# Lisa Margaret Smith

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/20083

## Record

- **Judge:** Lisa Margaret Smith
- **Year:** 2018
- **Report type:** Annual
- **Pages:** 11

## Text

Chase Cash accounts — None
TD Bank Cash account — None
Fidelity NY Municipal Money Market Fund — Int/Div
Fidelity IRA (Puritan Fund) (Y)
Fidelity IRA (Fidelity Fund) — Int/Div
Fidelity IRA (Cash Reserves) — Int/Div
Webster Bank, Wilton CT -- Checking Account — None
Fidelity Growth and Income Fund (Y)
Fidelity Dividend Growth Fund (Y)
HSBC IRA (Fideltiy Puritan Fund) (X) — Int/Div
HSBC IRA (T. Rowe Price Dividend Growth Fund) — Int/Div
HSBC Cash Account — None
Cisco Systems Common Stock (Y)
Century Link Commumcations Common Stock (Y)
Walt Disney Common Stock (Y)
Long Island Power Auth. Bonds (Y)
Stifel Nicolaus IRA money market — Interest
Stifel Nicolaus mvestment account money market — Interest
Stifel Nicolaus Custodial Acc't for minor child #1 (cash accounn (Y)
Stifel Nicolaus Custodial Acc't for minor child #2 (cash account (Y)
General Electric common stock (Y)
Citigroup common stock (Y)
Capital One Financial Corp Common Stock (y)
Freeport McMoran Copper & Gold, Inc Common Stock (Y)
Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't ac
Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Sold (part) — Inv't alc
Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Sold (part) — Inv't a/c
Artisan Funds Mid Cap Value Fund Advisor Class — Int/Div — Sold — Inv't a/c
Blackrock Equity Dividend Fund — Int/Div — Sold (part) — Inv't ac
Blackrock Equity Dividend Fund — Int/Div — Sold (part) — Inv't a/c
Columbia Contrarian Core Fund — Int/Div — Sold (part) — Inv't a/c
Columbia Contrarian Core Fund — Int/Div — Sold (part) — Inv't a/c
Columbia Contrarian Core Fund — Int/Div — Sold (part) — Inv't ac
Amencan Beacon Intemational Equity Fund — Int/Div — Sold (part) — Inv't alc
American Beacon Intemational Equity Fund — Int/Div — Sold (part) — Inv't alc
Fidelity Advisor New Insights Fund Inst] Cl — Int/Div — Sold (part) — Inv't a/c
Fidelity Advisor New Insights Fund Inst] Cl — Int/Div — Sold (part) — Inv't a/c
FMI International Fund — Int/Div — Buy — Inv't a/c
Goldman Small Cap Insights Fund — Int/Div — Buy — Inv't alc
Ivy Mid Cap Growth Fund — Distribution — Buy — Inv't a/c
Ivy Mid Cap Growth Fund — istnbution — Sold (part) — Inv't a/c
Janus Henderson International Oppty Fund — None — Sold — Inv't a/c
Nationwide Geneva Mid Cap Gr Fund Inst! Sve Class — None — Sold — Inv't ac
MFS Intl Growth Fund — Int/Div — Sold (part) — Inv't alc
MFS Intl Growth Fund — Int/Div — Sold (part) — Inv't a/c
Nuveen Small Cap Value Fund — Int/Div — Buy — Inv't a/c
Nuveen Small Cap Value Fund — Int/Div — Sold (part) — Inv't ac
Oppenheimer Developing Markets Fund C1 Y — Int/Div — Sold (part) — Inv't a/c
Oppenheimer Developing Markets Fund C1 Ad — Int/Div — Buy (add'l) — Inv't a/c
Oppenheimer Developing Markets Fund C1 Vv — Int/Div — Sold (part) — Inv't a/c
Wells Fargo Special Small Cap Value Fund — None — Sold — Inv't ac
Wells Fargo Special Mid Cap Value Fund — Int/Div — Buy — Inv't a/c
Wells Fargo Special Mid Cap Value Fund — Int/Div — Sold (part) — Inv't a/c
Meridian Small Cap Growth Fund — Distribution — Buy (add'l) — Inv't a'c
Meridian Small Cap Growth Fund — Distribution — Buy (add'l) — Inv't alc
Meridian Small Cap Growth Fund — istrnibution — Sold (part) — Inv't a/c
