# Robert D. Drain > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/9958 ## Record - **Judge:** Robert D. Drain - **Year:** 2011 - **Report type:** Annual - **Pages:** 38 ## Text Whirlpool — Buy Hospira Principal Finl Collective Brands Celgene Pepsico Citibank Account #1 — Interest Citibank Accout #2 — Interest Access Financial Account #1 — Int/Div Access Financial Account #2 — Interest FifthThird Bancorp common — Int/Div Access Financial Account #3 — Interest FifthThird Bancorp common — Int/Div US Trust Managed US TCommon Account (no control) — Int/Div — note m Part VII Amex Am. Tower Apache Avon Caterpillar Col. Value & Restr. FD Class Z Express Scripts Exxon Mobil Feeport-McMoran Copper & Gold Com Mastercard CL A Morgan Stanley National Oilwell Varco Philip Morris Intl Qualcomm Target Union Pac Bally Techs Big Lots Cameron Intl Cimarex Energy Dover Columbia Select Small Cap FD CL Z TCF Fnl Siemens AG Sponsored ADR Thompson Creek Metals Weatherford Intl Ishares MSC Emerging Mkts Index FD ltau Unibanco Hidg Sponsored ADR Mobile Telesystems Sponsored ADR Petroleo Brasileiro Sponsored ADR Teva Pharmaceutical ADR Port Auth NY & NJ Cons Bds-OI1D Blackrock Muniholdings INSD FD Columbia NY Inter Muni BD FD CL 2 Pimco Commodity Realreturn Strategy FD Ebay GSI Comm Alliance Data Sys Ferro Comp. CTrip Com Intl Primerica Kraft Foods CL A NV Energy Insituform Tech Vanan Semiconductor Allergan Noble Corp. Casevs Gen Stores Manpower Inc Comcast New CL A Denbury Res SEI! Investments Waddell & Reed Finl BE Aerospace Oracle Sina Com CVS Caremark Advanced Micro Devices Loews Cos, Amex Goodyear Col Select Large Cap Growth FD CL Z Vale ADR Foster Wheeler Tennant BofA Tax-Exempt Reserves Cash — Sold (part) Cash — Sold (part) Cash — Sold (part) Foster Wheeler — Buy (add'l) Noble Corp. — Buy (add'l) American Tower Comp. — Buy (add'l) CVS Caremark Comp. — Buy (add'l) Caseys Gen Stores — Buy (add'l) CTRIP Com Intl — Buy (add'l) JP Morgan Chase — Buy Mobile Telesystems ADR — Buy (add'l) Morgan Stanley — Buy (add'l) Petroleo Brasileiro SA ADR — Buy (add'l) Quanta SVCS — Buy (add'l) Wells Fargo Com — Buy (add'l) Foster Wheeler — Buy (add'l) BE Aerospace — Buy (add'l) Tennant — Buy (add'l) Col. Select Large Cap Growth FD Class Z — Buy (add'l) SPX Corp. — Buy PIMCO Commodity RealReturn FD — Buy (add'l) Vanguard Intl Equit Index FDS — Buy SPX Corp. — Buy (add'l) Advanced Micro Devices — Buy (add'l) NY St. Dorm. Auth St. Pers. Income Tx Rev. BDS — Buy Peabody Energy — Buy Parexxel Int! Corp. — Buy Parexel Intl Comp. — Buy NYSE Euronext — Buy Sina Com — Sold (part) Weatherford Intl — Sold (part) AES Corp — Sold (part) Admanced Micro Devices — Sold (part) Allergan — Sold (part) Alliance Data Sys — Sold (part) Amex — Sold (part) Apache — Sold (part) Avon Prods — Sold (part) Bally Technologies — Sold (part) Barnes Grop — Sold (part) BE Aerospace — Sold (part) Big Lots — Sold (part) Cameron Intl — Sold (part) Caterpillar — Sold (part) Celgene — Sold (part) Cimarex Energy — Sold (part) Comcast — Sold (part) Comcast — Sold (part) Denbury Res. — Sold (part) Dover — Sold (part) Dover — Sold (part) EOG Res. — Sold (part) Ebay — Sold (part) Express Scripts — Sold (part) Exxon — Sold (part) Exxon — Sold (part) Ferro — Sold (part) Feeport-McMoran Copper & Gold — Sold (part) GSI Comm — Sold (part) Goodyear — Sold (part) Hospira — Sold Instituform — Sold (part) lau Unibanco ADR — Sold (part) Kraft Foods — Sold (part) Lowes Cos. — Sold (part) Manpower Inc — Sold (part) National Oilwell Varco — Sold (part) Oracle — Sold (part) Pepsico — Sold (part) Primerica — Sold (part) Principal Fin Grp. — Sold (part) Qualcomm — Sold (part) SEI Invest. — Sold (part) Siemens AG Sponsored ADR — Sold (part) TCF Fin. — Sold (part) Tennant — Sold (part) Teva Parmaceutical ADR — Sold (part) Thompson Creek Metals — Sold (part) Ticho Software — Sold (part) Union Pac. Corp. — Sold (part) Vale SA ADR — Sold (part) Vanan Semiconductor — Sold (part) Waddell & Reed Finl — Sold (part) Barnes Grp. — Sold (part) Barnes Grp. — Sold Caterpillar — Sold (part) Dover — Sold (part) Exxon — Sold (part) Vana Semiconductor — Sold (part) Apache Comp. — Sold (part) Express Scripts — Sold (part) Freeport-McMoran Copper & Gold — Sold (part) Thompson Creek Metals — Sold (part) Primerica — Sold (part) BofA Tax-Exempt Reserves — Sold (part) BofA Tax-Exempt Reserves — Sold (part) BofA Tax-Exempt Reserves — Sold (part) BofA Tax Exempt Reserves — Sold (part) BofA Tax Exempt Reserves — Sold (part) BofA Tax Exempt Reserves — Sold (part) BofA Tax Exempt Reserves — Sold (part) BofA Tax Exempt Rerserves — Sold (part) Citigroup — Buy HDFC Bk — Buy Babylon NY Pub Impt BDS — Buy NYNY Geo Ref Bds — Buy CTrp Com. Intl — Buy (add'l) CTrp Com. Intl — Buy (add'l) North Hempstead NY Pub Impt GO BD — Buy Umlever — Buy Port Auth NY & NJ Cons. — Buy Primenca — Sold (part) Primenca — Sold Principal Fin Grp — Sold (part) Wells Fargo — Sold Waddell & Reed Finl — Sold (part) Col. NY Inter Muni BD FD — Redeemed Big Lots — Sold (part) Big Lots — Sold Alliance Data Sys — Sold (part) Qualcomm — Sold (part) Vanan Semiconductor — Sold (part) Comstock Res — Buy Medtronic — Buy Thermo Fisher Scientific — Buy Greenhill & Co — Buy HDFC Bank — Buy (add'l) Kraft Foods — Buy (add'l) Pepsico — Buy (add'l) Progressive Corp. Ohio — Buy Unilever — Buy (add'l) Greenhill & Co. — Buy (add'l) Progressive Corp. Ohio — Buy (add'l) CTrip Com — Buy (add'l) lsoftstone Hldgs ADS — Buy (add'l) Foster Wheeler — Buy (add'l) lsofistone Hldgs ADS — Buy (add'l) Progressive Corp Ohio — Buy (add'l) Whirlpool — Buy (add'l) lIsoftstone Hidgs ADS — Buy (add'l) Central European Media Ent — Buy CTrip — Buy (add'l) lsofstone Hldgs ADS — Buy (add'l) Central European Media Ent — Buy (add'l) lsoftstone Hldgs ADS — Buy (add'l) l1softstone Hldgs ADS — Buy (add'l) Isoftstone Hldgs ADS — Buy (add'l) lsoftstone Hldgs ADS — Buy (add'l) ltau Unibanco ADR — Buy (add'l) Progressive Corp Ohio — Buy (add'l) Isoftstone Hldgs ADS — Buy (add'l) lsoftstone Hidgs ADS — Buy (add'l) Hewlett Packard — Buy Noble — Sold Col. NY Inter Muni BDFD