,.. .. '

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August 2, 2006

' · . •' . . . Chair

. ·: .

Judicial Conference OfThe'United States Committee On Financial Disclosure One Columbus Circle, N. E.

·

diWashington; D. C. 20544 UI co

Re: Reply to July 7, 2006 Letter §;

-Dear Judge Smith:

. ' ·. Thank you for your letter ()f July"1, 200.6 .. .

·i·

You asked that I respond concerning Part VII, page 5, lines 24 and 26 and page 7, line 56, of my 2005 report.

For line 24, Vanguard International Growth Fund, Column B(l ) should show "A," and Column B(2) should show "Dividend."

For line 26, Vanguard Morgan Growth Fund, Column B(l ) should show "A," and Column B(2) should say "Dividend."

For line 56, Nextel, Column B(l ) should say "A," and Column B(2) should say "Dividend."

You asked that I respond concerning Part VII, line 8 in the 2004 report, which listed "Live Oak General MM Fund", but that fund was not listed in the 2005 report. This item has to do with the particular fund into which this brokerage account "swept" dividends from the various stocks held in the account from the 2002 report through the 2005 report. On further review, I provide the following amendment:

In 2002, the former broker, UL/Wachovia, merged into Wachovia Securities and transferred on 6-17-02 the "sweep" MM Fund from Live Oak General MM Fund to Evergreen MM Fund. So the 2002 report, Part VII, page I, line 8, should have shown

blanks in Column C and in Column D: (1) "transfer out;" (2) "6-17-02;" (3) "K;" ( 4) "A;" (5) "Evergreen MM Fund, transferee." A new line 8(a)(l) should have been inserted showing in Column A: "(a)(l) Evergreen MM Fund"; in Column B: (1) "A"; {2) "Dividend", and in Column C: (1) "K;" (2) "T", and in Column D: (1) "transfer from Live Oak MM Fund"; (2) "June 17, 2002"; (3) "K"; (4) "A", and (5) "Live Oak MM Fund, transferor".

Then the 2003 report, Part VII, page 1, line 8, should be amended to show in Column A: "Evergreen MM Fl.ind." (Other columns remain the same)

Then the 2004 report, Part VII, page 1, line 8, should likewise be amended to show in Column A: "Evergreen MM Fund." (Other columns remain the same)

Then the 2005 report, Part VII, page 4, line (8)(a) should be amended to show in Column A: "Evergreen MM Fund", and in Column B:,(l) "A"; (2) "Dividend"; Column C:

·blanks, and in Column D: (1) "transfer out"; (2) "5-5-05"; (3) "J"; ( 4) "T"; (5) "Wachovia Bank Sweep Deposit Account, transferee". A new line 8(a)(l) should be added to show in Column A: (a)(l) Wachovia Bank Sweep Account.'' Other columns remain the same as the original line 8(a) except Column D: (1) should say "transfer from Evergreen MM Fund".

You asked that I respond concerning Part VII, line 12 of the 2004 report, which listed "Cisco Systems, Inc." but that holding was not listed in the 2005 report. On further review, I provide the following amendment:

The 2002 report, Part VII, page 1, line 12, should have blanks in Column C, and add in Column D: (1) "sell;" (2) "12-30-02;" (3) "J;" (4) "A;" (5) [blank].

Then the 2003 report, Part VII, page 1, line 12(e ), concerning Cisco Systems, should be deleted entirely.

Then the 2004 report, Part VII, page 1, line 12(e ), concerning Cisco Systems, Inc. should be deleted entirely.

Thank you again for bringing these items to my attention. If any question remains, please do not hesitate to let me know.

United States District Court RLV/tjg

j

POSITION OF ORGANIZATION/ENTITY

TERMS

i...,,.f

-

l

-

. ...,., 0") -

J>

- /) 5.

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO JO in Government Act of 1978

Rev. 112006 FOR CALENDAR YEAR 2005 (5 U.S.C. app. §§JOI-I I I)

I. PersGn Reporting (last name, first, middle initial)

Voorhees, Richard L

2. Court or Organization

District Court-North Carolilna

3. Date of Report

04/28/2006

4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-lime)

U.S. District Judge-Active

Sa. Report Type (check appropriate rype)

D Nomination. Date

D Initial Annual D Final

6. Reporting Period

01/0112005 to

12/31/2005

Sb. D Amended Report

7. Chambers or Office Address

250 U.S. Courthouse 40 I West Trade Street Charlotte, NC 28202

8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.

