barbara j rothstein financial disclosure report for 2009

8/3/2019 Barbara J Rothstein Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/barbara-j-rothstein-financial-disclosure-report-for-2009 1/9

I , ~ o 1 0 I FINANCIAL DISCLOSURE REPOR T R e p o t s R e q u i r e d b y th e E t h ic sin Government Act of 1978

R e v . t /2 0 l O FOR CALENDAR YEAR 2009 0 u..s.c, app. ffff !01-111)

I. P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t i a l) 2 . Court o r Organ iza t ion 3 . D a t e o f R e p o r t

R o th ste in , B a rb a ra J . F edera l Jt~d ic ia l C en ter 0 7 / 3 1 . J 2 0 1 0

4. Ti t le ( A rt ic le I l l judges i nd i ca t e ac t i ~ ,c o r sen i or s t a t u s : 5a . R epo r t Type (check a ppro pr i a t e . lype) 6 . R e p o r t i n g P e r i o dmagi s t ra t e j udges i nd i ca t e fu l l - o r pao- t i me)

[] Nomination, Date 01101/2 009US District Court Judge

[] Initial [] Annual [] Final to

12/31/2009

5b. [] Amended Report

7 . C h a m b e r s o r O f l ic e A d d r e s s 8 . O n t h e b a s i s o f t h e I n f o r m a ti o n c o n t a i n e d i n I b i s R e p o r t a n d m a ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , I t i s , i u m y o p i n i o n , i n c o m p l i a n c e

Federal Judicial Center w i t h a p p l i c a b l e l a w s a n d r e g u l a l i o n s .

Washington. D.C. 20002

R e v i e w i n g O t l i c e r D a t e

13 1P O R TA N T NO T E S : Th e i n s t ruc t i o n s ac c un r pa n yi n g th i ~ fo r m m us t b e fo l l o wed . Co m pl ete a l l pa r t s ,

checking the NONE bax for eac h parl where you have no r~porlable information. Sign on last pa ge.

~N~)NE(Nor~ortablepositio,~.)

P O S I T I O N NAME OF ORGAN~TIO~NTI~

t. + _ _ ~]

-:’~ ’ r ~ I4. "’,2._ -- ~~. l’,I Ld

1 I . A G R E E M E N T S . ( ~ . .~ , , .; ,. ~ i,,di,’idual only; +~,eH,. 14-1+ offiling in .....

N O N E (No reportable agreements.)

D A T E P A R T I E S A N D T E R M S

I.



FINANCIAL DISCLOSURE REPO RT

[

D , te o f R ~ p o .

of 9 o 7 / 3 1 / 2 o l o

I .[ l . N O N - I N V E S T M E N T I N C O M E . ~Repo~i, gi, a~.id~,,~.~po~o~,epe. ~7-~,,/~.~i~. .....

iot~sO

A. Flier’s Non-Investmen{ Inconte

NONE (No reportable non-investment income~)

DATE SOURCE AND TYPE I N C O M E _(yours , not spouse’s)

1.

B . S p o u s e ’ s N oIl - I I~ ve s t l l l e l l{ I l l c O ~ l le - If yon were married daring any porCion of the repor~ing )’earo comp lete this sectiot~

(Dollar amount not required ¢.~¢ept for honorarit~.)

D NONE ( T Vo reportable non-investment income.)

DATE SOURCE A~D TYPE

I . 2009 M e d i c a F a c u t y A s s o c i a t e s W a g e s

2 . 2 0 0 9 Self Employed Consul tant Fees

3.

I V . R E I M B U R S E M E N T S _ tr,,.W,,,o,io., lodging, load,

..... rtai ......

[--] N O N E ( N o reportable reimbursements.)

