# Lisa Margaret Smith

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/7719

## Record

- **Judge:** Lisa Margaret Smith
- **Year:** 2013
- **Report type:** Annual
- **Pages:** 18

## Text

Fidelity NY Municipal Money Market Fund — Int/Div
Fidelity IRA (Puritan Fund) — Int/Div
Fidelity IRA (Fidelity Fund) — Int/Div
Fidelity IRA (Cash Reserves) — Int/Div
Webster Bunk, Wilton CT Savings account — None — Closed
Webster Bank, Wilton CT -- Checking Account — None
Fidelity Growth and Income Fund — Int/Div — Buy (add'l)
Fidelity Growth and Income Fund — Int/Div — Buy (add'l)
Fidelity Growth and Income Fund — Int/Div — Buy (add'l)
Fidelity Growth and Income Fund — Int/Div — Buy (add'l)
Fidelity Growth and Income Fund — Distribution — Buy (add'l)
Fidelity Dividend Growth Fund — Distribution — Buy (add'l)
Fidelity Dividend Growth Fund — Distribution — Buy (add'l)
Fidelity Dividend Growth Fund — Int/Div — Buy (add'l)
Fidelity Dividend Growth Fund — Distribution — Buy (add'l)
Fidelity Dividend Growth Fund — Distribution — Buy (add'l)
Fidelity Dividend Growth Fund — Int/Div — Buy (add'l)
HSBC IRA (T. Rowe Price Dividend Growth Fund) — Int/Div
HSBC, White Plains, NY — None
Cisco Systems Common Stock — Int/Div — Buy (add'l)
Cisco Systems Common Stock — Int/Div — Buy (add'l)
Cisco Systems Common Stock — Int/Div — Buy (add'l)
Century Link Communications Common Stock — Int/Div — Buy (add'l)
Century Link Communications Common Stock — Int/Div — Buy (add'l)
Century Link Communications Common Stock — Int/Div — Buy (add'l)
Century Link Communications Common Stock — Int/Div — Buy (add'l)
Walt Disney Common Stock — None
Long Island Power Auth. N.Y. Elec Systems Bonds — None
Nassau Co. N.Y. Ind’l. Dev. Agency Bonds — None
Municipal Assistance Corp. For City of Trov, N.Y. Bonds — None
Long Island Power Auth. Bonds — None
Stifel Nicolaus IRA money market — Int/Div
Stifel Nicolaus investment account money market — Int/Div
Fidelity Custodial Ace't for minor child #1 (cash account) — Interest — Closed
Stifel Nicolaus Custodial Acc't for minor child #1 (cash account) — Interest — Open
Fidelity Custodial Acc't for minor child #2 {cash account) — Interest — Closed
Fidelity Custodial Acc't for minor child #2 (cash account) — Interest — Open
General Electric common stock — Int/Div — Buy (add'l)
General Electric common stock — Int/Div — Buy (add'l)
General Electric common stock — Int/Div — Buy (add'l)
General Electric common stock — Int/Div — Buy (add'l)
Citigroup common stock — Int/Div — Buy (add'l)
Citigroup common stock — Int/Div — Buy (add'l)
Cihgroup common stock — Int/Div — Buy (add'l)
Cihgroup common stock — Int/Div — Buy (add'l)
Phzer common stock — Int/Div
Fidelity Unigue Coll. Inv. Plan 2015 — None
Fidelity Unique Coll. Inv. Plan 201% — None
NY College Savgs Prgrm A/C Mod Age Based Option: Conserv Gr — None
NY College Savgs Prarm A/C Mod Age Based Option:Mod Growth — None
Capital One Financial Corp Common Stock — Int/Div — Buy (add'l)
Capital One Financial Corp Common Stock — Int/Div — Buy (add'l)
Capital One Financial Corp Common Stock — Int/Div — Buy (add'l)
Capital One Financial Corp Common Stock — Int/Div — Buy (add'l)
Citadel Broadcasting Corp. common stock — None
Freeport McMoran Copper & Gold, Inc Common Stock — Int/Div — Buy (add'l)
Freeport McMoran Copper & Gold, Inc Common Stock — Int/Div — Buy (add'l)
Freeport McMoran Copper & Gold, Inc Common Stock — Int/Div — Buy (add'l)
