# Stuart M. Bernstein > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/3829 ## Record - **Judge:** Stuart M. Bernstein - **Year:** 2014 - **Report type:** Annual - **Pages:** 17 ## Text 401K Plan — Int/Div Partners Defined Contrib. Plan — Int/Div JP Morgan Chase Bank Accounts — Interest Citibank Accounts — Interest Citibank Account — Interest Citibank Account — Interest Keogh (Target) Plan--Plan — Int/Div Common-The Phoenix Compames — None — Sold Virtus Investment Partners — Int/Div — Sold Phoenix Life Insurance (Whole Life) — Interest Defined Benefit Trust--Qualified Plan 11 — None Non-Deductible Contribution Plan 111 {Capital "C" Account) — None Capital "A" Account — Interest American Funds Capital Income Builder (2588) — Int/Div — Sold (part) American Funds Capital Income Builder (2588) — Int/Div — Sold (part) American Funds Capital Income Builder (2588) — Buy (add'l) American Funds Capital Income Builder (2588) — Int/Div — Sold (part) American Funds Capital Income Builder (2588) — Sold (part) American Funds Capital Income Builder (2588) — Sold (part) American Funds Capital Income Builder (2588) — Int/Div — Sold (part) American Funds Capital Income Builder (2588) — Int/Div — Sold (part) American Funds Capital Income Builder (2588) — Int/Div — Sold (part) American Funds Capital Income Builder (2588) — Sold (part) American Funds Capital Income Builder (2588) — Buy (add'l) American Funds Capital Income Builder (2588) — Int/Div — Buy American Funds Capital Income Builder (2588) — None — Buy American Funds Capital Income Builder (2588) — Buy (add'l) American Funds Capital Income Builder (2588) — Sold (part) American Funds Capital Income Builder (2588) — Int/Div — Buy American Funds Capital Income Builder (2588) — Buy (add'l) American Funds Capital Income Builder (2588) — Buy (add'l) American Funds Capital Income Builder (2588) — Sold (part) American Funds Capital Income Builder (2588) — Sold American Funds Capital Income Builder (2588) — Int/Div — Buy (add'l) American Funds Capital Income Builder (2588) — Buy American Funds Capital Income Builder (2588) — Buy (add'l) American Funds Capital Income Builder (2588) — Int/Div — Buy American Funds Capital Income Builder (2588) — Buy (add'l) American Funds Capital Income Builder (2588) — Buy (add'l) American Funds Capital Income Builder (2588) — Buy (add'l) American Funds Capital Income Builder (2588) — Buy (add'l) American Funds Capital Income Builder (2588) — Sold (part) American Funds Capital Income Builder (2588) — None — Buy American Funds Capital Income Builder (2588) — Buy (add'l) S10. — Buy (add'l) S10. — Sold (part) S10. — Int/Div — Buy S10. — Buy (add'l) S10. — Int/Div — Buy S10. — Buy (add'l) S10. — None — Buy S10. — Int/Div — Buy S10. — Buy (add'l) S10. — Int/Div — Buy S10. — Buy (add'l) S10. — Buy (add'l) S10. — Sold (part) Trust #1 — Interest JP MorganChase Bank Account John Hancock Life Insurance Policy Vanguard Prime Money Market Instl (401k) — Int/Div — Buy T. Rowe Price Personal Strat Balanced (401K) — Int/Div — Buy Dodge & Cox Stock (401k) — Int/Div — Sold Vanguard Institutional Index (401k) — Int/Div — Sold FPA Capital (401k) — Int/Div — Sold American FundsEuroPacific Gr, R6 (401k) — None — Sold Vanguard Prime Money Market Instl {Defined Contribution Plan) — Int/Div — Buy T. Row Price Personal Strat Balanced (Defined Contribution Plan) — Int/Div — Buy Dodge & Cox Stock (Defined Benefit Plan) — Int/Div — Sold Vanguard Intitutional Index (Defined Contribution Plan) — Int/Div — Sold FPA Capital {Defined Contribution Plan) — Int/Div — Sold American Funds EuroPacific Gr R 6 {Defined Contribution Plan) — None — Sold T. Rowe Price Personal Strat Income {Defined Contribution Plan) — Int/Div — Sold Director Reimbursement — Institute — Washington, DC — seminar" Views From the Bench” Income — 2014 — St. John's Law School Teaching — S7.000.00 All information and explanations relate to Part VII: GENERAL COMMENTS . Where the asset was purchased, sold or held in an IRA, "IRA" is noted parenthetically in the "Description of Assets.” 2. Where multiple purchases or sales of an asset were made during the year, the aggregate amount of income, if any, and value (if still held at the end of the reporting period) are reported on the first line on which the asset is listed, SPECIFIC COMMENTS Lines | and 2: These are pension plans, Contributions were made during 2014 to the 401 K (line 1) but not to the Partners Defined Contribution Plan (line 2). The assets in these plans are reported on lines 146-59, Lme 7: The participant in this Keogh account makes annual contributions, but there is no specific account in the participant's name. The value and income reflected on Part VII represent the participant's allocable share of the value and income of the Keogh account. There are also sale transactions in the Keogh account that generate gains and/or losses, These gains and/or losses are reflected in the value of the participant's allocable portion, Line 9: On December 31, 2008, the Phoenix Companies distributed common stock in Virtus Investment Partners, Inc. to Phoenix shareholders. 1, a Phoenix shareholder, did not take note of the Virtus stock dividend until 1 received a $3.15 dividend check in 2014, at which point | inquired about the acquisition of the security. Following the inquiry | sold the Virtus as well as the Phoenix shares. Line 11: This entry relates to 4 Defined Benefit Trust-Qualified Plan 11. Upon vesting, there will be a right to an annuity, but the value of that annuity is not presently calculable. The participant did not make a contribution during 2014, but a contribution on the participant's behalf was made by the participant's firm. Line 12: The participant did not make a contribution to the participant's Capital "C* account in 2014, but the participant's firm made a contribution on the participant's behalf. Line 13: No contributions were made to the Capital "A" account in 2014. lines 14-141 Prior to 2014, | maintained two brokerage accounts with Charles Schwab, an IRA and a| wecount . Each of these accounts was split in two in 2014, consistent with different investment objectives, and the new IRA and T/C accounts were initially funded with journal entry transfers from the corresponding existing accounts, The report treats the transfers as sales by the existing account to the new account. Thereafter, the four accounts engaged in separate purchases and sales as indicated on this report. The report identifies the owner of the security that is the subject of the reported transaction with u purentheticul reference to a four digit number corresponding to the last four digits of the account number. RESPONSES TO AUGUST 7, 2015 LETTER FROM THE COMMITTEE REGARDING PART VII - 2014 REPORT Limes 63 and 128: These entries relate to accounts established in 2014. There would not be any entries regarding these accounts in prior reports. Line 88: The name of the fund has been corrected to "Schwab U.S. Treasury Funds." It is the same fund listed in Part VII, line 44 of the 2013 report where it was misnamed "Schwab Money Market Funds." RESPONSES TO AUGUST 7, 2015 LETTER FROM THE COMMITTEE REGARDING PART VII - 2013 REPORT Line 44: As noted above, the fund was misnamed the "Schwab Money Market Funds,” The correct name is "Schwab U.S. Treasury Funds® Line 66: The sale of American High Income (IRA) was reported on line 85 of the 2014 report. Line 70: The sale of Rydex Inverse Gov't Long Bond (IRA) was reported on line 76 of the 2013 report. --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/3829. Public record. Not legal advice.