# Cathy L. Waldor

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/9338

## Record

- **Judge:** Cathy L. Waldor
- **Year:** 2015
- **Report type:** Annual
- **Pages:** 18

## Text

H) Brokerage Account #1 (44)
Clearbridge Tactical Dividend Income Fund CC — Int/Div — Sold (part)
Gugenheim Small Cap Value Fund C1 C — Int/Div
Mainstay Epoch Global Equity Yield CC — Int/Div
Principal Investors Preferred Securities Fund ac — Int/Div
RS Floating Rate Fund C1 ¢ — Int/Div — Sold
Franklin Templeton Income Fund C1 C — Int/Div — Sold (part)
Thomburg Income Builder C1 C — Int/Div — Sold (part)
Goldman Sachs Income Builder Fund CC — Int/Div — Sold
Market Vectors High Yield Muni ETF — Int/Div
AIG Sun America Polaris Choice IV Annuity — None
MetLife Investors USA Ins. Co. Series L Annuity — None
Amencan Funds Income Fund of America C — Int/Div
Eaton Vance R Bernstein All Asset Strategy Fund C — Int/Div
Integrity Williston BSN'MD-N Ameri Stock Fund C — Int/Div — Sold
Janus Balanced Fund C — Int/Div
JP Morgan Income Builder Class C — Int/Div — Sold (part)
Mainstay High Yield Muni Bond Fund C1 C — Int/Div
Principal Small Cap Dividend Income Fund C — Int/Div
SunAmerica Focused Dividend Strategy Fund C — Int/Div
Unts FT US EQ C/E Port Ser 12 — Int/Div
American Funds Capital Income Builder ( — Int/Div — Buy
American Funds Capital Income Builder ( — Buy (add'l)
Cohen & Steers Preferred Sec & Inc Fund CCX — Int/Div
Mamstay Funds Tax Free Bond Cl A — Int/Div — Buy
Nuveen Core Dividend Fund Cl — Int/Div — Buy
Nuveen Large Cap Core Fund Cl ( — Int/Div — Buy
Nuveen Large Cap Core Fund Cl ( — Buy
Principal Global Diversified Income Fund CIC) — Int/Div — Sold
Principal Global Diversified Income Fund CIC) — Buy
Putnam Investors Fund Class C — Int/Div — Buy
Thromburg Global Opportunities Class € — None — Buy
Transamerica Life Insurance Co B-Share Annuity — None — Buy
Voya Floating Rate Fund Class C — Int/Div — Buy
Vova Intermediate Bond Fund C1 C — Int/Div — Buy
H) Brokerage Account #2 (45)
SPDR Nuveen Barclays Short Term Bond FTF — Int/Div — Sold (part)
iShares Trust Russell 2000 Index ETF — Int/Div
iShares Trust Core S&P Mid Cap ETF — Int/Div
iShares TIPS Bond ETF — Int/Div
Vanguard Index Funds Vanguard Growth FTF — Int/Div — Sold (part)
Vanguard Total Stock Market ETF — Int/Div
Vanguard Index Fund S&P S00 ETF — Int/Div — Sold (part)
Vanguard Divid Appreciation ETF — Int/Div
Vanguard Mega Cap ETF — Int/Div — Sold (part)
Market Vectors Short Municipal Index ETF — Int/Div
Market Vectors High Yield Muni ETF — Int/Div
First Trust Dorsey Wright FO ETF — Int/Div — Buy (add'l)
Principal Small Mid Cap Div P(X) — Int/Div — Sold
Principal Small Mid Cap Div P(X) — Buy
Financial Sector SPDR Trust ETF — Int/Div — Buy
First Trust Preferred Security & Inc ETF — Int/Div — Buy
Janus Triton Fund A (X) — Int/Div — Sold
Market Vectors Trust Inter Municipal Index FTF — Int/Div — Buy
Voya Floating Rate Fund CL — Int/Div — Buy
Wisdomtree Trust Small Cap Dividend Fund FTF — Int/Div — Buy
Wisdomtree Trust Europe Hedged Equity Fund ETF — Int/Div — Buy
Wisdomtree Trust Europe Hedged Equity Fund ETF — Sold
H) Brokerage Account 43 (41)
Vanguard Index Funds Vanguard Growth FTF — None — with line 42)
Vanguard Index FDS S&P 500 ETF SHS — None — with line 44)
Vanguard Total Stock Mkt ETF — None — with line 43)
Vanguard Mega Cap ETF DE — None — with line 46)
Vanguard Divid Appreciation ETF — None — with line 45)
SPDR Nuveen Barclays Short Term BD ETF — Int/Div — with line 18)
iShares Tips Bond ETF DE — None — with line 41)
iShares Trust Core S&P Mid Cap ETF — None — with line 40)
iShares Trust Russell 2000 Index Fund — None — with line 19)
Market Vectors High Yield Muni ETF — Int/Div — with line 48)