Freeport McMoran Copper & Gold, Inc Common Stock — Int/Div — Buy (add'l)
Freeport McMoran Copper & Gold, Inc Common Stock — Int/Div — Buy (add'l)
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't a/c
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't a/c
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't alc
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't alc
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't a/c
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't a/c
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't a/c
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't alc
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't ac
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't a/c
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't a/c
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't ac
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't a/c
Aim Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't a/c
Artisan Funds Mid Cap Value — Distribution — Sold (part) — Inv't alc
Artisan Funds Mid Cap Value — Distribution — Sold (part) — Inv't alc
Artisan Funds Mid Cap Value — Distribution — Buy (add'l) — Inv't a/c
Artisan Funds Mid Cap Value — Iistnbution — Buy (add'l) — Inv't ac
Artisan Funds Mid Cap Value — Int/Div — Buy (add'l) — Inv't a/c
Columbia Funds Marsico Growth Fund — Int/Div — Sold — Inv't a/c
DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c
DWS Mumcipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't ac
DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't alc
DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't alc
DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c
DWS Mumcipal Trust Strategic High Yield — Int/Div — Sold — Inv't ac
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Sold (part) — Inv't alc
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't ac
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't ac
DWS Municipal Trust Managed Municipal Bound Fund — Int/Div — Buy (add'l) — Inv't alc
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't ac
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't ac
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't alc
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c
DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c
Davis NY Venture — Distribution — Sold (part) — Inv't alc
Davis NY Venture — Distribution — Sold (part) — Inv't alc
Davis NY Venture — Distribution — Buy (add'l) — Inv't a/c
Davis NY Venture — Int/Div — Buy (add'l) — Inv't a/c
Davis NY Venture — Distribution — Buy (add'l) — Inv't a/c
Davis NY Venture — Distribution — Buy (add'l) — Inv't a/c
Davis NY Venture — Int/Div — Buy (add'l) — Inv't a/c
Davis NY Venture — Distribution — Buy (add'l) — Inv't a/c
Dodge & Cox Intemational Stock Fund — Int/Div — Sold (part) — Inv't a/c
Dodge & Cox Intemational Stock Fund — Int/Div — Buy (add'l) — Inv't a/c
Dodge & Cox Intemational Stock Fund — Int/Div — Buy (add'l) — Inv't a/c
Fidelity Advisor New Insights Instl Cl — Distribution — Buy — Inv't a'c
Fidelity Advisor New Insights Instl C1 — Int/Div — Sold (part) — Inv't a/c
Fidelity Advisor New Insights Inst] C1 — istmbution — Buy (add'l) — Inv't a/c
Heartland Value Plus Inst] C11 — Int/Div — Sold (part) — Inv't a/c
Heartland Value Plus Inst] C11 — Int/Div — Sold (part) — Inv't alc
