arthur s spiegel financial disclosure report for 2010

8/3/2019 Arthur S Spiegel Financial Disclosure Report for 2010

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A O I OR e v . 1 1 2 0 1 1

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010

Report Required by the Ethics

i n G o v e r n m e n t A c t o f 1 9 7 8(5 U.S .C. app. §§ 101-111)

! . P e r u ~ R e p o t t in 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 )

S piege l , S . A r thur

T i t l e (Art ic le H I J u d a s Indicate active or s t a k ~ status;m a g i s tr a t ~ ju d g e s i n d i c a t e f u l l . c ~ p a r t - t i m e )

Uni ted States Sen io r Dis t r i c t Judge

7 . ~ a m b e r s o r O I T R ~ A d d r e ~

838 Pu tte r S tewart United S ta te s Courthous~

Cinc innat i , OH 45202

2 . Cour l o r Organ iza t ion

Uni ted States Dis t r i c t Cour t , SDO, WD

~a. Repert Type (~k appropriate type)

] N o m in a tio n . D a te

[] Initial [] Annual [] Final

5b. [] Amended Relx~

O~ the baxls ~’th¢ Information c~ntained in Ibis Rcl~rl tad any

modifications pertaink, g thertleb it I~ in my ~plnlon, In ~pllart~

w ith ap p l | ~b le laws l ind r t gu l a l l o n s .

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

05/15/2011

Reporting l~rl~l

01/01/2010

Io

12 /31 /2010

I M P O R T A N T N O T E S : The inUrucaons accompanying this form mu st be foliowe,Complete all part~,

checking the NO NE box for each par~ where you h ave no reportable information. Sign on laxt page.

I. POSITIONS. r~p.,nnt ~/,~ *no; ,,,

~ NONE (No reportab le posi t ions .)

p O S I T I O N

|o

2.

3.

4.

N A M E O F O R G A N I Z A T I O N / EN T I TY

I L A G R E E M E N T S . ~ ,~ o ,~ s ~ ,~ o~O ; , ,, ~,~. 1~.~ oI~’m~ t,,,~,ao,,.~

~ NO NE ( No r e p o r t a b le a g r e e m e n t s .)

D A T E PARTIES AND TERM S




of 9

Dttt of Repor~

0M15/201 i

HI. NON-INVESTMENT INCOME. rR~o,a ,z

A. F l i e r ’ s N o n - I n v e s t m e n t I n c o m e

[] (N o re po rta b le inco m e.)O N E non-inveMmenl

D A T E SOURCE AND TYPE

2.

3.

4.

I N C O M E( y o u r s , n o t s p o m ~ ’ s )

B. Spouse’s Non-Investment Income - t . f~ ,ou ,~e ,~ ma, ,~ea ,~ ,~g amy portion of~e ~ gy¢~ o~k te ~ se~

(~l~r amour n~ re~ired e~ept for ~rari~)

~ N O N E ( N o r e p o ~ a b l e n o n - i nv e s tm e m i n c o m e . )

DA~ SOUR~ ~D ~E

1 .

2.

3.

4.

( I n c l ~ leJ those to spouse a n d depen den t ch i l dren ; see pp . 2 5 -2 7 o f f ! l in 8 in s truc t ion s .)

~-~ (N o rep o r t ab l e re i mb u rsement s . )O N E

2.

3,

4.

5,

U~ ~ L O C A T I O N PURPOSE ITEMS PAID QR PROVIDED




of 9

Name of Pe rs~ Report ing

S p i e g e l , S . A r t h u r

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

05 / I~/2011

V. GIFTS. (Inclmtt~ thost to spoust a~d depemt¢nt children; ste pp. 23-31 of fding in~ruction~.)

N O N E ~No reportable gifts.)

SOURCE D F . . $ C RI PT I ON

!.

2.

3.

4.

5.

