reena raggi financial disclosure report for 2010
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8/3/2019 Reena Raggi Financial Disclosure Report for 2010
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REENA RAGGI
United State~ Circui~ Judge
UNITED STATES COURT OF APPEALS
SECOND CIRCUIT
UNITED STATES COURTHOUSE
225 CADMAN PLAZA EAST
BROOKLYN, NEW YORK 11201
Augu st 11, 2011
Honorable Bobby R. BaldockChair , Comm ittee on F inancial DisclosureAd minis t rat ive Off ice of U.S. Cou rtsSuite 2-301
One Colum bus Circ le , N.E.W ashington, D.C. 20544
R e : Revised Disclosure Report for 2010
D ear J u d g e B a l d o ck ,
In response to you r le t te r of Ju ly 21 , 2011 (At tachm ent A) , my acc ountan t hasprepared a revised Financial Disclosure Report for 2010 (Attachments B & C), which I herebyt ransmit . I apologize for any inco nvenienc e to the Com mittee.
At the sam e t ime, I observe that the need to f i le this revised report does raise som econc ern, if even a cer t if ied accoun tant can f ind i t diff icult to prepare these repor ts . Might
the Com mittee (or its s taff) provide an y guidan ce for s implifying the process general ly orspecifically with respect to my report?
Very t ruly yours ,
cc: M r . J o h n M . T o w er sR a g o v i n & S p e r b e r
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STANLEY M. ROGOVIH
JEFFREY M. SPERBER
Augus t 8 , 2011OF COUNSEL:
STEPHEN M. BERNSTEIN
BARRY KAPLAN
Hon. tLeena tLaggiUnited States Courthouse
225 Cadman Plaza Eas tBrooklyn, NY 11201
Dear Judge Raggi:
Pursuant to our telephone c onversation of today, enclosed please find the revised FinancialDisclosure tL~port for the calendar year 2 010, along w ith the letter you received from the JudicialCon ference of the United States Com mittee dated July 21,2011.
W ould you k ind ly s ign t he F inanc ia l Di sc losure Repo r t on page "9" where ind ica ted andmail i t in the envelope pro vided to the Com mittee on Financial Disclosure, as soon as possible
If you should have any questions, please feel free to call.
Very truly yours,
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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010
Report Required by the Ethics
in Government Act of 1978
(5 U.S.C. app. §§ 101-111)
1. Person R eporting (last name, first, middle initial)
R AG G I , R E E NA
4. Title (Arlicle III judges Indicate active or s~n lor status;m a g i s t ra t e j u d g e s i n d i c a t e f u l l - o r p a n . l i m e )
UNITED STATES CIRCUIT JUDGE
2 . C o u r t o r O r g a n i z a t io n
U.S, COURT OF APPEALS, 2ND CIR
Report Type (~heck appropriate type)
] N o m i n a t io n , D a te
[] Initial [] Anntlal
~ h. [ ’~ Am en d ed Rep o r t
] Fir~l
3. D a t e o f R e p o r t
0 8 1 0 8 / 2 0 1 1
6. R eporting Period
01/01/2010
t~
12/31/2010
7. Chambers o r Oll’me Address
U .S . C O U R T HO U S E
2 2 5 CA DMA N PL A Z A EA ST
BROOK L Y N, NY 1 1 2 01
8.On the bas i s ef the in fo rmation con tained in thi s Repm’t and anymodi f i cat ions per tain ing thereto , i t i s , In my op in ion , in compliancewith appl icable laws and regula t ions .
R e v i e w i n g O f f ic e r D a t e
IMPORTA NT NO TES: The ins t rucaons accompanying th i s f orm mus t be fo l lowed. Com ple te al l par ts ,
checking the NONE bo x for each part where yo u have no reportable information. Sign on last page.
I . P O S I T I O N S . (R,Vor~,at~.a to , tT; ,eopp.
~ N O N E (No repo rtab le pos i t ions . )
POSITION
1 . M E M BE R , JU D IC IA L A D V IS O RY B O A R D
ME MB E R ,P AR I S H C O U NC I L
TRUSTEE
N A M E O F O R G A N I Z A T IO N / E N T IT Y
G E O R G E M A S O N S C H O O L O F L A W , C E N TE R F O R L A W A N D
E C O N O M I C S
C H U R C H O F T H E A S S U M P TI O N , B R O O K L Y N N E W Y O R K
W I L L I A M N E L S O N C R O M W E L L F O U N D A T IO N
I I . A G R E E M E N T S . ~ R o p o , ~ . ~ , , d i ~ t ~ . a l o . ~ : , . ~ , ~ , .
~ N O N E(No reportable agreements. )
p A R T I E S A N D T E R M S
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F I N A N C IA L D I S C L O S U R E R E P O R T
Page 2 of 9
N a m e o f P g r s o n R e p o r t in g
R A GGI , R EEN A
D a t e o f R e p o r t
08/08/2011
I II . N O N - IN V E S T M E N T I N C O M E . tReporan~ ~dJ~idu , ! ,d ~us o; ,*o pp . ~ .U
A. Fi le r ’s Non-Inves tmen t Income
~ N O N E (No reportable non-investment income.)
D A T E SOURCE AND TYPE(yours, not spouse’s)
1. 2010 N E W Y O R K U N I V E R S IT Y L A W S C H O O L - S A L A R Y $26,550.00
2.
3.
4.
B . S p o u s e ’s N o n - I n v e s t m e n t I n c o m e - lf yeu w~r, married during any p ortion of the reporting year, com plete tlda section.
( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a .)
~ N O N E (No reportab le non - inves tmen t income. )
2.
3.
4.
