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UWITBD STATES SBNAT3

COXMITT ON THE JUDILCAR

X. BIOGRAPHICAL ZIFOR)CATION (PUBLIC)

1. Full name (include any former names used.)

Sonia Sotomayor - 1983 to the Present

Sonia Maria Sotomayor -. Birth to Marriage

Sonia lotomayor do Noonan, Sonli, Maria Sotomayr do Moonanor onia Noonan, Married Name, 8/76 to ;0/83.

2. Address: List current place of residence and officeaddress (es) .

uamE : OZC

51 3rd Street, Apt. #1L PAVIA & HARCOUPTIBrooklyn, Now York 11231 600 Madison Avenue

New York, New lork10022

3. Date and place of birth.

June 25, 1954New York, New York

4. Marital Status (include maiden name of wife, or husband'sname). List spouse's occupation, employer's name aridbusiness address(es).

Divorced since Ootober 1983

5. Eduation: List each college and law school you haveattended, including dates of attendance, degrees rec:e'.ved,and dates degrees were granted.

DATES

iA. * 1972 - 1975 Jure iAS

'I vms I ty J. La-

yet* L"i Sbot JJD. tvs. Av

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6. Lloyment Record: List (by year) all business orprofessional corporation, companies, firs, or otherenterprises- partnerships, institutions and organizations,nonprofit or otherwise, including firms, with which you wereconnected as an officer, director, partner, proprietor, oremployed since graduation from college.

OUMatio

Pevia A UWrart

N"i Tort Co'a*tyDistrict Attorney'sOffice

Sotomyo aAeeoistes

Noe York CIt VCeme Ion FIinice"~wd

State of Aew York

Puert,. Rican LegatDef.re & EcationFur, i

raternity CenterAssociation

Dete. ofA&MMIalim

6W WAieon Ave.New York. NTf10O2

I INoen PlaSew York, NY10013

10 3rd St.Brooktn, W e York11231

40 Rector StreetNeW Yfrk, N.Y. 10006

W Msdion AvenueNew York, N.Y. 10016

W uds StreetMw York, N.Y. 10013

48 fest 92rd StreetNw York, N.Y. 101211

1/8 to Present4/84 to 12/87

SM to 3/84

19113- 1986

1968 to the Preent

1967 to tha Present

190 to the Present

I M - 196

Portne-Asctlate

AssistantDistrictAttorney in Trialbureu 50

CauttirV workI r~t Irq nowrk

for - Ity adfriends

Meter,Board .f Directora

iber,Soard of Directors

Ne r,Board of Directors

Board of Directors

7. Military Seryice: Have you had any military service? Ifso, give particulars, including the dates, branch ofservice, rank or rate, serial number and type of dischargereceived.

No

8. Honoj s and Awar La: List. any scholarships, fellowships,honorary degrees, and honorary society memberships that youbelieve would bi of interest to the Committee.

I received financial assistance in the form of scholarshipsduriug my four years at Princeton University and my threeyears at Yale Liv School, I graduated sumaa cum lauds, PhiSeta Kappa, frovi Princeton and received, a. a o-winner, theN. Taylor Senior: lyne Prize. I also served as an editor ofthe Yale Law School Journal.

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9. Bar Association: List all bar associations, legal orjudicial-related committees or conferences of which you areor have been a member and give the titles and dates of anyoffices which you have held in such groups.

Member, American Bar Association, 1980 to the present.

10. 9ther Membershios: List all organizations to) which youbelong that are active in lobbying before public bodies.

None except I do represent, as their attorney, Fendi S.a.S.Peola Fendi 0 Sorelle in a Task Force of trademark ownerswhich seeks increased penalties for counterfeiting under NewYork State's criminal laws.

Please list all other organizations to which you belong.

For the organizations with which I am affiliated as a memberof their Board of Directors, see response 1(6) hereof.

11. Court Admission: List all courts in which you have baenadmitted to practice, with dates of admission and lapses ifany such memberships lapsed. Please explain the reason forany lapse membership. Give the same information foradministrative bodies which require special admission topractice.

New York - First Department - April 7, 1980.

United States District Court, Southern District of NovYork - March 27, 1984.

United States District Court, Eastern District of Now York- March 30, 1984.

12. Published Writinas: List the titles, publishers, and datesof books, articles, reports, or other published material youhave written or edited. Please supply one copy of allpublished material not readily available to the Committee.Also, please supply a copy of all speeches by you on issuesinvolving constitutional law or legal policy. If theTe werepress reports about the speech, and they are readilyavailable to you, please supply them.

Note: Sttehood and the Equal Footing DoctrniL Th_asofor Puerto Rican Seabed Right., 88 Yale Law Journal 8:15(1979) (Copy attached).

