Stuart M. Bernstein

What was filed

291
investments
2
positions
0
gifts
0
agreements
0
debts
1
reimbursements
0
income
1
spouse income

Named parties

Fordham Law Alumni Association
Trust # 1
American Bankruptcy Institute
Defined Benefit Plan

As filed

401K Plan

Vanguard Prime Money Market Instl (401k) — Dividend

T. Rowe Price Personal Strat Balanced (401k) — Dividend

JP Morgan Chase Bank Accounts — Interest

Citibank Accounts — Interest

Citibank Account — Interest

Keogh (Target) Plan--Plan I — Int./Div. — Distributed (part)

Phoenix Life Insurance (Whole Life) — Dividend

Capital "A" Account — Interest — Distributed (part)

Schwab US Treasury Money Fund (2588) — Interest — Sold

American Century Equity Income Fund (2588) — Dividend — Sold (part)

American Century Equity Income Fund (2588) — Sold

Permanent Portfolio (2588) — Dividend — Sold (part)

Permanent Portfolio (2588) — Sold

Vanguard Div Appreciation (2588) — None — Sold (part)

Vanguard Div Appreciation (2588) — Sold

Black Rock High Yield Bond (2588) — Dividend — Buy (add'l)

Black Rock High Yield Bond (2588) — Sold (part)

Black Rock High Yield Bond (2588) — Sold

Jensen Quality Growth (2588) — Dividend — Buy (add'l)

Jensen Quality Growth (2588) — Buy (add'l)

Jensen Quality Growth (2588) — Sold (part)

T. Rowe Price Capital Appreciation (2588) — Dividend — Buy (add'l)

T. Rowe Price Capital Appreciation (2588) — Sold (part)

SPDR S&P 500 Index (2588) — Dividend — Buy (add'l)

SPDR S&P 500 Index (2588) — Sold (part)

SPDR S&P 500 Index (2588) — Sold

American Funds EuroPacific Growth-A (2588) — Dividend — Sold (part)

American Funds EuroPacific Growth-A (2588) — Sold (part)

American Funds EuroPacific Growth-A (2588) — Sold

Invesco Int'l Growth Fund C1 Y (2588) — None — Sold

Nuveen High Yield Muni Bond Fund C1 A (2588) — Dividend — Sold (part)

Nuveen High Yield Muni Bond Fund C1 A (2588) — Sold

Rydex Inverse S&P 500 Strategy Fund (2588) — None — Buy

Rydex Inverse S&P 500 Strategy Fund (2588) — Buy (add'l)

Schwab Value Advantage (2588) — Dividend — Buy

Schwab Value Advantage (2588) — Buy (add'l)

Schwab Value Advantage (2588) — Sold (part)

Money Market Sweep (2588) — Int./Div.

Blackrock Floating Rate Income (2588) — Dividend — Buy

Blackrock Floating Rate Income (2588) — Sold

SPDR DJIA (2588) — Dividend — Buy

SPDR DJIA (2588) — Sold

SPDR S&P 500 Growth (2588) — Dividend — Buy

SPDR S&P 500 Growth (2588) — Buy (add'l)

SPDR S&P 500 Growth (2588) — Sold (part)

SPDR S&P 500 Growth (2588) — Sold

Edgewood Growth (2588) — None — Buy

Edgewood Growth (2588) — Sold

iShares MSCI USA Min. Volatility (2588) — Dividend — Buy

iShares MSCI USA Min. Volatility (2588) — Sold

Hartford Core Equity Y (2588) — None — Buy

Hartford Core Equity Y (2588) — Sold

Fidelity Puritan (2588) — Dividend — Buy

Fidelity Puritan (2588) — Buy (add'l)

Fidelity Puritan (2588) — Sold

Vanguard Growth ETF (2588) — Dividend — Buy

Vanguard Growth ETF (2588) — Buy (add'l)

Vanguard Growth ETF (2588) — Sold (part)

Vanguard Growth ETF (2588) — Sold

Schwab US Small Cap (2588) — Dividend — Buy

Schwab US Small Cap (2588) — Buy (add'l)

Schwab US Small Cap (2588) — Sold (part)

Schwab US Small Cap (2588) — Sold

T. Rowe Price Capital Appreciation (5289) — Dividend — Sold (part)

T. Rowe Price Capital Appreciation (5289) — Buy (add'l)

Jensen Quality Growth (5289) — Dividend — Buy

Jensen Quality Growth (5289) — Buy (add'l)

Rydex Reverse S&P 500 2X Stretegy Cl H )5289) — None — Buy

Fidelity Puritan (5289) — Dividend — Buy (add'l)

Fidelity Puritan (5289) — Sold (part)

