James Orenstein

Chase bank aceosre [1 [] — Interest

IBM — Int/Div

Verizon — Int/Div

Family Real Estate Trust — Interest

Computershare — Int/Div — with line 2) — note m Part VII

UBS ACU — Int/Div

UBS Bank USA Deposit Acct — Interest

UNTS First Trust Target VIP Aug 2012 — Int/Div — Buy

UNTS First Trust Target VIP May 2011 Sr. — None — Redeemed

UBS ACU — None

Columbia Growth NY 529 Portfolio Class A — None

UBS ROTH — Int/Div

UBS Bank USA Deposit Account — Interest

UBS Liguid Assets Fund — Int/Div

Apple Inc — Int/Div

EMC Corp — None

Google Inc — None

EGA Emerging Global Shares — Int/Div — Sold

Ishares Trust S&P Smallcap 600 Index Fund — Int/Div

shares Trust S&P Latin Amer 40 Index Fund — Int/Div

SPDR S&P Midcap 400 — Int/Div

Fidelity Advisor New Insights Fund — Int/Div — Sold (part)

El Paso Pipeline Partners LP — Int/Div

Nuveen Quality Preferred Income Fund 2 — Int/Div

Nuveen Quality Preferred Income Fund — Int/Div

Alliance Bernstein High Income Fund — Int/Div — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Eaton Vance Global Macro Absolute Return Fund — Int/Div — Sold (part)

Eaton Vance Global Macro Absolute Return Fund — Sold

Putnam Diversified Income Trust — Int/Div — Sold (part)

Templeton Global Total Return Class A — Int/Div — Buy (add'l)

SPDR Gold Trust — None

Invesco Balanced-Risk Allocation Fund A — Int/Div — Buy

Invesco Balanced-Risk Allocation Fund A — Buy (add'l)

Pimco All Assets Auth-A — Int/Div — Buy

Pimco All Assets Auth-A — Buy (add'l)

DWS Enhanced Commodity Strategy Fund A — Int/Div — Sold

Putnam Absolute Return S00 — Int/Div — Sold (part)

UBSROI 1 — Int/Div

UBS Bank USA Dep Acct — None

American Funds Capital World Growth & Income Fund C1 A — Int/Div

American Funds New World Fund C1 A — Int/Div

American Funds Smallcap World Fund C1 A — Int/Div — Buy (add'l)

American Funds Euro Pacific Growth Fund C1 A — Int/Div

American Funds Growth Fund of America ClA — Int/Div

American Funds Income Fund of America CA — Int/Div

American Funds New Perspective Fund CIA — Int/Div

American Funds Washington Mutual Investors Fund C1 A — Int/Div — Buy (add'l)

American Funds American Balanced Fund CA — Int/Div

Kem County CA Municipal Bond — None

UBS ACU — Int/Div

RMA NY Money Fund — Int/Div

Stag Indl Inc — Int/Div — Sold

Teekay LNG Partners LP — Int/Div — Sold

UNTS FT Target VIP Portf. May 2011 SR — None — Sold

Lehman Bros Holdings Inc. { Defaulted) — None — Sold

Sallie Mae Ednotes Callable — Interest

Florida State Brd. Ed. Cap. Outlay FSA — Interest

Sentinel Short Maturity Govt Fnd — Int/Div — Sold

John Hancock New York Venture Annuity — None

UBS ACC — None

Bond Fund of America — None

Capital World Growth & Income Fund — None

Euro Pac Growth Fund — None

Growth Fund of Amenica — None

Income Fund of America — None

New Perspective Fund — None

Smallcap World Fund — None

Washington Mutual Investors Fund — None

UBS ACC — Int/Div

UBS Bank USA Dep Acct — Interest

UNTS AAM Global Gold Income Portf — Int/Div — Redeemed

Long Island NY Pwr Elec Municipal Bonds — None

NYC Water Municipal Bonds — Interest

NYS Dorm Municipal Bond — None

Oklahoma City OK Municipal Bond — None

Indiana Transn Fin Auth Municipal Bond — None

Yorba Linda CA Mumcipal Bond — None

Clark Co Wash Vancouver Ser Municipal Bond — None

DC Washington Mandarin Hotel Municipal Bond — None

Wentzville MO Sch Municipal Bond — None

New Jersey St Transn Municipal Bond — None

Palo Alto CA Municipal Bond — None

Coppell Tex ISD Municipal Bond — None — Sold

Adams 12 Five Star Schs Colo Municipal Bond — None

New York City SR A Municipal Bond — None

Brock Tex Indpt Sch Dst Municipal Bond — None

Prosper Tx lsd Rfdg Bk Municipal Bond — None

Salem-Keizer OR Municipal Bond — None — Sold

Meda Valley TX Mumicipal Bond — None

San Rafael CA City Hi GH Municipal Bond — None

Utah Tran Auth Sales Tax Municipal Bond — None

Desert Calif Cmty Clge Municipal Bond — None — Sold

Lewisville TX Municipal Bonds — None — Sold (part)

