barbara j rothstein financial disclosure report for 2010

8/3/2019 Barbara J Rothstein Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 2010

Report Required by the Ethics

in Government Act of 1978(5 U.S .C. app . §§ 101-111)

1. Per son R epor ting ( las t name, f ir s t , middle in i t ia l)

Rothste in, Barbara J .

4. Ti t le (Art ic le I11 judges indicate ac t ive or senior s ta tus;magistrate judges indicate full- or part- time)

U S D i s t r i c t Co ur t Jud g e

7. Chambers or Of f ice Address

Fed er a l Jud i c i a l Cen t e r

Washington, D.C. 20002

2. Court or Organization

Fed era l Jud ic ia l Cen te r

3. Date o f R e p o r t

08/04 /2010

5a. Report Type (check ap propriate type)

] N o m i n a t i o n , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the bas is o f the in formation eonta lned in this Repor t and anymodif icat ions per taining thereto, i t i s , in my opinion, in co mpliance

with appl icab le laws and regulat ions .

Reviewing Of f ice r Date

6. Repor ting Per iod

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,

checking the NONE b ox for each part where you have no repo rtable information. Sign on last page.

I . P O S I T I O N S . t R e p o r a n g i n d i v ld u u l o n l y ; s e e p e . 9 - 1 3 of filing instructions.)

~-] N O N E (No reportable positions.)

POSITION

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions.)

N O N E (No reportable agreements.)

DATE

1 .

2.

3.

PARTIES AND TERMS

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FINANCIAL DISCLOSURE REPORT

Page 2 of 10

N a m e o f P e r so n R e p o r t i n g

Rothste in , Barba ra J.

D a t e o f R e p o r t

08/04 /2010

I l L N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of fiting instructions.)

A. Filer’s Non-Investm ent Income

D NONE non-investment income.)V o reportable

D A T E S O U R C E A N D T Y P E

1. 2010 W est Serv ices , Ro ya l t i e s

2. 3/11/10 W o rld L earn in g , Co n sul t an t Fee

3 .6/12/10 W o rld L earn in g , Co n sul t an t Fee

4 . 6 / 1 5 / 1 0 T h e Ru t t er Group , f a c u l ty c om pensa t ion

5 .7 /19 /10 The Aspen Inst i tute , facul ty compensat ion

INCOME

(yours, not spouse’s)

$4,497.00

$5,670.00

$3,000.00

$500.00

$2,000.00

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - If you were married during any portion of the reporting year, complete this section~

(Dollar amount not required except for honoraria.)

D (No reportable non-investment income.)O N E

1 .2010

2.2010

3.

4.

DATE SOURCE AND TYPE

M ed ica l Facul ty Asso c ia tes , W ag es

Sel f Emp lo yed Co n sul t an t Fees

I V . R E I M B U R S E M E N T S - transportation, lodging, food, ent e r t a inmen~

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

~-~ N O N E (No reportable reimbursements.)

SOURCE

i. S e d o n a C o n f e r e n c e

2. Wor ld Learn ing

3. Pepperdine Dispute

Reso lu t io n Symp o s ium

4. Wor ld Learn ing

D A T E S L O C A T I O N

January 27-31, 2010 Pho en ix , AZ

M arch 6 - 1 1 , 201 0 Pr i s tin a , Ko so vo

Ap r i l 1 4- 1 6 , 201 0 Malibu, CA

June 6 -12, 20!0 Pr i s ti n a , Ko s o v o

P U R P O S E

Sp eaker , Pan e l Par t i c ip an t

Consul tant & Part ic ipant ,

Kosovo C onst it u t iona lCo urt W o rk Pro jec t

Sp eaker ; Pan e l P ar t i c ip an t

Part ic ipant , KosovoConst i tut ional Court Work

Pro j ec t

ITEMS PAID OR PROVIDED

L o d g i n g

Tran sp o r ta t io n , L o d g in g , M eal s

Tran sp o r ta t io n , L o d g in g

Tran sp o r ta t io n , L o d g in g

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FINANCIAL DISCLOSURE REPORT

Page 3 of 10

Name o f Per son Repor ting

Rothstein, Barbara J.