~] N O N E ( No rep o r tab le l iab i l i t i e s . )

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

VALUE CODE




of 9 S p i e g e l , $ . Ar t h u r

D a t e of Repor t

O S I I 5 / 7 . D I 1

VII. INVE STMENTS and TRUSTS

N O N E ( N o r e por ta bl e in c om e , a s s e t s , or t r a n s a c t ion s . )

A. B. C. D.

D e s c r i p t io n o f A s r , ~ = Income dm~g G ro s s v a ~ m : a t c a d T r a n s a c t io n s d a r i n g i x ’ p o t t in g p e r i o d

( i n c l m i i n l t t ~ s t a s s e t a ) ~ol iag Ix:Hod o f t e l : r o t t i n g

( t ) ( 2 ) U) (2) O) (2) (3) (4) (5)

Pl a¢ ~ "(X)" ~ ~h as~ ~m T~ (e . g . , V~uc Va~ T~ (e.g . , ~m Val~ Ga ~ I~ of

( A - ~ ~ ~.) ( J ~) C~ 3 ~m~) ( J - P ) ( A - H ) (~

1 . B r o k e r a g e A c c o u n t # 1

2. A n a d a r k o P e t r o l e n m Co r p . A D i v i d en d K T

3. Exxom Mobil Corp . (XOM) D D i v i d e n d M T

4. Fif th Th ird Bancorp Ohio (FI’I’B) A D i v i d en d M T

5. Marathon Oil Corp . (MRO) B D i v i d en d L T

6. PNC Financial Serv ices Group (PNC) B D i v i d e n d M T

7. P ipe r Ja ff ra y C o m pa n ies In c . (P JC ) No n e J T

8. Procter & Gamble Co . (PG) D D i v i d e n d N T

9. J M S m u c k e r C o m p an y Ne w ( S J M) A D i v i d en d J T

1 0 . U . S . B a n c o r p . D e l a w a re N e w ( U S B ) A D i v i d e n d L T

I 1 . Un i o n P a c i f i c Co r p ( UN P ) B D i v i d e n d M T

1 2 . Uni ted States Stee l Corp (X) A D i v i d e n d J T

] 3. Eaton Van¢. . Balanced Fund (EVIFX) A D i v i d e n d J T

1 4 . G at e w ay F u n d ( G AT E X) B D i v i d e n d M T

1 5 . V i c t o r y O h i o M un i B o n d F un d ( S O H T X ) C D i v i d en d M T

1 6 . Westernbank PR Rate 2.3% Fixed CD B In t . /Div. L T

M a tu r e s 0 7 1 3 0 1 2 0 1 0

1 7 . S t e r l in g S av i n g s B an k W A U S R at e 4 .00% B In t . /Div . L T

Fixed CD Matures 01/’2

05110/10

01/25110

L

L

I , I n co me Ga in Co d es: A --$1 .0 00 o r less B =SI .0OI - $2, . .q30 C = $2 .5 0 1 - $5 ,0 0 0 D --.$5.0~1 - ,$

(Set Co]tin’ms BI and D4) F =$50.001 - $IOO,(X~) O --~111~1.001 - $1.000,O00 HI =S l ,O00 .001. $5 .000.000 H2

2 V t l u = C o d e s l = $ 1 5 . 1 3 1 3 0 o r I c t ~ . X -- . ,$15.~1 - $ ,~’ .0CO L = $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 M

P 3 = $ 2 5 . ~ 0 0 . 0 0 1 - $ 5 0 . 0 0 0 . 0 0 0 P 4 = M c ¢ ~ t h * m $ ~ 0 . ~ 0 0 . 0 0 0




of 9

Name ot P e r s o n R ~ r ~ i n ~

Spiegel, S. Arlhur

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

0 5 / I 5 / 2 0 1 !

