# Stuart M. Bernstein

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/34018

## Record

- **Judge:** Stuart M. Bernstein
- **Year:** 2020
- **Pages:** 22

## Text

401K Plan
Vanguard Prime Money Market Instl (401k) — Dividend
T. Rowe Price Personal Strat Balanced (401k) — None — Sold
T. Rowe Price Spectrum Moderate Allocation — Dividend — Buy
T. Rowe Price Spectrum Moderate Allocation — Sold
Vanguard Target Ret 2015 — Dividend — Buy
JP Morgan Chase Bank Accounts — Interest
Citibank Accounts — Interest
Citibank Account — Interest
Citibank Account — None — Merged (with line 8)
Keogh (Target) Plan--Plan I — Int./Div. — Distributed (part)
Nassau Life Insurance (Whole Life) — Dividend
Capital "A" Account — None — Distributed
Jensen Quality Growth ( ) — None — Sold (part)
Jensen Quality Growth ( ) — Buy (add'l)
Jensen Quality Growth ( ) — Sold
Cash ( ) — Interest
T. Rowe Price Capital Appreciation ( ) — Dividend — Buy (add'l)
T. Rowe Price Capital Appreciation ( ) — Buy (add'l)
T. Rowe Price Capital Appreciation ( ) — Sold (part)
T. Rowe Price Capital Appreciation ( ) — Sold (part)
T. Rowe Price Capital Appreciation ( ) — Sold (part)
SPDR S&P 500 Index ( ) — Dividend — Buy (add'l)
SPDR S&P 500 Index ( ) — Sold (part)
SPDR S&P 500 Index ( ) — Sold (part)
Nuveen High Yield Muni Bond Fund C1 A ( ) — Dividend — Buy (add'l)
Nuveen High Yield Muni Bond Fund C1 A ( ) — Sold (part)
IShares Russell 1000 Value ( ) — None — Sold
Ishares Core S&P Small ( ) — None — Buy
Ishares Russell 1000 ( ) — Dividend — Buy
Ishares Russell 1000 ( ) — Sold
Ishares Russell 3000 ( ) — Dividend — Buy
Ishares Russell 3000 ( ) — Sold (part)
Ishares Tr Russell ( ) — None — Buy (add'l)
Ishares Tr Russell ( ) — Sold (part)
Ishares Tr Russell ( ) — Sold
Pacer Trendpilot US ( ) — None — Sold
SPDR Barclays High Yield ( ) — Dividend — Sold (part)
SPDR Barclays High Yield ( ) — Sold (part)
SPDR Barclays High Yield ( ) — Sold
Vanguard FTSE All-World ex-US ) — None — Sold
American Century Equity ( ) — None — Sold
Agr Large Cap Defensive ( ) — None — Buy
Agr Large Cap Defensive ( ) — Sold
Prudential High Yield — Dividend — Sold
Schwab US L Cap Growth ( ) — None — Buy
Schwab US L Cap Growth ( ) — Sold
VanEck Vectors Fallen Angel HiYld ( ) — Dividend — Buy
Vanguard Small Cap ( ) — Dividend — Buy
Vanguard Small Cap ( ) — Sold (part)
BTS Tactical Fixed Income — Dividend — Buy
BTS Tactical Fixed Income — Sold
Calamos Market Neutral Income ( ) — Dividend — Buy
JHancock Intl Growth ( ) — None — Buy
JHancock Intl Growth ( ) — Buy (add'l)
Parnassus Core Equity Fund ( ) — Dividend — Buy
Parnassus Core Equity Fund ( ) — Sold (part)
Rydex Inverse S&P ( ) — None — Buy
Rydex Inverse S&P ( ) — Sold
Schwab Value Fund ( ) — Dividend — Buy
Schwab Value Fund ( ) — Buy (add'l)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold
T. Rowe Price Capital Appreciation ( ) — Dividend — Buy (add'l)
T. Rowe Price Capital Appreciation ( ) — Sold (part)
Jensen Quality Growth (5 ) — Dividend — Buy (add'l)