A sp en , CO S p e a k e r , Pa n e l Pa r t i c ip a n t

N e w Y o r k , N Y S p e a k e r , Pa n e l Pa r t i c ip a n t

D a t e o f R e p o r t

08/04/2010

5. T he A spen Institu te Ju ly 1 3-19, 2010 Tran sp o r ta t io n , L o d g in g , M eal s

6. A m e r i c an C o n f e r e n c e July 21-22, 2010 Transportat ion

Institute

7. Y a l e L a w S c h o o l N ov em ber 1 6 -1 7, N ew H av en , CT S p e a k e r , P a n e l P a r t i c i p a n t T r a n s p o r t a t i o n , M e a l s2010

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FINANCIAL DISCLOSURE REPORT

Page 4 of 10

N a m e o f P e r s o n R e p o r t i n g

Rothste in , Barbara J .

D a t e o f R e p o r t

08/04 /2010

V . G I F T S . a n c l u d e s t h o s e t o s p o n s e a n d dependent children; see p p . 2 8 - 3 1 of fillng instructions.)

N O N E (No repor ta ble g if ts .)

SOURCE DESCRIPTION

1.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . (Includes those of spouse and dependent chiMren; see pp. 32-33 of filing instructions.)

N O N E (No repor ta ble l iabi l i t i es .)

CREDITOR DESCRIPTION

1 .

2.

3.

4.

5.

VALUECODE

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FINANCIAL DISCLOSURE REPORT

Page 5 of 10

N a m e o f P e r s o n R e p o r t i n g

Rothste in , Barbara J.

D a t e o f R e p o r t

08/04 /2010

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e , v a t u e , transactions (Includes those of spouse and depen dent children; seepp. 34-60 o/fillng instructions.)

D NONE income, assets, or transactions.)N o reportable

1 . A m c o l C o m m o n A Divid en d J T

2. E1 Paso Corp. A Divid en d J T

3. EQT C orpora t ion ( f rmr ly Eq u i t ab le A Divid en d K T

R e s o u r c e s Co m m )

4. M o to ro la In c Co m m o n N o n e K T

5. N e w Y o r k M u n i I n c o m e A Interest J T

6. Am er i c an Euro Pac i f i c Grow th Fnd C A Divid en d L T

7. A m e r ic a n N e w W o r l d F n d C A Divid en d L T

8. Vangua rd In t e r T e rm T /E Inv C 1 A Divid en d L T

9. U S B a n c o r p A c c o u n t A Interest J T

1 0 . C api t a l One Ban k ( f rmdy C h evy C h ase A Interest K TB a n k )

1 1 . NA Propert ies Ltd Partnership B Distribut ion J U

1 2 . Ren ta l Ho use Red mo n d ,W A (! 999 E R e n t M R$172,000)

1 3 . New Hor i zon C api t a l I I I , LP A Distribut ion M U

1 4 . Renta l T ow nh ou se St ra sb u rg , VA (2 0 0 9 D R e n t M R$135,000)

1 5 . A m e r ic a M o v i l A d s B Divid en d M T

1 6 . Bank On e C api t al T rus t VI B Interest K T

1 7 . Elan C orp . C ommon N o n e J T

Bu y 07/06/10

2. Value Codes J =$15,000 or less K =$i5,00i ~ $501000

(seeco, .... C l a n d D 3 ) N = $ 2 5 0 , 0 0 1- $500.000 O~$50000i-:$i ~0i000

p3 =$25,000,001- $50,000~000

3. V alu e M ethod Codes O =Appraisal R =CoSt {R~al Es tate Only) S--Asse~m~i T ~ash U~t ....

(See Column C2) U =B o o k Va lue V =Oth e r W = E s t i m a t ed

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FINANCIAL DISCLOSURE REPORT

Page 6 of 10

N a m e o f P e r s o n R e p o r t in g

Rothste in , Barba ra J.