N O N E ( N o r e po r ta bl e in c om e , a s s e t s , or t r a n s a c t ion s . )

Description of Assc, tS I n c o m e d u r i n g

(including u’ust ~u) ~g ~

(]) ~)

( A - H ) ~ ant)

(I) (2)

VaI- ," Vain~

C o d e 2 Me th od

( J-p) C o d e 3

( Q - W)

d u r i n g r c 1 ~ l i n g p e r i o d

(t)

Ty~ (g~

b u y . ~ell,

r e d e m p t i o n )

( 2 ) (3 ) (4 ) (5)

D a t e V a l u e G a i n l d e . n ~ l y of

n ~ / d d / ~ C o d e 2 C o d e I b ~ i e ~ / ~ l l ~

( J - P ) ( A . r l ) (if r~vate

u a n . n c t i n n )

1 8 . RMA Tax Fr,," Fund Inc.

19 . Brokerage Account # 2 - Trust

20 . UBS RMA Money Market Pcnffolio (FKA

Victory O hioMunicipal Mo

2 1 . B a n k o f N o v a S c o t ia C a n a d a C A D ( B N S )

2 2 . E x x o n M o b i l C o r p . ( X O M )

2 3 . J P M o r g a n C h a s e & C o m p a n y (J P M )

2 4 . P e p s i c o I n c . (P E P )

2 5 . Pfizer I n c . (PFE)

2 6 . Pitney Bowes Inc.(PBl)

27 . Procter & Gamble (PG)

28 . 3M Co.(MMM)

2 9. USBancorp(USB)

30 . Bcrea Ohio 3.75% due )2.~ll/l 1

3 1 . But le r Coun ty Ohio 4 .9 5% due t2 /011 l 0

32 . Ea s te r n OH R egiona l Wa s tewa te r 4 .25%d u e | 2 / 0 1 1 1 0

- 33. Hamilton County, OH 3.125%du~ 12/01/12

34 . O h i o S t a t e 3 . 5 0 % d u e 0 3 / 0 1 1 1 1

A Divkle~d

E ! Int ./Div.

N

PI

T

T

0 2 / 1 0 1 1 0 J

08/06 /10 K

0 2 / 1 2 / 1 0 K

0 8 / 0 6 / 1 0 J

12/01/10 K

12/01110K

E

E

I . I n c o rn ~ G a i n C o d e s ! A =$I.000 ci" less B = , $ l . O 0 1 ¯ $ 2 , 5 0 0 C =$2,501 - $5.000 D = S 5 . O 0 1 - $ 1 5 . 0 (3 0

(S¢~ Coltmms BI and IM) F = $ 5 4 ) , 0 0 1 - $ 1 0 0 . 0 ~ 1 G - - $ 1 0 0 , ~ 0 1 ¯ $ 1 , ~ 3 0 . { ~ 0 HI =$J,~O.001 - $5,~O3,0C0 H 2 = M i n e th a n S 5 , 0 0 0 ,~ O 0

2 Value Code~ J

(S~ Co~ CI and D3) N

3. Value Method C o d ~ s Q =Apprais~ R = l ~ o s t (Real E.,,I tIe O n ! y ) S =Asscssme~ T = C a s h M a t k r l

( S ~ e C ~ l u n m C 2 ) U = B o o k V a J u e V --’O~ W = E ~ t ) m a l e d

E = $ ) 5 D 0 ! - $ 5 0 . 0 O 0




of 9

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

Spiegel, S. Arthur

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

05/15/2011

N O N E (No repor tab le incom e, asse t s , or t ransac tions . )

G ros ~ valu e a t e nd

O) (2)

Val ue Val ue

C o d e 2 Me th od

(J-P) C o d e 3

T r a n s a c t io n s d u r i n g r q x ~ i n g

(I) (2) 13) t4)

T.’v~e (e.g~ D a ~ V a l u e

( 5 )Id~dty of

buy~r l~el lex

p ’ ivate

3 5 . De ~ f i e ld T wp . Oh l o 4 . 0 0 % d u e 1 2 A 3 1 1 1 3

3 6 . Vanguard Short Term Tax Exempt Fund(VWSTX)

37 . Brokerage Accotmt # 3

3 8 . Victory Estab~hed Value Fund (GETGX)

39. Vic tor3’ Fu nd fo r I n c o m e (GG I F X)

4 0 . UBS Ret Money Fund

41 .