Market Vectors Trust Short Municipal Index ETF — Int/Div — with lime 47)
Janus Triton Fund SHS — None — with line 54)
H) Brokerage Account 24 (40)
Principal Global Diversified Income Fund — Int/Div — with lime 29)
Clearbridge Tactical Dividend Income — Int/Div — with line 2)
Principal-Smallcap Dividend Income Funds — Int/Div — with line 19)
Cohen & Steers Preferred Sec & Inc Fund C — Int/Div — with line 24)
Franklin Income Fund — Int/Div — with line 7)
H) Brokerage Account #5 (51)
Principal MidCap Fund Class C (X) — Int/Div
Blackrock Basic Value Fund — Int/Div
Blackrock Global Allocation Fund Inc € — Int/Div
Franklin Templeton Mutual Global Discover Fund C1 C — Int/Div
Frunklin Templeton Income C — Int/Div
American Funds American Balanced Fund ac — Int/Div
First Eagle Global Fund C1 — Int/Div
Ivy Asset Strategy fund C1C (X) — Int/Div — Sold (part)
JP Morgan Income Builder — Int/Div — with line 170)
Thomburg Income Builder C1 C — Int/Div
Goldman Sachs Income Builder Funds — Int/Div
Putnam Capital Spectrum Fund € — Int/Div — Buy
H) Brokerage Account #6 (52)
Vanguard Bond Index Fund Inc. Total Bond Mkt ETF — Int/Div — Sold (part)
Vanguard Bond Index Fund Inc. Total Bond Mkt ETF — Buy (add'l)
Vanguard Bond Index Fund Inc. Total Bond Mkt ETF — Buy (add'l)
iShares Russell MidCap ETF — Int/Div — Sold (part)
SPDR S&P SOO ETF TR — Int/Div — Sold (part)
SPDR S&P SOO ETF TR — Sold (part)
SPDR S&P SOO ETF TR — Buy (add'l)
Riverpark/Wedgewood Institutional Funds xX) — Int/Div — Sold (part)
Riverpark/Wedgewood Institutional Funds xX) — Buy (add'l)
Riverpark/Wedgewood Institutional Funds xX) — Buy (add'l)
Oppenheimer Senior Floating Rate Fund Class Y — Int/Div — Sold (part)
FMI Large Cap Fund — Int/Div — Sold (part)
FMI Large Cap Fund — Sold (part)
FMI Large Cap Fund — Buy (add'l)
FMI Large Cap Fund — Buy (add'l)
Mamstay ICAP Intemational Fund A — Int/Div — Sold (part)
Mamstay ICAP Intemational Fund A — Buy (add'l)
John Hancock Disciplined Value Mid Cap Fund C1 A — Int/Div — Sold (part)
John Hancock Disciplined Value Mid Cap Fund C1 A — Buy (add'l)
Manning & Napier World Opportunities — Int/Div — Sold (part)
Manning & Napier World Opportunities — Sold (part)
Manning & Napier World Opportunities — Buy (add'l)
JP Morgan Core Bond Fund — Int/Div — Sold (part)
JP Morgan Core Bond Fund — Buy (add'l)
JP Morgan Core Bond Fund — Sold
Virtus Multi-Sector Short Term Bond Fund CLA — Int/Div — Sold (part)
Virtus Multi-Sector Short Term Bond Fund CLA — Sold (part)
Virtus Multi-Sector Short Term Bond Fund CLA — Buy (add'l)
Baird MidCap Fund Institutional Class — Int/Div — Sold (part)
Baird MidCap Fund Institutional Class — Buy (add'l)
Chartwell Small Cap Value Share — Int/Div — Sold (part)
Gabelli Small Cap Growth Fund Class — Int/Div — Sold (part)
Gabelli Small Cap Growth Fund Class — Buy (add'l)
iShares 7-10 Year Treasury Bond ETF — Int/Div — Sold (part)
iShares 7-10 Year Treasury Bond ETF — Buy (add'l)
SPDR S&P Emerging Asia Pac ETF — Int/Div — Buy (add'l)
SPDR S&P Emerging Asia Pac ETF — Sold (part)
SPDR S&P Emerging Asia Pac ETF — Sold (part)
SPDR S&P Emerging Asia Pac ETF — Sold (part)
SPDR S&P Emerging Asia Pac ETF — Sold
Vanguard Charlotte Funds Total International Boad Index Fund EF — Int/Div — Sold (part)
Vanguard Charlotte Funds Total International Boad Index Fund EF — Sold (part)
Vanguard Charlotte Funds Total International Boad Index Fund EF — Sold
Vanguard Total Stock Market ETF — Int/Div — Sold
iShares MSC Japan 11 — Int/Div — Buy
iShares MSC Japan 11 — Sold (part)
iShares MSC Japan 11 — Buy (add'l)
iShares MSC Japan 11 — Sold (part)
iShares MSC Eurozone ETF — Int/Div — Buy
iShares MSC1 EAFE ETF — Int/Div — Buy
iShares MSC1 EAFE ETF — Sold (part)
