# Stuart M. Bernstein > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/5844 ## Record - **Judge:** Stuart M. Bernstein - **Year:** 2016 - **Report type:** Annual - **Pages:** 16 ## Text PIMCO Foreign Bond (Hedged)-D mmm — Sold (part) 401K Plan Vanguard Prime Money Market Instl (401K) — Int/Div T. Rowe Price Personal Strat Balanced (401K) — Int/Div JP Morgan Chase Bank Accounts — Interest Citibank Accounts — Interest Citibank Account — Interest Citibank Account — Interest Keogh (Target) Plan--Plan — Int/Div — Sold (part) Phoenix Life Insurance (Whole Life) — Int/Div Defined Benefit Trust--Qualified Plan 11 — None — Sold (part) Non-Deductible Contribution Plan 111 {Capital "C" Account) — None — Sold (part) Capital "A" Account — None — Sold (part) Schwab US Treasury Money Fund mm — Interest PIMCO Foreign Bond (Hedged)-D mmm — Int/Div — Buy (add'l) Metropolitan West Total Return Bond Fund [ — Int/Div — Sold (part) Metropolitan West Total Return Bond Fund [ — Sold Ivy Municipal High Income Fund mmm — Int/Div — Sold (part) Ivy Municipal High Income Fund mmm — Sold (part) Ivy Municipal High Income Fund mmm — Sold T. Rowe Price Capital Appreciation — Int/Div — Buy (add'l) T. Rowe Price Capital Appreciation — Sold (part) FPA Crescent mom — None — Sold American Century Equity Income Fund [] — Int/Div — Buy (add'l) Voya Corporate Leaders 100 Fund Class A [ — None — Sold (part) Voya Corporate Leaders 100 Fund Class A [ — Sold AQR Managed Funds Strategy Fund CL N [ — None — Sold Invesco Diversified Dividend - A pom — Int/Div — Buy Invesco Diversified Dividend - A pom — Buy (add'l) Permanent Portfolio mom — Int/Div — Buy Vanguard Div Appreciation mm — Int/Div — Buy Vanguard Div Appreciation mm — Buy (add'l) iShares Russell 2000 Index pom — None — Buy Black Rock Floating Rate Income Inv A [ — Int/Div — Buy Black Rock Floating Rate Income Inv A [ — Buy (add'l) Lord Abbett Floating Rate Fund C1 A [] — Int/Div — Buy Black Rock High Yield Bond mo — Int/Div — Buy Black Rock High Yield Bond mo — Buy (add'l) T. Rowe Price Capital Appreciation mom — Int/Div — Buy (add'l) SPDR Sector-Industrials pum — Int/Div — Buy SPDR Sector-Industrials pum — Buy (add'l) Schwab Government Money Fund po — Interest Rydex Consumer Products pmo — None — Sold (part) Rydex Consumer Products pmo — Sold (part) Rydex Consumer Products pmo — Sold Fidelity Puritan pom — Int/Div — Buy (add'l) Fidelity Puritan pom — Sold (part) SPDR Sector-Technology mm — None — Sold (part) SPDR Sector-Technology mm — Sold SPDR Trust S&P 500 Index mm — Int/Div — Sold (part) SPDR Trust S&P 500 Index mm — Sold (part) SPDR Trust S&P 500 Index mm — Sold SPDR Trust S&P 500 Index mm — Buy American Century Equity Income pum — Int/Div — Buy American Century Equity Income pum — Buy (add'l) American Century Equity Income pum — Buy (add'l) American Century Equity Income pum — Sold (part) Rydex Series Trust S&P 500 Fund Class H [ — Int/Div — Buy Rydex Series Trust S&P 500 Fund Class H [ — Buy (add'l) Tortoise MLP & Pipeline Fund pumm — Int/Div — Buy Guggenheim S&P S00 Pure Value pus — Int/Div — Buy Guggenheim S&P S00 Pure Value pus — Buy (add'l) Guggenheim S&P S00 Pure Value pus — Sold (part) SPDR Select Sector-Consumer Discretionary fmm — Int/Div — Buy iShares Core S&P Small-cAP pom — Int/Div — Buy iShares Russell 2000 Index mmm — Int/Div — Buy iShares Russell 2000 Index mmm — Buy (add'l) iShares U.S. Telecommunications ETF [ — Int/Div — Buy iShares U.S. Telecommunications ETF [ — Sold Deutsche Global Infrastructure Fund C18 [ — Int/Div — Buy Deutsche Global Infrastructure Fund C18 [ — Sold BlackRock Health Sciences Opportunities [ — None — Buy BlackRock Health Sciences Opportunities [ — Sold American Century Equity Income Fund (IRA mm — Int/Div — Sold American Century Equity Income Fund (IRA mm — Buy American Century Equity Income Fund (IRA mm — Buy (add'l) Schwab U.S. Treasury Money Funds (IRA mm — Interest Metropolitan West Total Return Bond Fund (IRA — Int/Div — Sold (part) Metropolitan West Total Return Bond Fund (IRA — Sold PIMCO Foreign Bond (Hedged)-D (IRA py — Int/Div — Buy (add'l) PIMCO Foreign Bond (Hedged)-D (IRA py — Sold (part) T. Rowe Price Capital Appreciation (IRA — None — Sold Rydex Consumer Products (IRA mom — None — Buy (add'l) Rydex Consumer Products (IRA mom — Sold (part) Rydex Consumer Products (IRA mom — Sold (part) Rydex Consumer Products (IRA mom — Sold DoubleLine Total Return Bond (IRA mm — Int/Div — Sold (part) DoubleLine Total Return Bond (IRA mm — Sold (part) DoubleLine