Heartland Value Plus Inst! C11 — Distribution — Buy (add'l) — Inv't a/c
Heartland Value Plus Instl C11 — istmbution — Buy (add'l) — Inv't a/c
Heartland Value Plus Inst] C11 — Int/Div — Buy (add'l) — Inv't a/c
Nationwide Geneva Mid Cap Gr Inst] Sve Class — Iistnbution — Buy (add'l) — Inv't alc
Nationwide Geneva Mid Cap Gr Instl Sve Class — Distribution — Sold (part) — Inv't a/c
MFS Ser Tr Intl Growth — Int/Div — Sold (part) — Inv't ac
MFS Ser Tr Intl Growth — Int/Div — Buy (add'l) — Inv't a/c
MFS Ser Tr Intl Growth — Int/Div — Buy (add'l) — Inv't alc
MFS Ser Tr Intl Growth — Distribution — Buy (add'l) — Inv't alc
Oppenheimer Developing Markets C1 Y — istmbution — Buy — Inv't a/c
Oppenheimer Developing Markets C1 Y — Distribution — Buy (add'l) — Inv't a/c
Oppenhemmer Developing Markets C1'Y — Int/Div — Buy (add'l) — Inv't ac
Pioneer Ser Oak Ridge Small Cap Growth Fund — Distribution — Buy (add'l) — Inv't ac
Pioneer Ser Oak Ridge Small Cap Growth Fund — Distribution — Sold (part) — Inv't alc
Pioneer Ser Oak Ridge Small Cap Growth Fund — Distribution — Sold (part) — Inv't alc
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't ac
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't ac
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't alc
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c
Thomburg Ltd Term Muni Fund — Int/Div — Sold (part) — Inv't alc
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't alc
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't alc
Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c
Artisan Funds Mid Cap Value — Int/Div — Sold (part) — of Sufel IRA
Artisan Funds Mid Cap Value — Int/Div — Buy (add'l) — of Sufel IRA
Artisan Funds Mid Cap Value — Distribution — Buy (add'l) — of Sutfel IRA
Artisan Funds Mad Cap Value — Distribution — Buy (add'l) — of Sufel IRA
Artisan Funds Mid Cap Value — Int/Div — Buy (add'l) — of Sufel IRA
Columbia Funds Ser Trust Marsico Growth Fund Class 7 — None — Sold — of Sufel IRA
Fdehty Advisor New Insight Mutual Fund Institutional Class — Distribution — Buy — of Sutel IRA
Fidelity Advisor New Insight Mutual Fund Institutional Class — Distribution — Buy (add'l) — of Sufel IRA
Fidelity Advisor New Insight Mutual Fund Institutional Class — Distribution — Sold (part) — of Sufel IRA
Oppenheimer Developing Markets Class Y — Int/Div — Buy — of Sufel IRA
Oppenheimer Developing Markets Class Y — Int/Div — Buy (add'l) — of Sutel IRA
Oppenheimer Developing Markets Class Y — Distribution — Buy (add'l) — of Stifel IRA
Davis New York Venture Fund Class Y — Distribution — Buy (add'l) — of Sufel IRA
Davis New York Venture Fund Class Y — Int/Div — Buy (add'l) — of Sufel IRA
Davis New York Venture Fund Class Y — Distribution — Buy (add'l) — of Sutel IRA
Davis New York Venture Fund Class Y — Distribution — Buy (add'l) — of Stufel IRA
Davis New York Venture Fund Class Y — Distribution — Buy (add'l) — of Stifel IRA
Davis New York Venture Fund Class Y — Int/Div — Buy (add'l) — of Sufel IRA
Davis New York Venture Fund Class Y — Int/Div — Sold (part) — of Stufel IRA
Davis New York Venture Fund Class Y — Int/Div — Sold (part) — of Sufel IRA
Dodge & Cox Intl Stock Fund — Int/Div — Buy (add'l) — of Sufel IRA
Dodge & Cox Intl Stock Fund — Int/Div — Buy (add'l) — of Sutel IRA
Franklin US Government Secs Advisor Cl — Int/Div — Buy — of Stufel IRA
