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Re~.. 1/20~0

~O 10

FINANCIAL DISCLOSURE REPORT


FOR CALENDAR YEAR 2009
2. Court or Organization EASTERN DISTRICT OF NEW YORK 5~. Report Type (check appropriate type) [] Nomination, [] initial Date [] ,Annual [] Final

epo~t Required ~), the Ethics


in Go vernment dct of 1978

(5 u.S.C, a~, .+.~ t0~-H0


3. Date of Report 07/30/2010 6. Reporting Period 01/01/2009 to 12/31/2009

~. Person Reporting (last name, first, middle initial) GAR_AUFIS, NICHOLAS G, 4. Title (Article IlI judges indicate acti~.e or senior status: magi~.trate judges indicate ~ll- or pa~-time) UNITED STATES DISTRICT JUDGE

5b. ~ Amended Repurl 7. Chanlbers or Office Address US DISTRICT COURT EDNY 225 CADMAN PLAZA EAST BROOKLYN, NY 11202 8. On the basis of the information contained in this Report and any modifications pertaluiug thereto, it is, in my opinion, in compliance with applicable la~s and regulations. Date

Reviewing Officer ........................................

I]ffPORTANT NO TES: The instructions accompanying this fornt must be fo!lowed. Complete all part.~,
checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. me, oai~g imtivid*,at onty; seepp. 9-13 ,y fiting instructions.)


[~ NONE (No reportable positions.)

pOSITION
I. MEMBER, BOARD OF DIRECTORS

NAM_E OF ORGANIZATIQN/E~TITY
SPECTATOR PUBLISHING COMPANY, INC.

NONE (No reportable agreements.)


~ PARTIES A~ TERMS
ABC, INC. PENSION PLAN MONTHLY SURVI~ OR BENEFIT

I. 02/09/1997

~ame of ~erson ~eportin~ ,FINANCIAL DISCLOSURE REPORT

DaleofReport
07/30/2010

Page 2 of 9

GA~UFIS, NICHOLAS G.

III. NON-INVESTMENT INCOME. ~o.,i~g ~d~g~ ,,.~ro~; ~ ~. ~ ~-~4 o/y~i~g ~,~ ...... .o~4
A. Fliers Non-Investment Income

~
1. 2009 2. 3, 4.

NONE

(No reportable
DATE

non-investment income.)

SO~CE A~ TYPE
ABC ~C. I~TI~MENT PLAN

~COME
(yours, not spouses) $13,0~3

B. Spouses Non-Investment Income - ~f ~,,,. were married doting any portion of ~he reporting year, complete this sec~o~ (Dollar amount not required except./br honoraria.) ~ NONE (No reportable non-im,estment income.)

DATE
~. 2009 2. 2009 3. 2009 4. 2009

SOURCg AND T,.YPE


C1TIZENS BUDGET COMMISSION, FORM 1099-MISC~ - CONSULTING INCOME FORESTDALE, INC., FORM !099-MISC. - CONSULTING INCOME NATIONAL JAZZ MUSEUM IN HARLEM, FORM 1099-MISC. - CONSULTING INCOME NEW YORK UNIVERSITY, FORM 1099-MISC CONSULTING INCOME

IV. REIMBURSEMENTS ...... ~,,,,,~,io., ~oa~i,,s../,,o,t, .,,,e,,~i ..... ,.


(Includes thoac to spouse and dependent children; see pp. 25-27 t~/~/iling it so" ictiot * ) [~] NONE (No reportable reimbursements.)

~
1. UNITED STATES TENNIS A SSOCIATION LFNITED STATES TENNIS ASSOCIATION UNITED STATES TENNIS ASSOCIATION

DAT~
01108/09 -01/10/09

LOCATION
KIAWAIt ISLAND, SC

PURPOSE
CONFEI/.ENCE

ITEMS PAID OR, PROVIDED TRAVEL

2.

03/14//09 - 03/17/09

PALM SPRINGS, CA

CONFERENCE

TRAVEL

3.

09/05/09 - 09/07/09

NEW YORK, NY

CONFERENCE

TRAVEL

4. 5.

Page 3 of 9

~;A~t~S, NICHOLAS G.

07130/2010

NONE (No reportable g~s.) ~ ;DESCRIPTJON

2. 3.
4.

5.

~]

NONE (No reportable liabilities.) CREDITOR .... DESCI~IPTION VALUE CODE

1. 2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT

Page 4 of 9
VII. INVESTMENTS and TRUSTS - ~ ....
~

Name of Person Reporting

Date of Report

07/30/2010
lions (Includes those of sp ....... d dependent children; see pp. 34-60 of llting instruaions.)

[ GARAUFIS, NICHOLAS G.

e, value, t ......

