# James Knoll Gardner > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/21790 ## Record - **Judge:** James Knoll Gardner - **Year:** 2009 - **Pages:** 11 ## Text Time Share #1, Williamsburg, Virginia (1999 $18.700) — Rent Sovercign Bank Accounts — Interest IRA #1} (Evergreen Foundation Fund Class B) — Int/Div — Redeemed — N/A Brokerage Account #I: CITIBANK NA South Dakota- Bank Deposit Program — Intercst Disncy - Common Stock (Y) LM?" Clearbridge Apprec. Fd. Cl. A - Mut Fd. (Sec Part VII) — Int/Div Calamos Convertible & High Income Fund Closed End Fund — Int/Div Wells Fargo & Company - Common Stock — Int/Div Wells Fargo Company - Corporate Bond — Int/Div Calamos Strategic Total Return Fund Closed End Fund — Int/Div Luzerne County PA Water Revenue Bond — Interest — Ca — N/A Eaton Vance Tax Eqty. Inc. Fd.- Closed End Fund — Int/Div NuStar Energy L.P. - Common Stock (Scc Part VIII) — Int/Div BT Group PLC ADR - USD - Common Stock (See Part VIII) — Int/Div BlackRock Global Allocation Fund - Mutual Fund — Interest BlackRock Global Allocation Fund - Mutual Fund — Interest — Buy — N/A BlackRock Global Allocation Fund - Mutual Fund — Interest — Buy — N/A BlackRock Global Allocation Fund - Mutual Fund — Interest — Buy — N/A BlackRock Global Allocation Fund - Mutual Fund — Interest — Buy — N/A Sec Part VIII — Interest — Buy — N/A CITIBANK NA-NV *C* - Certificate of Deposit — Interest — Matured — N/A CITIBANK NA-NV *C* - Certificate of Deposit — None — Buy — N/A CITIBANK NA-NV *C* - Certificate of Deposit — Interest — Matured — N/A Compass Bank-AL - Certificate of Deposit — Interest — Matured — N/A TotalBank-FL - Centificate of Deposit — Interest — Matured — N/A GE Moncey Bank-UT - Certificate of Deposit — Interest — Matured — N/A Intel Corporation - Common Stock — Int/Div — Buy — N/A McDonalds Corporation - Common Stock — Int/Div — Buy — N/A Merck & Company, Inc. - Common Stock — Int/Div — Buy — N/A Teva Pharmaceutical Industries - Common Stock — Int/Div — Buy — N/A Baron Growth Fund-Mutual Fund — None — Buy — N/A Eaton Vance Large-Cap Value Fund Class A - Mutual Fund — Int/Div — Buy — N/A Janus Forty Class S - Mutual Fund — None — Buy — N/A Lazard Emerging Markets Port Fund Mutual Fund — Int/Div — Buy — N/A Pimco Total Return Fund Class D - Mutual Fund — Int/Div — Buy — N/A Pimco Total Return Fund Class D - Mutual Fund — Int/Div — Buy — N/A Pimco Commodity Real Return Fund Class D - Mutual Fund — Int/Div — Buy — N/A T Rowe Int'l Bond Fund - Mutual Fund — Int/Div — Buy — N/A T Rowe Int'l Bond Fund - Mutual Fund — Int/Div — Buy — N/A Royce Premier Fund - Mutual Fund — None — Buy — N/A West Perry Schl. Dist. Bond - Municipal Bond — None — Buy — N/A New York Community Bank-NY Certificate of Deposit — Interest — Buy — N/A Branch Banking and Trust Co. - Certificate of Deposit — Interest — Buy — N/A Midfirst Bank-OK - Certificate of Deposit — Interest — Buy — N/A End of Brokerage Account #1 Brokerage Account #2 (Custodial Account #1) redeemed 5/20/04 Brokerage Account #3 (Custodial Account #2) redeemed 8/28/07 Brokerage Account #4; General Electric Corporation. - Common Stock (Y) Johnson & Johnson - Common Stock — Int/Div LM* Clearbridge Appice. Fd. Cl. B-Mut. Fund (See Part VIII) — Int/Div LM?* Clearbridge Cap.& Inc. Fd. Cl. B-Mut. Fd. (See P. VIII) — Int/Div CITIBANK NA - Bank Deposit Program ) End of Brokerage Account #4 Time Share #2, Williamsburg, Virginia (2002 $19,900) — Rent IRA #2 (CitiGroup Global Markets) Royce Total Return Fund Consultant Mutual Fund — Int/Div Van Kampen Equiry & Income Class C Mutual Fund — Int/Div American Funds-Growth Fund of America Class C - Mutual Fund — Int/Div Oppenheimer Developing Markets Fund Class C - Mutua) Fund — Int/Div Lincoln National Life [nsurance Co Annuity — None AF* - Capital World Growth & Income Fund Class C - Mut. Fund — Int/Div — Sold — N/A Lord Abbett America's Value Fund Class C Mutual Fund — Int/Div Govemment National