4 2 .

43 .

4 4 .

45 .

4 6 .

4 7 .

48 .

4 9.

50 .

51 .

A

Dividend

D i v i d e n d

D i d d e n d

L T

K T

J T

09/17110 K A

11/30110 JA

I. Income Gain Ccdel:

( S e ~ O ~ l u m n s B 1 a n d D 4 )

2. V,hz C~,

(~ C~ CI ~D3)

3 . Va1~ M~ C~

(See C~n ~)

B =$t .o01.

o =$5~3.ool . $1 ,0~3.{]00

R ---~mt troll Estate O ~y)

V = O~e~

P2 = S 5 . 0 ~ , 0 0 1 - $2 5 . ( X 3 0 .0 0 3

T ~s h M~rk~

E = $ 1 5 . 0 0 ! - $ 5 0 . 0 C O




of 9

N a m e o f P e r s o n R e ~ r f l n g

Sple~el, S. Arthur

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

A. B. C.

~lXiO~ of Assets I n c o m e d u r i n g G r o t e v a l u e a t e n d

( inc lu d ing t ru ~ ~as e ta) r e p o t t i n g period of report ing l m ~ O d

el) (2) (I) (2)

Pl i c e " ( X )" a f i e* eac h a sse t A m o ~ m ! TyIx (e.g., Valu ~ Val ue

exempt from p rior disclosure: Code I day . , ren t , Code 2 M e t h o d

(A-H) or in t . ) (I-P) Code 3

O)T y l x ( e . g ~

b u y , s e l l ,

r e d e m l ~ i o n )

d u r i n g t r 4 x ~ i n g i x ~ o d

(2 )

Date V alue Gain Idr.mity of

naWdd,’yy Code 2 Cod~ 1 tmy~/ te l ler

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

’ ~ 2 .

5 3 .

5 4 .

! 5 5 .

5 6 .

5 7 .

2. V, lu¢ Cod¢s J ~1S .O ~l ot less g = $15 .001 -

( Se ~ C ~u t r m l C I a nd D 3 ) N -4 2 5 0 , 0 0 1 - $ 5 0 0 , 0 t 3 0 0 =$5~0,001 - $ I .~ tqO,0t30 Pl --$ I ,~.001 - $5.000,000 P2 =$$ ,0~30,001 - $25,000.( ]00

P3 --.$25 .000 .~ ! - $50 .(300 .000 P4 ~ M o r e t h a n $ ~ 0 . 0 0 0 . 0 0 0

( ~ e C o l u m n C 2 ) U = B e o k V l ~ o ¢ V . - - O r , h e r W = F ~ i m a t e d




of 9

N a m e o ~ P e r s o n R ~ p o r l i n !

Spiegel, S . Arthur 05/15/2011

VIII¯ ADDITIONAL INFORMATION OR EXPLAN ATIONS.




of 9

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

Spiegel. S. A r t h u r

D ~ t e o ( ’ R e p o r t

O ~ l l 5 / 2 0 1 1

LX. CERTIFICATION.

I c e M f l ’ y t h a t a l l information given abeve (including information pertaining to my spouse and minor or dependent children, if an y ) h

accurate, true, and complete to the best of m y k n o w l e d g e a n d b e l i e f , an d t h a t an y Information not repor ted was withheld because it met applicable statutory

pr o ~’ I s l o n s l ~ r ml l l in g n o n ~l i s c l o s u r e .

I further certify that earned income I’com outs/de employme nt and honorar ia and the acceptance of gifts which have been reporte d are I ncompliance w ith the provisions of $ U.S.C. app. § 501 et. seq., $ U.S.C. § 7353, and Judicial Conference regulatlou~.

Si

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 LY 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 B J E C T T O C I V I LA N D C R I MI N A L S A N C TI O N S ($ U . S .C . a pp . § 1 0 4 )

C o m m i t te 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 is t r a t iv e O f f i c e o f t h e U n i t e 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 , N .E .

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

arthur s spiegel financial disclosure report for 2010

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