# Kim McLane Wardlaw > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/4381 ## Record - **Judge:** Kim McLane Wardlaw - **Year:** 2014 - **Report type:** Annual - **Pages:** 42 ## Text Trust #5 (IR-K) ROTH IRA AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div — Sold (part) AMERICAN FUNDS NEW PERSPECTIVE FUND — Sold (part) AMERICAN FUNDS NEW PERSPECTIVE FUND — Sold (part) AMERICAN FUNDS NEW PERSPECTIVE FUND — Sold (part) CAPITAL GROUP CORE BOND FUND — Int/Div — Buy CAPITAL WORLD GROWTH & INCOME FD — Int/Div — Sold (part) SSGA US GOV MONEY MARKET FUND — None Schwab Pension Acct (IRA) Abbott Labs Com Stock — Int/Div Abbvie — Int/Div — Sold American Express Com Stock — Int/Div — Sold (part) Apache Corp Com Stock — Int/Div Apple Corp Com Stock — Int/Div Berkshire Hathaway — None BHP Billiton Com Stock — Int/Div Blackrock Inc Com Stock — Int/Div Boemg Co — Int/Div — Buy Celgene Corp — None — Buy Cemer Corp Com Stock — None — Sold (part) Chevron Corp Com Stock — Int/Div Citicorp — Int/Div Colgate-Palmolive Com Stock — Int/Div Conocophillips Com Stock — Int/Div Cummings Inc — Int/Div CVS Caremark — Int/Div — Sold Danaher Corp Com Stock — Int/Div The Walt Disney Co. Com Stock — Int/Div — Sold (part) DuPont Co Com Stock — Int/Div — Sold EMC Corp Com Stock — Int/Div Ebay Inc — None — Buy GE Com Stock — Int/Div Gilead Sciences Inc — None — Buy Gilead Sciences Inc — Buy Google Inc. Com Stock — None — Sold (part) Holly Frontier Corp. — Int/Div — Buy IBM Com Stock — Int/Div Intel Corp Com Stock — Int/Div Intuit Inc — Int/Div JP Morgan Chase Com Stock — Int/Div Lowes Compames — Int/Div Merck & Co Com Stock — Int/Div Nextera Energy — Int/Div Nike Inc Com Stock — Int/Div — Sold (part) Novo - Nordisk — Int/Div — Sold (part) Oracle Corp — Int/Div Pepsico Inc Com Stock — Int/Div Proctor & Gamble Com Stock — Int/Div Qualcomm Ine. Com Stock — Int/Div Roche Hldg Lud — Int/Div Schlumberger Ltd — Int/Div Sempra Energy Com Stock — Int/Div Target Corp Com Stock — Int/Div TCP Capital Corp — Int/Div — Buy Union Pacific Corp Com Stock — Int/Div Verizon Com Stock — Int/Div 1Shares MSC Index Fund — Int/Div 1Shares Small Cap Index Fund — Int/Div Vanguard Emerging Market Fund — Int/Div CAPITAL TRUST ACCOUNT ABBVIE INC — Int/Div — Buy ABBVIE INC — Buy ABBVIE INC — Buy ABBVIE INC — Buy ABBVIE INC — Buy ABBVIE INC — Sold (part) ACCENTURE PLC — Int/Div ACELTD — Int/Div — Buy AIR PRODUCTS & CHEMICALS INC — Int/Div — Sold (part) ALLEGHENY TECHNOLOGIES INC — Int/Div — Sold (part) ALLEGHENY TECHNOLOGIES INC — Sold (part) ALLEGHENY TECHNOLOGIES INC — Sold (part) ALLEGHENY TECHNOLOGIES INC — Sold (part) ALLEGHENY TECHNOLOGIES INC — Sold (part) ALLEGHENY TECHNOLOGIES INC — Sold (part) ALLEGHENY TECHNOLOGIES INC — Sold ALLERGAN INC — Int/Div — Sold (part) ALLERGAN INC — Sold AMERICAN TOWER CORP — Int/Div — Sold (part) AMERICAN TOWER CORP — Sold (part) AMERISOURCEBERGEN CORP — Int/Div — Buy AMERISOURCEBERGEN CORP — Buy