Total Return Bond (IRA mm — Sold James Balanced Golden Rainbow Fund (IRA mm — Int/Div — Buy (add'l) James Balanced Golden Rainbow Fund (IRA mm — Sold (part) Fidelity Puritan (IR zum — Int/Div — Buy MFS Value Fund A (IR mm — Int/Div — Buy MFS Value Fund A (IR mm — Buy (add'l) Permanent Portfolio (IRA om — Int/Div — Buy Schwab US Small-Cap ETF (IRA pom — None — Buy Eaton Vance Income Fund of Boston (IRA — Int/Div — Buy Eaton Vance Income Fund of Boston (IRA — Buy (add'l) Lord Abbett Floating Rate Fund CI A (IRA. py — Int/Div — Buy Voya Floating Rate Fund C1 A (IRA mm — Int/Div — Buy Voya Floating Rate Fund C1 A (IRA mm — Buy (add'l) Deutsche Global Infrastructure Fund C1 S (IRA{mm — Int/Div — Buy Deutsche Global Infrastructure Fund C1 S (IRA{mm — Sold Longboard Managed Futures Strategy Fund (IRA — None — Sold T. Rowe Price Capital Appreciation (IRA mm — Int/Div — Buy (add'l) T. Rowe Price Capital Appreciation (IRA mm — Sold (part) T. Rowe Price Capital Appreciation (IRA mm — Sold (part) ICON Industrials Fund Class S (IRA pom — None — Buy Schwab Government Money Fund (IRA mm — Interest Fidelity Puritan (IRA zm — Int/Div — Sold Fidelity Puritan (IRA zm — Buy Rydex S&P 500 Pure Growth (IRA zum — None — Sold Rydex Consumer Products (IRA zo — None — Sold (part) Rydex Consumer Products (IRA zo — Sold Guggenheim S&P S00 Equal Wet Technology (TRA mm — Int/Div — Sold (part) Guggenheim S&P S00 Equal Wet Technology (TRA mm — Sold Guggenheim S&P S00 Equal Wet Technology (TRA mm — Buy Schwab U.S. Large-Cap E17 (IRA mm — None — Sold American Century Equity Incme (IRA — Int/Div — Buy American Century Equity Incme (IRA — Buy (add'l) Columbia Small Cap Index-Class A (IRA mm — None — Buy Income Fund of America-F (IRA pom — Int/Div — Buy Income Fund of America-F (IRA pom — Buy (add'l) Rydex S&P 500 Pure Value Fund (IRA — Int/Div — Buy Rydex S&P 500 Pure Value Fund (IRA — Buy (add'l) Rydex S&P 500 Pure Value Fund (IRA — Sold (part) ProFunds Consumer Services Ultra Sector (IRA mm — None — Buy Rydex Telecommunications (IRA pom — Int/Div — Buy Tortoise MLP & Pipeline Fund (IRA mom — Int/Div — Buy Guggenheim Equal Weight-Industrials (IRA — Int/Div — Buy iShares Russell 2000 Index (IRA pom — Int/Div — Buy iShares Russell 2000 Index (IRA pom — Buy (add'l) BlackRock Health Sciences Opportunities (IRA — None — Buy BlackRock Health Sciences Opportunities (IRA — Sold Deutsche Global Infrastructure Fund C18 (IRA =m — Int/Div — Buy Deutsche Global Infrastructure Fund C18 (IRA =m — Sold Trust#1 JP MorganChase Bank Account — Interest John Hancock Life Insurance Policy — Interest Director Reimbursement — Institute — -*2016 Caribbean Insolvency Symposium’ Spouse's income — 2016 — Pension All information and explanations relate to Part VII: Lines 8: As a retiree, [000 receives monthly distributions from the Keogh (Target) Plan. The aggregate amount of the monthly distributions in 2016 is listed in column "IN3)" as having been made on December 31, 2016. Line 10: This entry relates to a Defined Benefit Trust-Qualified Plan 11. Upon vesting, there will be a right to an annuity, but the present value of annuity fluctuates annually based on my and 00000 ages and the interest rate and mortality assumptions prescribed by the IRS. No contributions were made to this plan in 2016. As 4 retiree, II receives monthly distributions from this plan. The aggregate amount of the monthly distributions in 2016 is listed in column IX3) as having been made on December 31, 2016. Line 11: Asa retiree, [1 receives monthly distributions from her Capital "C." The aggregate amount of the monthly distributions in 2016 is listed in column "D(3)" as having been made on December 31, 2016. Line 17: No contributions were made to the Capital "A" account in 2015. lines 13-136: 1 maintain two IRA brokerage accounts and [00 and | 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 TRA account. Where multiple purchases or sales were made during the year, 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 140: The John Hancock Life Insurance Policy is a Flexible Premium Survivorship Universal Life ("Second to Die”) policy that [0000 and 1 maintain for the benefit of [0 Tam not aware of any investment options and have never directed any investments. In addition, the value listed in column ¢{2) is the gross value and does not reflect the substantial "surrender charge" in the event that the policy is cancelled. --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/5844. Public record. Not legal advice.