CL 2 — Redeemed Allergan — Sold Caterpillar — Sold Denbury Res — Sold (part) Express Scripts — Sold (part) Phillip Morris — Sold Principal Finl Grp — Sold TCF Fl — Sold (part) Waddell & Reed Finl — Sold (part) TCF Fl — Sold (part) Waddell & Reed — Sold Lowes Cos — Sold Varian Semiconductor — Sold Bally Technologies — Sold (part) Bally Technologies — Sold Amex — Sold (part) SE! Inv — Sold (part) Sma Com — Sold (part) GSI Comm — Sold BofA Tax-Exempt Reserves — Buy (add'l) BofA Tax-Exempt Reserves — Buy (add'l) BofA Tax-Exempt Reserves — Buy (add'l) BofA Tax-Exempt Reserves — Sold (part) Nielsen Hidgs — Buy Google — Buy Manpower — Sold Swma Com — Sold HSBC Hldgs ADR — Buy (add'l) Central European Medat Ent — Buy (add'l) General Murs — Buy Teva Pharmaceutical ADR — Buy (add'l) Monsanto — Buy HSBC Hldgs ADR — Buy (add'l) Wells Fargo — Buy (add'l) Citigroup — Buy (add'l) Greenhill & Co. — Buy (add'l) HDFC Bk ADR — Buy Amex — Sold (part) TCF Fl — Sold (part) Alliance Data Sys — Sold (part) Alliance Data Sys — Sold (part) Insituform Tech — Sold Tibeo Software — Sold Freeport-McMoran Copper & Gold — Sold JP Morgan Chase — Sold TCF Finl — Sold Rovi Corp — Buy Weverhauser — Buy Citigroup — Buy (add'l) Wells Fargo — Buy (add'l) Invesco Lid — Buy (add'l) Peabody Energy — Buy (add'l) Peabody Energy — Sold (part) Amex — Sold Pepsico — Sold (part) NV Energy — Sold (part) Pepsico — Sold (part) NV Energy — Sold Wellpoint — Buy Advanced Micro Devices — Buy (add'l) Google — Buy (add'l) Whirlpool — Buy (add'l) Parexel Intl — Sold (part) Parexel Intl — Sold Alliance Data Sys — Sold (part) Greenhill & Co — Sold Energizer Hidgs — Buy Skyworks Solutions — Buy Invesco Lid. — Buy (add'l) Ace Ltd — Buy Comcast — Buy Intercontinental Exchange — Buy Merck — Buy Pepsico — Buy (add'l) Public Serv, Enterprise — Buy Ace Lud. — Buy (add'l) Comcast — Buy (add'l) Express Scripts — Buy (add'l) Intercontinental Exchange — Buy (add'l) Merck — Buy (add'l) New Onental Ed & Tech — Buy Principal FIn. Grp — Buy Publc Serv. Enterprise — Buy (add'l) Merck — Buy (add'l) Monsanto — Buy (add'l) Vale ADR — Buy (add'l) Foster Wheeler — Buy (add'l) Nielsen Hldgs — Buy (add'l) Hess — Buy Siemens — Buy (add'l) Siemens — Buy (add'l) Google — Buy (add'l) Amazon — Buy Allance Data Sys — Sold Avon — Sold (part) HDFC BK — Sold (part) Avon — Sold Central European Media — Sold (part) Central European Media — Sold (part) CTrip — Sold (part) Goodyear — Sold (part) NYSE Euronext — Sold (part) Natl Oilwell — Sold (part) Natl Oilwell — Sold (part) Natl Oilwell — Sold (part) Central European Media — Sold Citigroup — Sold (part) Comstock Res — Sold (part) HSBC Hldgs — Sold (part) Kraft Foods — Sold (part) Hospira — Sold Thompson Creek Metals — Sold EOG Res — Sold Quanta Svcs — Sold Hewlett Packard — Sold General Murs — Sold Whirlpool — Sold (part) PG&E — Buy Express Scripts — Buy (add'l) Tyco Intl — Buy AT&T — Buy (add'l) Badu Inc — Buy Electronic Arts — Buy (add'l) First Rep. Bk San Fran — Buy Exxon Mobil — Buy (add'l) AT&T — Buy (add'l) Electronic