S O U R C E A N D T Y P E
IV . R E I M B U R S E M E N T S - -( I n c l u d e s t h o s e t o ~ p o u ~ e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f i J i n g i n s t r u c ti o n s . )
N O N E (No reportab le reimb ursemen ts . )
SOURCE ~ L O C A T I O N P U R P O S E IT E M S P A ID O R P R O V ID E D
1. UNIVERSITY OFP E N N S L Y V A N IA L A W
S C H O O L
01/28/2010 PH IL A D EL PH IA , PA M O O T COU R T H O TEL A N D M E A L
2. F E D E R A L B A R C O U N C IL 02/21/2010-03/01/2010 K O N A , H I PROF ESSION AL AI R FAR E , HO T E L AND ME ALSMEETING
3. FR I E NDS O F HE B R E W 03t10/2010-03/19/2010 JE RU SA LE M, ISR AEL P RO FESS IO NA L AI R FAR E , HO T E L AND ME ALS
UNIVERSITY MEETING
4. N E W Y O R K S T A TE B A R 05/22/201005/23/20113 B O LT O N LANDI NG , NY PROFF_.~SIONAL H O T E L A N D M E A L S
ASSOCIATION MEETING
5.
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FINANCIAL DISCLOSURE REPOR T
Page 3 of 9
N a m e o f P e r so n R e p o r t i n g
R A G G I , R E E N A
D a t e o f R e p o r t
08/08~011
V~] NONE (No repor table g i f ts . )
SOURCE
2.
3.
4,
5.
[ N O N E (No reportable liabilit ies .)
CREDITOR DESCRIPTION
I.
2.
3.
4.
5.
VALUE CODE
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F I N A N C I A L D IS C L O S U R E R E P O R T
Page 4 o f 9
Name of Person Reporting
R A G G I , R E E N A
Date of Report
08/08/2011
N O N E (No reportable income, assets , or transactions.)
A. B. C. D.
D e s c r i p t i o n o f A s s e t s Income during G ross value at end T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
(including trust as~ts) r e po rt i n g p er io d o f r e po rt i n g p e rio d
(1) (2) (1) (2) (l) (2) (3) 14) (5 )
P la 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 . , Value Value T y p e ( e . g . , D a te Value Gain I d e n t i t y o f
e x e m p t f i , o m p r i o r d i s c lo s u r e Code I d i v . , c e n t , Code 2 M eth o d b u y , ~ e l l , m m/ dd /y y C od e 2 C o d e 1 buyer/seller
( A - H ) o r i n t 3 O - P ) C o d e 3 r e d e m p t i o n ) ( I - P ) ( A - H ) ( i f p ~ v a t e
( Q - W ) t r a n s a c t i o n )
4.
5.
6.
7.
8.
9.
1 0 .
1 1 ,
1 2.
1 3 .
1 4 .
1 5 .
1 6 .
1 7 .
CITIBANK PREFERRED MONEYMARKET ACCOUNT(MMP)
CITIBANK CHECK ING ACCOUNT
CITI NEW Y ORK TAX FREE RESERVEMMF. R
C I TI G R O U P G LO B AL MKT S I NCACCOUN T NO.I - R
-U.S. TREASURY NOTES SER R 2011
DTD 01/02/2007
- N E W Y O R K S T U R B A N D E V C O R P
REV P.FDG-FSA BK/ENT DTD 1/1/94
-CORPORATE BOND - GENERAL EL EC
CAP COR P DTD-3/06/2008
-NE W YO R K C I T Y G / O S E R I DD
0 4 / 0 1 / 0 4 FiC 811/04
-NEW YORK N Y GENL OBL IG BDS-G-B/E DD 01/03/2008
-CERTIFICATE OF DEPOSIT
-NEW YORK CITY O/O SER M DD
4/28]05 F/C 10/1/05
-NE W YO R K S T DO R M AU T H S T P E R S
INCOME TA X REV ED- A - B/ E
- NY ST THRUW Y A UTH ST PERS INCM
TX REV BDS- B/ E DD 9 / 1 0/ 0 8
G R E E NW I C H S T.E MP LO YE E S FU ND
CITI PERSONAL WEALTHRETIREMENT PLANS-IRA
- GENERA L EL ECTRIC CA PITA L CORP
C O R P O R AT E B O NDS
- GENERA L EL ECTRIC CA PITA L CORP
C O R P O R AT E B O NDS
A Interest
A Interest
A Interest
E Interest
D Interest
B Interest
C Interest
C Interest
A Interest
C Interest
C Interest
C Interest
No n e
D Interest
E Interest
K
O
M
L
M
L
M
M
M
M
M
T
T
T
T
T
T
Matured
T
T
T
U
T
T
06/01/10
D --$5,00! -
1 4 2 = b i e r = t h a n $ 5 . 0 0 0 . 0 0 0
M ~ 100,001 -
P2--45,0~0,001 - $25,000.000
T =Cash Markca
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F I N A N C I A L D IS C L O S U R E R E P O R T
Page 5 o f 9
N a m e o f P e r s o n R e p o r t in g
RAGGI, REENA
D a t e o f R e p o r ~
08/08/2011
A. B. C.
D e s c r i p t i o n o f A s s e t s Income during G r o ~ s v a l u e a ~ e n d
( in c l u d in g t r u s t a s s e t s ) r e p o r t in g p e r io d o f r e p o r t in g p e r i o d
(|) (2) (1) (2)
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 t T y p e ( e . g . , Value Value
e x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 d i v . , r e n t . C o 0 ~ 2 M e t h o d( A - H ) ~ r i n t . ) 0 " P ) Code 3
( Q - W )
T y p ~ ( e . g .,
buy, sdl,
r e d e m p t i o n )
T r a n m c f i o n s d u r i n g r e p o r t in g p e r i o d
(2) O) (4) (5 )
D a t e Value Gain I d e n t i t y of
m m / d d / y y Code 2 Code l I ~ y e f f s c l l e r
( ~ - P ) ( A - H ) (if prlv~e
t r a n s a c t i o n )
]18.
19 .
20.
2 1 .
! 2 2 .
2 3 .
’24.
25.
’26.
27.
28 .
2 9 .
3 0 .
31.
3 2 .
3 3 .
