# Lisa Margaret Smith

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/9729

## Record

- **Judge:** Lisa Margaret Smith
- **Year:** 2016
- **Report type:** Annual
- **Pages:** 13

## Text

Chase Cash accounts (X) — None
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 Bank, Wilton CT -- Checking Account — None
Fidelity Growth and Income Fund — Int/Div
Fidelity Dividend Growth Fund — Int/Div
HSBC IRA (T. Rowe Price Dividend Growth Fund) — Int/Div
HSBC, White Plains. NY — None
Cisco Systems Common Stock — Int/Div
Century Link Communications Common Stock — Int/Div
Walt Disney Common Stock — Int/Div
Nassau Co. N.Y. Indl. Dev. Agency Bonds — None — Matured
Municipal Assistance Corp. For City of Trov, N.Y. Bonds — None
Long Island Power Auth. Bonds — None
Southeast Bank CD — Interest — Buy
Southeast Bank CD — Interest — Matured
Stifel Nicolaus IRA money market — Interest
Stifel Nicolaus mvestment account money market — Interest
Stifel Nicolaus Custodial Acc't for minor child #1 (cash account) — Interest
Stifel Nicolaus Custodial Acc't for minor child #2 (cash account) — Interest
General Electric common stock — Int/Div
Citigroup common stock — Int/Div
Phizer common stock — Int/Div
Fidelity Unique Coll. Inv. Plan 201% — None
NY College Savgs Prgrm A/C Mod Age Based Option:Mod Growth — None
Capital One Financial Corp Common Stock — Int/Div
Freeport McMoran Copper & Gold, Inc Common Stock — None
Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Buy (add'l) — Inv't a/c
Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Sold (part) — Inv't a/c
Invesco Intermediate Term Muni Income Fund Class Y — Int/Div — Sold (part) — Inv't a/c
Artisan Funds Mid Cap Value - Investor Class — Int/Div — Buy (add'l) — Inv't ac
Artisan Funds Mid Cap Value-- Advisor Class — Int/Div — Buy (add'l) — Inv't alc
Artisan Funds Mid Cap Value - Investor Class — Int/Div — Sold (part) — Inv't alc
Blackrock Equity Dividend Fund — Int/Div — Buy (add'l) — Inv't a/c
Blackrock Equity Dividend Fund — Int/Div — Buy (add'l) — Inv't a/c
Blackrock Equity Dividend Fund — Int/Div — Buy (add'l) — Inv't a/c
Columbia Contrarian Core — Int/Div — Buy (add'l) — Inv't alc
Columbia Contrarian Core — Int/Div — Sold (part) — Inv't alc
Columbia Contrarian Core — Int/Div — Sold (part) — Inv't a/c
American Beacon Intemational Equity — Int/Div — Buy — Inv't a/c
Dodge & Cox International Stock Fund — Int/Div — Buy (add'l) — Inv't ac
Dodge & Cox International Stock Fund — Int/Div — Sold (part) — Inv't alc
Dodge & Cox Intemational Stock Fund — Int/Div — Sold — Inv't a/c
Fidelity Advisor New Insights Inst] C1 — Int/Div — Buy (add'l) — Inv't a/c
Fidelity Advisor New Insights Inst] C1 — Int/Div — Sold (part) — Inv't ac
Fidelity Advisor New Insights Inst] C1 — Int/Div — Sold (part) — Inv't a/c
Fidelity Advisor New Insights Inst] C1 — Int/Div — Sold (part) — Inv't a/c
Heartland Value Plus Inst] C11 — Int/Div — Buy (add'l) — Inv't a/c
Heartland Value Plus Inst] C11 — Int/Div — Sold (part) — Inv't ac
Heartland Value Plus Inst] C11 — Int/Div — Sold (part) — Inv't a/c
Heartland Value Plus Inst] C11 — Int/Div — Sold — Inv't a/c
Henderson International Oppty — Int/Div — Buy
Nationwide Geneva Mid Cap Gr Inst] Sve Class — Distribution — Buy (add'l) — Inv't alc
Nationwide Geneva Mid Cap Gr Inst] Sve Class — istrnibution — Sold (part) — Inv't a/c
Nationwide Geneva Mid Cap Gr Inst] Sve Class — Distribution — Sold (part) — Inv't a/c
MFS Intl Growth — Int/Div — Buy (add'l) — Inv't a/c
MFS Intl Growth — Int/Div — Sold (part) — Inv't alc
MFS Intl Growth — Int/Div — Sold (part) — Inv't alc
Oppenheimer Developing Markets C1 Y — Int/Div — Buy (add'l) — Inv't a/c
Oppenheimer Developing Markets C1 Y — Int/Div — Sold (part) — Inv't a/c
Oppenheimer Developing Markets C1'Y — Int/Div — Sold (part) — Inv't alc
Oppenheimer Developing Markets C1'Y — Int/Div — Sold (part) — Inv't alc
Oak Ridge Small Cap Growth Fund — Distribution — Buy (add'l) — Inv't a/c
Oak Ridge Small Cap Growth Fund — Distribution — Sold (part) — Inv't a/c
Oak Ridge Small Cap Growth Fund — Distribution — Sold (part) — Inv't a/c
Pimco High Yield — Int/Div — Buy — Inv't alc
Wells Fargo Small Cap Value — Int/Div — Buy — Inv't ac
Amencan Beacon Intemational Equity — Int/Div — Buy — of Sufel IRA