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13. Health: What is the present state of your health? List thedate of your last physical examination.

good. Please note, " am a diabetic. My last physicalexamination vws September 3, 1991.

14. Judicial Office: State (chronologically) any judicialoffices you have helc, whether such position was elected orappointed, and & description of the jurisdiction of eachsuch court.

None

15. Citatigos: If you ere or have been a judge, provide:(1) citations for the ten most significant opinions you havewritten; (2) a shorlt summary of and citations for allappellate opinions here your decisions were reversed orwhere your judgment was affirmed with significant criticismof your substantive or procedural rulings; and (3) citationsfor significant opinions on federal or state constitutionalissues, together with the citation to appellate courtrulings on such opinions. If any of the opinions listedwere not officially reported, please provide copies of theopinions.

Not Applicable

16. Public Office: State (chronologically) any public officesyou have held, other than judicial offices, including theterms of service and whether such positions were elected orappointed. State (chronologically) any unsuccessfulcandidacies for elective public office.

1988 to the present - appointed by the Mayor, Board ofDirectors, Now York City Campaign Finance Board.

1987 to the present - appointed by the Governor, Board ofDirectors, State of New York Mortgage Agency.

8/79 to 3/84 - Appoi.nted by the District Attorney,Assistant District Attorney, New York County.

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17. LaWal Career:

a. Describe chronologically your law practice andexperience after graduation from law schoolincluding:

1. whether you served as clerk to a judge, and it so,the name of the judge, the court, and thq dates ofthe period you were a clerk;

No

2. whether you practiced alone, and if so, the addressesand dates;

Yes with Sotomayor & Assooiates, 10 3rd Street,Brooklyn, New York, from 1983 to 1986, but thickwork was more in the nature of a consultant tofamily and friends in their real estate,business and seutate planning decisions. Iftheir work required formal legal representation,I referred the matter to my firm, Pavia &Harcourt, or to others with appropriateexpertise.

3. the dates, names and addresses of law firms oroffices, companies or governmental agencies withwhich you have been connected, and the nature of yourconnection with each;

Dates ofAssm f arion Onsn zt IUn e

4/84 to Present PNvelI Marcourt 600 Madison Ave. rartner -New York, rY (since 1/8)10022 Associate

8/ to 3/84 few York County I %o"t PIace AssmstantDistrict Attory's Jew York, MIT DistrictOffice 10013 Attoony

b. 1. What has teen the general character of your lawpractice, dividing it into periods with dates if itscharacter has changed over the years?

Bee I(b)(2) below

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2. Describe your typical former clients, and mention theareas, if any, in which you have specialized.

From April 1984 as an associate and since January1986 as a partner, I bave been a general civillitigator in all facets of commercial work including,but not limited to, retl estate, employment, banking,contract, distribution and agency disputes.Moreover, my practice has had significantconcentration in intellectual property law includingtrademark, copyright and unfair competition,automobile franchise lay, and export commoditytrading under the North Anerican Export GrainAssociation Contract.

My firm's and my own typical clients are significantEuropean companies doing business in the Unitedstates.

From 8/79 to 3/84, as a prosecutor on behalf of NewYork County, my cases typically involved '#streetcrimes,, i.e., murders, robberies, etc. I did,however, also engage in investigative mattersinvolving child pornography, police misconduct andfraud.

c. 1. Did you appear in court frequently, occasionally, ornot at all? If the frequency of your appearances incourt varied, describe each such variance, givingdates.

I appeared almost daily in court as a prosecutor andI appear regularly in court for a civil commerciallitigator with a largely federal practice.

2. What percentage of these appearances was in:

Since 1984:

1. Federal courts; approx. 70%

2. State courts of record; - approx. 20%

3. Othor courts. - approx. 10%

As a Prosecutors

1. Federal courts: - 0 -

2. State Courts of Record - 100%

3. Other courts - 0 -

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3. What percentage of your litigation was:

Ky practice as a prosecutor was a 100% criminal andin private practice baa been 99% civil and 1%criminal.

4. State the number of cases in cout.-s of record youtried to verdict or judgment (rather than settled),indicating whether you were sole counsel, chiefcounsel, or associate counsel.

I have tried over 22 cases to verdict. In one of theeases, I was chief counsel aud in another, co-counsel. In all other cases, I was sole counsel.

5. What percentage of these trials was:

1. Jury - 90%

2. Non-jury - 10%

18. Litigation: Describe the tsn most significant litigatedmatters which you personally handled. Give the citations,if the cases were reported, and the docket number and dateif unreported. Give a capsule summary of the substance ofeach case. Identify the party or parties whom yourepresented; describe in detail the nature of yourparticipation in the litigation and the final disposition ofthe case. Also state as to each case:

(a) the date of representation;

(b) the name of the court and the name of the judge orjudges before whom the case was litigated; and

(c) the individual name, addresses, and telephone numbersof co-counsel and of principal counsel for each ofthe other parties.

