
JP Morgan Core Bond (IRA) (S) — Int/Div
JP Morgan Small Cap Equity (IRA) (S) — Int/Div
JP Morgan US Equity Fund (IRA) (S) — Int/Div
JP Morgan Emerging Markets Equity (IRA) S) — hy — Sold
JP Morgan Mid Cap Equity (IRA) (S) — hy
JP Morgan Intl Value (IRA) (S) — Int/Div
Blackrock High Yid Bond (IRAXS) — Int/Div
Cohen and Steers Realty Income (IRA) (S) — Int/Div — Sold (part)
Cohen and Steers Realty Income (IRA) (S) — Sold
Federated Instit'l High Yield Bond (IRANS) — Int/Div
Goldman Sachs Emerging Mkkts (IRA NS) — Int/Div — Sold
Vanguard Sector Index Fd (IRANS) — Int/Div — Sold
Causeway Cap Mngmnt (S)(IRA) — Int/Div
Deleware Gp Emerg. Mkts (SHIRA) — Int/Div
Harbor Intl Fund (IRAXS) — Int
JP Morgan Short Dur'n Bond (IRA)(S) — Int/Div
JPMorgan Value Adv (IRAKS) — Int/Div
Mass. Invstrs Trust (IRAKS) — Int/Div
Sterling Cap FDS Capital (IRA XS) — Int
Pinco Short Term Fund (IRAXS) — Int/Div
IShares MSCI EAFE — Int/Div — Buy (add'l)
IShares MSCI EAFE — Buy (add'l)
IShares MSCI EAFE — Buy (add'l)
Dodge & Cox Int'l Stock Fund (IRANS) — Int/Div — Buy
Dodge & Cox Int'l Stock Fund (IRANS) — Buy (add'l)
Blackrock Int'l Index Fd (ARAXS) — Int/Div — Buy
TROWE PRICE RTMNT. PLAN (S)
T Rowe Price Personal Strategy Fund 4031S) — Int/Div
T Rowe Price Health Sciences Fund 403(b) Ss) — Int/Div
T Rowe Price Prime Reserve Fund 403(b) (Sy — Int/Div
REFORM PENSION BOARD 403(b) (S)
Ref. Pens Bd. Apprecn &Inc. Fund 403(b) (S) — Int/Div — Buy (add'l)
Ref. Pens Bd. Apprecn &Inc. Fund 403(b) (S) — Buy (add'l)
Ref. Pens Bd. Apprecn &Inc. Fund 403(b) (S) — Buy (add'l)
P/ame Adjunct Prof. of Law, Brooklyn Law School
Board Member
Income — 2014 — Salary/Ad Prof of Law/Brooklyn Law School — S20.000.00
Income — 2014 — Lecturer, Brooklyn Law School — S1.O00.00
1) Lines 3, 33, 53,97, 137 and 141 are headers. While | understand that notations such as (S) and (J) are not required, | find them useful to keep track of the

various listed accounts.

2) The name of the asset reported as JPM TR | MLT SC Inc. in 2013 was changed to JPM Unconstrained Debt Fund in November 2014. Thus, this asset, held in

the Chase Dynmic Yield Strategy, Chase Tup Absolute Ret, and Chase Managed Account (TRA) is listed in this report under both names, or as JPM Tr I MLT SC

Inc Fund/ JPM Unconstrained Debt Fund in cach of these accounts.

3) The name of the asset reported as Fundvantage Tr Abs Rir Inst] in the Chase Managed Account (IRA) was changed to Gotham Absolute Retn in August 2014.

Thus, this asset is listed in this report under both names, or as Fundvantage Tr Abs Rir Instl/Gotham Absolute Retn.

7) In my 2013 report, | listed a partial sale on October 24, 2013 of SPDR Gold Trust (IRA) in the Chase Managed Account (IRA). The holding is not listed,

however, in my January 2014 statement. 1 may have inadvertently listed the sale as partial when it was in fact complete. The asset is therefore not listed in this

2014 report.

6) The sale of AIM Invt FDS Bal Risk (IRA) in the Chase Managed Account (IRA) is listed as having been made on January | because the asset was listed on my

2013 report but is not among the account's listed holdings in my January 2014 statement. 1 infer that the asset was sold during 2013 but that | did not note it in that

report. It may be that the asset was sold in increments of less than $1,000.

9) The asset Blackrock US Opportunity (TRANS) is not reported as an asset held by the Chase Managed Account (TRAYS) although it was reported as held and

not sold in 2013 because it does not appear as an asset held in the account in my January 2014 statement and 1 have not been able to track down the reason for this

apparent discrepancy. It may be that the asset was sold in increments of less than $1,000.

10) As a point of information, | have listed all purchases and sales in the Chase Managed Account (IRA) regardless of amount, but only those equal to or more than

$1,000 in the Chase Managed Account ((IRANS).

11) 1 AM FILING AN AMENDED REPORT IN RESPONSE TO THE LETTER OF THE COMMITTEE DATED JULY 28, 2015. PART VII, LINES 54 AND

84 HAVE BEEN AMENDED TO INCLUDE VALUE AND CALUE METHOD CODES. 1 HAVE INSERTED NEW LINES 97-101 TO REPORT SALES OF

ASSETS LISTED IN MY 2013 REPORT BUT NOT IN MY 2014 REPORT.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/12607. Public record. Not legal advice.