AMERISOURCEBERGEN CORP — Buy AMERISOURCEBERGEN CORP — Buy AON PLC — Int/Div — Buy AON PLC — Buy APPLE INC — Int/Div — Sold (part) ASTRAZENECA PLC ADR — None — Buy ALTOMATIC DATA PROCESSING INC — Int/Div — Buy ALTOMATIC DATA PROCESSING INC — Buy ALTOMATIC DATA PROCESSING INC — Buy ALTOMATIC DATA PROCESSING INC — Buy AVAGO TECHNOLOGIES LTD — Int/Div — Buy AVAGO TECHNOLOGIES LTD — Buy BAY AREA TOLL AUTH 06C2 CA VAR 04/01/45 — Interest BB&T CORP — Int/Div — Sold (part) BB&T CORP — Sold (part) BB&T CORP — Sold (part) BB&T CORP — Sold (part) BB&T CORP — Sold (part) B/E Aerospace — None BEAM INC — None — Sold BLACKROCK INC — Int/Div — Sold (part) BLACKROCK INC — Sold (part) BLACKROCK INC — Sold BOEING CO — Int/Div — Buy BRISTOL-MYERS SQUIBB CO — Int/Div — Sold (part) BRISTOL-MYERS SQUIBB CO — Sold (part) BRISTOL-MYERS SQUIBB CO — Sold (part) BROADCOM CORP — Int/Div — Sold (part) CA HLTH FAC CEDAR-SINAI MED 5.0% 08/1521 — Interest CA HLTH HENRY MAYO NEWHALL MEM HOSP AGM — Interest — Buy CA ED FAC UNIV OF SAN FRANCISCO £0% 1000121 — Interest CA PUB WKS REGENTS UNIV CA CI S0% 0301/19 — Interest CA ST ECON REC 09A 5.0% 07/01/20 Tow! — Interest CAST GO 5.0% 02/01/20 — Interest CAST GO NATL 5.0% 06/01/15 — Interest CA ST JOSEPH HLTH HOSP CA-F AGM £25% 0701/16 — Interest CA STWD ST JOSEPHS HLTH FSA 4.5% 0720118 — Interest CALIFORNIA ST ECON REC (9A 5% 0701/19 — Interest CALIFORNIA ST UNIV REVENUE SER AS0% 110117 — Interest CATERPILLAR INC — Int/Div CENTENE CORP — None — Sold (part) CENTENE CORP — Sold (part) CENTENE CORP — Sold (part) CENTENE CORP — Sold (part) CENTENE CORP — Sold CENTRAL VLY COGEN CARSON-ICE 31.59% 07/01/14 — Interest — Matured CME GROUP INC — Int/Div CARNIVAL CORP COMMON PAIRED STOCK — Int/Div — Sold (part) CARNIVAL CORP COMMON PAIRED STOCK — Sold (part) CARNIVAL CORP COMMON PAIRED STOCK — Sold (part) CDK GLOBAL INC — None — Buy CDK GLOBAL INC — Sold (part) CDK GLOBAL INC — Sold CENOVLS ENERGY INC — Int/Div — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Buy CENOVLS ENERGY INC — Sold (part) CENOVLS ENERGY INC — Sold (part) CENOVLS ENERGY INC — Sold (part) CENOVLS ENERGY INC — Sold (part) CENOVLS ENERGY INC — Sold CERNER CORP — None CHARTER COMMUNICATIONS INC — None CHEVRON CORP — Int/Div — Buy CHEVRON CORP — Buy CLEARWATER FL WTR/SWR B 5.0% 12/01/18 — Interest COACH INC — Int/Div — Sold (part) COACH INC — Sold (part) COACH INC — Sold COMCAST CORPCL A — Int/Div — Sold (part) CONOCOPHILLIPS — Int/Div — Buy CONOCOPHILLIPS — Buy CONOCOPHILLIPS — Buy CONOCOPHILLIPS — Buy CONOCOPHILLIPS — Buy DAIMLER AG ADR — Int/Div — Buy DAIMLER AG ADR — Buy DAIMLER AG ADR — Sold (part) DANAHER CORP — Int/Div DARDEN RESTALRANTS INC — Int/Div — Sold (part) DARDEN RESTALRANTS INC — Sold DELPHI AUTOMOTIVE PLC — Int/Div — Buy DELPHI AUTOMOTIVE PLC — Buy DELPHI AUTOMOTIVE PLC — Buy DIAGEO PLC SPONSORED ADR — Int/Div DOW CHEMICAL CO — Int/Div — Buy EATON CROP PLC — Int/Div EMERSON ELECTRIC CO — Int/Div — Sold (part) EOG RESOURCES INC — Int/Div ENSCO PLCCL A — Int/Div — Sold (part) ENSCO PLCCL A — Sold AMERICAN FUNDS EUROPEAN GROWTH FUND — Int/Div GENPACTLTD — None — Sold (part) GENPACTLTD — Sold (part) GENPACTLTD — Sold GILEAD SCIENCES INC — None — Sold (part) GILEAD SCIENCES INC — Sold (part) GOLDMAN SACHS GROUP INC — Int/Div GOOGLE INCCL A — None — Sold (part) GUAM BUS PRIVILEGE TAX 11A 5.0% 01/01/18 — Interest HALLIBURTON CO — Int/Div — Sold (part) HALLIBURTON CO — Sold (part) HALLIBURTON CO — Sold (part) HEXCEL CORP — None — Buy HEXCEL CORP — Sold (part) HOME DEPOT INC — Int/Div — Sold (part) HOME DEPOT INC — Sold (part) IDEX CORP — Int/Div — Buy (add'l) IDEX CORP — Buy IDEX CORP — Buy INCYTE CORP — None — Buy INCYTE CORP — Buy INCYTE CORP — Buy IRON MOUNTAIN INC — Int/Div — Buy IRON MOUNTAIN INC — Buy IRONWOOD PHARMACEUTICALS INC CLA — None — Sold (part) IRONWOOD PHARMACEUTICALS INC CLA — Sold (part) IRONWOOD PHARMACEUTICALS INC CLA — Sold (part) IRONWOOD PHARMACEUTICALS INC CLA — Sold (part) IRONWOOD PHARMACEUTICALS INC CLA — Sold JABIL CIRCUIT INC — Int/Div — Sold (part) JABIL CIRCUIT INC — Sold (part) JACK HENRY & ASSOC INC — Int/Div JOHNSON CONTROLS INC — Int/Div — Buy JOHNSON CONTROLS INC — Sold JP MORGAN CHASE & CO — Int/Div LA COCA MTA SALES TAX REV SR PROP C 13A 5.0% 07/0120 — Interest — Buy MARSH & MCLENNAN COS INC — Int/Div — Buy MICROSOFT CORP — Int/Div MONSANTO CONEW COM — Int/Div MOSAIC COTHE — Int/Div — Sold (part) MOSAIC COTHE — Sold NATIONAL GRID PLC -SP ADR — Int/Div AMERICAN FUNDS NEW WORLD FUND — Int/Div NEWELL RUBBERMAID INC — Int/Div NIELSEN HOLDING NV — Int/Div NIKEINCCLB — Int/Div — Sold (part) NOBLE ENERGY INC — Int/Div — Sold (part) NORFOLK SOUTHERN CORP — Int/Div — Sold (part) NORFOLK SOUTHERN CORP — Sold (part) NORWEGIAN CRUISE LINE HOLDINGS LTD — None — Buy NORWEGIAN CRUISE LINE HOLDINGS LTD — Buy NOVO NORDISK A/'SCL B ADR — Int/Div NUCOR CORP — Int/Div — Sold (part) NUCOR CORP — Sold OR PROVIDENCE HLTH C SIFMA+100 FRN (MPT) — Interest ORACLE CORP — Int/Div PEPSICO INC — Int/Div — Sold PFIZER INC — Int/Div PHILIP MORRIS INTERNATIONAL INC — Int/Div — Buy PNC FINANCIAL SERVICES GROUP INC — Int/Div — Buy PNC FINANCIAL SERVICES GROUP INC — Buy PNC FINANCIAL SERVICES GROUP INC — Buy PRAXAIR INC — Int/Div — Buy PRAXAIR INC — Buy PRAXAIR INC — Buy PRAXAIR INC — Buy PROCTER & GAMBLE CO — Int/Div — Buy PROGRESSIVE CORP OHIO — Int/Div — Sold QUALCOMM INC — Int/Div ROSS STORES INC — Int/Div — Sold (part) ROSS STORES INC — Sold (part) ROSS STORES INC — Sold (part) ROSS STORES INC — Sold (part) SAN DIEGO CA REGL AIRPORT A 5.0% 07/01/18 — Interest SANDIEGO COWTR S.0% 0701/16 — Interest SAN DIEGO WTR NATL FGIC 5.25% 050117 — Interest SAN FRAN ARPT 2ND 06F NATL-FGIC £259 05/0120 — Interest SCRIPPS NETWORKS INTERACTIVE CLA — Int/Div SCPPA MAGNOLIA PWR 11-A 5.00% 07/0120 — Interest SCPPA MEAD-ADELANTO 12A 5.0% 0701/18 — Interest SCHLUMBERGER LTD — Int/Div SCHWAB CHARLES NEW — Int/Div — Sold SEATTLE GENETICS INC — None — Sold (part) SEATTLE GENETICS INC — Sold (part) SEATTLE GENETICS INC — Sold (part) SEATTLE GENETICS INC — Sold (part) SEATTLE GENETICS INC — Sold (part) SIEMENS AG ADR — Int/Div — Buy bad) — Sold (part) SIGNET JEWELERS LTD — Int/Div — Sold (part) pak) — Sold (part) pak) — Sold (part) pak) — Sold (part) pak) — Sold SIRIUS XM HOLDINGS — None STARBUCKS CORP — Int/Div — Buy STARBUCKS CORP — Buy SSGA US GOV MONEY MARKET FUND — None STJUDE MEDICAL — Int/Div — Buy STJUDE MEDICAL — Buy STJUDE MEDICAL — Buy STJUDE MEDICAL — Buy STJUDE MEDICAL — Buy STJUDE MEDICAL — Buy TARGET CORP — Int/Div — Sold (part) TARGET CORP — Sold TE CONNECTIVITY LTD — Int/Div — Sold (part) TE CONNECTIVITY LTD — Sold TEXAS INSTRUMENTS INC — Int/Div TIFFANY & CONEW — Int/Div — Sold (part) TIFFANY & CONEW — Sold (part) TIFFANY & CONEW — Sold (part) TIFFANY & CONEW — Sold (part) TIFFANY & CONEW — Sold (part) TIFFANY & CONEW — Sold (part) TIFFANY & CONEW — Sold (part) TIFFANY & CONEW — Sold (part) TOWERS WATSON & COMPANY CL A — Int/Div — Buy TOWERS WATSON & COMPANY CL A — Buy TOWERS WATSON & COMPANY CL A — Buy TURLOCK CA IRR DIS 5.0% 01/01/19 — Interest — Buy TUOLUMNE WIND REV CA TURLOCK IRRDT S25% 01/0124 — Interest UC REGENTS CA LTD PROJ 12G 5.0% 05/18/22 — Interest UNILEVER PLC ADR AMER SHS SPON — Int/Div — Buy UNILEVER PLC ADR AMER SHS SPON — Buy UNILEVER NV NY SHRS — Int/Div — Buy RIT) — Buy RIT) — Buy RIT) — Buy RIT) — Sold UNITED TECHNOLOGIES CORP — Int/Div UNITED HEALTH GROUP INC — Int/Div VERISIGN INC — None — Buy VERISIGN INC — Buy VERIZON COMMUNICATIONS — Int/Div — Buy VERIZON COMMUNICATIONS — Buy VERIZON COMMUNICATIONS — Buy VIACOM INCCLASS B — Int/Div — Buy VISAINCCLA — Int/Div — Buy VISAINCCLA — Sold (part) WASTE CONNECTIONS INC — Int/Div — Buy WASTE CONNECTIONS INC — Buy WASTE CONNECTIONS INC — Buy WASTE CONNECTIONS INC — Buy WASTE CONNECTIONS INC — Buy WASTE CONNECTIONS INC — Buy WASTE CONNECTIONS INC — Buy WELLS FARGO & CO (NEW) — Int/Div — Buy WELLS FARGO & CO (NEW) — Buy WELLS FARGO & CO (NEW) — Buy WELLS FARGO & CO (NEW) — Buy TRUST #2 (4306) CAPITAL GROUP ALTERNATIVE STRATEGIES — None — Buy CAPITAL GROUP GLOBAL EQUITY FUND — Int/Div — Sold (part) CAPITAL GROUP GLOBAL EQUITY FUND — Sold (part) CAPITAL GROUP GLOBAL EQUITY FUND — Sold (part) CAPITAL GROUP GLOBAL EQUITY FUND — Sold (part) CAPITAL GROUP CA SHORT TERM MUNI FUND — Int/Div CAPITAL GROUP EMERGING MARKETS GROWTH FUND INC — Int/Div — Sold CAPITAL GROUP CA CORE MUNICIPAL FUNDT — Int/Div SSGA US GOV MONEY MARKET FUND — None MS Brokerage Asset Acct Alhambra CA Sch Dist 3.0% 08/01/26 — Interest Amazon Inc — None — Distnbuted — Fargo Investment Aruba Network Service (X) — None Banning CA Sch Dist. 4.75% 08/01/23 — Interest Belmont CA Fing Auth 4.0% 09/01/26 — Interest Burbank CA Pub Fling 5.250% 12/01/17 — Interest Buttonwillow CA Sch Dist 5.5% 1 1/01/27 — Interest CAST Dept Wir 5.00% 05/01/21 — Interest CA ed FACS 