Mortgage Association Class JB - Bond — Interest CITIBANK NA South Dakota - Bank Deposit Program — Interest Cisco Systems Inc. - Common Stock — None Manitowoc Co., Inc. - Common Stock — Int/Div — Sold — NA Ginnie Mac Series 2007-30 Class JG - Asset Backed Security — Interest — ta — N/A BlackRock Global Allocation Fund Inc Mutual Fund — Int/Div Putnam Asset Allocation Balanced Class C Mutual Fund — Int/Div Select Sector SPDR TRX Financial - Closed End Fund — Int/Div — Sold — N/A Consolidated Edison Inc. - Common Stock — Int/Div — Buy — N/A GNMA REMIC-Series 2004-75 Class 75-NG-Asset Backed Security — Interest — Buy — N/A Bond Fund of America Class C - Mutual Fund — Int/Div — Buy — NA Bond Fund of America Class C - Mutual Fund — Int/Div — Buy — N/A End of IRA #2 New York Life Whole Life — Int/Div Brokerage Account #5: AB®* Intermed. Bond Fund Class A - Mutual Fund — Int/Div AB* Growth & Income Fund Class A Mutual Fund — Int/Div AB? Small and Mid Cap Value Fund - Class A - Mutual Fund — Int/Div AB® Int'l Growth Fund Class A - Mutual Fund — Int/Div AB* Growth Fund Class A - Mutual Fund (Y) (See Part VIII) — None AB* Small Cap Growth Fd. Cl. A - Mut. Fd. (Y) (See Pt. VIII) — None End of Brokerage Account #5 KNBT Bank Accounts — Interest Rental Property #2, Lehigh County, PA (2006 $250,000) — Rent Fun $ Investment Club - Partnership — Int/Div U.S. Savings Bonds — Interest Fidelity Mutual Life Insurance Co. - whole life — Int/Div Officer, Director, Allentown Symphony Association Director, Boys and Girls Club of Allentown, Inc Director, Police Athetic League, Inc General Partner (passive investment in Subchapter "S™ Corporation), « ~ 1/6 share of Rental Property #1 pry 2 =v 5., Par) r= PEE 2... on ly = m Agreement — 2002 — State Employees Pension Fund; retirement pension for former judicial position, includes medical insurance and long-term care benefits, no control Liability — Johnson Capital — 1/6 share Mortgage on Rental Property #1, Torrence, California (Part VII, line 1) - Liability — Chase Card Services — Credit Card (Visa) Reimbursement — Property Law Association (NYIPLA) — Viiv a7 "60 VV — FARIS IVIIRMWMIVIL, a UV GI YAW Income — 2009 — State Employees Pension Fund reported in Part 11 (fixed benefits from a vested pension plan) — $67.455.60 Spouse's income — 2009 — self-employed piano teacher 1. Re Part VII, Line 8: Legg Mason Partners Appreciation Fund Class A - Mutual Fund was purchased October 29, 2002 and was reported in each Financial Disclosure Report thereafter in that name through calendar year 2008. In October 2009, the fund changed its name to Legg Mason Clearbridge Appreciation Fund Class A - Mutual Fund and is reported in its new name in the within 2009 Financial Disclosure Report on line 8 (Page 4 of 11). 2. Re Pan VI], Line 15: NuStar Energy L.P. - Common Stock was incorrectly designated as Nuster Energy L.P. on Part VII, Line 20 of the 2008 Financial Disclosure Report. | report the asset in Part VII, Line 15 of the within 2009 Financial Disclosure Report (Page 4 of | 1). However, I changed the description of the asset in Column A from “Nuster Energy L.P. - Common Stock" to "NuStar Energy L.P. - Common Stock". 3. Re Part VII, Line 16: On January 7, 2008 1 sold {of BT Group PLC ADR-USD common stock ("BT Group”). reposted that sale on Part VII, Line 15 of the 2008 Financial Disclosure Report (Page 4 of 10). On July 9, 2008 1 bought {of BT Group common stock. I reported that purchase on Part VII, Line 25 of the 2008 Financial Disclosure Report (Page 5 of 10) (butl erroneously labeled it "Mutual Fund” in Column A). On September 18, 2008 | sold the = | of BT Group common stock purchased on July 9, 2008. I reported that sale on Part VII, Line 26 of the 2008 Financial Disclosure Report (Page 5 of 10). On August 6, 2008 I bought ]of BT Group common stock. 