Reviewing Officer Date

IMPORT ANT NOTES: The Instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

I, POSITI 0 NS, (Reporting Individual only; see pp. 9-13 of instructions.)

[R] NONE (No reportable positions.)

NAME

I.

2.

3.

4.

:::x l."::!a

.......

c::-: ..

...

.. )

.,....._

· -

:�;; <-O

rn 0 t.11

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of instructions.)

[RJ NONE (No reportable agreements.)

--c::} -: :.___

-l:;·

:;I:::;"' ::::;;:..;

. .. . .

,_::;, r·n

c::;::; C';>

PARTIES AND

I.

2.

3.

3.

FINANCIAL DISCLOSURE REPORT

Page 2of10

Name or Person Reporting

Voorhees, Richard L

Date or Report

04/2812006

III. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-14 of instructions.)

A. Filer's Non-Investment Income

[RJ NONE (No reportable non-investment income.)

SOURCE AND TYPE

I.

2.

3.

4.

5.

B. Spouse's Non-Investment Income - lf you were married during any portion of the reporting year, complete this section.

(Dollar umount not required except for honoraria.)

[RJ NONE (No reportable non-investment income.)

SOURCE AND TYPE

I.

INCOME (yours, not spouse's)

2.

3.

4.

5.

IV. REIMBURSEMENTS - transportation, lodging,food, entertainmenL

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

[RJ NONE (No reportable reimbursements.)

SOURCE DESCRIPTION

I.

2.

4.

5.

SOURCE DESCRIPTION

5.

FINANCIAL DISCLOSURE REPORT

Page 3of10

Name or Person Reporting

Voorhees, Richard L

Date of Report

04/28/2006

V. GIFTS. (Includes those to spouse and dependent children. See pp. 18-31 of Instructions.)

(EJ NONE (No reportable gifts.)

) .

VALUE

2.

3.

4.

5.

VJ. LIABILITIES. (Includes those of spouse and dependent children. See pp. 31-34 of instructions.)

(EJ NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

2.

3.

4.

(5) div

L

I o;·int.)

-·

(Q

-

-

-

W)

-1

"""'

-

p-

li o_n_

) D

-

a

-

y (J--

-

P ) (A

_

-_H

_) (

-

if

-

p

-r

i

-

va

-le

- -

Value ' ... (3)--1 (4)- - - - . Jf not exempt from disclosure

Name of Person Reporting Dale of ReportFINANCIAL DISCLOSURE REPORT Page 4of10 Voorhees, Richard L 04/28/2006

VII. INVESTMENTS and TRUSTS - income, value, transactions (includes those of the spouse and dependent children. see pp. 34-57 of filing insrructionsJ

D NONE (No reportable income, assets, or transactions.)

A. 8. c. D.Description of Assets Income during Gross value at end of Transactions during reporting period

(including lruSI assels) reporting period iii°

rtin_p

c:i--- - (I) -

Amount Type (e.g. Place "(X)" after each assel (2)

Code I renlexemp t from prior disclosure

-·· -r-· --

Code 2(J-P)

! !

(2)ValueMelhodCode 3

Type (e.g. buy, sell. merger,

i J I

GainCode I(A-H)

Dale ValueMonlh - Code 2

ldcnlily of buyer/seller, 1

1ransac1ion)

I. Vanguard Group IRA-Individual assets: c Dividend L T

2. a) Vanguard Windsor II Buy 8/1 J A

3. b) Vanguard Morgan Growth Sell All 8/1 J A

4. c) Vanguard Wellington Fund- IRA Sell Part 8/I K A

5. d) Capital Opportunity Fund Sell Part 8/1 K A

6. e) Strategic Equity formerly Aggressive Buy 811 K A Growth Fund

7. Wachovia Securties

8. a) Wachovia Bank Sweep Deposti Acct. A Dividend J T Buy 515 J

9. b) Intel Corp A Dividend J T Sell 2/16 J A

10. c) Wachovia Corp. 2nd New A Dividend K T Merger So.Tr II/I K A Formerly South Trust

