# David Brock Hornby > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/16506 ## Record - **Judge:** David Brock Hornby - **Year:** 2011 - **Report type:** Annual - **Pages:** 27 ## Text Bank of America accounts — Interest Ally Bank accounts — Interest Emigrant Direct — Interest PayPal Money Market — Interest — Closed US. Savings Bonds — None Maine State Turnpike Auth'y bonds — Interest Maine Health & Higher Edu. Facs. Auth'y bonds — Interest — Sold (part) Maine Health & Higher Edu. Facs. Auth'y bonds — Sold (part) Puerto Rico Public Fmance Corp. bond — Interest Bangor ME bond — Interest Scarborough ME bond — Interest Mame Municipal Bond Bank bond — Interest Portland ME Airport bond — Interest Puerto Rico Public Buildings Auth'y bond — Interest Commonwealth of Puerto Rico bonds — Interest — Buy Commonwealth of Puerto Rico bonds — Buy Commonwealth of Puerto Rico bonds — Buy Univ. of Mame System bond — Interest Puerto Rico Elec. Power Auth'y bond — Interest Puerto Rico Aqueduct & Sewer Auth'y bond — Interest — Buy Lewiston, ME public improvement bond — Interest Windham, ME gen'l purpose bond — Interest — Buy ME Gov't Facilities Auth'y bond — Interest — Buy RBC Wealth Mgt money mkt acct — Interest T. Rowe Price Mutual Int'l Stock Funds — Int/Div Y) see Part VIII for explanation The MP63 Fund, Inc. (mutual fund) — Int/Div Brokerage Acct T. Rowe Price Cash Management Account — Interest com stk General Electric Co. — Int/Div ADR Diageo PLC new — Int/Div com stk Avon Products — Int/Div ETF I Shares MSC Mexico — Int/Div — Donated com stk First Service Comp. — None com stk Sirius Satellite Radio — None — Sold Barclays Bank PLC iPath Index Fund — None com stk Newell Rubbermaid — Int/Div Vanguard Group Mutual Funds® Asset Allocation Fund* — Int/Div Value Index Fund* — Int/Div Inflation Protected Security Inv* — Int/Div Strategic Equity Fund® — Int/Div Tax Met Int'l Fund* — Int/Div Alpine Funds® Dynamic Dividend* — Int/Div Intermational Real Estate* — Int/Div Alpine Found. Fund fka Dynamic Balance* — Int/Div Bridgeway Ultra-Small Company Mkt Fund* — Int/Div Matthews Asian Funds* Asia Growth Investor fka Asia Pacific* — Int/Div eIndia* — Int/Div The Fairholme Fund* — Int/Div com stk Avon Products* — Int/Div com stk HJ. Heinz Co.* — Int/Div — Sold (part) com stk inois Tool Works* — Int/Div — Sold (part) IRA Brokerage Acct T. Rowe Price #1 Cash Management Acct — Interest com stk Intel Corp. — Int/Div com stk Starbucks Corp — Int/Div — Buy com stk Popular, Inc — None Washington REIT — Int/Div com stk Pioneer Natural Resources — Int/Div ETF Shares MSC Japan — Int/Div mutual Fairholme Fund — Int/Div Blackrock Int'l Bond Portfolio — Int/Div American Campus Communities REIT — Int/Div com stk Grupo Televisa — Int/Div Turkish Investment Fund — Int/Div Prudent Bear Fund — None com stk Peabody Energy Corp. — Int/Div com stk Patriot Coal Corp. — None Alpe Total Dynamic Div. Fund — Interest T. Rowe Price Emerging Europe Fund — None Matthews Korea Fund — Int/Div com stk Amazon.com — None Wisdom Tree Large Cap Div Fund — Int/Div IRA Brokerage Acct T. Rowe Price #2 Cash Management Acct — Interest com stk DWS World Income Fund fkaDWS Europe Equity Fund — Int/Div com stk Powershares QQQ — Int/Div com six Immunogen Inc — None U.S. Global Investors Eastern Europe (mutual) — None Vanguard REIT Vipers — Int/Div com stk