.C O C A C O LA E N E T R P R IS E I NC
NOTES- Z ERO CPN CORPORA TEB O N D S
-B E R KS HI R E HAT HAWAY I NC DT D0 4 / 2 9/ 0 4 CORPORA TE BON DS
MO R G AN S T ANLE Y S MI T H B AR NE YI R A R O L L O V E R A C C O U N T
-MO R G AN S T ANLE Y B ANK N.A.
- IS H A R E S B A R C L A Y S 1 - 3 Y E A R SC R E D S H O R T T E R M B O N D F U N D ¯
-VANGUARD TOTAL BOND MARKET
-C ALVE R T S HO R T DU R AT I O N I NC AM U T U A L F U N D S
-DE LAWAR E LT D-TE R M DI VE R S I NC
A MUTUA L F UNDS
- PRIMCO TOTA L RETURN A MUTUA LF U N D S
-VIRTUS MILTI-SECTOR s~r BD AMU T U AL FU NDS
- TEMPL ETON GL OBA L BD F D A
-TEMPLETON GLOB AL TOTAL RET A
MORGAN STANLEY SMITH BARNEYBROKERAGE ACCOUNT
-MO R G AN S T ANLE Y B ANK N.A.
- NEW Y OR K N Y CITY TRA NS F IN
AU T H B LDG AI D R E V MU N1 B O NDS
- A L B A N Y N Y I N D L D E V A O Y C IV I C
F A C R E V M U N ] B O N D
D I n t e r e s t
D Interest
A Interest
B Dividend
C Dividend
B Dividend
B Dividend
B Dividend
C Dividend
B Dividend
B Dividend
M
M
K
L
L
L
L
L
L
K
K
A I n t e r e s t M
B I n t e r e s t K
B I n t e r e s t K
T
T
T
T
T
T
T Bu y
T
T
T Bu y
T B u y
T
T
T
02/04/10
02/04110
02/04110
K
K
K
t . I n c o m e G a i n C o d e ~ : A =$1,000 o~ kss B =$1.00! - $2,500 C--$2,5OI - $5.000 D--$5,001 - $15,000
lSee Cohmms B 1 and D4) F ~$50,00! - $100D00 G - - $ 1 0 0 , 0 0 1 - $ 1 , 0 0 f l , ~ O 0 H I = $ 1 , O 0 0 , 0 0 | - $ 5 , 0 ~ 0 , 0 0 0 H2 =More than $5,000,000
2. Vahte C~ . t - - $ 1 5 . 0 0 0 o l e ~ K = $ 1 5 , 0 0 1 - $ 5 0 ~ 0 ~ 0 L --$50.~01 - $100#00 M - - ~ 1 0 0 .0 0 1 -
(See Cohmm~ CI and D3) N - - $ 2 5 0 . 0 0 1 - 5 5 0 0 , 0 0 0 O - - $ 5 0 0 , 0 0 1 - $ l , O 0 0 , O 0 0 Pl =$1.000,OOI - $5,000,000 P 2 = $ 5 , ~ 0 0 . 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0
P 3 = $ 2 5 J 3 0 0 ,0 0 ! - $ 5 0 .0 ~ 0 ,0 0 0 P ~ = M o t , : ~ h a n $ 5 0 , 0 0 0 ,0 0 0
3. V aJuc Meth~ Codes Q =A pixaital R =Cmt (R©al Estate Only ) S = Assessment T --Ca~b Market
(S~ Colurrm C2) U = B ~ k Va t ~ V --Other W =Estimated
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.
F I N A N C I A L D IS C L O S U R E R E P O R T
Page 6 o f 9
Name ot Person Reporting
R A G G I , R E E N A
Date o f R e p o ~
08/08/2011
V I I . I N V E S T M E N T S a n d T R U S T S . . i , ~ o = e , v a u , , , . ~ n . . . a o n s ~na.,d,, ~o,o of ~o,,,o ,~,~ d o r a d o . , c h i ~ , . # ; ~ , ~p. 3 4 - 6 0 of flllng
~ N O N E (No reportable income, assets , or transactions .)
A. B. C . D.
D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g Gro~ value at cod T r a n s a c d o m d u r i n g r e p o t t in g p e r i o d
( i n c l u d i n g t r u s t a s s e t s ) reporting pedod o f r e p o r t i n g p e r i o d
( I ) ( 2 ) ( t ) ( 2 ) (1) ( 2 ) ( 3 ) ( 4 ) (5)
Place "(X)" after each assetm o u n t Type {e.g.,a l u e V a l u e Type (e.g.,~ t e V a l u e G a i ~ I d e n d t y o f
e x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 d i v . , r e n t , Code 2 M e t h o d buy, sell, m m/dd/yy Code 2 C o d e 1 buyerlseller
{ A - H ) o r i n t o ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A o I - I ) ( i f p r i v a t e
( Q - W ) t r a n s a c t i o n )
3 4 .
3 5 .
36 .
3 7 .
3 8 .
4 0 .
4 1 .
4 2 .
4 3 .
4 4 .
4 5 .
4 6 .
4 7 .
5 ~ .