iShares MSC1 EAFE ETF — Buy (add'l)
iShares MSCI ACWI EX US ETF — Int/Div — Buy
iShares MSCI ACWI EX US ETF — Buy (add'l)
iShares IBOXX S$ Invt Grade Corporate Bond ETF — Int/Div — Buy
Pimco Income Fund C1 P — Int/Div — Buy
Wisdomtree Trust Europe Hedged Equity Fd ETF — Int/Div — Buy
Wisdomtree Trust Europe Hedged Equity Fd ETF — Sold (part)
Wisdomtree Trust Europe Hedged Equity Fd ETF — Buy (add'l)
H) IRA 21 (42)
First Eagle Global Fund Class C — Int/Div
Blackrock Equity Dividend Fund — Int/Div
Blackrock Global Allocation Fund € — Int/Div
Franklin Templeton Mutual Global Discovery Fund C1 C — Int/Div
Frunklin Templeton Income C — Int/Div
American Funds American Balanced Fund CEC — Int/Div
H) IRA 22 (43)
American Funds American Balanced Fund CC — Int/Div
Blackrock Global Allocation Fund C1 — Int/Div
H)(X) IRA 23(13)
Ivy Asset Strategy Fd C1 C (X) — Int/Div
JP Morgan Income Builder C1 C (X) — Int/Div
AXA Equitable Flexible Premium Variable Life Insurance #1 — None
AXA Equitable Flexible Premium Variable Life Insurance #2 — None
H) Brokerage Account #7 (29)
Vanguard Index Funds Vanguard Growth FTF — None — with line 42)
Vanguard Index FDS S&P 500 ETF SHS — None — with line 44)
Vanguard Total Stock Mkt ETF — None — with line 43)
Vanguard Mega Cap ETF DE — None — with line 46)
Vanguard Divid Appreciation ETF — None — with lime 45)
SPDR Nuveen Barclays Short Term BD FTF — Int/Div — with line 18)
iShares Tips Bond ETF DE — None — with line 41)
iShares Trust Core S&P Mid Cap 12 1F — None — with line 40)
iShares Trust Russell 2000 Index Fund — None — with line 39)
Market Vectors High Yield Muni ETF — Int/Div — with line 48)
Market Vectors Trust Short Municipal Index ETF — Int/Div — with lime 47)
Principal Small Mid Cap Div — None — with line 50)
H) Brokerage Account #8 (46)
JP Morgan Income Builder Class — Int/Div — with line 17)
H) Brokerage Account #9 (71)
Thomburg Income Builder Class C — Int/Div — with line 8)
Nuveen NJ Div Advantage 2% C1 C — Int/Div — Redeemed
H)(X) Cash Accounts #1]
Santander Cash Accounts (X) — Int/Div
Wells Fargo Cash Accounts (X) — Int/Div
UBS Cash Accounts (X) — Int/Div
TD Bank Cash Account (X) — Int/Div
Real Estate - Rental Property - Verona, Essex County, NJ — Reat
Spouse's income — 2015 — Rex Vinegar Company - self employed business executive
Line 24 - This asset was transferred from Brokerage Account #4, Line 78.

Line 29 - This asset was transferred from Brokerage Account #4, Line 75. It was sold completely on 04/07/15, A new purchase was made on | 1/19/15

Lines 50-51 - This asset was sold completely on 09/02/15. A new purchase was made on 12/22/15.

Line 54 - This asset wus transferred from Brokerage Account #3, Line 72.

Line 82 - The gross value of this asset in Column C (1) of the 2014 Disclosure was misstated. The value code should have been K in 2014.

Line 89 - A partial transfer of this asset was made to IRA #3, Line 169. The remainder stayed in this account.

Line 103 - This asset was named Riverpark/Wedgewood Retail Funds in 2014.

Line 168 - This IRA #3 was established in 2015.

Line 169 - This asset was a partial transfer from Brokerage Account #5, Line 89.

Line 170 - This asset was transferred from Brokerage Account #5, Line 90.

Line 196 - This is a new account grouping for all cash accounts.

Line 197 - The asset previously was reported as Santander Bank Accounts, The name is changed to Santander Cash Accounts.

Line 198 - This asset was inadvertantly omitted from the 2014 disclosure.

Line 199 - This asset was inadvertantly omitted from the 2014 disclosure.

Line 200 - This is a new account established in 2015.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/9338. Public record. Not legal advice.