Jensen Quality Growth (5 ) — Sold (part)
Jensen Quality Growth (5 ) — Sold (part)
Schwab Value Advantage ) — Dividend — Buy
Schwab Value Advantage ) — Sold (part)
Schwab Value Advantage ) — Sold (part)
Schwab Value Advantage ) — Sold
Cash ) — Interest
Guggenheim S&P 500 Equal ( — Dividend — Buy (add'l)
Guggenheim S&P 500 Equal ( — Sold (part)
Guggenheim S&P 500 Equal ( — Sold
Ishares Gold ) — None — Sold
Ishares Msci Emerging Mkt. Fund ) — None — Sold
Ishares Russell 1000 Value ) — None — Sold
Ishares Tr Russell ( ) — Dividend — Buy
Ishares Tr Russell ( ) — Buy (add'l)
Ishares Tr Russell ( ) — Sold (part)
PowerShares S&P 500 Low Volatility ( ) — Dividend — Buy (add'l)
PowerShares S&P 500 Low Volatility ( ) — Sold
PowerShares Qqq Trust ( ) — Dividend — Buy (add'l)
PowerShares Qqq Trust ( ) — Buy (add'l)
PowerShares Qqq Trust ( ) — Buy
PowerShares Qqq Trust ( ) — Sold (part)
PowerShares Qqq Trust ( ) — Sold (part)
PowerShares Qqq Trust ( ) — Sold
Schwab US Broad Mkt ( ) — None — Sold
SPDR S&P 500 ( ) — Dividend — Buy (add'l)
SPDR S&P 500 ( ) — Buy (add'l)
SPDR S&P 500 ( ) — Sold (part)
Vanguard Growth — Dividend — Buy (add'l)
Vanguard Growth — Sold (part)
JPMorgan Emerging Mkts ) — None — Buy
JPMorgan Emerging Mkts ) — Buy (add'l)
Rydex Health Care Fund ( ) — None — Buy
Rydex Health Care Fund ( ) — Buy (add'l)
Rydex Health Care Fund ( ) — Sold
Ishares Core S&P Small ( ) — Dividend — Buy
Ishares Core S&P Small ( ) — Sold (part)
Ishares Core S&P Small ( ) — Sold
Proshares Short S&P ) — None — Buy
Proshares Short S&P ) — Sold
SPDR S&P Homebuilders ( ) — Dividend — Buy
Akre Focus Fund Inst ( ) — None — Buy
Akre Focus Fund Inst ( ) — Sold (part)
Hartford Core Equity ) — Dividend — Buy
Rydex Internet Fund ( ) — None — Buy
Rydex Internet Fund ( ) — Buy (add'l)
Rydex Internet Fund ( ) — Buy (add'l)
Rydex Internet Fund ( ) — Sold (part)
Rydex Inverse Russell 2000 Strategy ( ) — None — Buy
Rydex Inverse Russell 2000 Strategy ( ) — Buy (add'l)
Rydex Inverse Russell 2000 Strategy ( ) — Buy (add'l)
Rydex Inverse Russell 2000 Strategy ( ) — Sold (part)
Rydex Inverse Russell 2000 Strategy ( ) — Sold (part)
Rydex Inverse Russell 2000 Strategy ( ) — Sold
Rydex Inverse S&P ) — None — Buy
Rydex Inverse S&P ) — Sold (part)
Rydex Inverse S&P ) — Sold
Rydex Transportation ( ) — None — Buy
Schwab Value Advantage ( — Dividend — Sold (part)
Schwab Value Advantage ( — Buy (add'l)
Schwab Value Advantage ( — Buy (add'l)
Schwab Value Advantage ( — Sold (part)
Schwab Value Advantage ( — Sold (part)
Schwab Value Advantage ( — Sold (part)
Schwab Value Advantage ( — Sold (part)
Schwab Value Advantage ( — Sold (part)
Schwab Value Advantage ( — Sold
Cash ( ) — Interest
T. Rowe Price Capital Appreciation ) — Dividend — Buy (add'l)
T. Rowe Price Capital Appreciation ) — Buy (add'l)
T. Rowe Price Capital Appreciation ) — Sold (part)
T. Rowe Price Capital Appreciation ) — Sold (part)
Ishares Edge Msci Min ( — Dividend — Buy
Ishares Edge Msci Min ( — Sold (part)