4.250% 1000118 — Interest CAST GO 5.0% 0801727 — Interest CAST GO 4.75% 0901/28 — Interest Cal ST Pub Works $.25% 12/01/26 — Interest CAST Pub Works 5.25% 06/01/20 — Interest CA ST Pub Works 4.2000 05/01/19 — Interest CA ST Pub Works S.000% 0601/18 — Interest — Sold Carmichael CA WTR Dist $.0% 11/01/25 — Interest Chino Hills CA Tax Rev 4.25% 09/01/24 — Interest Chula Vista CA Pub Fing 3.875% 09/01/17 — Interest Chula Vista CA Sch Dist 4.0% 08/01/26 — Interest Coachella CA Sch Dist 5.000% 0801/19 — Interest Cocrystal Pharma Inc — None — Buy Colton CA Sch Dist 3.25% 0801/26 — Interest Compton CA WTR Rev 5.625% 08/11/27 — Interest Contra Costa CA Community Coll. 4.0% 08/0128 — Interest — Buy Cupertino CA CTFS 3.0% 07/01/26 — Interest Delano CA Sch Dist 4.000% 02/01/25 — Interest Delano CA Sch Dist 4.5% 08/01/27 — Interest — Sold Desert CA Cmuty Coll. 5.00% 08/01,23 — Interest Dublin CA Sch Dist 5.0% 08/01/25 — Interest East Side Sch Dist 5.0% 08/01/24 — Interest El Monte CA Sch Dist. 5.00006 0641/22 — Interest Escondido CA CTFS 4.250% 09/01/19 — Interest Fairfield CA Sch. Dist. 4.000% 08/07/27 — Interest Fairfield CA Sch Dist. 3.0% 08/01/28 — Interest — Buy Fontana CA Pub Fing 4.000% 09/01/18 — Interest Fremont CA Sch Dist 5.0% 08/01/28 — Interest Gilead Sci Inc — None — Buy Gilead Sci Inc — Buy assy — Buy Hemet CA Sch Dist. 4.07% 08/01/23 — Interest Huntington Beach CA Pub Fing 5.0% 09/01/25 — Interest Imperial CNTY CA Sch Dist 3.25% 06/01/23 — Interest Incyte Corp — None — Buy Infoblox — None — Sold Jefferson CA Sch Dist. S.000% 0801/26 — Interest Jefferson CA Sch Dist 5.0% 07/15/26 — Interest Lake Arrowhead CA Dist Wer 4.500% 10126 — Interest Liberty CA High Sch 4.250% 08/01/26 — Interest Lmcoln CA Sch Dist 4.500% 08/01/19 — Interest — Sold Lodi CA Elec Sys 4.5% 07/01/25 — Interest Los Angeles CA Comm College 5.0% 08/0126 — Interest Los Angeles CA DWP 5.0% 07/01/26 — Interest Los Angeles CA Sch Dist 4.75% 07/01/25 — Interest Los Angeles CA Sch Dist. 4.50% 07/01/22 — Interest Madera Co CTFS 4.250% 08/01/22 — Interest Malibu CA CTFS 4.5% 07/01/27 — Interest Montclair CA Fing Auth 3.875% 10:V01/16 — Interest — Sold Mountain View CA High School 4.125% 08/01/16 — Interest Napa Co CTFS 3.600% 02/01/17 — Interest — Sold Oxnard CA Fing Auth 4.750% 06/01/24 — Interest Palmdale CA Redev Agy 3.8000 09/01/16 — Interest Palm Dersert CTFS 5.00% 04/01/22 — Interest Palm Springs Sch Dist. 3.0% 08/01/27 — Interest — Buy Pasadena CA CTFS 5.0% 02/01/24 — Interest Pasadena CA Elec Rev 4.0% 08/01/24 — Interest Placentia-Yorba Linda CA Sch Dist 2.75% 08/0126 — Interest Port Oakland CA Rev Ref 5.00% 11/01/21 — Interest Redding CA Elec Sys. 5.0% 06/01/27 — Interest Redlands CA Sch Dist. 5.000% 07/01/25 — Interest Redondo Beach CA Sch Dist 4.0% 08/01/25 — Interest Riverside Co CTFS 3.875% 11/01/14 — Interest — Sold Ruckus Wireless Inc — None — Sold (part) Sacramento CA Util Dist 5.000% 05/15/14 — Interest — Sold