Franklin US Government Secs Advisor Cl — Int/Div — Buy (add'l) — of Sufel IRa
Franklin US Government Secs Advisor Cl — Int/Div — Buy (add'l) — of Stifel IRa
Franklin US Government Secs Advisor Cl — Int/Div — Buy (add'l) — of Stutel IRa
Franklin US Government Secs Advisor Cl — Int/Div — Buy (add'l) — of Sufel IRa
Harbor Fund Bond Fund — Int/Div — Buy (add'l) — of Stifel IRA
Harbor Fund Bond Fund — Int/Div — Buy (add'l) — of Stifel IRA
Harbor Fund Bond Fund — Int/Div — Buy (add'l) — of Sutel IRA
Harbor Fund Bond Fund — Int/Div — Buy (add'l) — of Sufel IRA
Harbor Fund Bond Fund — Int/Div — Sold (part) — of Sufel IRA
Heartland Value Plus Instl C11 — Distribution — Buy (add'l) — of Stifel IRA
Heartland Value Plus Inst! C11 — Distribution — Buy (add'l) — of Sutel IRA
Heartland Value Plus Inst] C11 — Int/Div — Buy (add'l) — of Sufel IRA
Heartland Value Plus Inst C11 — Distribution — Sold (part) — of Sufel IRA
Nationwide Mutual New Geneva Mid Cap Growth Inst] Sve Class — Distribution — Buy (add'l) — of Sufel IRA
Nationwide Mutual New Geneva Mid Cap Growth Inst] Sve Class — Distribution — Buy (add'l) — of Sufel IRA
MFS Ser Tr X Intl Growth Fd C11 — Int/Div — Sold (part) — of Sufel IRA
MFS Ser Tr X Intl Growth Fd C11 — Int/Div — Buy (add'l) — of Sufel IRA
MFS Ser Tr X Intl Growth Fd C11 — Distribution — Buy (add'l) — of Sufel IRA
MFS Ser Tr X Intl Growth Fd C11 — Int/Div — Buy (add'l) — of Sutfel IRA
Pimco Fads Hi YId CI P — Int/Div — Buy (add'l) — of Sufel IRA
Pimco Fds Hi YIdC1 P — Int/Div — Buy (add'l) — of Sufel IRA
Pimco Fds Hi YIACL P — Int/Div — Buy (add'l) — of Sufel IRA
Pimco Fds Hi YIACL P — Int/Div — Buy (add'l) — of Sutfel IRA
Pimco Fads Hi YIACI P — Int/Div — Buy (add'l) — of Sufel IRA
Pimco Fds Hi YIAC1 P — Int/Div — Buy (add'l) — of Stifel IRA
Pimco Fds Mi YId CL P — Int/Div — Buy (add'l) — of Sufel IRA
Pimco Fds Mi YId CLP — Int/Div — Buy (add'l) — of Sutfel IRA
Pimco Fds Hi YId CI P — Int/Div — Buy (add'l) — of Stufel IRA
Pimco Fds Hi YIAC1 P — Int/Div — Buy (add'l) — of Sufel IRA
Pimeo Fds Hi YIACL P — Int/Div — Buy (add'l) — of Sufel IRA
Pimeco Fds Hi YId CL P — Int/Div — Buy (add'l) — of Sufel IRA
Pimco Fds Hi YId CLP — istnbution — Buy (add'l) — of Sufel IRA
Pimco Fds Mi YId CLP — Distribution — Sold (part) — of Sufel IRA
Pioneer Ser TR 1 Oak Ridge Small Cap Growth Fund Class Y — Distribution — Buy (add'l) — of Stifel IRA
Custodian, On behalf of mmor child #1'% Staffel Nicolaus Investment Accounts
Custodian, On behalf of mmor child #2°s Sufel Nicolaus Investment Accounts
Custodian, On behalf of minor child #1's New York's College Savings Program
Custodian, On behalf of mmor child #2's New York's College Savings Program
Income — 2013 — Pace University School of Law for teaching — $9.735.03
Income — 2013 — Self Employment (published article) — S4.000.00
Spouse's income — 2013 — Wages from Ridgefield Hardware Co. Ridgefield, CT
For Part I, minor children’s accounts were moved from Fidelity to Stifel Nicolaus.

For Part VII (Investments und Trusts)

+ Entries 61-74, Aim Tax Exempt Van Kampen Intermediate Term Muni Income Fund mame changed to Aim Invesco Intermediate Term Municipal Income CL Y.

+ Entries 127-128, 189-190, Highmark Geneva Mid Cap Gr, Fiduciary Class Shares mutual fund renamed to Nationwide Mutual New Geneva Mid Cap Growth

Institutional Sve Class

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/7719. Public record. Not legal advice.