Fidelity Puritan (5289) — Sold

SPDR Trust S&P 500 Index (5289) — Dividend — Buy (add'l)

SPDR Trust S&P 500 Index (5289) — Buy (add'l)

SPDR Trust S&P 500 Index (5289) — Sold (part)

SPDR Trust S&P 500 Index (5289) — Sold

Rydex Series Trust S&P 500 Fund Class H (5289) — None — Sold

SPDR Dow Jones Industrial Average ETF (5289) — Dividend — Buy (add'l)

SPDR Dow Jones Industrial Average ETF (5289) — Buy (add'l)

SPDR Dow Jones Industrial Average ETF (5289) — Sold (part)

SPDR Dow Jones Industrial Average ETF (5289) — Sold

iShares Russell 1000 Growth (5289) — Dividend — Sold (part)

iShares Russell 1000 Growth (5289) — Buy (add'l)

iShares Russell 1000 Growth (5289) — Sold (part)

iShares Russell 1000 Growth (5289) — Sold

Rydex Internet Fund (5289) — None — Buy (add'l)

Rydex Internet Fund (5289) — Buy (add'l)

Rydex Internet Fund (5289) — Sold (part)

Rydex Internet Fund (5289) — Sold

VanEck Vectors Semiconductor (5289) — None — Sold

Vanguard Financials Index Fund ETF (5289) — Dividend — Buy (add'l)

Vanguard Financials Index Fund ETF (5289) — Sold (part)

Vanguard Financials Index Fund ETF (5289) — Sold

iShares DJ US IDX Transportation (5289) — None — Sold (part)

iShares DJ US IDX Transportation (5289) — Sold

John Hancock Funds International Growth (5289) — None — Sold (part)

John Hancock Funds International Growth (5289) — Sold (part)

John Hancock Funds International Growth (5289) — Sold

Powershares Qqq Trust (5289) — Dividend — Buy

Powershares Qqq Trust (5289) — Buy (add'l)

Powershares Qqq Trust (5289) — Sold (part)

Powershares Qqq Trust (5289) — Sold

Wisdom Tree Emerging Markets (5289) — None — Buy

Wisdom Tree Emerging Markets (5289) — Sold

Credit Suisse Commodity Strategy (5289) — Dividend — Buy

Credit Suisse Commodity Strategy (5289) — Buy (add'l)

Credit Suisse Commodity Strategy (5289) — Sold (part)

Credit Suisse Commodity Strategy (5289) — Sold

iShares Russell 2000 (5289) — Dividend — Buy

iShares Russell 2000 (5289) — Buy (add'l)

iShares Russell 2000 (5289) — Sold (part)

iShares Russell 2000 (5289) — Sold

Schwab Value Advantage (5289) — Dividend — Buy

Schwab Value Advantage (5289) — Buy (add'l)

Schwab Value Advantage (5289) — Sold (part)

SPDR Gold Shares (5289) — None — Buy

Schwab US Large-Cap (5289) — Dividend — Buy

Schwab US Large-Cap (5289) — Sold

Proshares Short S&P 500 (5289) — None — Buy

Proshares Short S&P 500 (5289) — Sold

Proshares Short QQQ (5289) — None — Buy

Proshares Short QQQ (5289) — Sold

iShares S&P 100 (5289) — None — Buy

iShares S&P 100 (5289) — Sold

SPDR S&P Telecom (5289) — None — Buy

SPDR S&P Telecom (5289) — Sold

Rydex Health Care (5289) — None — Buy

Rydex Health Care (5289) — Buy (add'l)

Rydex Health Care (5289) — Sold (part)

Rydex Health Care (5289) — Sold

Fidelity Contrafund Fund (5289) — None — Buy

Fidelity Contrafund Fund (5289) — Sold

Money Market Sweep (5289) — Int./Div.

Schwab Government Money (5289) — Dividend — Sold

American Century Equity Income Fund (IRA-1410) — None — Sold (part)

American Century Equity Income Fund (IRA-1410) — Sold

Schwab Value Advantage (IRA-1410) — Dividend — Buy

Schwab Value Advantage (IRA-1410) — Buy (add'l)

Schwab Value Advantage (IRA-1410) — Sold (part)

SPDR DJIA (IRA-1410) — Dividend — Buy

SPDR DJIA (IRA-1410) — Sold

Schwab U.S. Treasury Money Funds (IRA-1410) — Interest — Sold

Money Market Sweep (IRA-1410) — Int./Div.