- N E V A D A S T M U ~ B D B K M O N IB O N D
- C A L I F O R N I A S TG E N L O B L I G M U N IB O N D S
~ E W Y O R K N T G E N L O B L I G S E R - OM U N I B O N D S
-NEW Y ORKST URBANDEV CORPEMPIRE STDEV CORPSVCMUNIS
-NEW YORK N Y GENL OBLIG SER D
M U N I B O N D S
-LO NG I S LAND pWR AU T H N Y E LE C
S Y S R E V - A M U N 1 B O N D S
-ALBANY N Y INDL DEV AGY CIVICF AC REV MUNI BONDS
-AMERICAN EXPRESS CREDIT COC O R P O R A T E B O N D S
- G O L D M A N S A C H S G R O U P IN C
C O R P O R AT E B O NDS
-MORGAN STANLEY CORPORATEBONDS
-WAC HO VI A C O R P C O R P O R AT EB O N D S
-C ALVE R T S HO R T DU R AT I O N I NC C
MU T U AL FU NDS
-DR YDE N S H T R M C O R P B D C
M U T U A L F U N D S
-VIRTUS MULTI-SECTOR S/T BD TMU T U AL FU NDS
-WE LL FS FAR G O S HT TR M MU N I B D CMU T U AL FU NDS
-T R IB O R O U G H B R DG & T U NL A U T HN Y R E V S S E R - A
-OPPENHEIMER LTD TERM NY MUNIC
B I n t e r e s t K
B Interest K
B Interest L
B I n t e r e s t L
B Interest L
B Interest K
B Interest K
B Interest K
B Interest K
B Interest K
B I n t e r e s t K
B Dividend K
B Dividend K
B Dividend K
B Dividend L
B Interest K
B Interest K
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
Ti
B uy
T B uy
09/27/10 K
03129/10 K
1. Incom e Gain Code~: A --$ 1,0~0 or Pets B ---$ 1,001 - $2,500 C --$2, ;50| - $5,000 D -r-15,001 - $15,000
(Se~: Co|unms BI and D4) F =$50,00| - $10gt, O00 G ~-.$ |00.00| . $1,000,000 H I - -$ 1 ,0 0 0, 00 1 - $5 .0 0 0. 0( ~ H 2 = M ot ~ I ha r. $ 5 .0 0 0, 00 0
2 . V alue C odes J = .$15 ,000 o r less K --$ 1~,001 - $ 50 ,000 L --$50 ,001 - $
( S~ C e l ~ m n* C I a nd D 3 ) N --$ 25 0.0 01 - $ 50 0.0 00 O =d;50 0,0 01 - $ 1,00 0.0 ~0 Pl ---$1.1~0,001 - $5,000,1~0 P2 - ~ 5 , 000 . 001 - $ 25 , 000 . 000
P3 --~25,000,001 - $~0.000.000 pa = M ore t h a n $ 50 . ~ 00 , 000
3 . V a/u e M ~ hod C ode~ Q = A p pr~ s a l R t~2ost (Real l~tate Only) S = A s s e s sm e n t T = C a s h M a rke t
($4~ {~olurrm C2) U =Book Va~t~e V ~he~ W =Est ima¢~l
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F I N A N C I A L D IS C L O S U R E R E P O R T
Page 7 o f 9
N a m e o f P e r s o n R e p e r t lu g
R A GGI , R EEN A
D a t e o f R e p o r t
08/08/20 ! I
V I I. IN V E S T M E N T S a n d T R U S T S ~in~m~a~u~,tran$ac~i~n$(~n¢~ud~sth~se~f~useandd~p~ndent¢hi~dr~n;s~¢pp~34.6~f~inginstr~¢~i~ns.)
~ N O N E (No reportable incom e, assets, or transactions.)A. B. C.
D e s c r i p t i o n o f A s s e t s I n c o m e d a r in g Gross value at end
( i n ~ l u d i n g m ~ s t a s s e t s ) r e p oR in g p er io d o f r e p or t i n g p er i o d
(!) (2) (1 ) (2 )
P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e , g . , Value Value
~ x e m l x f ~ m p r i o r d i s c l o s u r e C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d
( A - H ) o r in t . ) ( J - P ) Code 3
(l )T y p e ( e . g . ,buy , sel l
r e d e m p t i o n )
Do
Transact ions dur ing repor t ing p~od
(2) (3) (4) (5 )
Dat~ Value G a i n I d e n t i t y o f
mm/dd/yy Code 2 Code I b u y e r / r e l ] e r
( l - P ) ( A - H ) ( i f p r i v a t e
t r a n s a c t i o n )
IRA ROLLOVER .....
I . Income Gain Codes : A --$I,000 or k~ B = $ 1 ,0 0 1 - $ 2 ~ 0 0 C ~ 6 2 ,5 0 | - $ 5 ,0 0 0 D --$5.001 - $15,000
3. V~ M~ C~ Q =A~ R ~t (R~ E~ Only} S =~sme~ T ~sh M~
E - - - 1 ; I 5 , 0 0 1 - $ 5 o . o o o
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F I N A N C I A L D I S C L O S U R E R E P O R T
Page 8 o f 9
N a m e o f P e r s o n R e p o r t i n g
R A G G I , R E E N A
D a t e o f R e p o r t
08/08t2011
vm. A D D IT IO N A L I N F O R M A T IO N O R E X P L A N A T IO N S .
I )P AR T VI I, P AG E 7 . LI NE #51: THI S AC C O U NT WAS C LO S E D 1N JANO AR Y , 2010 AND ALL P R O C E E DS WE R E R O O LO VE R T O MO R G ANS T ANLE Y S MI T H B AR NE Y I R A R O LLO V E R AC C O U NT O N LI NE #20 ,
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F IN A N C IA L D IS C LOS U R E R EP OR T
Page 9 o f 9
Name of Persen R eporting
R A G G I , R E E N A
D a t e o f R e p o r t
0 8 / 0 8 / 2 0 1 1
I X . C E R T I F IC A T I O N .
I certi fy that a l l information given above ( including information p erta ining to my spou se and m inor or depend ent chi ldren, i f any) i saccurate , true , and complete to the best of my knowledge and belief , and that any information not reported was wi thheld because i t met applicable s ta tutoryprovis ions permi tting non-disclosure .
I f~rther cerlf fy that earned income f rom outs ide employment and honoraria and the acceptance of gi f ts which have been reported are in
comp liance wi th the provis ions of 5 U.S.C. app. § 501 eL seq. , 5 U.S.C. § 73S3, and Judicia l Conference regulations .
N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T TO C I V I LAND C R I MI NAL S A NC T I O NS ( 5 U .S .C . a pp . § 104)
Com mittee on Financ ia l D isclosure
A d m i n is t r a ti v e O f f ic e o f t h e U n i t e d S t a t e s C o u r t s
Suite 2-301
One Co lumbus Circ le , N.E.W ashington, D.C. 20544
8/3/2019 Reena Raggi Financial Disclosure Report for 2010
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An ]0R~. H201!
FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010
Repo r t Required 0)’ the £thics
in Government Act of 1978
(5 U.S .C. app . §§ 101-111)
1. Person Repor t i ng ( l as t nam e, f i rs t , m i ddl e In i t ia l )
R A G G I , R E E N A
4. Tit le (Artlele IH J~dges indicate active or senior s tatus;m a g i s t ra t e j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e )
U N I T E D S T A T E S C I R C U I T J U D G E
7. Cha mbe r s o r Of f i ce Ad d re s s
U . S. C O U R T H O U S E
2 2 5 C A D M A N P L A Z A E A S T
B R O O K L Y N , N Y 1 1 2 0 1
2 . C ourt o r Organi za t i on
U . S . C O U R T O F A P P EA L S , 2 N D C I R
5a. Repor t Type (check appropr i a t e t ype)
] Nominat ion, Date
[] Initial [] Annual [] Final
S b . [] A m e n d e d R e p o r t
3. D a t e o f R e p o r t
0 5 1 0 1 / 2 0 1 !
6. R e p o r t i n g P e r i o d
0 1 1 0 1 1 2 0 1 0
t o
1 2 / 3 1 / 2 0 1 0
8.O n t h e b a s i s o f t h e I n f o r m a t i o n c o n t a i n e d I n t h i s R e p o r t a n d a n ym o d i f m a t l o u s p e r t a i n in g t h e r e ~ o , i t i s , in m y o p i n i o n , I n c o m p l i a n c ew 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 t i o n ~
R e v i e w i n g O f f i c e r D a t e
I M P O R T A N T N O T E S : The ins tructions accompanying this form must be fo l lowed. Complete al l par ts ,
checking the NO NE box for ea ch part where you have no rep ortable information. Sign on last page.
I. POSITIONS. cR~,o ,~ ,g
[] ¯ N O N E (No rep ortable posi t ions.)
POSITION
1 . MEM BER, JUDICIAL ADVISORY BOARD
M E M B E R , P A R I S H C O U N C I L
T R U S T E E
N A M E O F O R G A N I Z A T IO N / EN T I T Y
G E O R G E M A S O N S C H O O L O F L A W , C EN T E R F O R L A W A N D
E C O N O M I C S
C H U R C H O F T H E A SS U M P T I O N , B R O O K L Y N N E W Y O R K
W I L L I A M N E LS O N C R O M W E L L F O U N D A T I O N
N O N E (No repor tab le agreements .)
P A R T IE S A N D T E R M S
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F I N A N C I A L D I S C L O S U R E R E P O R T
Page 2 of 9
N a m e o 1 " P e r s o n R e p o r t in g
R A G G I , R E E N A
D a t e o f R e p e r t
05/01/2011
I H . N O N - I N V E S T M E N T " I N C O M E . C R e w , o r b ’ r ig indivldual and spouse; see pp. 17.24of filing
A. F iler’s Non-Investment Income[ ] N O N E (No reportable non-investment income.)
D A T E S O U R C E A N D T Y P E(yours, not s p o u s e ’ s )
1. 2 0 1 0 N E W Y O R K U N I V E R S I T Y L A W S C H O O L - S A L A R Y $26,550.00
2.
3.
4.
B , S p o u s e ’ s N o n - I n v e s t m e n t In c o m e - t y y o u wer~ m arried during any portion of the reporting year, com pleU this
( D o l l a r a m o u n t n o t r e q u i r e d e . x ~ e p t f o r h o n o r a r i a . )
~] N O N E (No repo r tab le non- investment income.)
DATI~ SOURCE AND TYPE
1.
2.
3.
4.
I V . R E I M B U R S E M E N T S -- ,~ , ~ - ,a o n , toda,~ ~oo~ . e n , e r ~ , , "( I n c l u d e s t h o s e t o s p o u s e a n d d e p ~ n d ~ n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f i l in g i n s t r u c t i o n s . )
---] N O N E (N o reportable reimbursements.)
S O U R C E DATE~ L O C A T IO N P U R P O SE I T E M S P A I D O R P R O V I D E D
I. U N I V E R S IT Y O F
P E N N S L Y V A N I A L A W
S C H O O L
01/28/2010 P I t l L AD EL P H IA, P A M O O T C O U R T H O T E L A N D M E A L
2. F E D E R A L B A R C O U N C I L 02/21 1 201 0-03/01 /201 0 K O N A , H I P R O F E S S I O N A L A I R F A R E , H O T E L A N D M E A L SM E E T I N O
3. F R I E N D S O F H E B R E W 03110/2010-03119/2010 JE R U S A LE M , IS R AE L P RO FE S S IO NA L A I R F A R E , H O T E L A N D M E A L S
¯ U N I V E R S I T Y M EET I N G
4. N E W Y O R K S T A T E B A R 05/22/2010-05/23/2010 B O L T O N L A N D I N G , NY P R O F E S S I O N A L H O T E L A N D M E A L S
A S S O C I A T I O N M EET I N G
5.
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FINANCIAL DISCLOSURE REPORT
P a g e 3 o f 9
Name or Pe rson l ! . epor t lng
R A G G I , R E E N A
D a t e o l ’ R e p o r t
O~lOl /201 1
V . G I F T S . {indu~s those to spo ust and depe ndent children; see pp. 28.3 1 of filing lnstructions.)
N O N E (No reportable gifts.)
SOURCE ~
1 .
2.
3.
4.
5.
V A L I 2 1 ~
V I. LIABILITIES. a~’,,,~
[ N O N E (No reportable l iabil i t ies . )
CREDITOR DESCRIPTION
1 .
2.
3.
4.
5.
