# Nicholas Garaufis

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/13229

## Record

- **Judge:** Nicholas Garaufis
- **Year:** 2015
- **Report type:** Annual
- **Pages:** 9

## Text

RCA CAPITAL GROUP LLC BANK DEPOSIT SWEEP PROGRAM — Interest
DAVIS NEW YORK VENTURE CLASS A — Int/Div
NEUBERGER BERMAN FOCUS FUND — Int/Div — Sold (part)
NEUBERGER BERMAN FOCUS FUND — Sold (part)
BLACKROCK FLEXIBLE EQUITY FD CLA — Int/Div
INVESTCO VAN KAMPEN AMERICAN FRANCHISE CL A — Int/Div — Sold (part)
INVESTCO GLOBAL GROWTHFD CL A — Int/Div
AMERICAN BALANCED SHARES CLF! — Int/Div
ISHARES TR. RUSSELL 1000 VALUE ETF — Int/Div
AB GLOBAL REAL ESTATE INVESTMENT CL A — Int/Div
OPPENHEIMER MID CAP VALUE FUND — Int/Div — Sold (part)
ABGROWIH & INCOME FUNDCL A — Int/Div
CITY OF NEW YORK DEFERRED COMPENSATION PLAN — Int/Div
ABC PENSION PLAN — None
INVESTCO GLOBAL LOW VOLATILITY — Int/Div
ISHARES RUSSELLMIDCAP ETF ISIN — Int/Div
ISHARES MSCI EAFE ETF — Int/Div
ISHARES RUSSELL GROWTH 2000 ETF — Int/Div — Buy (add'l)
ISHARES RUSSELL GROWTH 2000 ETF — Buy (add'l)
ISHARES RUSSELL GROWTH 2000 ETF — Buy (add'l)
ISHARES MSC EMERGING MKT — Int/Div
FRANKLIN MUTUAL SHARES FD — Int/Div
SPDR S&PSOOETFTR — Int/Div
PIMCO TOTAL RETURN CLC — Int/Div
OPPENHEIMER GLOBAL FUND — Int/Div
INVESTCO EQUITY & INCOME — Int/Div
AMERICAN FUNDS: AMERICAN BALANCED CLASS C — Int/Div — Sold (part)
ABLGCAPGROWTH A — Int/Div
AMERICAN FUNDS: AMERICAN CAPITAL INCOME BUILDER CLASS ( — Int/Div
AMERICAN GROWTH FD OF AMERICA C — Int/Div
AMERICAN FUNDS: AMERICAN HIGH INCOME CLASS FUND — Int/Div
INVESTCO DEVELOPING MKTCL A — Int/Div
PIMCO COMM REAL RETURN — Int/Div
ROYCE TOTAL RET. INV — Int/Div — Sold
SHARES S&P SMCAP 600 — Int/Div
COLUMBIA SM CAP VAL II CIA — Int/Div
EAGLESMCAPFD A — Int/Div — Sold (part)
ISHARES RUSSELL 2000 ETF — Int/Div
PIMCO UNCONSTRAINED — Int/Div
ARTISAN INTL INVESTOR — Int/Div
FORWARD SELECT INC INST — Int/Div
ISHARES TR COHEN & STEERS REIT FTF — Int/Div — Buy (add'l)
PIMCOHIGH YIELD A — Int/Div
FORWARD TACTICAL GROWTH FD CL C — Int/Div — Sold
BLACKROCK GLOBAL ALLOCATION FDCLC — Int/Div
ARTISAN MID-CAP VALLE — Int/Div
MAINSTAY ICAP SELECT — Int/Div
DEUTSCHE SMALL CAP VALUE — Int/Div
GOLDMAN SACHS SATELLITE STRAT PORTFOLIO — Int/Div
BLACKROCK EQUITY DIVIDEND — Int/Div — Buy (add'l)
FIDELITY ADVISORS FLOATING RATE HIGH INC FD — Int/Div
ISHARES S&P S00 GROWTH — Int/Div
ISHARES S&P MID-CAP 300 GROWTH — Int/Div — Buy (add'l)
ISHARES RUSSELL TOP 200 VALUE — Int/Div — Buy (add'l)
ISHARES S&P MIDCAP 400 VALLE — Int/Div
ALLIANZGI NFS INTL VALUE — Int/Div
JIPMORGAN LARGE CAP GROWTH — Int/Div — Buy (add'l)
JIPMORGAN LARGE CAP GROWTH — Buy (add'l)
PIMCO CORPORATE & INCOME OPPORTUNITY FD — Int/Div
ISHARES MSCI EAFE MIN VOLATIL — Int/Div — Buy
AB DISCOVERY VALUE FD — Int/Div — Buy
COHEN & STEERS REAL ESTATE SECURITIES — Int/Div — Buy
Income — 2015 — ABC INC. RETIREMENT PLAN - PENSION INCOME (FIDELITY INVESTMENTS INSTITUTIONAL OPERATONS) — $11,422.00
Income — 2005 — YESHIVA UNIVERSITY «- TEACHING — $2429.00
Income — 2018 — COLUMBIA UNIVERSITY - TEACHING — S30.000 00
Spouse's income — 2015 — CITIZENS BUDGET COMMISSION, FORM 1099-MISC. - CONSULTING INCOME
Spouse's income — 2015 — JIPMORGAN CHASE FOR DELOITTE. FORM 1099-R - PENSION INCOME
Spouse's income — 2015 — MAIMONIDES MEDICAL CENTER, FORM 1099-MISC « CONSULTING INCOME
Spouse's income — 2015 — NATIONAL FINANCIAL SERVICES, FORM 1099-R - PENSION INCOME
VII, PAGE 4 OF 9, LINE 15:

