# Nicholas Garaufis

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/24411

## Record

- **Judge:** Nicholas Garaufis
- **Year:** 2010
- **Pages:** 9

## Text

PRIME FUND - CAPITAL RESERVES — Interest
DAVISNEW YORK VENTURE CLASS A — Int/Div
NEUBERGER BERMAN FOCUS FUND — Int/Div — Sold (part)
BLACKROCK MID CAP VALUE FUND CLASS A — Int/Div — Sold (part)
FIDELITY ADVISOR DIVIDEND GROWTH — Int/Div — pant)
FIDELITY ADVISOR DIVIDEND GROWTH — Sold
INVESTCO LARGE CAP GROWTH FD CL.B — Int/Div
INVESTCO GLOBAL GROWTHFDCLB — Int/Div
ALLIANCE BALANCED SHARESCLB — Int/Div — Sold (part)
ISHARES TR. RUSSELL 1000 — Int/Div — pant)
WALT DISNEY COMPANY CS — Int/Div — Sold
FIDELITY ADVISOR INFLATION PROTECTED BDFD CL A — Int/Div
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
ALLIANCE GROWTH & INCOME FUND CLB — Int/Div — Sold (part)
ALLIANCE GROWTH & INCOME FUND CLB — Sold (part)
ABC PENSION PLAN — None
INVESTCO GLOBAL EQUITY FUND — Int/Div — Sold (part)
ISHARES MIDCAP — Int/Div
ISHARES TRMSCI — Int/Div
ISHARES RUSSELL 2000 — Int/Div
ISHARES MSCI EMERGING MKT — Int/Div
MUTUAL SERIES CLASS C — Int/Div
SPDR S&P 500 ETF TR — Int/Div — Sold (part)
SPDR S&P 500 ETF TR — Sold (part)
SPDR S&P 500 ETF TR — Sold (part)
PIMCO TOTAL RETURN CLC — Int/Div — Sold (part)
PIMCO TOTAL RETURN CLC — Sold (part)
OPPENHEIMER GLOBAL FUND — Int/Div
INVESTCO VAN KAMPEN EQUITY & INCOME — Int/Div — Sold (part)
INVESTCO VAN KAMPEN EQUITY & INCOME — Sold (part)
INVESTCO VAN KAMPEN EQUITY & INCOME — Sold (part)
INVESTCO VAN KAMPEN EQUITY & INCOME — Sold (part)
AMERICAN FUNDS: AMERICAN BALANCED CLASS C — Int/Div
OPPENHEIMER LTD. TERM NY MUNI — Int/Div
ALLIANCE BERNSTEIN LG CAP GROWTHB — Int/Div
AMERICAN FUNDS: AMERICAN CAPITAL INCOME BUILDER.CLASS C — Int/Div
ROCHESTERFD. MUNI A — Int/Div — Sold
OPPENHEIMERGLOBAL CLASS C — Int/Div
AMERICAN GROWTH FD OF AMERICA C — Int/Div
AMERICAN FUNDS: AMERICAN HIGH INCOME CLASS FUND — Int/Div
ALLIANCE BERNSTEIN GROWTH FUNDCL A — Int/Div — Sold
INVESTCO DEVELOPING MKTCL A — Int/Div
OPPENHEIMER INT BDFD — Int/Div
VANGUARD INT TERM TAX — Int/Div — pant)
PIMCO COMM REAL RETURN — Int/Div
GABELLI ASSET FUND — Int/Div — Sold
ROYCE TOTAL RET. INV — Int/Div
ISHARES S&P SMCAP 600 — Int/Div
COLUMBIA SM CAP VALIICIA — Int/Div
EAGLESMCAPFDA — Int/Div
ISHARES RUSSELL 2000 VALUE — Int/Div
2004 TRUST — None
PIMCO UNCONSTRAINED — Int/Div — Buy (add'l)
ARTISAN INTL INVESTOR — Int/Div
FORWARD SELECT INC INST — Int/Div — Buy
ISHARES TR COHEN & STEERS REALTY — Int/Div — Buy
PIMCOHIGH YIELD A — Int/Div — Buy
FORWARD TACTICAL GROWTH FD CL id — Int/Div — Buy
MEMBER. BOARD OF DIRECTORS, SPECTATOR PUBLISHING COMPANY, INC
MEMBER, EXECUTIVE COMMITEE, NEW YORK CITY BAR ASSOCIATION
Reimbursement — UNITED STATES TENNIS ASSOCIATION — 03/19/10 - 03/22/10 — DALLAS, TX — CONFERENCE — TRAVEL
Reimbursement — UNITED STATES TENNIS ASSOCIATION — 09/04/10 - 09/07/10 — NEW YORK, NY — CONFERENCE — TRAVEL
Income — 2010 — ABC INC. RETIREMENT PLAN — £13.053
Spouse's income — 2010 — CITIZENS BUDGET COMMISSION, FORM 1099-MISC. - CONSULTING INCOME
Spouse's income — 2010 — NEW YORK UNIVERSITY, FORM 1099-MISC - CONSULTING INCOME
VII, PAGE 4 OF 9, LINE 7

NAME CHANGED FROM AIM LARGE CAP GROWTH FD CL B TO INVESTCO LARGE CAP GROWTH FD CL. B

VII, PAGE 4 OF 9, LINE 8

NAME CHANGED FROM AIM GLOBAL GROWTH FD CL B TO INVESTCO GLOBAL GROWTH FD CL B

VII, PAGE 4 OF 9, LINE 16

NAME CHANGED FROM ALLIANCE GLOBAL TECHNOLOGY A FUND TO ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH FUND

VII, PAGE 5 OF 9, LINE 20:

ABC, INC. PENSION PLAN. I AM DESIGNATED TO RECEIVE MONTHLY PENSION BENEFITS UNDER!” 777270 :-] PENSION PLAN.

eno

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

VII. PAGE 5 OF 9, LINE 21

NAME CHANGED FROM AIM GLOBAL EQUITY FUND CL B TO INVESTCO GLOBAL EQUITY FUND

VII. PAGE 5 OF 9, LINE 27

NAME CHANGED FROM STANDARD & POORS DEPOSITORY RECEIPTS TO SPDR S&P 500 ETF TR

VII. PAGE 5 OF 9, LINE 33

NAME CHANGED FROM VAN KAMPEN EQUITY & INCOME TO INVESTCO VAN KAMPEN EQUITY & INCOME

VII, PAGE 6 OF 9, LINE 45

NAME CHANGED FROM ALLIANCE GROWTH CL A TO ALLIANCE BERNSTEIN GROWTH FUND CL A

VII, PAGE 6 OF 9, LINE 46

NAME CHANGED FROM AIM DEVELOPING MKT CL A TO INVESTCO DEVELOPING MKT CL A

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/24411. Public record. Not legal advice.