NONE (No reportable income, assets, or transactions.) Description of As~ts Income during ~ Gross value at end Transactions during rep~,ning period

PIa~e"(X)" after each asse~ exempt from prior disclos ....

.Amount ] Type (c.g., ~, Code I : div., rent, (A-H) ~ or int.) ~ ~ D A A A A A .A A A A Inlerest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

~ Value Code 2 (J-P) [ N K L K

Value Method C~e 3 (Q-W} T T T T

Type (e.g., buy, sell, rcdemplion)

j Da~c ~ Value . Gain ~ mm/d~yy ~ Code 2 !, Code I ~ (.!-P) ~ (A-H) I

identi~:of buyer/seller (ifpfi,ate transaction~

1. 2. 3. 4. 5. 6. 7. 8. 9. t0.

PRIME FUND - CAPITAL RESERVES DAVIS NEW YORK VENTURE CLASS A NEUBERGER BERMAN FOCUS FUND BLACKROCK MID CAP VALUE FUND CLASS A VAN KAMPEN GLOBAL FRANCHISE FIDELITY ADVISOR DIVIDEND GROWTH AIM LARGE CAP GROWTH FD CI.,. B AIM GLOBAL GROWTH FD CL B ALLIANCE BALANCED SHARES CL B AMERICAN FUNDS: AMERICAN CAPITAL WORLD GROWTH & INCOME FUN D ISHARES TR, RUSSELL 1000 WALT DISNEYCOMPANY CS FIDELITY ADVISOR INFLATION PROTECTED BD FD CL A ALLIANCE REAl. ESTATE INVESTMENT FD A OPPENHEIMER SM & MID CAP VALUE FUND ALLIANCE GLOBAL TECHNOLOGY A FUND ALl.lANCE G[~OWTH & INcoME FUND CL B

Sold J ,1 K j K I T T T T T Sold (part)

05/01/09

12/14/09

l t. 12. 13. 14. 15. 16. 17.

A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend

K J K K. K J K

T T T T T T T Sold (part) 02/02/09 J A Sold (part) 08it0t09 J A

FINANCIAL DISCLOSURE REPORT Page 5 of 9


I GARAUFIS, NICHOLAS G.

07/30/2010

NONE (No reportable income, assets, or transactions.) Descripnon of As~ls (including trust assets) Placo"(X)" afiereach asset .... pt f~m prior disc] ..... Income during ~ reining peri~t i 1 ~) t2) ~Amount ]~e (e.g., ; Code I i di ......1. , ~ Gross value at cnd [ of reporting period ~ (~) -[ (2) Value Value Cod. 2 [ Method (Q- ~. ]8. 19. 20. 21. Cl~ OFNEW YO~DEFE~D COMPENSATION PLAN EQUIVEST VARIABLE ANNUI~ ABC PENSION PLAN AIM GLOBALEQUI~F~DCLB ISIIARES MIDCAP ISHARES TRMSCI ISHARES RUSSELL 2000 ISHARES MSCI EMERG~G MKT MURAL SERIES CLASS C 27. STANDARD & POORS DEPOSITORY ~CEIPTS A ~ Dividend None None A Dividend A "] Dividend A] Dividend J K K K K J J K K J L T .... "r T T T T T T T T T Sok! (part) Sold (parl) Sold (parl) T T Sold 0420/091 06!29/091 t 1125/09 [ ~ J J , J ~A I A A Sokl (pare) Buy (addl) 11117/091 08/31/091 J A Buy 02!03/091 J " . K T Closed 2008 Transactions during repo~}ng period (~) Type (e.g. buy, sell, ~ (2) ~ (3) (4) ~ Dale ~ Value ~ Ga n ~mmld~.. Codo 2 [ Code l ; . t ~ transaction) :

i22. 23. 24. 25.

A "] Dividend A A A A I Dividend Dividend ] Dividend ] DMdend

28. P1MCOTOTAL RE~RN CL C 29. OPPENHEIMER GLOBAL FUND

A [ Dividend g [ Dividend

30. VAN KAMPEN EQUITY & 1NCOME

32. 33. AMERICAN FU~S: A~RICAN BALANCED CLASS C 34. OPPENHEIMER LTD. TERM NY MUNI A

~ ....

I Dividend

J J

A I Dividend

I 02/05/09I J ~ A

FINANCIAL DISCLOSURE REPORT

[~ ..... fe ...... ~po~i~

Page 6 of 9 [| GARAUFIS, NICHOLAS G.