PIMCO Foreign Bond (Hedged)-D (IRA-1410) — Dividend — Sold (part)

PIMCO Foreign Bond (Hedged)-D (IRA-1410) — Sold

Fidelity Puritan (IRA-1410) — Dividend — Buy (add'l)

Fidelity Puritan (IRA-1410) — Sold

MFS Value Fund A (IRA-1410) — None — Sold (part)

MFS Value Fund A (IRA-1410) — Sold

Eaton Vance Income Fund of Boston (IRA-1410) — Dividend — Buy (add'l)

Eaton Vance Income Fund of Boston (IRA-1410) — Sold (part)

Eaton Vance Income Fund of Boston (IRA-1410) — Sold

Jensen Quality Growth (IRA-1410) — Dividend — Buy (add'l)

Jensen Quality Growth (IRA-1410) — Sold (part)

Columbia Balanced-Class A (IRA-1410) — None — Sold

Permanent Portfolio (IRA-1410) — None — Sold (part)

Permanent Portfolio (IRA-1410) — Sold

American Funds EuroPacific Growth-A (IRA-1410) — None — Sold (part)

American Funds EuroPacific Growth-A (IRA-1410) — Sold (part)

American Funds EuroPacific Growth-A (IRA-1410) — Sold

Rydex Inverse S&P 500 Strategy Fund (IRA-1410) — None — Buy

Rydex Inverse S&P 500 Strategy Fund (IRA-1410) — Buy (add'l)

T. Rowe Price Capital Appreciation (IRA-1410) — Dividend — Buy (add'l)

T. Rowe Price Capital Appreciation (IRA-1410) — Buy (add'l)

T. Rowe Price Capital Appreciation (IRA-1410) — Sold (part)

Value Line Asset Allocation Investor (IRA-1410) — None — Buy

Value Line Asset Allocation Investor (IRA-1410) — Sold

Edgewood Growth Retail (IRA-1410) — None — Buy

Edgewood Growth Retail (IRA-1410) — Sold

Hartford Core Equity A — None — Buy

Hartford Core Equity A — Buy (add'l)

Hartford Core Equity A — Sold (part)

Hartford Core Equity A — Sold

iShares MSCI USA Minimum Volatility (IRA-1410) — Dividend — Buy

iShares MSCI USA Minimum Volatility (IRA-1410) — Sold

iShares Russell 1000 Growth (IRA-1410) — Dividend — Buy

iShares Russell 1000 Growth (IRA-1410) — Buy (add'l)

iShares Russell 1000 Growth (IRA-1410) — Sold (part)

iShares Russell 1000 Growth (IRA-1410) — Sold

iShares Russell 2000 (IRA-1410) — Dividend — Buy

iShares Russell 2000 (IRA-1410) — Buy (add'l)

iShares Russell 2000 (IRA-1410) — Sold (part)

iShares Russell 2000 (IRA-1410) — Sold

Hartford Floating Rate (IRA-1410) — Dividend — Buy

Hartford Floating Rate (IRA-1410) — Sold

T. Rowe Price Capital Appreciation (IRA-5055) — Dividend — Buy (add'l)

T. Rowe Price Capital Appreciation (IRA-5055) — Buy (add'l)

Schwab Government Money Fund (IRA-5055) — Interest — Sold

Fidelity Puritan (IRA-5055) — Dividend — Buy (add'l)

Fidelity Puritan (IRA-5055) — Sold (part)

Fidelity Puritan (IRA-5055) — Sold

Guggenheim S&P 500 Equal Wgt Technology (IRA-5055) — Dividend — Buy (add'l)

Guggenheim S&P 500 Equal Wgt Technology (IRA-5055) — Buy (add'l)

Guggenheim S&P 500 Equal Wgt Technology (IRA-5055) — Sold (part)

Guggenheim S&P 500 Equal Wgt Technology (IRA-5055) — Sold

Rydex NASDAQ-100 Fund (IRA-5055) — None — Buy (add'l)

Rydex NASDAQ-100 Fund (IRA-5055) — Buy (add'l)

Rydex NASDAQ-100 Fund (IRA-5055) — Sold (part)

Rydex NASDAQ-100 Fund (IRA-5055) — Sold

SPDR S&P 500 Index (IRA-5055) — Dividend — Buy (add'l)

SPDR S&P 500 Index (IRA-5055) — Buy (add'l)

SPDR S&P 500 Index (IRA-5055) — Sold (part)

SPDR S&P 500 Index (IRA-5055) — Sold

iShares Russell 1000 Growth (IRA-5055) — Dividend — Sold (part)

iShares Russell 1000 Growth (IRA-5055) — Sold

Rydex Electronics (IRA-5055) — None — Sold

Rydex Transportation (IRA-5055) — None — Sold (part)

Rydex Transportation (IRA-5055) — Sold

First Trust DJ Internet Index Fund (IRA-5055) — None — Buy (add'l)