11. d) Citigroup, Inc A Dividend J T

12. e) Sector SPDR TR Amex Tech. Select A Dividend K T Buy 11/28 J A Index

13. f) Royal Bank of Canada A Dividend J T Sell 2/16 J A

14. g) Walt Disney CO. Holding Co. A Dividend J T Sell 2/16 J A

I 5. Vanguard Prime Portfolia VmmR A Dividend L T Added/Sold 3/23 M A

16. Wachovia A Interest J T Checking/Savings Ace ts.

17. Fidelity Cash Reserves A Dividend J T Buy Monthly J

I. Income Gain Codes:

(See Columns Bl and 04) A =S 1,000 or Jess

F=$50,001 -$100.000

B =$1.00 l -$2,500

G =$100,001 -$1,000,000

c=$2,501 -$5,000

HI =$1,000,00 I - $5,000,000

D=$5,001 -$15,000

H2 =More than S5,000,000

E=$15.00l -$50,000

2. Value Codes J=$I 5,000 or less K=$15,001 -$50,000 L=$50,001 -$100,000 M=$100,001 -$250,000

(See Columns Cl and DJ) N=$250,001 -$500,000 0=$500,00I • $1,000,000 Pl =Sl ,000,001 -$5,000,000 P2 s5,ooo,001 -S25,ooo,ooo

3. Value Method Codes Pl=S25,ooo,oo 1 - s5o.ooo,ooo R =Cost (Real Estate Only) P4=More than $50,000,000 T =Cash Market

{Sec Column C2) Q=Appraisal V=Other S =Assessment

U =Book Value W=Estimated

I

I (!)

I I I

..

·- ·

I i

; ;

5)

(I)

(4)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 5 of IO Voorhees, Richard L 04/28/2006

VII. INVESTMENTS and TRUSTS - income, vatue, transactions (includes those of the spouse and dependent children. see PP· 14-57 of fitinx instructions)

D NONE (No reportable income, assets, or transactions.)

A. B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (2) (2) If not excmp1 from disclos ure

Amount Type(e.g. Value ValuePlace "(X)" after each asset Type(e.g. (2) (3) ( Code I div., rent. Code 2 Methodexempt from prior disclosure buy, sell,

(A-H) or int.) (J-P) Code 3 merger,! I (Q-W) I redemption)

· · -·- · ·---- - · .. -- - · - -- - · -

.. L -· ·

Date Value Gain

Month - Code 2 Code I

Day (J-P) (A-H)

Iden tit y of

buyer/seller

(ifprivale

lran$3ction)

18. Fidelity Equity-Income Fund

19. Southern Company

20. Mountain Fed. Cr. Union (Checking/Savings)

21. Rental Property-Gastonia, NC Appraisal 2003 for $68K

22. Vanguard Group-Individual Investments

23. Vanguard Prime Money Mkt Reserves

24. Vanguard International Growth Fund

25. Vanguard Windsor II Fund

26. Vanguard Morgan Growth Fund

27. Wachovia Sec. IRA rollover-lndiv. Assets

28. Wachovia Bank Deposit Sweep All Acct.

29. a) John Hancock Regional Bank Fund

30. b) Bank of America Corp.

31. c) Dell Computer

32. d) Gillette Company

33. e) Proctor & Gamble

34. I) McDonalds Corporation

B

A

A

A

A

A

c

A

A

Dividend M

Dividend J

Dividend J

Rent L

Dividend J

Dividend J

Dividend M

Dividend J

Dividend J

T Div ReinvQt

T Div ReinvQt

T

s

T

Sell All

T Buy

Sell All

T

T Buy

Div. Rev. Qt

Exchanged

T Exchanged

J

J

8/1 J A

8/1 J A

8/1 J A

514 J A

J

I 0/5 J A

10/5 J A

Appraisal per Gaston Cty.

To Proctor& Gamble

From Gillette

1. Income Gain Codes: A ::::$ 1,000 or less B •$1,001 -$2,500 C •$2,50 I -$5,000 D •$5,001 -$15,000 E·$15,00I -$50,000

(See Columns Bl and 04) F •$50,00 I - $I 00,000 G •SI00,001 -$1,000,000 HI •$1,000,001-$5,000,000 112 c:More than SS,000,000

2. Value Codes J =SIS,000 or less K •$15,001-$50,000 L •$50,001 -SI00,000 M •SI00,001 -$250,000

(Sec Columns Cl and 03) N •$250,001 - $500,000 0 •$500,001 -Sl,000,000 Pl •Sl,000,001 -$5,000,000 P2 •$5,000,001 -$25,000,000

3. Value M e thod Codes PJ •$25,000,001 -$50,000,000 R =Cost (R1.-al Estate Only) P4 =More than SS0.000,000 T =Cash Markel

(St..-c Column C2) Q=Appraisal V:Othcr S "'Assessment

U =Book Value W =Es1ima1cd

..