D a t e o f R e p o r t

08/04/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i n eo ., e , v a lu e , ~ans~ct ions a n e l u d e s t h o s e o l s p o u s e u n d dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)

D NONE incom e, assets , or transactions. )N o reportable

1 8 . E m u l e x C o r p . C o m m o n N o n e J T

1 9 . Mi c r o s o f t C o r p . C o m m o n C D i vi d en d M T

20. 3 M C o m p a n y B D i vi d en d L T

21 . XCel E n er g y A D i vi d en d J T

22. PPL Corp . A D i vi d en d J T

23 . L i f e T e c h n o l o g i e s C o r p N o n e K T

24 . C o s t c o W h o l e s a l e C o r p . C o m m o n A D i vi d en d L T

25 . W e s t e r n As s e t HI I n c . B D i vi d en d K T

26 . St a r b uck s Co mmo n C D i vi d en d N T

27. T e l e f o n o s D e Me x i c o C o m m o n B D i vi d en d K T

28 . Telmex In te rna tiona l N o n e

29. N u v e e n Q u a l i t y P r e f e r r e d I n c o m e F D A In te res t J T

30 . Ba n c o r p s o u t h C a p T r . P r e f e r re d B Interest K T

31 . 3 C o m C o r p C o m m o n N o n e

32 . Ho m e D e p o t In c . C o m m o n A D i vi d en d K T

33 . G e n e r a l E l e c t r i c C o . C o m m o n B D i vi d en d K T

34 . Mo r g a n S t a n l e y C a p . T r u s t B D i vi d en d K T

S o ld 06/10/10 K

Sold 04/12/10 K D

l. Incom e G ain Co des: A = $1 ,000 o r le ss B = $1 ,001 - $2,5 00 C = $2.5 01 - $5 .000

(See Colu m ns B1 and D4 ) F = $5 0,001 - $100,000 O = $100,091 " .$1 ,000,00 0H

1 =$ L000.001 "$5.000,090

2. V alu e Codes J = $15 ,000 o r le ss K = $15 .001 - $50.000 L =$50.001 - $100.000

(See Columns CI and D3) N =$250,001 - $500,000 O = $5 00 .0 01 - $1 .00 0.0 00 P I = $1 .00 0.00 1 - $5 .0 00.0 00

P3 =$ 25,000.001 - $50,000,000 P4 =M ore than 1;50.000.000

3 . V alu e M ethod Codes Q = A ppraisal R =Cost IReal Es tate Only) S = As s es s men t

(See Column C2) U = Book V alu e V =Oth e r W = Es t imated

D = $5 .001 - $15 .0~ )

H2 =More than $5,000.000

M =$100.001 - $250.000

P2 =$5.0~0.D01 - $25.000.000

T -~ Sas h M ar k e t

E - 5 1 5 . 0 0 1 - $ 5 0 . 0 0 0

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FINANCIAL DISCLOSURE REPORT

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N a m e o f P e r so n R e p o r t i n g

Rothste in , Barbara J .

Date of Report

08/04 /2010

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , t r a n s ~ a i o n s a n c l n d e s t h o s e o S s r o n s e and de~dent children; see p p . 3 4 - 6 0 of filing instructions.)

~ -~ N O N E income, assets, or transactions.)~ o reportable

35 . C HS C oope ra t i ve s Pre fe r red B Divid en d

36 . C E P S G o v ’ t & A g e n c y F u n d s N o n e

37 . Assoc i a t ed Bank A Interest

38 . Deut sc h e Bank A Interest

39 . East West Bank A Interest

40 . C i t izens B ank A Interest

41 . C MS Ene rgy A Divid en d

42 . Pionee r Floa t ing R a t e T rus t (PHD) B Divid en d

43 . E a t o n V a n c e E n h a n c e d E q u i t y I n c o m e F u n d B Divid en d

4 4 . E a t o n V a n c e E n h a n c e d E q u i t y In c o m e F d I I D Interest

45 . RM R RE Fund ( f rmr ly RMR Pre fe r red

Div idend Fund)