Arts — Buy (add'l) John Hancock Invt Tr 11 — Buy PG&E — Buy (add'l) Whirlpool — Sold Isoftstone — Sold (part) lsoftstone — Sold (part) lsoftsone — Sold Foster Wheeler — Sold Citigroup — Sold (part) Citigroup — Sold (part) Citigroup — Sold (part) HSBC Hldgs — Sold HSBC Hldgs — Sold (part) HSBC Hldgs — Sold Weatherford — Sold Weatherford — Sold Mastercard — Sold (part) Mobile Telesystems — Sold Exxon Mobil — Buy (add'l) PGAE — Buy (add'l) AT&T — Buy (add'l) Home Depot — Buy AT&T — Buy (add'l) Analog Devices — Buy Digital Rlty — Buy Fifth Third Bancorp — Buy Fiserv — Buy Covidien — Buy (add'l) Insulet — Buy SLM Corp — Buy Humana — Buy Pfizer — Buy Alkermes PLC — Buy Alkermes PLC — Buy (add'l) CA Inc — Buy Visa Inc — Buy SLM Corp — Buy (add'l) Comstock Res — Sold (part) Peabody Energy — Sold (part) Petroleo Brasileiro ADR — Sold Comstock Res — Sold CTrp Com — Sold Invesco Lad. — Sold (part) Advanced Micro Devices — Sold Citigroup — Sold (part) Ebay — Sold (part) HDFC Bk — Sold (part) ltau Unibanco Hide ADR — Sold (part) Celgene — Sold (part) Medtronic — Sold Thermo Fischer Scientific — Sold (part) Teva Phamraceutical ADR — Sold (part) Wellpoint — Sold Celegene — Sold (part) Dover — Sold (part) Mastercard — Sold (part) Citigroup — Sold (part) Wells Fargo — Sold (part) Gilead Sciences — Buy SPDR S&P Dividend ETF — Buy SPDR S&P Dividend ETF — Buy (add'l) Air Prods & Chems — Buy Weight Watchers — Buy Marsh & McLennan — Buy PIMCO Commodity RealReturn FD — Redeemed Celegene — Sold Vanguard MSCI Emerging Markets ETF — Sold Invesco Lid. — Sold (part) Cingroup — Sold (part) Ferro — Sold General Murs — Sold Morgan Stanley — Sold (part) New Onental Ed & Tech — Sold Peabody Energy — Sold (part) ROVI Corp — Sold Skyworks Solutions — Sold Thermo Fisher Scientific — Sold Vale SA ADR — Sold (part) Weverhaeuser — Sold Ferro — Sold ACE Lud. — Sold SPDR S&P SOO ETF — Sold (part) US Trust managed IRA Rollover Account (no control) — Int — note mn part VII BofA Money Market Savings Col Blended Equity FD CL Z — Sold Col Dividend Income FD CL 2 Col Select Large Cap Growth FD CL 2 — Buy (add'l) Col Viaue & Restr. FDCL Z — Buy (add'l) Col Select Small Cap FD CL 2 IShares MSCI Emerging Mkts FD Col Short Term Bond FD CL 2 — Redeemed Pimco Commodity Realreturn Strategy FD Bank of NY Med. Term SR NT — Buy Berkshire Hathaway — Buy Wal-Mart — Buy Paul Hastings 401(k) (no control) — Interest — Closed — note mn part VII US Trust IRA (no control) — Int/Div — note m part VII BofA Money Market Account — Open J Hancock Regional Bank FD — Open US Treasury Strips — Open BofA Money Market Account — Open Col Select Large Cap Growth FD — Buy SPDR S&P ETF — Buy John Hancock Regional Bank FD — Redeemed SPDR S&P Dividend — Buy FifthThird Bancorp common — Int/Div ML CMA money account #x — Interest — Closed — Note m part VIII J Hancock Financial INDS FD — None — Sold Blackrock Global Growth A — None — Sold Blackrock Capital — None — Sold ML Retirement Reserves Account — Interest — Closed — Note mn part VIII US Treas Strips — None — Closed — Note mn part VIII J Hancock Regional Bank FD — Int/Div — Closed — Note mn part VIII NY 529 savings program #1 — None NY 529 savings program #2 — None NY 529 savings program #3 — None Gift — =Sister-in-law — Cash gift — $13,000.00 Gift — Sister-m-law — Cash gift — $13,000.00 Gift — Sister-mn-law — Cash gift — $13,000.00 Gift — Sister-in-law — Cash gift — $13,000.00 Gift — Sister-m-law — Cash gift — $13,000.00 Reimbursement — ORIG ros Institute — sande © — wii Thu — I TE a Ta a aaa on transnational bankruptcy issues (Transportation, Hotel, Food) Reimbursement — Wharton School of Business — 021811 — Philadelphia, PA — Speaker — Speaker at annual conference on bankruptcy issues (Transportation, Food) Reimbursement — Institute/University of Texas Law School — on bankruptcy valuation issues (Transporation, Hotel, Food) Reimbursement — American Bankruptcy } Institute — SOI HHo — Washington, DX — Speaker — Speaker/conferee at annual conference on bankruptcy issues (Transporation, Food) Reimbursement — bankruptcy issues (Transporation, Hotel Food) Reimbursement — Institute/ Georgetown University Law Center — conference on bankruptcy law issues (Transporation, Food) n FHAES dS DUy Hot Duy (add 1 6. Part VII, page 21, line 289 of my 2011 Report should report the purchase of “Invesco Ltd.” as “Buy” not “Buy (add’l)". 7. Part VII, page 26, line 359 of my 2011 Report should report the purchase of “AT&T as “Buy” not “Buy (add’1)™. Judge McKinley's letter also notes that I listed “ML CMA money account #2" in my 2010 financial disclosure report but not in my 2011 report. This is because we fully drew down on this account during 2011. Part VIII of my 2011 Report should be amended to reflect this notation. Finally, Judge McKinley’s letter notes that my 2011 Report's disclosure of the three New York Sec. 529 educational savings plans in Part VII, page 33, lines 478, 479 and 480 (the *529 Plans”) was deficient (although this was how they were reported in my 2010 financial disclosure report), because it did not disclose the degree of control that | have over such plans and, if such plans are “self-directed,” the transactions in those plans. Part VIL, page 33, lines 478, 479 and 480 of my 2011 Report should be corrected to add the words “no control” in column A for each of the 529 Plan entries on those lines. Part VIII of my Report also should be amended to include the following note: “Part VII, page 33, lines 478, 479 and 480: neither I nor anyone in my family have any control over the investments in these New York Sec. 529 educational savings plan, with the exception of designating the general portfolio option, which in each case is “Moderate Age-Based Option: Income Portfolio.” Please note that the foregoing also was the case for the three 529 Plans reported in my 2010 financial disclosure report. Please consider my 2011 Report amended accordingly. Very truly yours, Robert D. Drain United States Bankruptcy Judge --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/9958. Public record. Not legal advice.