I C-·----

------ -

(5)

Name of Person Reporting Date of Reporl FINANCIAL DISCLOSURE REPORT

Pag 6of10 Voorhees, Richard L 04/28/2006

VII. INVESTMENTS and TRUSTS - income, value, transactions (includes those of the spouse and dependent children. see PP· 14-s1 of filing instructionsJ

D NONE (No reportable income, assets, or transactions.)

------··---··

A. B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period reporting period (including trust assets) reporting period I ----- --- .

Identity of

buyer/seller

(if private

transaction)

If not exempt from disclosure

(2) (3)

Date Value

Month- Code 2

Day (J-P)

-(4) ,-----

I

Gain I

Code I

(A-H)

(I)

Amount

exempt from prior disclosure

Place "(X)" after each asset

Code I

{A-H)

35. g) Wal-Mart Stores

(2) Type(e.g.

div., rent,

or int.)

{I) Value

Code 2

{J-P)

(2)

Value

Method

Code 3

(Q-W)

{I) Type(e.g.

buy, sell,

merger,

redemption)

36. h) Worldcom, Inc. GA. Sell 11/2 J A

37. i) Live Oak MM General Fund Sell 514 J A To Evergreen MM Fd.

38. j) Citigroup, Inc.

39. k) Family Dollar Stores

40. I) Lowes Companies, Inc.

41. m) AOL-Time Warner Corp.

42. n) Gemeral Electric Co.

43. o) IBM

44. p) Microsoft

45. Vanguard Group-RIO-IRA I

46. a) Vanguard Windsor II B Dividend K T Buy More

47. b) Vanguard US Growth A Dividend J T

48. c) Vanguard Total Stock Market Index A Dividend J T Buy More Rollover IRA

49. d) Vanguard Wellington Sell All

50. Touchstone Variable Annuity Sell All

51. Touchstone Variable Annuity Sell All

8/1 J

8/1 J

8/1 K

1/31 K

1131 K

J. Income Gain Codes: A =S 1,000 or Jess B=$1,001 -$2,500 C =$2,501 -$5,000 D =$5,001 • $15,000 E=S15,00I -$50,000

(See Columns Bl and 04) F=$50,00 l -S l 00,000 G =SI00,001 -Sl,000,000 Ill =S 1,000,00 t • $5,000,000 H2 =More than $5,000,000

2. Value Codes J =SI 5,000 or less K=$15,001 -$50,000 L=S50,00I -SI00.000 M =SI 00,001 -$250,000

(Sec Columns Cl and DJ) N=$250,00 I - $500,000 O =$500,001 -S l,000,000 Pl =St,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Co.i (Real Estate Only) P4 =More than SS0,000,000 T=Cash Market

(See Column C2) Q=Appraisal V=Other S =Assessment

U=Book Value W =Estimated

:

I - -- - --- ------ - --

I

Rollover

J

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 7of10 Voorhees, Richard L 04/28/2006

NONE (No reportable income, assets, or transactions.) D

VII. INVESTMENTS and TRUSTS -income, vatue, transactions (includes those of the spouse and dependent children. see PP· J4-s7 offilinx instructions!

o_

Transactions during reporting period

·-·---· ·

(I)

Type(e.g. buy, sell,

merger,

redemption)

If not exempt from disclosure

(2) (3) (4) (5) Date Value Gain Identity of

Month- Code 2 Code I buyer/seller

Day (J-P) (A-H) (if private

transaction)

-,---------A. - B.

