# Nicholas Garaufis > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/5495 ## Record - **Judge:** Nicholas Garaufis - **Year:** 2011 - **Report type:** Annual - **Pages:** 9 ## Text BANK DEPOSIT SWEEP PROGRAM — Interest DAVIS NEW YORK VENTURE CLASS A — Int/Div NEUBERGER BERMAN FOCUS FUND — Int/Div — Sold (part) NEUBERGER BERMAN FOCUS FUND — Sold (part) BLACKROCK MID CAP VALUE FUND CLASS A — Int/Div — Sold (part) INVESTCO VAN KAMPEN AMERICAN — Int/Div INVESTCO GLOBAL GROWTHFDC(CLB — Int/Div ALLIANCE BALANCED SHARES(CLB — Int/Div ISHARES TR. RUSSELL 1000 — Int/Div FIDELITY ADVISOR INFLATION PROTECTED BDFD CL A — Int/Div — Sold (part) ALLIANCE REAL ESTATE INVESTMENT FD A — Int/Div OPPENHEIMER SM & MID CAP VALUL FUND — Int/Div ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH FUND — Int/Div ALLIANCE GROWTH & INCOME FUND CLR: — Int/Div — Sold (part) CITY OF NEW YORK DEFERRED COMPENSATION PLAN — Int/Div ABC PENSION PLAN — None INVESTCO GLOBAL EQUITY FUND — Int/Div ISHARES MIDCAP — Int/Div ISHARES TRMSCI — Int/Div — Buy (add'l) ISHARES TRMSCI — Buy (add'l) ISHARES TRMSCI — Buy (add'l) ISHARES RUSSELL 2000 — Int/Div — Sold (part) ISHARES MSCI EMERGING MKT — Int/Div MUTUAL SERIES CLASS C — Int/Div SPDR S&P SOO ETF TR — Int/Div PIMCO TOTAL RETURN CLC — Int/Div OPPENHEIMER GLOBAL FUND — Int/Div INVESTCO VAN KAMPEN EQUITY & INCOME — Int/Div AMERICAN FUNDS: AMERICAN BALANCED CLASS C — Int/Div OPPENHEIMER LTD. TERM NY MUNI — Int/Div — Sold ALLIANCE BERNSTEIN LG CAP GROWTH SB — Int/Div AMERICAN FUNDS: AMERICAN CAPITAL INCOME BUILDER CLASS ( — Int/Div OPPENHEIMER GLOBAL CLASS ( — Int/Div — with line 28) AMERICAN GROWTH FD OF AMERICA { ud — Int/Div AMERICAN FUNDS: AMERICAN HIGH INCOME CLASS FUND — Int/Div INVESTCO DEVELOPING MKTCL A — Int/Div OPPENHEIMER INT BD FD — Int/Div VANGUARD INT TERM TAX — Int/Div — Sold (part) PIMCO COMM REAL RETURN — Int/Div ROYCE TOTAL RET. INV — Int/Div I SHARES S&P SMCAP 600 — Int/Div COLUMBIA SM CAP VAL II CIA — Int/Div EAGLESMCAPFDA — Int/Div ISHARES RUSSELL 2000 VALUE — Int/Div 2004 TRLST — None RYDEX SGI MGE FUTURES — Int/Div — Sold (part) RYDEX SGI MGE FUTURES — Sold PIMCO UNCONSTRAINED — Int/Div ARTISAN INTL INVESTOR — Int/Div FORWARD SELECT INC INST — Int/Div ISHARES TR COHEN & STEERS REALTY — Int/Div PIMCOHIGH YIELD A — Int/Div FORWARD TACTICAL GROWTH FD CL 5d — Int/Div BLACKROCK GLOBAL ALLOCATION FDCLC — Int/Div — Buy BLACKROCK GLOBAL ALLOCATION FDCLC — Buy (add'l) BLACKROCK GLOBAL ALLOCATION FDCLC — Buy (add'l) ARTISAN MID-CAP VALLE — Int/Div — Buy LOCORR MANAGED FUTURES STRATEGY FD — Int/Div — Buy MAINSTAY ICAP SELECT — Int/Div — Buy MEMBER, BOARD OF DIRECTORS, SPECTATOR PUBLISHING COMPANY. INC MEMBER. EXECUTIVE COMMITEE, NEW YORK CITY BAR ASSOCIATION Income — 2011 — ABC INC. RETIREMENT PLAN — S13.053 Spouse's income — 2011 — CITIZENS BUDGET COMMISSION, FORM 1099-MISC, « CONSULTING INCOME Spouse's income — 2011 — NEW YORK UNIVERSITY. FORM 1099-MISC - CONSULTING INCOME Spouse's income — 3201 — PROSPECT PARK ALLIANCE. FORM 1099-MISC = CONSULTING INCOME Spouse's income — 2011 — IPMORGAN CHASE FOR DELOITTE. FORM 11899.R « PENSION INCOME VII, PAGE 4 OF 9, LINE 1: NAME CHANGED FROM PRIME FUND - CAPITAL RESERVES TO BANK DEPOSIT SWEEP PROGRAM. VII, PAGE 4 OF 9, LINE 6: NAME CHANGED FROM INVESTCO LARGE CAP GROWTH FD CL B TO INVESTCO VAN KAMPEN AMERICAN. VIL PAGE 3 OF 9, LINE 17: ABC, INC, PENSION PLAN. | AM DESIGNATED TO RECEIVE MONTHLY PENSION BENEFITS UNDER PENSION PLAN. PART 111, LINE 2 DISCLOSES INCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON MY DEATH. --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/5495. Public record. Not legal advice.