See attached Addendum

19. Legal Activities: Describe the most significant legalactivities you have pursued, including significantlitigation which did not progress to trial or legal mattersthat did not involve litigation. Describe the nature of

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your participation in this question, please omit anyinformation protected by the attorney-client privilege(unless the privilege has been waived.)

A great part of my litigation work involves pre-trial anddiscovery proceedings for cases which are typically settledbefore trial. In my litigation experience, and an part ofmy advising clients, my practice has involved a wide varietyof legal issues including, but not limited to, productliability, warranty, antitrust, securities, environmental,banking, real estate, patented employment, partnership,joint venture and shareholder lasv customs, automobile andtire regulations; and franchising and licensing matters. Ihave, moreover, conducted over fifteen arbitration hearingsinvolving, predominantly, export grain commodity trading onbehalf of foreign buyers but also hearings involvingbanking, partnership and fashion industry disputes.

Finally, in addition to my involvement in establishing anational anti-counterfeiting program for Pendi S.a.S. PaolaFendi e Sorelle, I have participated, on behalf of Fendi, inestablishing a Task Force of prominent trademark owners tochange New York State's anti-counterfeiting criminalstatutes. I have also supervised and participated in thenational dealers and customer warranty relations programsfor Ferrari North America, a division of Fiat Auto USA, Inc.

II. FINANCIAL DATA AND CONFLICT OF INTEREST (PUBLIC)

1. List sources, amounts and dates of all anticipated receiptsfrom deferred income arrangements, stock, options,uncompleted contracts and other future benefits which youexpect to derive from previous business relationships,professional services, firm memberships, former employers,clients, or customers. Please describe the arrangements youhave made to be compensated in the future for any financialor business interest.

As a partner in Pavia & Harcourt, I have a 1.5% of 106%interest in the firm which interest is valued at $25,616.The partners are currently discussing a redistribution ofthe percentage interest in the firm of deceased and retiredpartners. This redistribution may increase my interest andits value. The liquidation of a partner's interest isgenerally negotiated at the time of a resignation but thepartnership has two years to pay the interest. My partnershave advised me that they will attempt to liquidate myinterest prior to my assumption of ary public position.

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2. Explain how you will resolve any potential conflict ofinterest, including the procedure you will follow indetermining these areas of concern. Identify the categoriesof litigation and financial arrangements that are likely topresent potential conflicts-of-interest during your initialservice in the position to which you have been nominated.

I have been a practicing attorney, a partner in my firm, amember of the Board of Directors of various organizations,have made one loa to the business of a friend, and an atrustee for family trusts established by a client. I woulddisqualify myself from hearing matters in which I or my firmhave been involved in accordance with 28 U.S.C. 5455 and theCode of judicial Conduct.

3. Do you have any plans, commitments, or agreements to pursueoutside employment, with or without compensation, duringyour service with the court? If so, explain.

No anel if appointed, I would resign from the Board ofDirectors of the organizations with which I am currentlyaffiliated and as a trustee Zor the family trusts of myclient.

4. List sources and amounts of all income received during thecalendar year pr -eding your nomination and for the currentcalendar year, including &ll salaries, fees, dividends,interest, gifts, rents, royalties, patents, honoraria, andother items exceeding $500 or more (If you prefer to do so,copies of the financial disclosure report, required by theEthics in Government Act of 1978, may be substituted here.)

le the Attached Financial Disclosure Report

5. Please complete the attached financial net worth statementin detail (Atd schedules as called for).

See the Attached Net Worth Statement

6. Have you ever held a position or played a role in apolitical campaign? If so, please identify the particularsof the campaign, including the candidate, dates of thecampaign, your title and responsibilities.

No

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Il1. GENERAL PUBLICC)

1. An ethical consideration under Canon 2 of the American BarAssociation's Code of Professional Responsibility calls for"every lawyer, regardless of professional prominence orprofessional workload, to find some time to participate inserving the disadvantaged." Describe what you have done tofulfill these responsibilities, listing specific instancesand the amount of time devoted to each.

All of the non-profit organizations with which r have beenaffiliated serve the disadvantaged either directly orthrough projects I have participated in formulating. ThePuerto Rican Legal Defense and Education Fund, for example,promotes, through legal and educational activities, thecivil and human rights of disadvantaged Hispanics. I haveserve4, at various times, as the First Vice President of theBoard of Directors of the Fund and as Chairperson of itsLitigation and Education Committees.