Description of Assets Income during

(including trust assets) reporting period

(I)

Place "(X)" after each asset Amount

exempt from prior disclosure Code I

(A-H)

(2)

Type(e.g.

div., rent,

or int.)

c_

Gross value at end of

reporting period

(I) Value

Code 2

(J-P)

(2) Value

Method

Code 3

(Q-W)

52. Bell South

53. Wachovia Corporation

54. Bank of Asheville

55. BB&T

56. Nextel

57. Royal Bank of Canada

58. a) Vanguard Prime MoneyMkt IRA

59. b) Vanguard Wellington Fd RIO & Non-RIO IRA

60. c) Vanguard Asset Allocation Fd. RIO IRA

61. d) Vanguard Total Stock Mkt. Index Fd. RIOIRA

62. e) Vanguard GNMA Fd. RIO IRA

63. Vanguard Group-Rollover-IRA II

64. a) Prime Money Market

65. b)Prime Money Market

66. c) Prime Money Market

67. d) International Growth Investors

68. e) International Value

A

A

A

A

A

B

B

A

B

B

Dividend J T

Dividend J T Semi-Annual

Dividend J T

Dividend K T Sell Part

Sold All

Dividend J T

Dividend J T Sold Ponion

Dividend K T Buy More

Dividend J T Buy

Dividend K T Buy

Dividend K T Buy

Buy

Buy

Sold

Buy

Buy

J A Non-Employee Compensation

12/12 J A

11/1 J A

3/1 L A

311 J B

3/1 J A

3/1 K A

3/1 K A

2/8 K

2/8 K

8/1 J

8/1 J

8/1 J

I. Income Gain Codes: A =S 1,000 or Jess B =$1,001 -$2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E =S 15.00 I - $50,000

(See Columns BI and 04) F =$50,00I - SI 00,000 G=SIOO,OOl -Sl,000,000 HI =Sl,000,001 -$5.000,000 H2 =Mon: than $5,000,000

2. Value Codes I =$15,000 or less K=SIS,OOl -S50,000 L •$50,001 • $100.000 M •SI 00,00 I • $250,000

(Sec Columns Cl and DJ) N =$250,00 I -$500,000 0 •$500,00 I -$1,000,000 Pl =$1,000,001 • $5.000,000 P2 =$5.000,001 • $25,000,000

3. Vafue Method Codes PJ =S25,000,001 • $50,000,000 R =Cost (Rc..-al Esmte Only) P4=More: than SS0,000,000 T=Cash Market

(Sec Column C2) Q =Appraisal V=Othcr S =Assessment

U =Book Value W=Estimated

I

Li:_ W)

i

i

! I I I

I '

i I i

I i I j

C.

(4)

Name of Person Reporting Date or Report F!NANCIAL DISCLOSURE REPORT

Page 8of10 Voorhees, Richard L 04/28/2006

VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those of the SpDl':Se and dependent children. See pp. 34-57 of filing instructions)

D NONE (No reportable income, assets, or transactions.)

A. B. D.

Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period --------·

(I) (2) (I) (2) (I) Ifnot cxempl from disclosure · --·-··-

Amount Type (e.g. Place "(X)" after each asset Value Value Type(e.g. (2) (3) (5) Code I div.• rent. Code 2 Method buy, sell.

(A-H)

exempt from prior disclosure

or int.) merger,

redemption)

Date Value Gain Identity of

Month - Code 2 Code I buyer/seller

Day I (J-P) (A-H) (if private ! lransaclion)

69. f) Prime Money Market Sell 11/25 J

70. g) International Growth Buy 11/25 J

71. h) International Value Buy 11/25 J

72.

73.

74.

I. Income Gain Codes: A ""$1,000 or less B=S l ,001 -S2,500 C =S2,501 -S5,000 D =S5,00 I -S 15,000 E =S l 5,00I -S50,000

(See Columns Bl and 04) F=S50,001-SIOO,OOO G =SI00,001 -Sl,000,000 HI =Sl,000,001 - $5,000,000 H2=More than SS,000,000

2. Value Codes J =Sl5,000 or less K =$15,001 -$50,000 L=S50,00l -SIOO,OOO M =SI00,001 -$250,000

(See Columns C l and DJ) N =$250,001 -$500,000 0 =$500,00 I -S 1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes PJ =$25,000,001 -$50,000,000 R =Cost (Real 1ate Only) P4 =More than SS0,000,000 T =Cash Market

(Sec Column C2) ·o =Appraisal V=Other S =Asscs!:.ment

U •Book Value W=Estimated

Name or Person Reporting Date of Report F!NANCIAL DISCLOSURE REPORT

P.age 9of10 Voorhees, Richard L 04/28/2006

VIII. ADDITIONAL INFORM_ATION OR EXPLANATIONS. (lndicateparto/ReporL)

Date. .Y.-- f-_(}{p __

FINANCIAL DISCLOSURE REPORT

Page 10of10

Name or Person Reporting Date or Report

Voorhees, Richard L 04/28/2006

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

·

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544