# Cathy L. Waldor > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/7393 ## Record - **Judge:** Cathy L. Waldor - **Year:** 2013 - **Report type:** Annual - **Pages:** 14 ## Text H) Brokerage Account #1 (44) Clearbridge Tactical Dividend Income Fund CC — Int/Div — Buy (add'l) Gugenheim Small Cap Value Fund C1 C (X) — Int/Div Mainstay Epoch Global Equity Yield CC — Int/Div Mainstay High Yield Muni Bond Fund C1 xX) — Interest — Sold NJ Higher Education Stu SR a RV (X) — Int/Div — Sold Prncipal Investors Preferred Securities Fund CC — Int/Div RS Floating Rate Fund C1 C — Int/Div Nuveen Insd Dividend Adv Muni (X) — Int/Div — Sold Franklin Templeton Income Fund C1 C (X) — Int/Div Thomburg Income Builder C1 C — Int/Div — Buy (add'l) Unts FT Rich Bernstem Advisors Quality Ine Port Ser 3 (X) — Int/Div — Redeemed Goldman Sachs Income Builder Fund C1 C — Int/Div — Buy Market Vectors High Yield Muni ETF — Int/Div — Buy Sun America Polaris Choice IV - Annuity — None — Buy Sun America Polaris Choice IV « Annuity — None — Buy (add'l) MetLife Investors USA Inc. Co. Series L Annuity (X) — None H) Brokerage Account #2 (45) SPDR Nuveen Barclays Short Term Bond FTF — Int/Div — Buy SPDR Ser Trust Nuveen High Yield ETF — Int/Div — Buy SPDR Ser Trust Nuveen High Yield ET — None — Sold iShares Trust Russell 2000 Index ETF — Int/Div — Buy iShares Trust Core S&P Mid Cap E11 — Int/Div — Buy iShares Mortgage Real Estate Capped ETF — Int/Div — Buy iShares Mortgage Real Estate Capped ETF — None — Sold iShares TIPS Bond ETF — Int/Div — Buy Vanguard FTSE Emerging Market ETF — Int/Div — Buy (add'l) Vanguard FTSE Emerging Market ETF — None — Sold (part) Vanguard Index Funds Vanguard Growth FTF — Int/Div — Buy (add'l) Vanguard Total Stock Market ETF (X) — Int/Div — Sold (part) Vanguard Index Fund S & P 500 ETF — Int/Div — Sold (part) Vanguard High Divid Yield ETF — Int/Div — Sold (part) Vanguard Divid Appreciation ETF — Int/Div — Sold (part) Vanguard Mega Cap ETF — Int/Div — Sold (part) Market Vectors Short Municipal Index ETF — Int/Div — Buy Market Vectors High Yield Muni ETF — Int/Div — Buy H) Brokerage Account 43 (41) Vanguard Index Funds Vanguard Growth FTF — Int/Div — Buy (add'l) Vanguard FTSE Emerging Markets ETF — Int/Div — Buy (add'l) Vanguard FTSE Emerging Markets ETF — None — Sold (part) Vanguard FTSE Emerging Markets ETF — None — Sold (part) Vanguard High Divid Yield ETF SHS — Int/Div — Sold (part) Vanguard Index FDS S&P 500 ETF SHS — Int/Div — Sold (part) Vanguard Total Stock Mkt ETF — Int/Div — Sold (part) Vanguard Mega Cap ETF DE — Int/Div — Sold (part) Vanguard Divid Appreciation ETF — Int/Div — Sold (part) SPDR Ser Trust Nuv Hehyld ETF — Int/Div — Buy SPDR Ser Trust Nuv Hghyld ETF — None — Sold (part) SPDR Ser Trust Nuv Hghyld ETF — None — Sold SPDR Nuveen Barclays Short Term BD FTF — Int/Div — Buy iShares Mortgage Real Estate Capped ETF — Int/Div — Buy iShares Mortgage Real Estate Capped ETF — None — Sold iShares Tips Bond E17 DE — Int/Div — Buy iShares Trust Core S&P Mid-Cap ETF — Int/Div — Sold (part) iShares Trust Russell 2000 Index Fund — Int/Div — Sold (part) Market Vectors High Yield Muni ETF — None — Buy Market Vectors Trust Short Municipal