Ishares Edge Msci Min ( — Sold
Ishares Iboxx High Yield ( ) — Dividend — Buy (add'l)
Ishares Iboxx High Yield ( ) — Sold (part)
Ishares Russell 1000 Value ( ) — None — Sold
Ishares Tr Russell ( ) — None — Buy (add'l)
Ishares Tr Russell ( ) — Sold (part)
Ishares Tr Russell ( ) — Sold
Spdr S&P 500 ( ) — Dividend — Sold
American Century Equity ( ) — None — Sold
American Fund High Income ) — Dividend — Sold
Aqr Large Cap Defensive ) — None — Buy (add'l)
Aqr Large Cap Defensive ) — Sold
Doubleline Total Return ) — Dividend — Buy (add'l)
Doubleline Total Return ) — Sold (part)
Doubleline Total Return ) — Sold
Jensen Quality Growth Fund ( ) — Dividend — Buy (add'l)
Jensen Quality Growth Fund ( ) — Sold (part)
Jensen Quality Growth Fund ( ) — Sold (part)
Jensen Quality Growth Fund ( ) — Sold
Jhancock International Growth ) — None — Buy (add'l)
Jhancock International Growth ) — Buy (add'l)
Jhancock International Growth ) — Sold (part)
Parnassus Core Equity Fund — Dividend — Buy (add'l)
Parnassus Core Equity Fund — Sold (part)
Parnassus Core Equity Fund — Sold (part)
Ishares Russell 3000 ( ) — Dividend — Buy
Schwab US Lcap Growth ( ) — None — Buy
Schwab US Lcap Growth ( ) — Sold
SPDR S&P MidCap 400 ) — Dividend — Buy
VanEck Vectors Fallen Angel High Yield Bond ( ) — Dividend — Buy
VanEck Vectors Morninbgstar Wide Moat ) — None — Buy
VanEck Vectors Morninbgstar Wide Moat ) — Sold
Calamos Market Neutral Income ) — Dividend — Buy
Harford Core Equity ) — Dividend — Buy
RiverPark Short Term High Yield ) — Dividend — Buy
RiverPark Short Term High Yield ) — Sold
Royce Pennsylvania Mutual Investment ( ) — None — Buy
Rydex Inverse S&P ) — None — Buy
Rydex Inverse S&P ) — Sold
T. Rowe Price Capital Appreciation ) — Dividend — Buy (add'l)
T. Rowe Price Capital Appreciation ) — Sold (part)
Jensen Quality Growth ) — Dividend — Sold (part)
Guggenheim S&P 500 Equal ( — Dividend — Sold (part)
Guggenheim S&P 500 Equal ( — Buy (add'l)
Guggenheim S&P 500 Equal ( — Sold
Ishares Gold ) — None — Sold
Schwab Value Advantage — Dividend — Buy
Schwab Value Advantage — Sold (part)
Schwab Value Advantage — Sold (part)
Schwab Value Advantage — Sold
Cash — Interest
PowerShares S&P 500 Low Volatility — Dividend — Sold
Schwab US Broad Market — Dividend — Sold
Spdr S&P 500 (I — Dividend — Buy (add'l)
Spdr S&P 500 (I — Sold (part)
Vanguard Growth — Dividend — Buy (add'l)
Vanguard Growth — Sold (part)
Invesco Comstock Y ( — None — Sold
JPmorgan Emerging Markets Equity — None — Buy (add'l)
JPmorgan Emerging Markets Equity — Buy (add'l)
JPmorgan Emerging Markets Equity — Sold (part)
Rydex Nova Fund — None — Buy (add'l)
Rydex Nova Fund — Sold (part)
Rydex Nova Fund — Sold
Ishares Tr Russell — Dividend — Buy
Ishares Tr Russell — Buy (add'l)
Ishares Tr Russell — Buy (add'l)
Ishares Tr Russell — Sold (part)
Ishares Tr Russell — Sold (part)
Ishares Tr Russell — Sold (part)
SPDR S&P Homebuilders — Dividend — Buy
Akre Focus Fund — None — Buy
Akre Focus Fund — Sold (part)