Sacramento CA CTFS 5.000% 12/01/21 — Interest Salinas CA CTFS 4.500% 09/01/20 — Interest — Sold San Diego CA Conv. Cnt 5.0% 04/15/26 — Interest — Buy San Diego PFFA 5.0% 10/15/25 — Interest San Diego Co Wir Auth 4.000% 05/01/20 — Interest San Diego CA Sch Dist 5.5% 07/01/24 — Interest San Diego CNTY CA Regl Trans 5.0% 04/01/29 — Interest San Francisco CA Pub Util 5.0% 11/01/25 — Interest San Francisco CA Pub Util 5.0% 11/01/26 — Interest San Gabriel CA Sch Dist 5.25% 08/01/24 — Interest San Juan CA Sch Dist 5.0% 08/01/25 — Interest San Juan Capistrano Co Fing Auth 4.000% 12/01/17 — Interest — Sold San Leandro CA Sch Dist 4.5% 08/01/26 — Interest Samta Cruz Co CTFS 3.875% 08/01/16 — Interest Santa Cruz Co CTFS 4.200% 08/01/19 — Interest Santa Rosa CA Sch Dist 3.800% 0801/17 — Interest — Sold Santa Rosa CA Wir Rey S.0% 09/01/26 — Interest Seattle Genetics — None — Buy So Cal Logistics 4.125% 12/01/20 — Interest So CA Pub Pwr Auth 5.150% 07/01/15 — Interest So Gate CA fing Auth 5.250% 09/01/19 — Interest — Sold Stockton CA Sch Dist S.000% 08/01/27 — Interest — Buy The Pantry common stock — None Tracy CA Jt Powers 4.2000 09/02/17 — Interest — Sold Western Riverside WTR 4.250% 0901/21 — Interest Yountville CA Fin Auth 4.375% 10/01/24 — Interest Yosemite CA Comm. College 5.0% 08/0125 — Interest MS Bank Deposit — Interest FS Equity Partners IV Sur La Table — None Ross-Simmons — None FS Equity Partners V HH. Gregg Inc common stock — None Smile Brands Inc common stock — None PETCO Animal Supply common stock — None El Pollo Loco Inc common stock — None — Sold (part) FS Equity Partners VI Paradise Holdings common stock — Int/Div BECO Holding Co common stock — None — Sold Floor and Decor common stock — Int/Div Boot Bam common stock — Int/Div First Watch common stock — None — Buy MicroStar common stock — Int/Div Arhous common stock — None totes Isotoner Holdings Corp. common stock — None — Buy FS Equity Partners VII totes Isotoner Holdings Corp common stock — None — Buy Plantation Products, LLC — None — Buy Riordan Venture Association Cymetrix Corp common stock — None — Sold Installers Edge (formerly Saebro Ine) common stock — None — Sold TW Holdings common stock — None Avella, Inc. preferred stock — None Secure Mission Solutions LLC — None — Sold ONE Industries common stock — None Bluewolf Group LLC — None — Buy Siteworx — None Chartis Group — None RGM Group — None Patient Care America (formerly DCRX Infusion) — None Clarity Solution Group — None — Buy Inspirage LLC — None — Buy Bistro 45 common stock — Int/Div MS Retire Accts (401k-profit) Invesco Pacific Growth Fund — Int/Div MSDW Liquid Asset Account Trust Fund — Int/Div Hewlett Packard common stock — Int/Div Proctor & Gamble common stock — Int/Div Altria Group common stock — Int/Div Cisco Sys common stock — Int/Div Kraft Foods Inc common stock — Int/Div Mondelez Int'l common stock — Int/Div Philip Morris — Int/Div Invesco Div. Growth Fund — Int/Div