ABC, INC, PENSION PLAN. I AM DESIGNATED TO RECEIVE MONTHLY PENSION BENEFITS UNDER MY LATE WIFE'S PENSION PLAN

PART 111, LINE 2 DISCLOSES INCOME RECEIVED, THESE PAYMENTS WILL CEASE UPON MY DEATH,

VIL, PAGE 4 OF 9, LINE 6:

NAME CHANGED FROM INVESCO AMERICAN FRANCHISE TO INVESTCO VAN KAMPEN AMERICAN FRANCHISE CL A.

VII, PAGE 4 OF 9, LINE §:

NAME CHANGED FROM ALLIANCE BALANCED SHARES CL B TO AMERICAN BALANCED CL FI.

VII, PAGE 4 OF 9, LINE 11:

NAME CHANGED FROM ALLIANCE GLOBAL REAL ESTATE INVESTMENT FD A TO AB GLOBAL REAL ESTATE INVESTMENT CL A.

VII, PAGE 4 OF 9, LINE 12:

NAME CHANGED FROM OPPENHEIMER MS & MID CAP VALUE FUND TO OPPENHEIMER MID CAP VALUE FUND.

VIL, PAGE 4 OF 9, LINE 13:

NAME CHANGED FROM ALLIANCEBER GROWTH & INC FUND CL B TO AB GROWTH & INCOME FUND CL A,

VIL, PAGE 5 OF 9, LINE 29:

NAME CHANGED FROM ALLIANCEBER LG CAP GROWTH B TO AB LG CAP GROWTH A.

VII, PAGE 6 OF 9, LINE 39:

NAME CHANGED FROM ISHARES RUSSELL 2000 VALUE TO ISHARES RUSSELL 2000 ETF.

VII, PAGE 6 OF 9, LINE 43:

NAME CHANGED FROM ISHARES TR COHEN & STEERS REALTY TO ISHARES TR COHEN & STEERS REIT ETF.

VII, PAGE 7 OF 9, LINE 52:

NAME CHANGED FROM FIDELITY ADVISORS FLOATING HIGH INC FD TO FIDELITY ADVISORS FLOATING RATE HIGH INC FD.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/13229. Public record. Not legal advice.