Hartford Core Equity — Dividend — Buy
Rydex Internet Fund — None — Buy
Rydex Internet Fund — Buy (add'l)
Rydex Internet Fund — Buy (add'l)
Rydex Internet Fund — Sold (part)
Rydex Transportation — None — Buy
Powershares Qqq Trust ( ) — Dividend — Buy
Powershares Qqq Trust ( ) — Buy (add'l)
Powershares Qqq Trust ( ) — Sold
Proshares Short S&P ) — None — Buy
Proshares Short S&P ) — Sold
Rydex Health Care Fund ) — None — Buy
Rydex Health Care Fund ) — Buy (add'l)
Rydex Health Care Fund ) — Sold
Rydex Inverse Russell 2000 Strategy — None — Buy
Rydex Inverse Russell 2000 Strategy — Sold
Rydex Inverse S&P ( — None — Buy
Rydex Inverse S&P ( — Buy (add'l)
Rydex Inverse S&P ( — Sold (part)
Rydex Inverse S&P ( — Sold
Trust # 1
JP MorganChase Bank Account — Interest
John Hancock Life Insurance Policy — Interest
401K Plan
Vanguard Prime Money Market Instl (401k) — Dividend
T. Rowe Price Personal Strat Balanced (401k) — None — Sold
T. Rowe Price Spectrum Moderate Allocation — Dividend — Buy
T. Rowe Price Spectrum Moderate Allocation — Sold
Vanguard Target Ret 2015 — Dividend — Buy
JP Morgan Chase Bank Accounts — Interest
Citibank Accounts — Interest
Citibank Account — Interest
Citibank Account — None — Merged (with line 8)
Keogh (Target) Plan--Plan I — Int./Div. — Distributed (part)
Nassau Life Insurance (Whole Life) — Dividend
Capital "A" Account — None — Distributed
Jensen Quality Growth ( ) — None — Sold (part)
Jensen Quality Growth ( ) — Buy (add'l)
Jensen Quality Growth ( ) — Sold
Cash ( ) — Interest
T. Rowe Price Capital Appreciation ( ) — Dividend — Buy (add'l)
T. Rowe Price Capital Appreciation ( ) — Buy (add'l)
T. Rowe Price Capital Appreciation ( ) — Sold (part)
T. Rowe Price Capital Appreciation ( ) — Sold (part)
T. Rowe Price Capital Appreciation ( ) — Sold (part)
SPDR S&P 500 Index ( ) — Dividend — Buy (add'l)
SPDR S&P 500 Index ( ) — Sold (part)
SPDR S&P 500 Index ( ) — Sold (part)
Nuveen High Yield Muni Bond Fund C1 A ( ) — Dividend — Buy (add'l)
Nuveen High Yield Muni Bond Fund C1 A ( ) — Sold (part)
IShares Russell 1000 Value ( ) — None — Sold
Ishares Core S&P Small ( ) — None — Buy
Ishares Russell 1000 ( ) — Dividend — Buy
Ishares Russell 1000 ( ) — Sold
Ishares Russell 3000 ( ) — Dividend — Buy
Ishares Russell 3000 ( ) — Sold (part)
Ishares Tr Russell ( ) — None — Buy (add'l)
Ishares Tr Russell ( ) — Sold (part)
Ishares Tr Russell ( ) — Sold
Pacer Trendpilot US ( ) — None — Sold
SPDR Barclays High Yield ( ) — Dividend — Sold (part)
SPDR Barclays High Yield ( ) — Sold (part)
SPDR Barclays High Yield ( ) — Sold
Vanguard FTSE All-World ex-US ) — None — Sold
American Century Equity ( ) — None — Sold
Agr Large Cap Defensive ( ) — None — Buy
Agr Large Cap Defensive ( ) — Sold
Prudential High Yield — Dividend — Sold
Schwab US L Cap Growth ( ) — None — Buy
Schwab US L Cap Growth ( ) — Sold
VanEck Vectors Fallen Angel HiYld ( ) — Dividend — Buy
Vanguard Small Cap ( ) — Dividend — Buy
Vanguard Small Cap ( ) — Sold (part)
