# William H. Pauley 3 > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/4802 ## Record - **Judge:** William H. Pauley 3 - **Year:** 2011 - **Report type:** Annual - **Pages:** 12 ## Text MUIUAL FUNDS AGDAX - ALLIANCE BERNSTEIN HIGH INC FD — Int/Div — Sold (part) MCGFX - ASTON FUNDS MONTAG & CALDWELL — None — Sold SMGIX - COLUMBIA CONTRARIAN CORE FD — None — Sold GSFTX - COLUMBIA FDS SER TRI DIV INC — Int/Div — Sold (part) DPLTX <- DREYFUS HIGH YIELD FD — Int/Div — Sold (part) KDSSX « DWS VALUE SER INC SM CAP — None — Sold SGUX - FIRST EAGLE GLOBAL FUND — None — Sold ICHHX - FRANKLIN/TEMPLETON HARD CUR FD — None — Buy (add'l) FNYZX - FRANKLIN NY TAX FREE INT TRM (formerly FNYTZ) — Interest — Sold (part) HFMCX - HARTFORD MUTUAL FD MID CAP — None — Sold HIPIX - HARTFORD INFLATION PLUS FD — Interest — Sold (part) HSKSX - JP MORGAN TRI HIGHBRIDGE STAT FD — None — Sold IVOAX - MORGAN STANLEY INTL VALUE EQUITY FD — None — Sold SBNYX - LEGG MASON NY MUN FD — Interest — Sold LSGIX «- LOOMIS SAYLES VALLE FD — Int/Div — Sold LISFX - LORD ABBETT MUN INC TR INTER FD — Int/Div — Sold (part) MGRAX -MFS INTLGROWTH FD — Int/Div — Sold NEFJX - NATIXIS ADVISOR SM CAP VALFD — None — Sold PCGRX - PIONEER MID CAP VAL FD — Int/Div — Sold RMUNX <- ROCHESTER MUNI FD — Interest — Sold RYMFX - RYDEX SGI MANAGED FUT STRAT — None — Sold TGBAX - TEMPLETON GLOBAL BOND FD — Interest — Sold (part) DBPIX - DWS ADVISOR FD SHORT DURATION PLUS — Interest — Sold LFRFX- LORD ABBETT INVT TR FLTG RATEFDCLF — Interest — Sold (part) PSSAX - PIMCO STOCKS PLUS TR SHORT STRATEGY — None — Sold AFVPX - ALLIANZ NFJ INTL VALUE FDCLP — Interest — Buy CIGIX - CALAMOS INVT TR NEW INTL GROWTHFDCL 1 — Interest — Buy GNYTX- COLUMBIA FDS SER TR I NY INTERMEDATEMUNBDFDCL Z — Interest — Buy DWOIX - DREYFUS RESH GROWTH FD INCSHS CL — Interest — Buy DFRPX - DWS PORTFOLIO TR FLTG RATEPLUSFDCLS — Interest — Buy HRVIX - HEARTLAND GROUP INC VALUE PLUS FUND — Interest — Buy ISTIX - HANCOCK JOHN STRATEGIC SER INCOME FD CLI — Interest — Buy NMCAX - ING EQUITY TR MID CAP OPPIYSFDCLA — None — Buy ONSDX - INVESCO CONVERTIBLE SECURITIES FUND CLASS Y — Interest — Buy JSMGX - JANUS INVT FD TRITON FD CL) — None — Buy VANTX -JPMORGAN TR I NY TAX FREEBDFDCL A — Interest — Buy LHYFX- LORD ABBETT HIGH YIELD FDCLF — Interest — Buy FAQIX - NUVEEN EQUITY INCOME FUNDCLY — Interest — Buy OOSYX - OPPENHEIMER SENIOR FLOATING RATE FUNDCLY — Interest — Buy PUSYX - PUTNAM US GOVERNMENT INCOME TRUSTALY — Interest — Buy VETAX- VICTORY PORTFOLIOS ESTABLISHED VALUEFD CL A — Int/Div — Buy FMLSX - WASATCH FDS INC LONG; SHORT FD — None — Buy SGRKX - WELLS FARGO ADVANTAGE GROWTH FUND ADMIN CL — None — Buy ANNUITIES DISCOVERY PLUS — Interest CASH AND CASH EQUIVALENTS JP MORGAN CHASE — Interest U.S. TREASURY BILLS — Interest — Sold (part) US. SAVINGS BONDS — Interest — Sold (part) AXA FIN'L LIFE INS {Cash Surrender Value) — Int/Div AXA FIN'L LIFE INS (Cash Surrender Value) — Int/Div WACHOVIA MONEY MARKET ACCOUNT — Interest NEW YORK 529 COLL SVGS MOD AGE- BASED OPT: INCOME PORTFOLIO — Interest NEW YORK 529 COLL SVGS MOD AGE- BASED OPT: CONSERY GROWTH — Interest — Buy NEW YORK 529 COLL SVGS INTEREST ACCUMULATION PORTFOLIO — Interest TRMXX - RBC PRIME MONEY MARKET FD RESERVE CL — Interest — Sold (part) RETIREMENT ACCOUNTS 401K PLAN - ING — Interest IRA SCUDDER - DWS CORE PLUS INCOME FUND — Interest IRA SCUDDER - DWS GLOBAL THEMATIC FUND — Interest TRMXX - RBC PRIME MONEY MARKET FD