~ ~ LOCATION P U I L P O S E ITEMS PAID OR PROVIDED

1. Duke L aw J our na l ’ s January 5-6, 2009 R a l e i g h -D u r h a m . NC Speaker, Panel Part icipan t Transpor ta l ion, LodgingCo n fe r e n c e

2 . AL I-ABA R O L l Boar d February 11-13, 2009 Boston, MA Meet ing Transpor ta t ion, Meals , l ,odgingMeet ing

3 . 2 0 0 9 B y m e J u d i c i a l March 19-2 I, 2009 M a l i b u , C A Speaker, Panel Part icipan t Transporta t ionClerkship Ins t i tu te

4. The Rut tc r Group Jtme 4, 2009 Seattle, WA Speaker, Panel Part icipan t Transpor ta t ion,Meals

5. Aspen Inst i tu te Jn l y 10-|6, 2009 A s p e n , CO Speaker, Panel Participant L odgi ng , M e a ls

6. R O L l B o a r d Me e ti n g July 3 I, 2009 C h i c a g o , I L Meet ing Transpor ta t ion, Lodging, Meals



FINANCIAL DISCLOSURE REPOR T ’ ~ . ~ o f 1 , ~ .... ReportingDa~’e o f Report I

o~" 9 Rothslein, Barbara J. 07/31/2010

7. Se dona C on f e r e nc e Jud i c i a l Augus t 27-29, 2009 New York, NY Meet ing Transpor ta t ion. Lodging, MealsAdvisory

8. The Sta te Se pt e mbe r Uganda , Rw anda , K e nya Part icipan t Transpor ta t ion, Lodging, MealsDcpartment~Fordham 19-October 2 , 2009Lr~ivcrsity - Judicial Trainingf o r J udge s i n Af r i c a

9. WSTLA Legal Educat ion Octob er 7-9, 2009 Seattle, WA Speaker Tra~spor ta t on, Lodging, MealsScminars , Inc .

1 0. 4th IOJT ContErence Octob er 23-30, 2009 Sydney, Aust ral ia Parlicipant Transpor ta l t ion, Lodging, Meals



FINANCIAL DISCLOSURE REPOR T N .....fP .....Repot’ring I)alt~ of Report

I

of 9 Rothstein, Barbara J. 07/31,’2010

V . G I F T S . a , c t ~ a , ~ , , h o . , e , , ,. ~ p ...... d dependent children; ~ee pl~ 28-3 I of fillng lnstructions.)

N O N E (No repo rtable

S O U R C E D E S C R I P T I O N VALUE

1.

2.

3.

4.

5.

[~] N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

1 .

2.

3.

4.

5.



FINANCIAL DISCLOSURE REPORT

[ a o t h . ~ t~ i n , B a r b a r a ~ .a g e 5 o f 9 0 7 / 3 1 / 2 o 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ . . . . . . . . ~ , ~ , ~ . . . . . a io n ~ ( tn ctuaes t~ o se o f sp . . . . . . d d ep ,n d en t ch i taren ; see pp . 3 4 -~ 0 o f f i r in g in s trucrio ,s . )

NONE ~ o rc~ortable income, assets, or transactions.)

l)escripIion o f Asse~ I I n c o m e d u r i n g G r o s s v a l u e a t e n d [ T n n s a c t i o n s d u r i n g r e ~ a i n g p e r io d(including ~t assets] l, reposing ~riod of ~poaing period ..[ ........

i O) ~2) (~) (2) (l) (2) ~ ~- ~q (5 )

Place ~(X)" after each ~sct ~Am~n1 T)~ (e.g, V a l u e V M u ~ T~ (~.g., D a t e Value ~ Gain Identi~ of

e x e m p t f r o m p r io r d i s c l o s u r e ] C o d e I d i v . r e n t . C o d e 2 M el h o d b u y , s e l l m m i d ~ : ) ~ C o d e 2 ’ Code I b o y L e ! s e l l e r

~A - H ) o r h ~ t . ) ( J - P ) C ~ e 3 r e d e m p t i o n ] ( J - P ) ? ( A - } I ) (ifphvate

[ ( Q - W ) t r a n s a c t i o n )

1. A m c o l Co m m o n A Di vi de nd J T

2. El Paso Corp. A Di vi de nd J T

3 . Equi t ab le Re s our c e s C ommon A Di vi de nd K T

4. Mo t o r o l a l n c Co m m o n A Di vi de nd J T

5. Ne w Yo r k Mu n i I n c o m e A lnt.!Div. J T

6. Ame r i c an Eur o P ac i f ic Gr ow t h F nd C A Di vi de nd K T

7. Ame r i c an N e w Wor ld F nd C A Di vi de nd K T

g. US B a n c o r p A c c o u n t A I n t e r e s t J T

9. Ch e v y Ch a s e B a n k A c c o u n t A I n t e r e s t J T

I0. NA Pro per ties Ltd Pa rtn ersh ip Iq Dis t r ibut ion

I 1 . R e n t a l H o u s e R e d m o n d , W A ( 1 9 99 E Rent M RS 1 7 2 , 0 0 0 )