VALUE CODE
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F I N A N C I A L D IS C L O S U R E R E P O R TPage 4 of 9
N a m e o f Per ~n R e p o r t i n g
R A G G I , R E E N A
Da te o f Re p o r t
05/01/2011
V I I . I N V E S T M E N T S a n d T R U S T S - . i.,o~., .a.e, t.o..ac~ o.s a.d,,d, t h o , o o ! , r o . . . d d o ~ . a , . t children; see p p . J 4 - 6 0 o : f i l i n g i n s t P u e a o n s . )
N O N E (No repor tab le income , as se t s , or t ransac t ions . )
A. B. C. D.
D e s c r i p t i o n o f A s s e t s In co me d ur in g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d
( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d
(1) (2) (l) (2) (l ) (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 t T y p e ( e . g ., V alu e V alu e Ty p e ( e .g , D a t e V a l u e Gain I d e n t i t y o f
e x e m p t f r o m p r i o r d i ~ lo s u r e Co d e t d i v . . r e n t , C o d e 2 M e t h o d t r o y , ~ e l l , m m / d d / y y Co d e 2 Co d e I buyer/seller
( A - H ) o r in t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e
( Q - W ) m m s a c t i o n )
5 ,
6 .
7 .
8 .
9 .
I 0 .
I I .
1 2 ,
1 3 .
C l T IB A N K P R E F E R R E D M O N E Y
M A R K E T A C C O U N T ( M M P )
C I T I B A N K C H E C K I N G A C C O U N T
CITI NEW Y ORK TAX FREE RESERVE
M M F - R" CITIGRO U P GL O B AL M K TS INC
ACCOUNT NO, I - R
-U.S . T R EAS UR Y NOT ES S ER R 20 11D T D 0 1 / (Y 2 / 2 0 0 7
-NEW Y OR K S T UR BAN DEV C OR PREV RFDG-FSA BIUENT DTD 111/94
- C O R P O R A T E B O N D - G E N E R A L E L E C
C A P C O R P D T D - 3 / 0 6 /2 0 0 8
- N E~ Y O R K C I T Y G / O S E R l D D
04/01/04 F/C 811/04
- N E W Y O R K N Y G E N L O B L I G B D S - G -B/E DD 01/03/2008
* C E R T I F I C A T E O F D E P O S I T
1 4 .
- N E W Y O R K C I T Y G / O S E R M D D
4/28105 F/C I0!1/05
- N EW Q O R K S T D O R M A U T H S T P E R S
I N C O M E T A X R E V E D - A - B /E
- N Y ST T H R U W Y A U T H S T P E R S I N C M
T X R EV B D S - B / E D D 9 1 1 0 /0 8
G R F . ~ N W I C H S T . E M P L O Y E E S F ~ N D
i 1 5 . C I T I P ER S O N A L W EA L T H
R ET I R EM EN T P L A N S - I R A
16 . - G E NE R A L E L E C T R I C C A P I T A L C O R P
CORPORATEBONDS
1 7 . ’ - G E N E R A L E L E C T R I C C A P I T A L c o R P "C O R P O R A T E BO N D S
In te res t
In te res t
In te res t
In t e r e s t
In te res t
In te res t
In t e r e s t
In te res t
In te res t
In te res t
In te res t
In t e r e s t
In te res t
K
J
M
O
M
L
M
L
M
M
M
M
T
T
T
T
T
T
T
T
T
T
T
T
T
M a t u r e d 06/01/10
t
I . I n c om e G a i n C o d e s : A = $ I , 0 ~ 0 o r less B = $ 1 , 0 0 I - $ 2 , 5 0 0 C = $ 2 , 5 0 1 - $ 5 . 0 0 0 D - = $ 5 . ( X ) I - $ I 5 , 0 0 0
(S e e C ol u m ns BI a nd D 4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 O 0 G = $1 00 ,0 01 - $ 1,0 00 .0 00 H I ~ $1 ,0 00 .0 01 - $ 5, 00 0.0 00 H 2 = M o re t ha n $ 5 , t ~0 , ~0
2. Valae Codes J =$15.000 or l ess K ~ 15,001 - $50,000 L =$50,001 - $ 100, t~0 M ~ 1oo,001 - $250,000
{ S e e C o l u m n s C I m d D 3 ) N = ~ 2 5 0 , 0 0 1 ¯ $ 5 0 0 , 0 0 0 0 ~300.0<)1 - $l ,0~0.O00 PI -~ I ,O00,00l . $5.000,00~ p2 =$5,000,001 - $2.~ JJ~,0~0
P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 0 0 . 0 0 0 P4 =M ore than $~0,000.000
3. Valae Method Codes Q =Appra i sa l R = C oi l (Re a l Es t at e O nl y ) S ~ A s s e s sr n e n t T = C a + h M a rke t
(See C o l u m n C 2 ) O = Book Va b t e V = O t h e r W = E , s t lm a n ’ d
E - - ~ 15,001 - $ S 0 , 0 0 0
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F ~ N A N C I A L D I S C L O S U R E R E P O R T
Page 5 of 9
Na me o f P e r so n R e p o r t in g
R A G G I , R E E N A
D at e of Repor t
05/01/2011
[] N O N E (No repor tab le income , as se t s , or t ransac t ions . )
A. B. C.
D e s c r i p t i o n o f A s ~ e t ~ In co m e d ur ing Gross v a lu e a t en d
( i n c l u d i n g t r u s t a s s e t s ) reposing period o f r e p o t t i n g p e r i o d
(1) (2) (1) (2)
P l a c e " ( X ) " a t t a r e a c h a s s e t A m o u n t T y p e ( e . g . , V a lue V a lu e
e x e m p t f r o m p r i o r d i s c l o s u r e Co d e I d i v . , r e n t , C ode 2 M e t h o d
( A - H ) o r i n t . ) ( J - P ) C o d e 3
T r a n s a c t i o n s d u r i n g reporting period
O) (2) (3) (4) (5 )
T y p e ( e . g ., Dale Value G a i n ldemity ofbuy, sel l , m m / d d /y y C o d e 2 Co d e I buy erlse lle r
r e d e m p t i o n ) ( J - P ) ( A - B ) ( i f p r i v a t e
tran~ction)
1 8 .
