# Nicholas Garaufis

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/17383

## Record

- **Judge:** Nicholas Garaufis
- **Year:** 2013
- **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
BLACKROCK FLEXIBLE EQUITY FD CLA — Int/Div
INVESTCO VAN KAMPEN AMERICAN FRANCHISE — Int/Div
INVESTCO GLOBAL GROWTH FD CL B — Int/Div
ALLIANCE BALANCED SHARES CL B — Int/Div
ISHARES TR. RUSSELL 1000 — Int/Div
FIDELITY ADVISOR INFLATION PROTECTED BDFD CL A — Int/Div — Sold
ALLIANCE REAL ESTATE INVESTMENT FD A — Int/Div
OPPENHEIMER SM & MID CAP VALUE FUND — Int/Div — Sold (part)
ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH FUND — Int/Div — Sold
ALLIANCE GROWTH & INCOME FUND CLB — Int/Div
CITY OF NEW YORK DEFERRED COMPENSATION PLAN — Int/Div
ABC PENSION PLAN — None
INVESTCO GLOBAL LOW VOLATILITY — Int/Div
ISHARES MIDCAP — Int/Div
ISHARES MSCI EAFE ETF — Int/Div — Sold (part)
ISHARES MSCI EAFE ETF — Sold (part)
ISHARES MSCI EAFE ETF — Buy (add'l)
ISHARES RUSSELL 2000 — Int/Div
ISHARES MSCI EMERGING MKT — Int/Div — Buy (add'l)
MUTUAL SERIES CLASS C — Int/Div
SPDR S&P 500 ETF TR — Int/Div — Sold (part)
SPDR S&P 500 ETF TR — Sold (part)
PIMCO TOTAL RETURN CL C — Int/Div
OPPENHEIMER GLOBAL FUND — Int/Div
INVESTCO VAN KAMPEN EQUITY & INCOME — Int/Div
AMERICAN FUNDS: AMERICAN BALANCED CLASS C — Int/Div — Sold (part)
ALLIANCE BERNSTEIN LG CAP GROWTH B — Int/Div
AMERICAN FUNDS: AMERICAN CAPITAL INCOME BUILDER.CLASS C — Int/Div
AMERICAN GROWTH FD OF AMERICA Cc — Int/Div
AMERICAN FUNDS: AMERICAN HIGH INCOME CLASS FUND — Int/Div — Sold (part)
AMERICAN FUNDS: AMERICAN HIGH INCOME CLASS FUND — Sold (part)
INVESTCO DEVELOPING MKT CL A — Int/Div
OPPENHEIMER INT BD FD — Int/Div — Sold
PIMCO COMM REAL RETURN — Int/Div
ROYCE TOTAL RET. INV — Int/Div
SHARES S&P SMCAP 600 — Int/Div
COLUMBIA SM CAP VAL 11 CIA — Int/Div
EAGLE SM CAPFD A — Int/Div — Sold (part)
SHARES RUSSELL 2000 VALUE — Int/Div
PIMCO UNCONSTRAINED — Int/Div — Sold (part)
ARTISAN INTL INVESTOR — Int/Div — Buy (add'l)
ARTISAN INTL INVESTOR — Buy (add'l)
ARTISAN INTL INVESTOR — Buy (add'l)
ARTISAN INTL INVESTOR — Buy (add'l)
FORWARD SELECT INC INST — Int/Div
ISHARES TR COHEN & STEERS REALTY — Int/Div
PIMCO HIGH YIELD A — Int/Div
FORWARD TACTICAL GROWTH FD CL 8] — Int/Div
BLACKROCK GLOBAL ALLOCATION FDCLC — Int/Div
ARTISAN MID-CAP VALUE — Int/Div
MAINSTAY ICAP SELECT — Int/Div
DWS DREMAN SM CAP VALUES — Int/Div
GOLDMAN SACHS SATELLITE STRAT PORTFOLIO — Int/Div — Sold (part)
BLACKROCK EQUITY DIVIDEND — Int/Div
FIDELITY ADVISORS FLOATING GHIGH INC FD — Int/Div
ISHARES S&P 500 GROWTH — Int/Div
ISHARES S&P MID-CAP 400 GROWTH — Int/Div
ISHARES RUSSELL TOP 200 VALUE — Int/Div — Buy
ISHARES S&P MIDCAP 400 VALUE — Int/Div — Buy
PIMCO ALL ASSET ALL ACTIVITY — Int/Div — Buy
ALLIANZGI NFS INTL VALUE — Int/Div — Buy
JPMORGAN LARGE CAP GROWTH — Int/Div — Buy
VII, PAGE 4 OF 9, LINE 16:

ABC, INC. PENSION PLAN. I AM DESIGNATED TO RECEIVE MONTHLY PENSION BENEFITS UNDER PENSION PLAN

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

VII, PAGE 5 OF 9, LINE 17:

NAME CHANGED FROM INVESTCO QUANTITATIVE CORE. TO INVESCO GLOBAL LOW VOLATILITY.

VII, PAGE 5 OF 9, LINE 19:

NAME CHANGED FROM ISHARES TRMSCI TO ISHARES MSCI EAFE ETF

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/17383. Public record. Not legal advice.