Coca Cola — Int/Div Vanguard Strategic Equity Fund — Int/Div com stk Medtronic Inc — Int/Div — Sold ADR Nokia Corp. — Int/Div — Sold Developers Diversified Realty REIT preferred Class H — Int/Div — Sold became DDR Corp. 09/12/11) com stk Cisco Systems Inc — Int/Div ADR Vodafone Group PLC — Int/Div — Sold com stk Nautilus Group Inc — None — Sold com stk Developers Diversified Realty REIT — Int/Div — Sold became DDR Corp. 09/12/11) Value Line Fund Inc — Int/Div Prudent Bear Fund — None Fidelity Nordic Countries Fund — Int/Div 1 Shares MSC Japan — Int/Div T. Rowe Price Africa & Middle East Fund — Int/Div 1 shares TR S&P Global Infrastructure Index Fund — Int/Div Vanguard ¥ ISE All-World ex-US ETF — Int/Div Pension Plan Acct. TIAA-CREF — None Pension Plan Acct. TIAA-CREF — None 301K Plan CMC Interactive LLC First Eagle Over A Fund — Int/Div Am. Fds Growth Fund R4 (RGAEX) — Int/Div Perkins Mid-Cap Value Inv (JMCVX) Fund — Int/Div Rovee Total Return Fund — Int/Div Oukmark Equity & Income J Fund — Int/Div Selected American Fund — Int/Div Columbia Acom Fund — Int/Div Pimco Tot! Return Fund — Int/Div Schwab Int] Index Fund — Int/Div Principal Investors High Yield [1 Fund — Int/Div nonvotng stk Mandel Investment Corp. — Int/Div 1/2 unit ltd. partnership int. in Falls Development Assoc. Itd. real estate partnership purchased 12/30/85: total of $16,489.50 pd in installments completed 2/10/90 — None ltd. partnership int. in Miraculous, LLC, Id real estate partnership purchased 2/11/02 $50.000 — Distribution Mmnesota Life-endowment life — Int/Div Homby Zeller Properties LLC (Y) BACHZA, Inc. (Y) Member #1 (upon member's death assumed power-of-atty on 8/25/11 and reporting only for period thereafler) Advent Claymore Global Convert. Sec. & Income Fund — Int/Div — Sold AGIC Convert. & Income Fund — Int/Div — Sold AGIC Convert. & Income Fund II — None — Sold AlhanceBernstem Global Bond Fund CL A — None AllianceBernstem Global High Income Fund Inc. — Int/Div Alpine Total Dynamic Div. Fund — Int/Div — Sold Alpine Ultra Short Tax Opt. Income Fund Investor Cl. — Int/Div Bank of America Subord. InterNotes — Interest Calamos Convert. Opportunities & Income Fund — Int/Div — Sold (part) Calamos Global Dynamic Income Fund — Int/Div Calamos Strategic Total Return Fund — Int/Div Cohen & Steers Closed End Opportunity Fund Inc. — Int/Div Comerstone Strategic Value Fund Inc — Int/Div Comerstone Total Return Fund Inc — Int/Div — Sold Credit Suisse High Yield Bond Fund — Int/Div — Sold Cross Timbers Rovalty Trust — Int/Div Virtus Total Return Fund fka DCA Total Return Fund — Int/Div Delaware River Port Auth'y PA&NI Marine Terminal Bonds — Interest Dividend & Income Fund Inc — Int/Div — Sold Dreyfus High Yield Strategies Fund — Int/Div — Sold Eaton Vance Ltd Duration Income Fund — Int/Div Eaton Vance Nat'l Municipal Income Trust — Int/Div — Sold Eaton Vance Tax Advantaged Div. Income Fund — Int/Div Essex Cty NJ Improve. Auth. Bonds — Int/Div 1Ist Tr. Strategic High Inc. Fund 11 - became "10/04/11 — Int/Div FL State Bd of Public Educ. Bonds — Interest Gen'l Elec. Cap. Corp. InterNotes — Interest Gen'l Motors Acceptance Corp. SmartNotes — Interest Harris Cty TX Cultural ED Bonds — Interest Helios High Yield Fund — Int/Div Hudson Cty NJ Improve. Auth. Bonds. Weehawken — Interest Hudson Cty NJ Improve. Auth. Bonds. Hudson Cry lease — None — Buy ING Global Equity Div. & Prem Opportunity Fund — Int/Div — Sold Inland Western Retail Real Estate Trust — Int/Div iShares iBoxx $ High Yield Corp. Bond Fund — Int/Div iSharies iBoxx § Invest. Grade Corp. Bond Fund — Int/Div Invesco High Yield Invest. Fund Inc — Int/Div Invesco Van Kampen High Income Trust 11 — Int/Div JEA FL Elec. Sys. Rev. Elec. Bonds — Interest Lazard World Div. & Income Fund Inc — Int/Div LMP Real Estate Income Fund Inc — Int/Div Neuberger Berman Real Estate Sec. Income Fund Inc. — Int/Div New America High Income Fund Inc — Int/Div NJ Healthcare FACS Meridian Health Sys Bonds — Interest Nuveen Floating Rate Income Fund — Int/Div Nuveen Floating Rate Income Opportunity Fund — Int/Div Oppenheimer AMT-FREE Munis Fund C1 A — Int/Div com stk Pace Oil & Gas Lid. — None Peace River/Manasota Regl Wir Bonds — Interest Pengrowth Enegry Corp. aka Pengrowth Energy Trust — Int/Div Permian Basin Royalty Trust — Int/Div Pimco Income Strategy Fund — Int/Div Pimco Income Strategy Fund [1 — Int/Div com stk Provident Energy Lid. — Int/Div Prudential Financial Inc. InterNotes — Interest Puerto Rico Aqueduct & Sewer Bonds 24 — Interest Puerto Rico Aqueduct & Sewer Bond 2044 — None — Buy Puerto Rico Common. G/O RFDG Gen'l Purpose Bonds — Interest Puerto Rico Common. Hwys & Streets Bonds — Interest Puerto Rico Sales Tax Fing Cofina Bonds Ser. A — Interest — Buy Puerto Rico Sales Tax Fing Cofina Bonds 2010 Ser, C — None Sabine Royalty Trust — Int/Div San Juan Basin Royalty Trust — Int/Div SLM Corp CPI Linked Med. Term Notes Ser A Mar. 2017 — Interest — Sold SPDR Barclays Capital High Yield Bond FTF — Int/Div Texas State Tpke Auth. Cent. TX Tpke Bonds — Interest USA Loan Fund DST — Int/Div Valero Energy Corp. New Notes — Interest Wells Fargo Advantage Global Div Opport. Fund — Int/Div — Sold Wells Fargo Advantage Multi Sector Income Fund — Int/Div Western Asset High Income Fund 11 Inc — Int/Div — Sold Western Asset Worldwide Income Fund Inc. — Int/Div Zweig Total Return Fund Inc — Int/Div RBC Bank Account — Interest Clipper Fund Inc — Int/Div DNP Select Income Fund Inc — Int/Div com stk NRG Energy Inc. New — None SPDR S&P Dividend ETF — Int/Div com stk Goldcorp Inc — Int/Div Credit Suisse Asset Mgt Income Fund Inc — Int/Div Blackrock Diversified Income Strategies Fund Inc, — Int/Div Highland Credit Strategies Fund — Int/Div Helios Strategic Income Fund Inc — Int/Div MFS Intermediate Income Trust — Int/Div Pacholder High Yield Fund PHF — Int/Div Putnam Master Intermediate Income Trust — Int/Div NJ Econ. Devt Auth'y Motor Vehicle Bond — None — Buy NJ Transp. Fund Rapid Transit Bond due 2020 — Interest — Buy NJ Transp. Fund Rapid Transit Bond due 2038 — Interest — Buy Virgin Islands Pub. Fin. Auth'y Bonds — None — Buy NJ Econ. Dev. Auth'y Primary & Secondary Educ. Bond — None — Buy NJ Educ. F Auth'y Princeton T Bond — None — Buy Puerto Rico Pub. Bldg. Auth'y Gov't Fac Revenue Bond — None — Buy Gloucester Cty NJ Improvement Auth'y Bond — None — Buy Calamos Global Dynamic Income Fund — Int/Div Prudent Bear Federated Equity Funds — None RMR Real Estate Income Fund — Int/Div Managed High Yield Plus Fund Inc — Int/Div — Sold Pharmaceutical Holder Trust Depositary Rept — Int/Div — Sold 0il SVC Holders Trust Depositary Rept — None — Sold Proshares Ultra S&P S00 111 — None — Sold Proshares