1 9 .
20 .
21 .
22 .
23.
24 .
25 .
26.
27 .
28 .
29 .
30.
31.
32 .
33.
- C O C A C O L A E N E T R P R I S E IN CN O T E S - Z E R O C P N C O R P O R A T E
B O N D S
- B E R K S H I R E H A T H A W A Y I N C D T D
0 4 /2 9 /0 4 C O R P O R A T E B O N D S
M O R G A N S T A N LE Y S M I T H B A R N E YI R A R O L L O V E R A C C O U N T
- M O R G A N S T A N L E Y B A N K N . A .
-ISHARES B ARCLAYS 1-3 YEARSCRED SHORT TERM BOND FUND
- V A NG U A R D T O T A L B O N D M A R K E T
- CAL V ERT SH O RT D U RATIO N INC AM U T U A L F U N D S
- D E LA W A R E L T D - T E R M D I V E R S 1 N C
A M U T U A L F U N D S
- P RIM CO TO TAL RETU RN A M U TU ALFUNDS
- V IRTU S M IL TI - SECTO R S/ T B D AM U T U A L F U N D S
- T E M P L E T O N G L O B A L B D F D A
. T E M P L E T O N G L O B A L T O T A L R E T A
M O R G A N S T A N L E Y S M I T H B A R N E YB R O K E R A G E A C C O U N T
- M O R G A N S T A N L E Y B A N K N . A .
- N EW Y O R K N Y C I T Y T R A N S F I NAU TH B L D G AID REV M U NI B O ND S
-ALBANY N Y INDL DEV AGY C IVICFAC REV M U N! B O ND
A
B
C
B
B
B
C
B
B
D I n t e r e s t
D I n t e r e s t
A
I n t e r e s t
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
I n t e r e s t
I n t e r e s t
I n t e r e s t
M
M
K
L
L
L
L
L
L
K
K
M
K
K
T
T
T
T
T
T
T B u y
T
T
T B u y
T B u y
T
T
T
02/04110
02/04/10
02/04110
K
K
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F ~ N A N C IA L D I SC L O S U R E R E P O R T
Page 6 of 9
N a m e o f P e r s o n R e p o r t in g
R A GGI, R EEN A
Da te o f Re p o r t
05/01/2011
V I I . I N V E S T M E N T S a n d T R U S T S . . i,,o,,e. ~a~,,. tra.s,~ao,,
N O N E (No repor tab le income , as se t s , or t ransac t ions . )
A. B, C. D.
D es cr i p t i on o f As s e t s In c o m e d u r in g G ro s s v a lu e a t e n d T ra n s a c tio n s d u r in g r e p o r tin g p e ~ o d
( in c lu d in g tru s t a s s e ts ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d
(t) (2) (I) (2 ) {I ) 12) (3) (4) (5 )
P ~ a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e , g ., V a lu e V a lu e T y p e { e .g . , D a t e V a l u e G a i n I d e n t i t y o f
e x e m p t f r o m p r i o r d i s c l o s u re Code | div . . r e n t , C o d e 2 M e t h o d buy, , , ;e l l , m m / d d / y y C o d e 2 C o d e ! b uyer / s e l l e r
( A - H ) or i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) (A -H ) ( if p r iv a te
( Q- W ) t r ans ac t i on )
3 4 .
3 5 .
36.
37 .
38 .
39,
40 .
41 .
42 .
43.
44 .
45.
46.
47 .
4g .
49 .
5 0 .
- NE V A D A S T M U N I B D B K M U N IBOND
- C A L I F O R N I A S T G E N L O B L I G M U N 1
BONDS
-NEW YORK N T GBNL OBLIG SER-O
MUNI BONDS- NE W Y O R K S T U R B A N D E V C O R P
EM P IRE ST D E V C O R P S V C M U N I S
- N E W Y O R K N Y G E N L O B L I G S E R DMUNI BO NDS
- L O N G I S LA N D P W R A U T H N Y E L E C
SYS REV-A MUNI BONDS
- A L B A N Y N Y I N D L D E V A G Y C I V I CF A C R E V MUNI BONDS
. A M E R I C A N E X P R E S S C R E D I T C O
C O R P O R A T E B O N D S
-GOLDMAN SACHS GROUP INCCORPORATE BONDS
- M O R G A N S T A N LE Y C O R P O R A T E
BONDS
-WACHOVIA CORP CORPORATE
BONDS
-CALVERT SHORT DURATION INC CM UTUAL FUNDS
-DRYDEN SH TRM CORP BD CM UTUAL FUNDS
-VIR TU S M U L T I - S E C T O R s / r B D T
M U T U A L FUNDS
-WELLFS FARGO SHT TRM M UNI BD CM UTUAL FUNDS
-TRIBOROUGH BRDG & TUNL AUTHNY REV S SER-A
-OPPENHEIMER L T D T E R M N Y M U N iC
B I n t e r e s t
B I n t e r e s t
B I n t e r e s t
B I n t e r e s t
B I n t e r e s t
B I n t e r e s t
B I n t e r e s t
B I n t e r e s t
B I n t e r e s t
B I n t e r e s t
B I n t e r e s t
B Dividend
B Dividend
B Dividend
B Dividend
B I n t e r e s t
B I n t e r e s t
K
K
L
L
L
K
K
K
K
K
K
K
K
K
L
K
K
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T Bu y
T B uy
09/27/10
0 3 / 2 9 1 1 0
K
K
I . In co n ~ G a i n Co d ~: A - - ~ 1 . 0 0 0 o r l o s s B =$1,001. $2,500 C = $2,501 - SS,000 D = $5,001 - $15,000
(See Columns B ] and D4) F = $ 5 0 , 0 0 1 - $ 1 0 0 .{ 3 0 0 G ~ $ 1 0 0 ,0 0 1 * $ 1 ,0 0 0 .0 0 0 H I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0 H2 = Mtwe than $5.0~0.000