American Beacon Intemational Equity — Int/Div — Sold (part) — of Sufel IRA
Artisan Funds Mid Cap Value - Investor Class — Int/Div — Buy (add'l) — of Sttel IRA
Artisan Funds Mid Cap Value - Advisor Class — Int/Div — Sold (part) — of Stufel IRA
Artisan Funds Mid Cap Value - Investor Class — Int/Div — Sold (part) — of Sufel IRA
Artisan Funds Mid Cap Value - Advisor Class — Int/Div — Sold (part) — of Sufel IRA
Blackrock Equity Dividend Fund — Int/Div — Sold (part) — of Suite] IRA
Blackrock Equity Dividend Fund — Int/Div — Buy (add'l) — of Sufel IRA
Blackrock Equity Dividend Fund — Int/Div — Buy (add'l) — of Sufel IRA
Columbia Contrarian Core Fund Class Z — Int/Div — Sold (part) — of Sufel IRA
Columbia Contrarian Core Fund Class Z — Int/Div — Buy (add'l) — of Stitel IRA
Columbia Contrarian Core Fund Class Z — Int/Div — Buy (add'l) — of Sufel IRA
Fidelity Advisor New Insight Mutual Fund Institutional Class — Int/Div — Sold (part) — of Stufel IRA
Fidelity Advisor New Insight Mutual Fund Institutional Class — Int/Div — Sold (part) — of Stifel IRA
hidehity Advisor New Insight Mutual Fund Institutional Class — Int/Div — Sold (part) — of Sutfel IRA
Fidelity Advisor New Insight Mutual Fund Institutional Class — Int/Div — Sold (part) — of Sufel IRA
Oppenheimer Developing Markets Class Y — Int/Div — Sold (part) — of Stifel IRA
Oppenheimer Developing Markets Class Y — Int/Div — Sold (part) — of Sufel IRA
Oppenheimer Developing Markets Class Y — Int/Div — Sold (part) — of Stifel IRA
Oppenheimer Developing Markets Class Y — Int/Div — Sold (part) — of Stifel IRA
Dodge & Cox Intl Stock Fund — Int/Div — Buy (add'l) — of Sutel IRA
Dodge & Cox Intl Stock Fund — Int/Div — Sold (part) — of Sufel IRA
Dodge & Cox Int! Stock Fund — Int/Div — Sold — 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 — Sold (part) — of Sufel IRA
Heartland Value Plus Instl C11 — Int/Div — Buy (add'l) — of Sufel IRA
Heartland Value Plus Instl C11 — Int/Div — Sold (part) — of Stifel IRA
Heartland Value Plus Instl C11 — Int/Div — Sold — of Stitel IRA
Henderson International Oppty — Int/Div — Buy — of Sufel IRA
Henderson International Oppty — Int/Div — Sold (part) — of Sufel IRA
Nationwide Mutual New Geneva Mid Cap Growth Inst] Sve Class — Distribution — Buy — of Sufel IRA
Nationwide Mutual New Geneva Mid Cap Growth Inst] Sve Class — Distribution — Sold (part) — of Suite] IRA
MFS Intl Growth Fd C11 — Int/Div — Buy (add'l) — of Sufel IRA
MFS Intl Growth Fd C11 — Int/Div — Sold (part) — of Sufel IRA
MFS Intl Growth Fd C11 — Int/Div — Sold (part) — of Sufel IRA
MFS Intl Growth Fd C11 — Int/Div — Sold (part) — of Sufel IRA
Pimxo Fads Hi YI CI P — Int/Div — Buy — of Sufel IRA
Oak Ridge Small Cap Growth Fund Class Y — Distribution — Buy (add'l) — of Sufel IRA
Oak Ridge Small Cap Growth Fund Class Y — Distribution — Sold (part) — of Stufel IRA
Oak Ridge Small Cap Growth Fund Class Y — Distribution — Sold (part) — of Sutel IRA
Wells Fargo Govt Securities Admin Class — Int/Div — Buy (add'l) — of Sufel IRA
Wells Fargo Govt Securities Admin Class — Int/Div — Buy (add'l) — of Sufel IRA
Wells Fargo Special Small Cap Value — Int/Div — Buy — of Sufel IRA
Inherited IRA (H) — Inhented IRA
Stifel Insured Bank Program — Interest — Inhented IRA
Frontier Commumications (FTR) — Int/Div — Sold — Inhented IRA
Vernzon(VZ) — Int/Div — Inhented IRA
Franklin Income Fund. Class C (FCISX) — Int/Div — Inhented IRA
John Hancock Income Fund, C1 A UHFIX) — Int/Div — Sold (part) — Inhented IRA
Stifel Individual Brokerage Acct (H) — Individual Account
Stifel Insured Bank Program — Interest — Individual Account
Franklin NY Tax Free Income, Cl A (FNYTX) — Int/Div — Individual Account
Custodian, On behalf of mmor child #1'% Stafel Nicolaus Investment Account
Custodian, On behalf of mmor child #2°s Sufel Nicolaus Investment Account
Custodian, On behalf of minor child #2's New York's College Savings Program
Spouse's income — 2016 — Wages from Ridgefield Hardware Co. Ridgefield, CT
1. Lines 32-34, 72-74:

For Artisan Mid Cap Value fund, shares of the ‘mvestor’ cluss were exchanged for shares of the ‘advisor’ class on 5/10/16.

2, Lines 57-59, 102-105: The MFS Ser Tr X Intl Growth Fund is now known only as the MFS Intl Growth Fund.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/9729. Public record. Not legal advice.