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c
Thomburg Ltd Term Muni Fund — Int/Div — Sold (part) — Inv't alc
American Beacon International Equity Fund — Int/Div — of Sufel IRA
Artisan Funds Mid Cap Value Fund Investor Class — None — Sold — of Stufel IRA
Blackrock Equity Dividend Fund — Int/Div — Buy (add'l) — of Sufel IRA
Columbia Contrarian Core Fund Class Z — Int/Div — Buy (add'l) — of Stufel IRA
Columbia Contrarian Core Fund Class Z — Int/Div — Sold (part) — of Sufel IRA
Columbia Contrarian Core Fund Class Z — Int/Div — Sold (part) — of Sutel IRA
Fidelity Advisor New Insights Mutual Fund Institutional Class — Int/Div — Sold (part) — of Stifel IRA
FMI International Fund Instl — Int/Div — Buy — of Sufel IRA
Goldman Sachs Intl Small Cap Insights Fund — Int/Div — Buy — of Sufel IRA
Ivy Mid Cap Growth Fund — Distribution — Buy — of Sufel IRA
Nuveen Small Cap Value Fund — Int/Div — Buy — of Sufel IRA
Oppenheimer Developing Markets Fund Class Y — Int/Div — Buy (add'l) — of Sufel IRA
Oppenheimer Developing Markets Fund Class Y — Int/Div — Sold (part) — of Sttel IRA
Harbor Bond Fund — Int/Div — Buy (add'l) — of Stufel IRA
Janus Henderson Intemational Oppty Fund — Int/Div — Sold — of Sufel IRA
Meridian Sm Cap Gr Fund Investor Class — Distribution — Buy (add'l) — of Sufel IRA
Meridian Sm Cap Gr Fund Investor Class — Distribution — Sold (part) — of Suite] IRA
Nationwide Mutual New Geneva Mid Cap Growth Fund Inst] Sve Class — None — Sold — of Sufel IRA
Vanguard Short Term Federal Fund — Int/Div — Buy — of Sufel IRA
MFS Intl Growth Fd C11 — Int/Div — Sold (part) — of Sufel IRA
Wells Fargo Govt Securities Fund Admin Class — Int/Div — Buy (add'l) — of Stitel IRA
Wells Fargo Govt Securities Fund Admin Class — Int/Div — Sold (part) — of Sufel IRA
Wells Fargo Special Small Cap Value Fund — Int/Div — Sold — of Stufel IRA
Wells Fargo Special Mid Cap Value Fund — Int/Div — Buy — of Stifel IRA
Inherited IRA — Inhented IRA
Sufel Insured Bank Program — Interest — Inhented IRA
Vernzon(VZ) — Int/Div — Inhented IRA
Franklin Income Fund, Advisor Class — Int/Div — Sold (part) — Inhented IRA
Ishares S&P Mid Cap 400 Growth ETF (UK) — Int/Div — Inhented IRA
Ishares S&P Small Cap 600 Growth ETF wn — Int/Div — Inhented IRA
Stifel Individual Brokerage Acct — Individual Account
Stifel Insured Bank Program — Interest — Individual Account
Franklin NY Tax Free Income Fund, C1 A (FNYTX) — Int/Div — Sold (part) — Individual Account
Lord Abbett Value Opptys Fund, Class € — Distribution — Sold — Individual Account
Income — 2018 — Pace University School of Law - Teaching — $12,235.04
Spouse's income — 2018 — Wages from Ridgefield Hardware Co., Ridgefield, CT
1. Positions

1. Minor child #1 Stifel account: minor reached majority,

2. Minor child #2 Stifel account closed.

3. Mmor child #2 NY College Savings Program account closed.

VIL Investments

1. Row 51: For Wells Fargo Special Small Cap Value Fund in previous period (1/1/2017 to 12/31/2017) the word "Special™ in the description was inadvertently

omitted.

2. Row 87: For Franklin Income Fund, for previous report (1/1/2017 to 12/31/2017) it was madvertently listed as sold where Class C shares were exchanged for

advisor class shares and only part of those advisor class shares were sold.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/20083. Public record. Not legal advice.