NONE (No reportable income, assets, or transactions) Description of As~ts (including t~st ~scts) P ace "(X)" after ~ch asset exempt from prior disclosure ~ Income during ~ repo,~ing p~iod ~ Amount ~ Code 1 (A-H) ~ A A A A B B A A A A Type (e.g., div., rcat, or int.~ Dividend Divideod Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend G*~ss value at end of repoaing pe~od Value Code 2 (J-P) Value Method Code3 (Q-W) "1" T T T T T T T T T Sold (part) 05/I 3/09 J A Sold (part) 09/21/0~ J A Sold (pa~t) ~ 10/09/09 J A T)~e (e.g., buy, sell, redemption) Transactions during reposing pchod

07/3012010

~ ~ ~ [ 35. 36. 37. "38. 39. 40. 41. 42. 43. 44.

I [ Dale [ Value ~ m~d~ [ Code 2 (J-P) ~ Gain Code 1 (A-H) Identity uf buyer]seller (if private lransactio~)

ALLIANCE BE~STE~ LG CAP GROWTH B AMERICAN F~NDS: ,AMERICAN CAPITAL INCOME BUILDEK.CLASS C ROCHESTER FD. MUNI A OPPENHEIMER GLOBAL CLASS C AMERICAN GROk~H FD OF AMERICA C AMERICAN F~DS: AMERICAN HIGH ~COME CLASS FUND ALLIANCE GROWTH INCOME CL A AIM DEVELOP~G MKT CL A OPPENHEIMER ]NTBD FD VANGUARD INT TEKM TAX

K J J K M K J K J J

46. 47.

.klM CONSTELLATION FD CL B GABEI,LI ASSET FLeD

A A

Dividend lnl./Div. J T

Sold

07/27/09

49. 50. 51.

I SHARES S&P S~AP 600 COLUMBIA SM CAP VAL II C[A EAGLE SM CAP FD A

A A A

Dividend Dividend Dividend

J J J T T

FINANCIAL DISCLOSURE REPORT

~ ....

f P .....Reporling

[ Date of Report

Page 7 of 9

~A~VF]S, NICHOLAS G.

VII. INVESTMENTS and TRUSTS - i, ....... ~o t ....... finns (Includes tho~e o]sp ..... d dependent chitdren; seepp. 34.~0
NONE (No reportable i~come, assets, or transactions.)
] [ ~ : Description of As~ts (including t~st assets) Place "(X)" after each asset exempt ~om pr or d sc osure ~ ~ Income during reporting p~riod ~ Gross value at end ! of reporting period Transactions during repoaing period [ Type (e g buy, sell, redemption) Date Va ue ~ Gain : [ I m~d~~ C~e _~ Code 1 ] (J-P) ~ (A-H} ~ ldent ~ of buver/seller (if private

Value Amount Type (e g, Code I ~ d u , ten" 9 Code _ ~ ~ (A-H) or int.) ~ Q-P)

V ue [ Method _[ Code3 [

] 52.

1 SHA~S RUSSELL 2000 VALUE 2(~4 T~UST

Dividend

T T T Buy

53, 54. 55, 56.

None A Dividend

J J

RYDE~ SGI ~GE ~S

04/09/09 05it 3/09

J ..........

Buy (addl) Buy (addl) A Dividend K T Buy Buy (addl) Buy (addl) Buy (addl)

06/02/09 J 05/12/09 J 06/12/09

[57. PiMCO ON~bNSTRA~


58. 59. [ 60.

I 0/15/09 ,. 12/29/09 I I/05/09

J J J

[ 61. 62.

ARTISAN I~L ~VESTOR

Dividend

Buy

FINANCIAL DISCLOSURE REPORT


Page 8 of 9

Name of Person Reporting

Date o[Report 07/30/2010

[ GARAUFIS, NICHOLAS G.

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. andi~a,ep,,,erRem~

VII, PAGE 5 OF 9, LINE 20: ABC, INC. PENSION PLAN. I AM DESIGNATED TO RECEIVE MONTHLY PENSION BENEFITS UNDER~IIi g~g~~ ~ I~a] PENSION PLAN. PART III, LINE 2 DISCLOSES INCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON MY DEATh. ~: ::: "~ :::~ ....... VII. PAGE 5 OF 9, LINE !9: EQUIVEST VARIABLE ANNUITY WAS TERMINATED IN PRIOR YEAR. AND ERRONEOUSLY INCLUDED IN 2008 FINANCIAL DISCLOSURE REPORT AS ACTIVE ACCOUNrF.

FI, NA~CIAL DISCLOSURE REPORT Page 9 of 9 IX. CERTIFICATION.

~ or~, ...... ~opo~t~.g GARAU~lS, NICHOLAS G.

07/30/2010 l Date of Report

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 kuowledge and belief, aud that any information not reported was withlteld because i! met applicable statutory provisions permitting non-disclosure. I further certify that earued 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. 50I et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL \VHO KNOWINGLY AND WILFUI.LY FALSIFIES OR FALLS 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 Suile 2-301 One Columbus Circle, N.E. Washington, D.C. 20544