American Funds New World Fund — Int/Div — Buy Trust £3 (M/S UTM-K) General Elec common stock — Int/Div American Funds New World Fund — Int/Div Trust 24 (IR-W) CAPITAL GROUP CORE MUNICIPAL FUND — Int/Div — Buy CAPITAL GROUP ALTERNATIVE STRATEGIES — None — Buy CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div — Sold (part) AMERICAN FUNDS EUROPACIFIC GROWTH FUND — Int/Div — Sold (part) AMERICAN FUNDS FUNDAMENTAL INVESTORS — Int/Div — Sold (part) AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div — Sold (part) AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div — Sold (part) AMERICAN FUNDS CAPITAL WORLD GROWTH & INCOME FD — Int/Div AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div AMERICAN FUNDS NEW WORLD FUND — Int/Div AMERICAN FUNDS SMALL CAP WORLD — None SSGA US GOV Money Mkt Fund {formerly Cash Management Trust of America) — None CAPITAL GROUP CORE MUNICIPAL FUND — Int/Div — Buy CAPITAL GROUP ALTERNATIVE — None — Buy CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div — Sold (part) AMERICAN FUNDS EUROPACIFIC GROWTH — Int/Div — Sold (part) AMERICAN FUNDS FUNDAMENTAL INVESTORS — Int/Div — Sold (part) AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div — Sold (part) AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div — Sold (part) AMERICAN FUNDS CAPITAL WORLD GROWTH & INCOME FD — Int/Div AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div AMERICAN FUNDS NEW WORLD FUND — Int/Div AMERICAN FUNDS SMALL CAP WORLD FUND — None SSGA US GOV Money Mkt Fund (formerly Cash Management Trust of America) — None Trust #6 (98-W) Invesco Divident Growth — Int/Div — Sold (part) American Funds New World Fund — Int/Div Incyte Corp — None — Buy Seattle Genetics Inc — None — Buy MSDW Active Money Trust — Int/Div HH Gregg Inc common stock — None Smile Brands common stock — None PETCO Animal Supply common stock — None El Pollo Loco common stock — None — Sold (part) CAPITAL GROUP CORE MUNICIPAL FUND — Int/Div — Buy CAPITAL GROUP ALTERNATIVE STRATEGIES — None — Buy CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div — Buy AMERICAN FUNDS EUROPACIFIC GROWTH FUND — Int/Div — Buy AMERICAN FUNDS FUNDAMENTAL INVESTORS CL — Int/Div — Sold (part) AMERICAN FUNDS FUNDAMENTAL INVESTORS CL — Sold (part) AMERICAN FUNDS FUNDAMENTAL INVESTORS CL — Sold (part) AMERICAN FUNDS INVESTMENT COMPANY OF AMERICA — Int/Div — Buy AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div — Buy AMERICAN FUNDS NEW WORLD FUND — Int/Div — Buy AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div — Buy AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div AMERICAN FUNDS SMALL CAP WORLD FUND — None SSGA US Gov Money Fund (formerly American Funds Cash Mgmt Trust) — None Trust £7 (98-K) Invesco Dividend Growth — Int/Div — Sold (part) Amencan Funds New World Fund — Int/Div Incyte Corp — None — Buy Seattle Genetics — None — Buy MSDW Active Money Trust — Int/Div HH Gregg Inc common stock — None Smile Brands common stock — None PETCO Animal Supply common stock — None El Pollo Loco common stock — None — Sold (part) CAPITAL FUND CORE MUNICIPAL FUND — Int/Div — Buy CAPITAL GROUP ALTERNATIVE STRATEGIES — None — Buy CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div — Buy AMERICAN FUNDS EUROPACIFIC GROWTH FUND — Int/Div — Buy AMERICAN FUNDS FUNDAMENTAL INVESTORS CL — Int/Div — Sold (part) AMERICAN FUNDS FUNDAMENTAL INVESTORS CL — Sold (part) AMERICAN FUNDS FUNDAMENTAL INVESTORS CL — Sold (part) AMERICAN FUNDS INVESTMENT COMPANY OF AMERICA — Int/Div — Buy AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div — Buy AMERICAN FUNDS NEW WORLD FUND — Int/Div — Buy AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div — Buy AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div AMERICAN FUNDS SMALL CAP WORLD FUND — None SSGA US Gov Money Fund (formerly American Funds Cash Mgmt Trust) — None Real Estate Partnership - Lau — None Real Estate Partnership - Lau W — None — Buy Real Estate Partnership - Lau W — Buy Real Estate Partnership - Lau W — Buy Citibunk Money Market Fund — Interest Citibank Checking — Interest Citibank Checking — Interest Fargo Investment Partmership — None — Sold (part) — MS Brokerage JRK Multifamily LP — None — Buy Urban Housing Investment Fund — None — Sold (part) JP Morgan Account Bluebay Emerging Market Fund — None Gavea Fund — None — Sold (part) Global Access Explorer Fund — None — Sold (part) Maverick Fund — None York Credit Opportunity Fund — None Blackstone Real Estate Fund — None JPM Realty Income Fund — Int/Div — Sold Path-UBS Commodity Index Fund — None — Sold Soc. Generale Gold Lev CBEN 10702/14 — None — Redeemed Soc. Generale Lev Cont Bank 01/14/15 — None JPM STRAT Income Fund — Int/Div — Sold IPM Mort-Backed Fund — Int/Div — Sold JP Morgan Floating Rate Fund — Int/Div — Sold Brevan Howard Emerging Market Fund — None — Redeemed JP Morgan Tri Ex Fund — Int/Div — Sold Soc. Generale PIMS 02/03/14 — None — Redeemed JP Morgan Multi Sector Income Fund — Int/Div — Buy Shannon River Partners — None — Buy Goldman Sachs Group European Note — None — Buy Third Point Partners — None — Buy Citi Acct Alvord CA SR Dist 5.0% 08/01/27 — Interest Cal ST GO 4.5% 0801/26 — Interest Cal ST Pub Works 4.0% 06/01/27 — Interest Fresno CA Sch Dist 5.25% 0801/27 — Interest Fresno CA Sch Dist 3.5% 08/01/26 — Interest Gilroy CA Fing Auth 4.0% 11/01/24 — Interest Hollister CA Find Auth 5.0% 06/01/28 — Interest Kern Cnty CA Wir Dist. 5.0% 05/01/28 — Interest Oceanside CA Sch Dist 4.5% 08/01/28 — Interest Redwood City CA Sch Dist 3.0% 08/01/26 — Interest San Luis Obispo CA CAP IMPR 4.0% 12/0127 — Interest Santa Clara CA Sch Dist 3.5% 07/01/24 — Interest Stockton CA Sch Dist 5.0% 08/01/24 — Interest Board Member Income — 04/0122014 — UCLA - Regent's Lecturer/ Teaching — S$7.500.00 --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/4381. Public record. Not legal advice.