Tr Ultra FTSE China — Int/Div — Sold Proshares Tr Ultra Real Estate — Int/Div — Sold (part) Proshares Tr Ultra Real Estate — Sold Eaton Vance Enhanced Equity Income Fund 1 — Int/Div — Sold Powershares Global Exch. Traded Tr Fund Emg Mkts SovDebt — Int/Div — Sold Vestn Realty Mig 11 — None — Sold Proshares Ultrashort S&P S00 ETF — None — Sold Proshares Ultrashort MSC EAFE ETF — None — Sold Proshares Ultrashort FTSE China 25 — None — Sold Proshares Ultrashort MSCI Emerging Mkt ETF — None — Sold Proshares Ultrashort Gold ETF — None — Sold Proshares Ultrashort Telecommunications — None — Sold Proshares Ultrashort Financials — None — Sold Proshares Ultrashort Basic Materials — None — Sold Proshares Ultrashort Russell 2000 — None — Sold Proshares Ultra Midcap 400 — None — Sold Proshares Ultrashort QQQ — None — Sold Proshares Ultrashort MSCI Europe — None — Sold Proshares Ultrashort Lulities Fund — None — Sold Proshares Ultrashort Yen — Int/Div — Sold RMR Real Estate Income Fund — Int/Div Member £2 (became Trustee/Co- Trustee member as result of a death on 08/08/11 and reporting only for period thereafter) Alpine Global Dynamic Div. Fund — Int/Div — Sold Alpine Total Dynamic Div. Fund — Int/Div — Sold Alpine Global Premier Properties Fund — None AllianceBernstem Global High Income Fund Inc, — None American Strategic Income Portfolio 111 Fund — None — Sold Blackrock Senior High Income Fund — None Boulder Growth & Income Fund — None — Sold Comerstone Progressive Return Fund — None — Sold Credit Suisse Asset Mgt Fund — Int/Div — Sold Credit Suisse High Yield Bond Fund — None — Sold Virtus Total Return Fund fka DCA Total Return Fund — None Detroit Mich Water Supply Sys Bonds — Interest Div. & Income Fund — None — Sold DNP Select Income Fund Inc — Int/Div Dreyfus High Yield Strategies Fund — None — Sold First Strategic High Income Fund [1 — Int/Div Fort Myers FL Improvement Bonds — None com stk Gladstone Capital Corp — None — Sold Helios Advantage Income Fund Inc — Int/Div Highland Credit Strategies Fund — Int/Div Managed High Yield Plus Fund Inc — Int/Div — Sold Miami-Dade Cty FL Aviation Bonds — Interest RBC Bank Prime MM Fund RBC Reserve Class — Interest nonvoting stk Mandel Investment Corp — Int/Div AGIC Convert. & Income Fund — Int/Div — Sold Calamos Convertible Opportunities & Income Fund — Int/Div — Sold ING Global Equity Div. & Prem Opportunity Fund — None — Sold Westemn Asset High Income Fund — None — Sold iShares iBoxx $ High Yield Corporate Bond Fund — None Helios High Income Fund — None Helios Strategic Income Fund — None Helios Multi Sector High Income Fund — Int/Div lnvesco High Yield Investments Fund — Int/Div Invesco Van Kampen Senior Income Trust — None MFS Intermediate Income Trust — None Neuberger Berman Real Estate Sec. Income Fund — None Neuberger Berman High Yield Strategies Fund — Int/Div Pimco Income Strategy Fund — None com stk Pengrowth Energy Corp. — Int/Div Putnam Master Intermediate Income Trust — None SPDR Series Trust Barclays High Yield Bond ETF — Int/Div Westemn Asset High Income Fund 11 Inc — None — Sold Zweig Total Return Fund Ine — Int/Div Member #3 ( Co- Trustee of trust on 11/17/11 with following investments and reporting only for period thereafter): AAG Holding Co. Inc. debentures — None pfd ADR Aegon N.V — Int/Div Alpine Total Dynamic Div. Fund — Int/Div com stk & warrants American Int'l Group Inc. — None pfd stk Apartment Investment & Management Co. — None com stk Ares Capital Corp. — Int/Div ADR Banco Santander. S.A — None ADR Barclays Bank PLC — Int/Div com stk Blackstone Group L.P — Int/Div Brandywine Realty Trust — None BRT Realty Trust — None Calamos Convert. Opportunities & Income Fund — Int/Div CBRE Clarion Global Real Estate Income Fund — Int/Div com stk Citizens Republic Bancorp Inc — None Clipper Funds Inc — Int/Div com stk Coeur D Alene Mines Corp. — None com stk Coming Inc — Int/Div pfd stk Dillards Capital Trust — None Dodge & Cox Int'l Stock Fund — Int/Div com stk RR Donnelley & Sons Co. — Int/Div com stk Eastman Kodak — None Eaton Vance Ltd Duration Income Fund — Int/Div com stk Exxon Mobil Corp. — Int/Div Fidelity NJ Municipal money mkt — Interest First Industrial Realty Trust Inc. PFD — None com stk General Motors Co. — None pfd stk General Motors Co — Int/Div ADR Gerdau. S.A — Int/Div GMAC LLC Note — Interest Great Atl & Pac Tea Co Inc. Note — None Hodges Fund — None com stk Hudson Pacific Properties Inc — Int/Div Hussman Strategic Growth Fund — None pfd stk ING Groep, N.V. PFD — Int/Div ADR ltau Unibanco Holdings, S.A — Int/Div com stk Lee Enterprises Inc — None Lexington Realty Trust — None Mkt Vectors ETF Trust Mkt Vectors India Sm. Cap Index ETF — Int/Div Market Vectors Vietnam ETF — Int/Div com stk McCormick & dehmicks Seatood Restaurants Inc. — None com stk Merck & Co linc — None com stk Morgan Stanley — None pfd stk MPG Office Trust Inc — None New Jersey State Tpk Auth. Revenue Bonds — None ADR Nokia Oyj — None Nuveen Global Value Opportunities Fund — Int/Div Nuveen Quality Preferred Income Fund 2 — Int/Div pfd stk PartnerRe Ltd. PFD — Int/Div ADR Petroleo Brasileiro, S.A. Petrobras — Int/Div Pimco High Income Fund — Int/Div pfd stk Realty Income Corp. — Int/Div com stk Robert Half Int] Inc — Int/Div pfd stk Royal Bank of Scotland Group PLC PFD — Int/Div com stk Ruths Hospitality Group Inc — None pfd stk SL Green Realty Corp. Ser. € — None pfd stk SL Green Realty Corp. Ser. D — None pfd stk Sterling Bancorp Trust PFD — Interest ADR Tata Motors Ltd — None pfd stk Taubman Centers Inc — Int/Div Third Ave. Sm Cap Value Fund Inc — Int/Div com stk Valley National Bancorp — None com stk Vishay Intertechnology Inc — None pfd stk Vornado Realty Trust — None Council Member, The American Law Institute Member, Committee on Science, Technology and the Law, The Natwonal Academies Power-of-Attomey, Member #1 Co-Trustee, A Trust for the benefit of Member #2 (name of trust Reimbursement — The American Law Institute — 01/19-2172011 — Philadelphia, PA — Council Meeting — paid travel, lodging and meal expenses Reimbursement — The National Academies — 04/10-1272011 — Washington, DC — CSTL Committee Meeting — pad travel, lodging and meal expenses Reimbursement — The American Law Institute — 10/19-21/2011 — New York, NY — Council Meeting — pad travel, lodgmg and meal expenses Spouse's income — 2011 — self-employed mn management consulting, software development and rental property Part VII, Line 26: Several mvestments previously listed here are now listed under T. Rowe Price brokerage because they were transferred there 1029/11. They are noted with "+." --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/16506. Public record. Not legal advice.