The State of New York Mortgage Agency ("SONYMA,") structuresaffordable housing programs for residents of the State ofNew York. During my service on its Board of Directors,SONYMA, among many other projects, has implemented specialmortgage programs for low-income families to purchase homes.

I was also a member, in 1988, of the Selection Committee forthe Stanley D. Heckman Educational Trust which grantscollege scholarships to minorities and first generationimmigrants. I have, moreover, served, in 1990-1991, as amember of New York State's Panel on Inter-Group Relations.

Finally, I have been a member of the New York City CampaignFinance Board since its inception in 1988. This Boarddistributes public funds to candidates for certain electivepositions in New York City when such candidates agree tolimit the amount of the contributions they will accept andexpenditures they will make during campaigns.

The time I have devoted to my service to these variousorganizations has varied through the years but it has neverbeen less than two hours a week and has been over eighthours a week during certain periods. Currently, I devote anaverage of approximately six hours a week cumulatively tothe various non-profit organivations of which I am a member.

2. The American Bar Association's Commentary to its Code ofJudicial Conduct states that it is inappropriate for a judgeto hold membership in any organization that invidiously

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discriminates on the basis of race, sex, or religion. Doyou currently belong, or have you belonged, to anyorganization which discriminates -- through either formalmembership requirements or the practical implementation ofmembership policies? If so, list, with dates of membership.What you have done to try to change these policies?

No

3. Is there a selection commission in your jurisdiction torecommend candidates for nomination to the federal courts?If so, did it recommend your nomination? Please describeyour experience in the entire judicial selection process,from beginning to end (including the circumstances which ledto your nomination and interviews in which youparticipated).

At the suggestion of various friends, I submitted anapplication to and was interviewed by the Committee on theJudiciary which advises Senator Daniel Patrick Moynihan onhis judicial recommendations. I subsequently met withSenator Moynihan who then recommended me to Senator AlfonseD'Amato. Senator D'Amato forwarded my name to theDepartment of Justice. I was first contacted andinterviewed by the Committee on the Judiciary of theAssociation of the Bar of the City of Nev York whichapproved my qualifications for the appointment. Thereafter,on two occasions, I was contacted by and met with variousofficials at the Department of Justice. I was then sentrequisite forms which X completed. I was interviewed by anagent of the Federal Bureau of Investigation and by arepresentative of the Standing Committee on the FederalJudiciary of the American Bar Association before mynomination by the President.

4. Has anyone involved in the process of selecting you as ajudicial nominee discussed with you any specific case, legalissue or question in a manner that could reasonably beinterpreted as asking how you would rule on such case,issue, or question? If so, please explain fully.

No

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25. Please discuss your views on the following criticisminvolving "Judicial activism."

The role of the Federal judiciary within the Federalgovernment, and within society generally, has become thesubject of increasing controversy in recent years. It hasbecome the target of both popular and academic criticismthat alleges that the judicial branch has usurped many ofthe prerogatives of other branches and levels ofgovernment.

Some of the characteristics of this "Judicial activism"have been said to include:

a. A tendency by the judiciary toward problem-solutionrather than grievance-resolution;

b. A tendency by the judiciary to employ the individualplaintiff as a vehicle for the imposition of far-reaching orders extending to broad classes ofindividuals;

c. A tendency by the judiciary to impose broad,affirmative duties upon governments and society;

d. A tendency of the judiciary toward looseningjurisdictional requirements such as standing andripeness; and

e. A tendency by the judiciary to impose itself uponother institutions in the manner of an administratorwith continuing oversight responsibilities.

Our Constitution vests the right to make andadminister laws in the legislative and executivebranches of our government. Judges impermissiblyencroach upon that right by rendering decisions thatloosen jurisdictional requirements outside of thesuope of established precedents and by fashioningremedies aimed at including parties not before thecourt to resolve broad societal problems.

Judges must provide fair end meaningful remedies forviolations of constitutional and statutory rights tothe parties before a court. Doing so can, at times,affect broad classes of individuals, may placeaffirmative burdens on governments and society andmay require some administrative oversight functionsby a court.

A judge's decision should not, however, start from orlook to these effects as an end result. Instead,

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because judicial power is listed by Artiole ZZI ofthe constitution$ judges should seek only to resolvethe speofic grievance, ripe for resolution, of theparties before the court and within tbe lav anwritten and interpreted in precedents. Intrusion bya judge upon the functions of the other branches ofgovernment should only be done as a last resort andlimitedly.

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do swear that

the

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information provided in this statemenknowledge, true and accurate.

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,do swear that the

t is, to the best of my

,, NAME

'I Y)ANHON4YI. CANNATELLA

NsWV PMbo. $Wae of N*W YorkNo. 41-4Mg768am kis hkOfs C""ta

_dm. Ewpkm Dom It. 1991

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