Manhattan Beach USD Cal Municipal Bond — None

Chicago IL Bd of Ed Municipal Bond — None

Athens-Clarke Conty GA Municipal Bond — None

Illinois Dev Fin Au Reti Hsg Municipal Bond — None — Sold

Monterey Peninsula CA Municipal Bond — None

Chicago IL Lukefront Municipal Bond — None

Houston TX Wir & Swr Municipal Bond — None — Sold (part)

Washington State Ser E Municipal Bond — None

NJ Trans Trust Ser C Municipal Bond — None

San Joaquin Delta Comnty Ser B Municipal Bond — None

Denton TX Indep Sch Municipal Bond — None

Mesquite TX ISD Municipal Bond — None

Washington St Mtr Vehicl Municipal Bond — None

Ennis TX Indpt Sch Dst Municipal Bond — None

UBS ACC — Int/Div

UBS Bank USA Dep Acct — Interest

RMA Government Portfolio — Int/Div

Apple Computer Inc — Int/Div

AT&T Inc — Int/Div

Centurylink Inc — Int/Div

Johnson & Johnson Com — Int/Div — Sold

Lorillard Inc — Int/Div — Buy (add'l)

Lorillard Inc — Buy (add'l)

Lorillard Inc — Buy (add'l)

Lorillard Inc — Buy (add'l)

Salesforce.com Inc — None

Eaton Vance Tax Managed Buy Write Opportunities Fund — Int/Div — Sold

Eaton Vance Tax Managed Diversified Equity Income Fund — Int/Div — Sold

Ishares Trust S&P Latin Amer 40 Index Fund — Int/Div

Blackrock U.S. Opportunities — Int/Div — Buy (add'l)

Blackrock U.S. Opportunities — Sold (part)

FBR Small Cap Fund Investor Class — None — Sold (part)

FBR Small Cap Fund Investor Class — with line 135) — note mn Part VII

Fidelity Advisor New Insights Fund C1 A — Int/Div — Sold (part)

Fidelity Advisor New Insights Fund C1 A — Buy (add'l)

Hennessy Cornerstone Growth Fund Institutional Class — None — Open — note m Part VII

JP Morgan U.S. Large Cap Core Plus Fund A — Int/Div — Buy (add'l)

JP Morgan U.S. Large Cap Core Plus Fund A — Sold (part)

Miller Convertible Fund Class A — Int/Div — Buy (add'l)

Miller Convertible Fund Class A — Sold

Neuberger Berman Equity Income Fund Class A — Int/Div — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Sold (part)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Oakmark Fund Class — Int/Div — Buy (add'l)

Oakmark Fund Class — Sold (part)

Oppenheimer Developing Markets Fund CIA — Int/Div — Sold (part)

Kinder Morgan Energy Partners MLP — Int/Div

DWS Municipal Income Trust — Int/Div

Nuveen Ins Mum Opport Fd — Int/Div

Nuveen Prem Income Mun Fund 2 Inc — Int/Div

Artio Global High Income Fund Class A — Int/Div — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Sold (part)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Loomis Sayles Strategic Income Fund Class A — Int/Div — Buy (add'l)

Loomis Sayles Strategic Income Fund Class A — Buy (add'l)

Mainstay High Yield Opportunity Class A — Int/Div — Buy (add'l)

Putnam Diversified Income Trust Class A — Buy (add'l)

Putnam Diversified Income Trust Class A — Buy (add'l)

Putnam Diversified Income Trust Class A — Buy (add'l)

Putnam Diversified Income Trust Class A — Sold

Gateway Fund Class A — Int/Div

Hatteras Alpha Hedged Strategies Fund — Int/Div — Sold

First Eagle Gold Fund Class A — Int/Div

First Eagle Global Fund Class A — Int/Div — Sold (part)

First Eagle Global Fund Class A — Buy (add'l)

First Eagle Global Fund Class A — Buy (add'l)

Adpunct professor, New York University School of Law

Gift — Robert Jones — Tickets to Camegie Hall Opening Night Concert and Dinner — $5,000.00

Gift — Federal Bar Council — Tickets to Law Day Dinner and Thanksgiving Day Luncheon — $1,300.00

Liability — Department of Education Direct Loan ) Servicing — Family member's student loan

Income — 2012 — New York University School of Law — $26,955.00

Spouse's income — 2012 — Department of Justice -« US, Attorney's Office, Eastern District of New York

dhe Sol ERE BQ RR EAI Ye

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is

accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory

provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in

compliance with the provisions of S US.

app. § 501 et. seq, 5 U

+ § 7353, and Judicial Conference regulations.

signature: 8/ James Orenstein

NOTE: ANY INDIVID

L WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL

AND CRIMINAL SAN

ONS (5 U.S.C. app. § 104)

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544