Index FTF — None — Buy H) Brokerage Account #4 (40) JPMorgan Income Builder Class C — Int/Div — Buy (add'l) Principal Global Diversified Income Fund — Int/Div — Buy (add'l) Clearbridge Tactical Dividend Income — Int/Div — Buy Thomburg Income Builder Class C — Int/Div — Buy (add'l) Principal-Smallcap Dividend Income Funds — Int/Div — Buy Cohen & Steers Preferred Sec & Inc Fund C xX) — Int/Div Nuveen NJ Div Adv 2 Muni Fund Term Preferred Due 1101/15 (X) — Int/Div Franklin Income Fund C (X) — Int/Div H)(X) Brokerage Account #5 (51) Principal MidCap Fund Class C — Int/Div — Buy Principal MidCap Fund Class C — None — Buy (add'l) Blackrock Basic Value Fund C — Int/Div Blackrock Global Allocation Fund Inc € — Int/Div Blackrock Equity Dividend Fund € — Int/Div — Sold Franklin Templeton Mutual Global Discover Fund C1C — Int/Div Frunklin Templeton Income € — Int/Div American Funds American Balanced Fund iC — Int/Div First Eagle Global Fund C1C — Int/Div Ivy Asset Strategy fund C1 C — Int/Div JP Morgan Income Builder — Int/Div Thomburg Income Builder C1 C — Int/Div H) Brokerage Account #6 (52) Vanguard Total Stock Market ETF — Int/Div — Buy Vanguard Total Stock Market ETF — None — Sold Vanguard FTSE Europe ETF — Int/Div — Buy Vanguard FTSE Emerging Market ETF (X) — Int/Div — Sold Vanguard Bond Index Fund Inc. Total Bond Mkt ETF — Int/Div — Sold (part) Vanguard Bond Index Fund Inc. Total Bond Mkt ETF — None — Sold (part) iShares Trust Core S & P Small-Cap ETF — Int/Div — Buy iShares Trust Core S & P Small-Cap ETF — None — Sold iShares Trust Core S & P Small-Cap ETF — None — Buy iShares Trust Russell MidCap Index Fund FTF — Int/Div — Buy iShares Russell MidCap Growth ETF — Int/Div — Buy iShares 1-3 Credit Bond ETF — Int/Div — Buy iShares Gold Trust ETF (X) — None — Sold iShares MSC1 EAFE Index Fund — None — Sold SPDR Barclays 1-3 Month T-Bill ETF — None — Buy (add'l) SPDR Barclays 1-3 Month T-Bill ETF — None — Buy (add'l) SPDR Barclays 1-3 Month T-Bill ETF — None — Buy (add'l) SPDR Barclays 1-3 Month T-Bill ETF — None — Sold (part) SPDR Barclays 1-3 Month T-Bill ETF — None — Sold (part) SPDR Barclays 1-3 Month T-Bill ETF — None — Sold SPDR S&P SOO ETF TR — Int/Div — Buy (add'l) SPDR S&P SOO ETF TR — None — Sold (part) Riverpark/Wedgewood Retail Funds — Int/Div — Buy (add'l) Oppenheimer Senior Floating Rate Fund Class A — Int/Div — Buy Oppenheimer Senior Floating Rate Fund Class A — None — Buy (add'l) FMI Large Cap Fund — Int/Div — Buy (add'l) Mainstay ICAP International Fund A — Int/Div — Buy (add'l) Paradigm Value Fund (X) — None — Sold Prudential Jennison Mid-Cap Growth Fund — None — Sold John Hancock Disciplined Value Mid Cap Fund C1 A — Int/Div Manning & Napier World Opportunities — Int/Div Franklin Templeton Global Bond Fund F1 A — Int/Div JP Morgan Core Bond Fund — Int/Div Virtus Multi-Sector Short Term Bond Fund CLA — Int/Div HY (X) IRA #1 (42) First Eagle Global Fund Class C — Int/Div — Buy (add'l) Blackrock Equity Dividend Fund C — Int/Div Blackrock Global Allocation Fund — Int/Div Franklin Templeton Mutual Global Discovery Fund C1 C — Int/Div Franklin Templeton Income C — Int/Div American funds American Balanced Fund CC — Int/Div H) IRA £2 (43) American Funds American Balanced Fund QC — Int/Div Blackrock Global Allocation Fund C1 C — Int/Div AXA Equitable Flexible Premium Variable Life Insurance #1 (X) — None AXA Equitable Flexible Premium Variable Life Insurance #2 (X) — None Market Vectors ETF Tr Gold Miners (X) — None Vomado Rity Senior Unsecured Notes TRIS% (XO — None Line 71 - This account was inadvertently omitted from the 2012 disclosure. Line 121 - This account was inadvertently omitted from the 2012 disclosure. Line 133 - This insurance policy was inadvertently omitted from the 2012 disclosure. Line 135 - This insurance policy was inadvertently omitted from the 2012 disclosure. Line 3 - This same asset was reported in Line 26 of the 2012 disclosure as the Rydex SGI Small Cap Value Fund, The name of the asset was changed in 2012 to the Gugenheim Small Cap Value Fund C1 C. It should also have been reported in 2012 as the Gugenheim Small Cap Value Fund CIC. Line § - This same asset was reported in Line 12 of the 2012 disclosure as the Mainstay High Yield Municipal Bond Fund. Although it is the sume asset, it was inadvertently identified in 2012 with a slightly different name. Line 6 - This same asset was reported in Line 20 of the 2012 disclosure as the NJ ST Higher Ed Student LN Rev 4.25% June 01 16. Although it is the same asset, it was inadvertently identified in 2012 with a slightly different name. Line 9 - This same asset was reported in Line 22 of the 2012 disclosure as the Nuveen Adv Muni PFD shares 2.95% Ser 2014. Although it is the same asset, it was inadvertently identified in 2012 with a slightly different name. Line 10 - This same asset was reported in Line 9 of the 2012 disclosure as the Franklin Income Fund. Although it is the same asset, it was inadvertently identified in 2012 with a slightly different name. Line 12 - This same asset was reported in Line 10 of the 2012 disclosure us the Richard Bemstein Advisors Quality Inc Port Ser 2. Although it is the same asset, it was inadvertently identified in 2012 with a slightly different name. Line 17 « This annuity was inadvertently omitted from the 2012 disclosure. Line 31 - This asset was inadvertently omitted from the 2012 disclosure, Line 67 - This asset was inadvertently omitted from the 2012 disclosure. Line 68 - This asset was inadvertently omitted from the 2012 disclosure. Line 69 - This asset was inadvertently omitted from the 2012 disclosure. Line 89 - This asset was inadvertently omitted from the 2012 disclosure. Line 98 - This asset was inadvertently omitted from the 2012 disclosure. Line 113 - This asset was inadvertently omitted from the 2012 disclosure. Line 137 - This asset was reported in Line 13 of the 2012 disclosure, The sale of this asset on 07/25/12 was indavertently omitted from the 2012 disclosure. The Value Code in Column D (3) was J. The Gain Code in Column D 4 was A. Line 138 - This asset was reported in Line 27 of the 2012 disclosure. The sale of this asset on 07/25/12 was indavertently omitted from the 2012 disclosure. The Value Code in Column D (3) was K. The Gain Code in Column D 4 was B. --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/7393. Public record. Not legal advice.