BTS Tactical Fixed Income — Dividend — Buy
BTS Tactical Fixed Income — Sold
Calamos Market Neutral Income ( ) — Dividend — Buy
JHancock Intl Growth ( ) — None — Buy
JHancock Intl Growth ( ) — Buy (add'l)
Parnassus Core Equity Fund ( ) — Dividend — Buy
Parnassus Core Equity Fund ( ) — Sold (part)
Rydex Inverse S&P ( ) — None — Buy
Rydex Inverse S&P ( ) — Sold
Schwab Value Fund ( ) — Dividend — Buy
Schwab Value Fund ( ) — Buy (add'l)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold (part)
Schwab Value Fund ( ) — Sold
T. Rowe Price Capital Appreciation ( ) — Dividend — Buy (add'l)
T. Rowe Price Capital Appreciation ( ) — Sold (part)
Jensen Quality Growth (5 ) — Dividend — Buy (add'l)
Jensen Quality Growth (5 ) — Sold (part)
Jensen Quality Growth (5 ) — Sold (part)
Schwab Value Advantage ) — Dividend — Buy
Schwab Value Advantage ) — Sold (part)
Schwab Value Advantage ) — Sold (part)
Schwab Value Advantage ) — Sold
Cash ) — Interest
Guggenheim S&P 500 Equal ( — Dividend — Buy (add'l)
Guggenheim S&P 500 Equal ( — Sold (part)
Guggenheim S&P 500 Equal ( — Sold
Ishares Gold ) — None — Sold
Ishares Msci Emerging Mkt. Fund ) — None — Sold
Ishares Russell 1000 Value ) — None — Sold
Ishares Tr Russell ( ) — Dividend — Buy
Ishares Tr Russell ( ) — Buy (add'l)
Ishares Tr Russell ( ) — Sold (part)
PowerShares S&P 500 Low Volatility ( ) — Dividend — Buy (add'l)
PowerShares S&P 500 Low Volatility ( ) — Sold
PowerShares Qqq Trust ( ) — Dividend — Buy (add'l)
PowerShares Qqq Trust ( ) — Buy (add'l)
PowerShares Qqq Trust ( ) — Buy
PowerShares Qqq Trust ( ) — Sold (part)
PowerShares Qqq Trust ( ) — Sold (part)
PowerShares Qqq Trust ( ) — Sold
Schwab US Broad Mkt ( ) — None — Sold
SPDR S&P 500 ( ) — Dividend — Buy (add'l)
SPDR S&P 500 ( ) — Buy (add'l)
SPDR S&P 500 ( ) — Sold (part)
Vanguard Growth — Dividend — Buy (add'l)
Vanguard Growth — Sold (part)
JPMorgan Emerging Mkts ) — None — Buy
JPMorgan Emerging Mkts ) — Buy (add'l)
Rydex Health Care Fund ( ) — None — Buy
Rydex Health Care Fund ( ) — Buy (add'l)
Rydex Health Care Fund ( ) — Sold
Ishares Core S&P Small ( ) — Dividend — Buy
Ishares Core S&P Small ( ) — Sold (part)
Ishares Core S&P Small ( ) — Sold
Proshares Short S&P ) — None — Buy
Proshares Short S&P ) — Sold
SPDR S&P Homebuilders ( ) — Dividend — Buy
Akre Focus Fund Inst ( ) — None — Buy
Akre Focus Fund Inst ( ) — Sold (part)
Hartford Core Equity ) — Dividend — Buy
Rydex Internet Fund ( ) — None — Buy
Rydex Internet Fund ( ) — Buy (add'l)
Rydex Internet Fund ( ) — Buy (add'l)
Rydex Internet Fund ( ) — Sold (part)
Rydex Inverse Russell 2000 Strategy ( ) — None — Buy
Rydex Inverse Russell 2000 Strategy ( ) — Buy (add'l)
Rydex Inverse Russell 2000 Strategy ( ) — Buy (add'l)
Rydex Inverse Russell 2000 Strategy ( ) — Sold (part)
Rydex Inverse Russell 2000 Strategy ( ) — Sold (part)
Rydex Inverse Russell 2000 Strategy ( ) — Sold
Rydex Inverse S&P ) — None — Buy
Rydex Inverse S&P ) — Sold (part)
Rydex Inverse S&P ) — Sold
Rydex Transportation ( ) — None — Buy