1 2 . New Ilofizon C api ta l III , LP D i Dis t r ibut ion M U

13 . Rental Townho use St r ’a .,cburg, VA (2009 D R en t M RS 1 3 5 , 0 0 0 )

14 . A mer icu Movi l Ads B Dividend M T

1 5. Bunk O ne C api t a lT r us t V I B I n t e r e s t K T

1 6 . E l a n Co r p . Co m m o n None J T ~

1 7 . E r n u l ex C o r p . Co m m o n None J T



Name of Per son Rep~r t lng Date of Repor tINANCIAl , DISCLOSURE REPORT

] I R o t h ~ s t e i n , B a r b a r a J .a g e 6 o f 9 0 7 / 3 i / 2 o 1 0

V II. INVESTMENTS and TRUSTS - ~, ........ ~ , . t ~ . . . .. a o ~ a , ~ t ,a , ~ t h o s e o~sp

~ N O N E (No reportable income, assets, or transactions.)

~

"A . - - - ~ ~. ~ ..................................... ~ ? . . . . . .. . . . .. . .D c s c r i p t it ~ n t ~ f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n ~ c l io n s d u ~ n g r e p o s i ng p c 6 o ~ I

[ ( i ~ e l u d i n g I r u ~ l a s s e t s)~

r c ~ i ng pe r i od of re~aing

I/

~1) " ~ (1) [ (2) (I) ~ (2) {3) (4) (5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t [ A m o u n ~ Ty~ {cg., V a l u e ] V a l u e T~e (e.g . , I Da~e Value G a i ,~ I d e n f i t~ o fe x e m p t f r o m p r i o r d i s c lo s ~ c / C~e I d~, rent , C ~ e 2 ] M e ,h o d b u y , s e l l , I m m t d ~ ’ y y ~ C ~ e 2 C o d e 1 buyer/seller

{ A - H ) o r i n t . ) ( J - P )]

C od e 3 r e d e m p t i o n ) [ ( I - P ~ ( A - I I ) ( i f p r i v a t e

.... [~Q-W) ......... ..................................................

~~ . . . . . t i o n )

1 8 . h ’ ~ i c ro s o ~ Co r p . Co m m o n C Di vi de nd M T

1 9. 3 M C o m p a n y B Di vi de nd L T

20 . X C e l Ene r gy A Di vi de nd J T

2 1 . PPL Corp. A Di vi de nd J T

2 2 . Life Technologies Corp None K T

2 3 . Co s t c n W h o l e s a l e Co r p . Co m m o n A Di vi de nd L T

2 4 . Western Asset II1 Inc. B Di vi de nd K T

2 5 . Starbucks Corm~aon C Di vi de nd M T

2 6 . T e l e fo n o s D e Me x i c o C o m m o n 1 3 Di vi de nd K T

2 7 , Telmex In terna t iona l A Di vi de nd K T

2 8 . Pennzoi iCo 13onds 13 D i v i d e n d R e d e e m e d 1 / 1 6 1 ( 1 9 J

2 9 . Nuveen Qual i ty Prefer red Income FD A Interest J T

3 0 . ~ancnrpsouth Cap Tr . Prefer red B I n t e r e s t K T

3 1 . 3 C o m C o r p C o m m o n None K T

3 2 . l lome Depot Inc . Common A D i v i d e n d K T

3 3 . G e n e r a l E l e c tr i c Co . Co m m o n B Di vi de nd K T

3 4 . Morgan Stanley Cap. Tn~s t B D i v i d e n d K T



Jam e o f P e rs o n R e p o r G n gINANCIAL DISCLOSURE REPORT

I Roths|eln. Barbara J.