2. Va |uq Codl~ J = $ 1 5 . 0 0 0 o ~ l e s s K ~ 15.001 - $50,000 L = - ~ 5 0 , 0 0 1 - $ 1 0 0 , 0 ( ~ M ~$100,~01 - $250,000
(Se e Co l u mn s CI a M 03) N -- , $ 25 0,0 01 - $ 50 0, 0 00 O = .$ $~ 0,0 01 * $ 1,0 00 ,0 00 P I = $1 ,0 ~ 0, 00 1 . $ ~ ,0 ~0 ,0 00 P 2 =$ 5, 00 0, 00 1 - $ 25 ,0 00 .0 ~0
P 3 = $ 2 5 , 0 0 0 . 0 0 1 . $ 5 0 . 0 0 0 . 1 3 0 0 P 4 = M o r ~ t h a n $ 5 0 , ~ 0 0 ,0 0 0
3. Value Method Codes Q =Appra i sa l R = C o s t { R e a l E s t a ~ e O n l y ) S = As s e s s m e n t T = C a s h M ~ k e t
(S e e C ol u m n C 2 ) U = Book Va l u e V = O [ h e r W =Est imalcd
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F I N A N C IA L D I S C L O S U R E R E P O R T
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N a m e o f P e r so n R e p o r t i n g
RAGGI , REENA
D a t e o f R e p o r t
0 5 / 0 1 t 2 0 1 1
V H . I N V E S T M E N T S a n d T R U S T S - t n c o m , , v a ~ n , . , .~ n s a c a o n s a n c ~ d ~ s , h o s e o y s p o . . s e . . d ~ e m d e , t children; see pp. 3 4 . ~ 0 o f f l t i n g i n s t m c t l o n s . )
~ (No repo rtable income, assets , or transactions.)O N E
A, B , C . D,
D e s o ’ i p d o a o 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 lu e a t e n d T r a n s a c t i o n s d u r i n g r e ~ o r t i n g p e r i o d
( i n c l o d i n g a ’ u s t a ~ s e t s ) r e p o rt i n g p er i o d o f r e p or t i n g p e r i o d
(!) (2) (I) (2) (! ) (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 t T y p e ( e . g ., V a lu e V a lu e T y p e ( e . g . , D a t e V a lu e G a in I d e n t i t y o f
e x e m p t f r o m p r i o r d i ~ l o su r e C o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d / y y C o d e 2 C o d e I b u y e r / s e l l e r
( A - H ) o r i n t , ) ( J . P ) C o d e 3 r e d e m p t i o n ) ( J - P ) { A - H ) ( i f p r i v a t e
( Q - W ) t r a n s a c t i o n )
51 .
I. Income Gain C’odes: A .v.$ 1.000 ca. les~ B = $ L 0 0 1 - $ 2 , 5 0 0 ¢ - ~ $ 2 . 5 0 t . $ 5 . ~ 0 0 D = $ 5 , 0 0 | - $ 1 5 . ( ] 0 0
~ec Co lum ns B ! am t D4 ) F=$50.00| - $ 1 ~ 0 . 0 0 0 G = $1 00 .0 0t - $ 1 .0 00 00 00 H I = 1 1. 00 0,0 01 - $ 5.0 00 .0 00 H 2 = M o t e t h a n $ 5 , 0 0 0 . 0 0 ~
2. Value Codes J = $ 1 5 ,0 0 0 o r l e s s K - -$ 1 5 .0 0 1 - $5 0 .0 0 0 L = $ 5 0 .0 0 1 - $ 1 0 0 ,0 0 0 M - - $ 1 0 0 . 0 0 1 - $ 2 5 0 . 0 0 0
( S e e C o lu m n s C I a n d D 3 ) N -~ 250 ,0 0 1 ¯ $50 0 ,0 ~0 0 =$~0 0,0 0 1 - $1 ,0 0 0,~ 00 P I =$ 1 ,0 0 0 ,0 0 1 - $ 5 ,0 0 0 ,0 0 0 p 2 = $5,000 ,001 . $25. 000 . 000
P3 = $ 2 5 . 0 0 0 . 0 0 1 - $ . $ 0 . 0 0 0 . t J ] o P 4 = M o t e t h a o $ 5 0 . 0 0 0 . 00 0
3 . Va lue M e , th e , d ~ode s Q = A p p r a i u tl R - - C o s t ( R e a l E . ~ l a l ¢ O n l y ) S = A s s e s s m e n t T - - - C a s h M a r k e t
~S~e Co l umn C’2) U = B o o k V a l u e V --O~h e r W =Estimated
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FINANCIAL DISCLOSURE REPORT
P a g e 8 o f 9 Ia m ¢ o f P e r s o n R e p o r t in g
RA G G I , RE E N A
D a t e o f R e l m r t
0 5 ~ I / 2 0 1 1
VIH. ADDITIONAL INFORMATION OR EXPLANATIONS.
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F I N A N C IA L D I S C L O SU R E R E P O R T N .~
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Da le o f Re p o r t
05/01/2011
I X . C E R T I F I C A T I O N .
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 i n 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 l d 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 t o 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 re .
I f u r t h e r c e r ti f y 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 th t h e p r o v i s i o n s o r s U . S . C . a p p . § 5 0 1 e t . s e q . , $ 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 .
N O T E : A N Y I N D M D U A L W l t O K N O W I N G L Y A N D W I L F U L L Y F A L SI F IE S O R F A I LS T O F I L E T H I 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 LAND C R IM INAL S ANC T IONS (5 U.S .C . a pp . § 10 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 eA d m i n i st r a t iv e O f f i ce o f t h e U n i te d S t a t e s C o u r t sS u i t e 2 - 3 0 1
O n e C o l u m b u s C i r c le ,
W ashington, D.C. 20544