RESERVE CL — None — with line 67) ACMXX - RBC MONEY MARKET OBLIGATIONS TRUST — Interest AGDAX - ALLIANCE BERNSTEIN HIGH INC FD — Int/Div — Buy (add'l) MCGFX - ASTON FUNDS MONTAG & CALDWELL — None — Sold BGNIX - BLACKROCK GNMA PORTFOLIO — Int/Div — Sold (part) SMGIX - COLUMBIA CONTRARIAN CORE FD — None — Sold GSFTX - COLUMBIA FDS SER TR1 DIV INC — Int/Div — Sold (part) DPLTX <- DREYFUS HIGH YIELD FD — Int/Div — Sold (part) KDSSX « DWS VALUE SER INC SM CAP — None — Sold SGHX - FIRST EAGLE GLOBAL FUND — Distribution — Sold ICHHX - FRANKLIN/TEMPLETON HARD CUR FD — Int/Div — Buy (add'l) HFMCX - HARTFORD MUTUAL FD MID CAP — None — Sold HIPIX - HARTFORD INFLATION PLUS FD — Int/Div HLLVX - JP MORGAN SHORT DUR BOND FD — Int/Div — Sold (part) HSKSX - JP MORGAN TRI HIGHBRIDGE STAT FD — None — Sold WOBDX «JP MORGAN TR2 CORE BD — Int/Div — Sold (part) LSGIX <- LOOMIS SAYLES VALLE FD — None — Sold MGRAX <- MFS INTL GROWTH FD — Int/Div — Sold IVQAX - MORGAN STANLEY INTL VALUE EQUITY FD — None — Sold NEFJX - NATIXIS ADVISOR SM CAP VALFD — None — Sold PAGNX - PIMCO GNMA FD — Int/Div — Sold (part) PCGRX - PIONEER MID CAP VAL FD — Int/Div — Sold RYMFX - RYDEX SGI MANAGED FUT STRAT — None — Sold TAIBX - TARGET PORTFOLIO INTER TERM BD — Int/Div — Sold TGBAX - TEMPLETON GLOBAL BOND FD — Int/Div — Buy (add'l) PSSAX - PIMCO STOCK PLUS TR SHORT STRATEGY — Interest — Sold LFRFX- LORD ABBETT INVT TR FLTG RATEFD CLF — Interest — Sold (part) RBLCX - RUSSELL INVT BALANCED STRATEGY FD CLC — Int/Div — Buy (add'l) DBPIX - DWS ADVISOR FD SHORT DURATION PLUS — Interest — Sold AGDAX - ALLIANCE BERNSTEIN HIGH INCOME FUNDCL A — Interest — Buy AFVPX - ALLIANZ NFJ INTL VALUE FDCLP — Interest — Buy CIGIX - CALAMOS INVT TR NEW INTL GROWTHFDCL — Interest — Buy DWOIX - DREYFUS RESH GROWTH FD INCSHS CL — Interest — Buy DFRPX - DWS PORTFOLIO TR FLTG RATEPLUSFDCLS — Interest — Buy ICHHX - FRANKLINTEMPLETON HARD CURRENCY FUND-ADVISOR CL — None — Buy JSTIX - HANCOCK JOHN STRATEGIC SER INCOME FD CLI — Interest — Buy HIPIX « HARTFORD INFLATION PLUS FUNDCL 1 — Interest — Buy HRVIX - HEARTLAND GROUP INC VALUE PLUS FUND — Interest — Buy NMCAX «ING EQUITY TR MID CAP OPPTYSFDCL A — None — Buy CNSDX - INVESCO CONVERTIBLE SECURITIES FUND CLASS Y — Interest — Buy JSMGX - JANUS INVT FD TRITON FD CL — None — Buy LHYFX - LORD ABBETT HIGH YIELD FDCLF — Interest — Buy FAQIX - NUVEEN EQUITY INCOME FUNDCLY — Interest — Buy PUSYX - PUTNAM US GOVERNMENT INCOME TRUSTLALY — Interest — Buy TGBAX - TEMPLETON GLOBAL BOND FD — Interest — Buy VETAX - VICTORY PORTFOLIOS ESTABLISHED VALUEFD CL A — Interest — Buy SGRKX - WELLS FARGO ADVANTAGE GROWTH FUND ADMIN CL — None — Buy FMLSX - WASATCH FDS INC LONG; SHORT FD — None — Buy Semor Member of Board of Visitors, Duke Umiversity School of Law Agreement — 1998 — Continuation of payments agreement with former law partner, Franklyn H. Smitow, and his law firm, Smtow Kanter Holtzer & Millus, LLP. Reimbursement — Duke University School of Law — October 20-22. 2011 — Durham, NC — Board of Visitors Meeting — Travel, food, and lodging. Reimbursement — George Washington Univ School of Law — November 15 - 16, 2001 — Washington, D.C — Moot Court Competition — Travel, food and lodging. Spouse's income — 2011 — Self-Employed Licensed Real Estate Sales Person and Insurance Agent Spouse's income — 2011 — Self-Employed Floral Designer None. --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/4802. Public record. Not legal advice.