Date of R e p o r t

or’90 7 / 3 1 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i.co ..... i.e. , ...... ,io.s a.a.a~ ,ho,o 4,, ...... d dependent children; see pp. 34-rOof filing ins~uctions

NONE ~o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s ~ t s ; I n c o m e d u r i n g ~ G ~ s s v a l u e a t e n d T ~ n s a c f i o n s d u r i n g r c ~ i n g[ re~ing period [ of repor t i ng

P l a c e " ( X ) " a f te r e a c h a s s e t [ A m o u n t T y p e ( e . g . , V a l u e V a l u e T y p e ( e g . Date ~ Value G a i n I d e n f i l y o fe x e m p t f r o m p r i o r d i ~ l ~ u r e] C o d e 1

d iv. . ren t , C o d e 2 M ~ h o d b u y. s e l l , m ~ ’ d ~ , ’ y y C o d e 2 C o d e I b u y e ffs e l lc r

jA-H) ~ or mt)

U-P) C~e 3r c d c m l n i ° n ) I ~ ( J - V ) (A-II)

35 . CllSCooperatives Prel~edB D i v i d e n d K T

"~ ’6. C E P S G o v ’ l & A g e n c y F u n & sA D i v i d e n d M T

3 7. CMS Energy A D i v i d e n d J T

"38. Pioneer Floating Rate Ta~st {HID)B D i v i d e n d J T

3 9. Eaton Vance Enhanced Equity Income FundB D i v i d e n d K T

40 , Eaton Vance Enh~ced Equity Income Fd It E I n t e r e s t M T

41 . RMR Prefe~ed Dividend FundA D i v i d e n d J T

42 . Dreyfus Premier Greater China FundNone K T

43 , Eaton Vance Greater Ch~a Fund CI AA D i v i d e n d K T

44 . Visa IncA D i v i d e n d M

T

45 . IB MB Divided M T

46 . NJF Dividend Int~esl Premium StrategyB D i v i d e n d K TF u n d

47 , D e l l , l n eN o n e J T

4 8. ETvade Money Market Fun~A l n t e r c s l K T

4 9. Cybersource CoO.

Common N o n e K T



FINANCIAL DISCLOSURE REPORT . ~ ’ ~ , o t P e ,, o ~ R , p o , u ~

P a g e 8 o f 9 R o t h s / e i n , B a r b a r a J .07/31/’2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.



FINANCIAL DISCLOSURE N a m e o f P e r s o n R e p o r t i a! ~ D a t e o f R e p o r ~ [EP ORT

[ Rothstein, Barbara J.

07/31/2010age 9 of 9

IX. CERTIFICATION.

1 c e r t i f y t ha t a l l i n f o r mat i on g i ve n above ( i nc lud i ng i nf o r mat i on pe r t a i n i ng t o my s pous e and mi nor o r de pe ude n t c h i ld r e n , i f an) , ) i sa ccu ra t e , t ru e , a n d co mp l e t e t o t h e b es t o f my k n o wl ed g e a n d b e l i ef , a n d t h a t a n y i n f o rma t i o n n o ! r ep o r t ed wa s wi t h h el d b ecu u se i t met a p p l i ca b l e s t a t u t o ryprovisions permitting non-disclosure. "

1 f u r l h e r c e rt 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 o d t h e a c c e p t a n c e o f g i f t s w h ic h h a v e b e e n r e p o r t e d a r e i nc ompl i anc e w i t h t he p r ov i s i ons of 5 U. S .C . app . § 50 1 e t . s e q ., 5 U. S. C . § 7353 , and J ud i c i a l C o nf e r e nc e r e g u la t i ons .

Signalur!

N O T E : A N Y I N D I V I D U A L W I IO K N O ~ V I N G L Y A N D \ V I L F UL LY F A L S IF I E S O R F A L L S T O F I L E T i ll s R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N CT I O N S ( 5 U . S. C. a p p . § 104)

F I LI N G I N S T R U C T I O N S

M a i l s i g n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

C o m m i t t e e o n F i n a n c i a l D i s c lo s u r eA d m i n i s t r a t iv e O f fi c e o f t h e U n i t e d S t a te s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r cl e , N. E.W a s h i n g t o n , D . C . 2 0 5 4 4

barbara j rothstein financial disclosure report for 2009

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