46 . Drey fus Premie r Grea t e r C h ina Fund

47 . Ea ton Vanc e Grea t e r C h ina Fund C 1 A

48 . Visa In c

49 . IB M

50 . NJ F Div idend In t e re s t Premium St ra tegy

F un d

51. Dell, Inc

A Divid en d

N o n e

A Divid en d

A Divid en d

B Divid en d

B Divid en d

N o n e

K T

L T

L T

L T

L T

J T

K T

K T

M T

J T

K T

K T

M T

M T

K T

J T

Clo sed 01 /01/1 0 M

Op en 01/01/10 L

Op en 01/01/10 L

Op en 01/01/10 L

Op en 01 / 1 0/ I0 L

2. V alu e Codes J = $15 ,000 0r le ss K = $15 ,001 r $50,000 L =$50,001 - $100,000 M = $ 1 0 0 - 0 0 i : $ 2 5 0 1@

. . . . . . . . . . .

(See Columns CI and D3) N =$250,001 ~ $500;000 0=$500,001~$1,000,000 p =$ 0 0 0 ;0 0 1 ~ $ 5 0 0 0 0 0 0 P 2 = $ 5 ; 0 0 0 , 0 0 1 ~ $ 2 5 i 0 0 0 ~ 0 0 0

P3 = $25.000.001 r $50,000.000 P 4 = M ore than $5 0,000,000

3. V alu e M ethod Codes Q =Appraisal R =Cost (Real Es tate Only) S =ASsessment T =C a s h Ma rke t

(S e e C o lum n c2 ) u =B o o k Va lue V =Oth e r W =Estimated

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FINANCIAL DISCLOSURE REPORT

Page 8 of 10

N a m e o f P e r s o n R e p o r t in g

Rothste in, Barba ra J .

D a t e o f R e p o r t

08/04/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i ,c o m e , v a l u e , ~ous.ctions ( Inc ludes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)

[~ NONE(N o reportable income, assets , or transactions. )

52 . ET rade Money Mark e t F u n d s

53 . C y b ersou rce C orp . C omm on

A I n t e r e s t

None

T

S o ld 07/22/10 K D

2 . Va lue C o d ~ J = $15,000 o r less K = $15 .001 - $50,000

(See Columns C 1 and D3) N =$250,001 - $500,000 O = $500,001 - $ 1 ,000.000

P3 =$25.000,001 - $50.000.000

~. Value Method Codes Q =Appraisal R =Cost (Real Es tate Only)

(See Column C2) U = Book V alu e V =Oth e r

=$2;501. $5;000 ~ D =$5,001 - $15,000 E =$15,001 - $50.000

HI =$1 000,001 ~ $5 000 000 H2 ~More lhan $5,009,000 .......

=$50,001 ~ $100,000 M ~$100~001 ; $250;~

S = A s s e s s m e n t ~ : T : : : C a s h M a r k e t

W =Estimated

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FINANCIAL DISCLOSURE REPORT

P a g e 9 o f 1 0

Name o f Per son Repor ting

R o t h s t e i n , B a r b a r a J .

Date of Report

08/04/2010

V II I. AD D ITIONA L INFOR M ATION O R E XP LANAT IONS. (Indicate part of report.)

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FINANCIAL DISCLOSURE REPO RT

Page 10 of 10

Name of Person Report ing

R o t h s t e i n , B a r b a r a J .

Date of Report

08/04 /2010

IX. CERTIFICATION.

I c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a in i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s t a t u to r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .

I f u r th e r c e r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . § 5 0 1 e t . s e q . , 5 U . S . C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/Barbara J. Rothste in

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U LL Y F A L S I FI E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U BJ E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . § 1 0 4 )

C o m m i tt e e o n F i n a n c i a l D i s c lo s u r e

A d m i n i s t ra t i v e O f f i c e o f t h e U n i t e d S ta t e s C o u r t s

Suite 2-301

One Columbus Circle, N.E.

W a s h i n g t o n , D .C . 2 0 5 4 4