Schwab Value Advantage ( — Dividend — Sold (part)
Schwab Value Advantage ( — Buy (add'l)
Schwab Value Advantage ( — Buy (add'l)
Schwab Value Advantage ( — Sold (part)
Schwab Value Advantage ( — Sold (part)
Schwab Value Advantage ( — Sold (part)
Schwab Value Advantage ( — Sold (part)
Schwab Value Advantage ( — Sold (part)
Schwab Value Advantage ( — Sold
Cash ( ) — Interest
T. Rowe Price Capital Appreciation ) — Dividend — Buy (add'l)
T. Rowe Price Capital Appreciation ) — Buy (add'l)
T. Rowe Price Capital Appreciation ) — Sold (part)
T. Rowe Price Capital Appreciation ) — Sold (part)
Ishares Edge Msci Min ( — Dividend — Buy
Ishares Edge Msci Min ( — Sold (part)
Ishares Edge Msci Min ( — Sold
Ishares Iboxx High Yield ( ) — Dividend — Buy (add'l)
Ishares Iboxx High Yield ( ) — Sold (part)
Ishares Russell 1000 Value ( ) — None — Sold
Ishares Tr Russell ( ) — None — Buy (add'l)
Ishares Tr Russell ( ) — Sold (part)
Ishares Tr Russell ( ) — Sold
Spdr S&P 500 ( ) — Dividend — Sold
American Century Equity ( ) — None — Sold
American Fund High Income ) — Dividend — Sold
Aqr Large Cap Defensive ) — None — Buy (add'l)
Aqr Large Cap Defensive ) — Sold
Doubleline Total Return ) — Dividend — Buy (add'l)
Doubleline Total Return ) — Sold (part)
Doubleline Total Return ) — Sold
Jensen Quality Growth Fund ( ) — Dividend — Buy (add'l)
Jensen Quality Growth Fund ( ) — Sold (part)
Jensen Quality Growth Fund ( ) — Sold (part)
Jensen Quality Growth Fund ( ) — Sold
Jhancock International Growth ) — None — Buy (add'l)
Jhancock International Growth ) — Buy (add'l)
Jhancock International Growth ) — Sold (part)
Parnassus Core Equity Fund — Dividend — Buy (add'l)
Parnassus Core Equity Fund — Sold (part)
Parnassus Core Equity Fund — Sold (part)
Ishares Russell 3000 ( ) — Dividend — Buy
Schwab US Lcap Growth ( ) — None — Buy
Schwab US Lcap Growth ( ) — Sold
SPDR S&P MidCap 400 ) — Dividend — Buy
VanEck Vectors Fallen Angel High Yield Bond ( ) — Dividend — Buy
VanEck Vectors Morninbgstar Wide Moat ) — None — Buy
VanEck Vectors Morninbgstar Wide Moat ) — Sold
Calamos Market Neutral Income ) — Dividend — Buy
Harford Core Equity ) — Dividend — Buy
RiverPark Short Term High Yield ) — Dividend — Buy
RiverPark Short Term High Yield ) — Sold
Royce Pennsylvania Mutual Investment ( ) — None — Buy
Rydex Inverse S&P ) — None — Buy
Rydex Inverse S&P ) — Sold
T. Rowe Price Capital Appreciation ) — Dividend — Buy (add'l)
T. Rowe Price Capital Appreciation ) — Sold (part)
Jensen Quality Growth ) — Dividend — Sold (part)
Guggenheim S&P 500 Equal ( — Dividend — Sold (part)
Guggenheim S&P 500 Equal ( — Buy (add'l)
Guggenheim S&P 500 Equal ( — Sold
Ishares Gold ) — None — Sold
Schwab Value Advantage — Dividend — Buy
Schwab Value Advantage — Sold (part)
Schwab Value Advantage — Sold (part)
Schwab Value Advantage — Sold
Cash — Interest
PowerShares S&P 500 Low Volatility — Dividend — Sold
Schwab US Broad Market — Dividend — Sold
Spdr S&P 500 (I — Dividend — Buy (add'l)