1 reported that purchase on Part VII, Linc 27 of the 2008 Financial Disclosure Report (Page 5 of 10) (but I erroneously labeled it "Mutual Fund” in Column A). I retained those : {through December 31, 2009 and reported that asset on Part VII, Line 16 of the within 2009 Financial Disclosure Report (Page 4 of 11), together with the income eamed during the 2009 reporting period (in Column B) and the gross value at the end of the reporting period (in Column C). However, I changed the description of the asset in Column A from "Mutual Fund"to "Common Stock". 4. Re Part VII, Line 22: Shares of BlackRock Global Allocation Fund - Mutual Fund ("BlackRock") were purchased each month from October 2008 through May 2009. The 2008 purchases were reported on Part VII, Lines 30, 31 and 32 of the 2008 Financial Disclosure Report (Page S of 10); and the 2009 purchases are reported in Part VII, Lines 1 8, 19, 20, 21 and 22 of the 2009 Financial Disclosure Report (Page 5 of }1). The shares purchased in October, November and December 2008 are re-reported in the within 2009 Financial Disclosure Report where they are consolidated in one entry on Part VII, Line 17 (Page 4 of 1 1). (All of the shares purchased from October 2008 through May 2009 were retained through December 31, 2009 and reported in the within 2009 Financial Disclosure Report as asssets held at the end of 2009. Past VII, Line 32 of the 2008 Financial Disclosure Rport lists the BlackRock shares that were purchased on December 15, 2008. Both Columns B(1) and B(2) are blank in the 2008 Report, Line 32. However, Part VII, Column B(2) (Type of Income earned during the reporting period) in Line 32 of the 2008 Report should read: "None". 5. Re Pant VII, Line 53: Legg Mason Partners Appreciation Fund Class B - Mutual Fund was purchased August 6, 2002 and was reported in each Financial Disclosure Report thereafter in that name through calendar year 2008. In October 2009, the fund changed its name to Legg Mason Clearbridge Appreciation Fund Class B - Mutual Fund and is reported in its new name in the within 2009 Financial Disclosure Report on line 53 (Page 7 of 11). 6. Re Part VII, Line 54: Legg Mason Partners Capital and Income Fund Class B - Mutual Fund was purchased January 31, 2005 and was reported in each Financial Disclosure Report thereafter in that name through calendar year 2008. In October 2009, the fund changed its name to Legg Mason Clearbridge Capital and Income Fund Class B - Mutual Fund and is reported in its new name in the within 2009 Financial Disclosure Report on line 54 (Page 7 of 11). 7. Re Part VII, Line 62: This asset was incorrectly described as "American Balanced Fund Income Class C - Mutual Fund” in the 2008 Financial Disclosure Report, on Line 57, Column A (Page? of 10). It is correctly described as "American Balanced Fund Class C - Mutual Fund® in the within 2009 Financial Disclosure Report on Line 62, Column A (Page 7 of 11). 8. Re Part VII, Line 87: This asset, “Alliance Bernstein Growth Fund Class A - Mutual Fund”, was inadvertently omitted from the listing of assets in the 2007 and 2008 Financial Disclosure Reports. It should have been reported in those years with the identical information which appears inPart VII, Line87, in Columns A, B(2), C(1) and C(2) of the within 2009 Financial Disclosure Report on Page 9 of 11. 9. Re Part VII, Line 88: This asset, "Alliance Bemstein Small Cap Growth Fund Class A - Mutual Fund", was inadvertently omitted from the listing of assets in the 2007 and 2008 Financial Disclosure Reports. It should have been reported in those years with the identical information which appears in Part VII, Line 88, in Columns A, B(2), C(I) and C(2) of the within 2009 Financial Disclosure Report on Page 9 of 11. 10. Re Part VII, Line 90: "KNBT Bank", reported on Linc 90 of the within 2009 Financial Disclosure Report (Page 9 of 11), is now known as "KNBT, a Division of National Penn Bank". --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/21790. Public record. Not legal advice.