First Trust DJ Internet Index Fund (IRA-5055) — Buy (add'l)

First Trust DJ Internet Index Fund (IRA-5055) — Sold (part)

First Trust DJ Internet Index Fund (IRA-5055) — Sold

SPDR Sector-Financial (IRA-5055) — Dividend — Buy (add'l)

SPDR Sector-Financial (IRA-5055) — Sold (part)

SPDR Sector-Financial (IRA-5055) — Sold

Jensen Quality Growth (IRA-5055) — Dividend — Buy

Jensen Quality Growth (IRA-5055) — Buy (add'l)

Rydex Inverse S&P 500 Strategy Fund (IRA-5055) — None — Buy

Schwab Value Advantage (IRA-5055) — Dividend — Buy

Schwab Value Advantage (IRA-5055) — Buy (add'l)

Schwab Value Advantage (IRA-5055) — Sold (part)

SPDR Gold Shares (IRA-5055) — None — Buy

Money Market Sweep (IRA-5055) — Int./Div.

Schwab Government Money (IRA-5055) — Dividend — Sold

Rydex Inverse NASDAQ-100 Strategy (IRA-5055) — None — Buy

Rydex Inverse NASDAQ-100 Strategy (IRA-5055) — Buy (add'l)

Rydex Inverse NASDAQ-100 Strategy (IRA-5055) — Sold (part)

Rydex Inverse NASDAQ-100 Strategy (IRA-5055) — Sold

iShares S&P 100 (IRA-5055) — None — Buy

iShares S&P 100 (IRA-5055) — Sold

Rydex Nova (IRA-5055) — None — Buy

Rydex Nova (IRA-5055) — Sold

Rydex Telecommunications (IRA-5055) — None — Buy

Rydex Telecommunications (IRA-5055) — Sold

Rydex Health Care (IRA-5055) — None — Buy

Rydex Health Care (IRA-5055) — Buy (add'l)

Rydex Health Care (IRA-5055) — Sold (part)

Rydex Health Care (IRA-5055) — Sold

Harbor Capital Appreciation Fund (IRA-5055) — None — Buy

Harbor Capital Appreciation Fund (IRA-5055) — Sold

iShares Russell 2000 (IRA-5055) — Dividend — Buy

iShares Russell 2000 (IRA-5055) — Buy (add'l)

iShares Russell 2000 (IRA-5055) — Sold (part)

iShares Russell 2000 (IRA-5055) — Sold

Credit Suisse Commodity Strategy (IRA-5055) — Dividend — Buy

Credit Suisse Commodity Strategy (IRA-5055) — Buy (add'l)

Credit Suisse Commodity Strategy (IRA-5055) — Sold (part)

Credit Suisse Commodity Strategy (IRA-5055) — Sold

John Hancock Funds International Growth (IRA-5055) — Dividend — Sold (part)

John Hancock Funds International Growth (IRA-5055) — Sold (part)

John Hancock Funds International Growth (IRA-5055) — Sold

Vanguard FTSE Emerging Markets (IRA-5055) — Dividend — Buy

Vanguard FTSE Emerging Markets (IRA-5055) — Sold

Trust # 1

JP MorganChase Bank Account — Interest

John Hancock Life Insurance Policy — Interest

Director, Fordham Law Alumni Association

Trustee, Trust # 1

Reimbursement — American Bankruptcy Institute — 9/20-21/2018 — Washington, D.C. — Participation in Views from the Bench — Travel, hotel, dinner

Spouse's income — 2018 — Defined Benefit Plan

All information and explanations relate to Part VII:

Lines 8: As a retiree, my spouse receives monthly distributions from the Keogh (Target) Plan. The aggregate amount of the monthly distributions in 2018 is listed

in column "D(3)" as having been made on December 31, 2018.

Line 10: No contributions were made to the Capital "A" account in 2018.

lines 11-288: I maintain two IRA brokerage accounts and my spouse and I maintain two brokerage accounts held as tenants in common with Charles Schwab. The

report identifies the security that is the subject of the reported transaction with a parenthetical reference that identifies the last four digits of the account number

and whether the account is an IRA account. Where multiple purchases or sales were made during the year, the aggregate amount of the income, if any, and the

value of the asset (if held at the end of the reporting period) are reported on the first line on which the asset is listed.

line 291: The John Hancock Life Insurance Policy is a Flexible Premium Survivorship Universal Life ("Second to Die") policy that my spouse and I maintain for

the benefit of our son. I am not aware of any investment options and have never directed any investments. In addition, the value listed in column c(2) is the gross

value and does not reflect the substantial "surrender charge" in the event that the policy is cancelled.