Spdr S&P 500 (I — Sold (part)
Vanguard Growth — Dividend — Buy (add'l)
Vanguard Growth — Sold (part)
Invesco Comstock Y ( — None — Sold
JPmorgan Emerging Markets Equity — None — Buy (add'l)
JPmorgan Emerging Markets Equity — Buy (add'l)
JPmorgan Emerging Markets Equity — Sold (part)
Rydex Nova Fund — None — Buy (add'l)
Rydex Nova Fund — Sold (part)
Rydex Nova Fund — Sold
Ishares Tr Russell — Dividend — Buy
Ishares Tr Russell — Buy (add'l)
Ishares Tr Russell — Buy (add'l)
Ishares Tr Russell — Sold (part)
Ishares Tr Russell — Sold (part)
Ishares Tr Russell — Sold (part)
SPDR S&P Homebuilders — Dividend — Buy
Akre Focus Fund — None — Buy
Akre Focus Fund — Sold (part)
Hartford Core Equity — Dividend — Buy
Rydex Internet Fund — None — Buy
Rydex Internet Fund — Buy (add'l)
Rydex Internet Fund — Buy (add'l)
Rydex Internet Fund — Sold (part)
Rydex Transportation — None — Buy
Powershares Qqq Trust ( ) — Dividend — Buy
Powershares Qqq Trust ( ) — Buy (add'l)
Powershares Qqq Trust ( ) — Sold
Proshares Short S&P ) — None — Buy
Proshares Short S&P ) — Sold
Rydex Health Care Fund ) — None — Buy
Rydex Health Care Fund ) — Buy (add'l)
Rydex Health Care Fund ) — Sold
Rydex Inverse Russell 2000 Strategy — None — Buy
Rydex Inverse Russell 2000 Strategy — Sold
Rydex Inverse S&P ( — None — Buy
Rydex Inverse S&P ( — Buy (add'l)
Rydex Inverse S&P ( — Sold (part)
Rydex Inverse S&P ( — Sold
Trust # 1
JP MorganChase Bank Account — Interest
John Hancock Life Insurance Policy — Interest
Director, Fordham Law Alumni Association
Trustee, Trust # 1
Director, Fordham Law Alumni Association
Trustee, Trust # 1
Spouse's income — 2020 — Defined Benefit Plan
Spouse's income — 2020 — Defined Benefit Plan
All information and explanations relate to Part VII:
This is a final report. The Reporting Period means 1/1/20-2/26/21

Line 10: The balance in the Citibank account was transferred to one of the other Citibank accounts maintained by my and me.
Lines 11: As a retiree, my receives monthly distributions from the Keogh (Target) Plan. The aggregate amount of the monthly distributions during the
Reporting Period is listed in column "D(3)" as having been made on February 26, 2021.
Line 13: No contributions were made to the Capital "A" account during the Reporting Period, and the balance in the account was distributed during the Reporting
Period. The aggregate amount of the monthly distributions during the Reporting Period is listed in column "D(3)" as having been made on February 26, 2021.
Lines 14-238: I maintain two IRA brokerage accounts and my 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 Reporting Period, 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 241: The John Hancock Life Insurance Policy is a Flexible Premium Survivorship Universal Life ("Second to Die") policy that my and I maintain for
the benefit of our . 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.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/34018. Public record. Not legal advice.