Gottschall, Joan · 35. JP Morgan Intrepid America Fd. A Dividend J T 36. JP Morgan/Chase checking...

11
POSIION NAME OF ORANIZATION/ENTJTY PARIES AND TERMS . C Rcpurl Required br 1he E1hics FINANCIAL DISCLOSURE REPORT AO 10 in Go.-cmmcnl Acl vf 1978 Rev. 1110/( FOR CALENDAR YEAR 2009 (5 USC app. § lll-/11) I. Penon Reporting (lat name. first. middle initial) Gottschall. Joan B. 4. Tirk (Article ill judges indicte active or senior status; magistrate judges indicate fll- or pan-timcl District Judge--active status 2. Court or Organization U.S. District Coun. NDIL Sa. Report Typ< (check approprate typ) 0 Nomination. Da1e 0 initial 0 Annual Sb. D Amended Repor 0 Final 3. Datt of Rtporl 0611612010 6. l{cporting Period 0110112009 to 12131 /2009 7. Ch•mbers or Ofce Addre>s 219 South Dearbor Street Room 2356 Chicago, IL 60604 8. On the basis of the Information contained in this Report and any modifkations pertaining thereto, it i', in my opinion, in compliance with applicable laws and regulations. Re\'iewing Offcer Date /.IPORT ANT NOTES: The inslruccions accompa11yi11g this form must be follo.,.ed Complete all parts, checting the NO.E box for ea<·h part where you ha1·e no reportable information. Sign 01' last page. I. P OS lTI 0NS. (Repting i1U/i1>dual only; see pp. 9-/J 11/ fling in.\lrudiomc) D NONE (No 1·eportable positions.) I. Member Vi siting Committee lo the Divinity School, University of Chicago 2. Member, Doaud of Directors Illinois Humanities Council 3. Member. Board of Directors Marin Marty Center at the University of Chicago Divinit School 4. Member Friends of the University of Sussex 5. C .. , ( 0 CJ a -; .. , 11. AG REEM ENTS. (Reporting indi>'iduu/ only; uc pp. 14-16 of filing in.\uctions.) [ NONE (No reportable agreements.) ,--.. o : · /� ft o> . , c. c. : N N J §7 C) ¤'-l .--" .., n- i •i - 0 f 0 I. 2. 3_ Gottschall, Joan B.

Transcript of Gottschall, Joan · 35. JP Morgan Intrepid America Fd. A Dividend J T 36. JP Morgan/Chase checking...

Page 1: Gottschall, Joan · 35. JP Morgan Intrepid America Fd. A Dividend J T 36. JP Morgan/Chase checking account A lnteresl J T Constant changes J7. .IP Morgan/Chas sa,·ings account A

POSITION NAME OF ORGANIZA TION/ENTJTY

PARTIES AND TERMS .,

CJ

Rcpurl Required br 1he E1hics FINANCIAL DISCLOSURE REPORT AO 10 in Go.-cmmcnl Acl vf 1978 Rev. 1110/(} FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ llJl-/11)

I. Penon Reporting (last name. first. middle initial)

Gottschall. Joan B.

4. Tirk (Article ill judges indicate active or senior status; magistrate judges indicate full- or pan.-timcl

District Judge--active status

2. Court or Organization

U.S. District Coun. NDIL

Sa. Report Typ< (check appropriate type)

0 Nomination. Da1e

0 initial 0 Annual

Sb. D Amended Report

0 Final

3. Datt of Rtporl

0611612010

6. l{cporting Period

0110112009 to

12131 /2009

7. Ch•mbers or Office Addre>s

219 South Dearborn Street Room 2356 Chicago, IL 60604

8. On the basis of the Information contained in this Report and any modifkations pertaining thereto, it i'S, in my opinion, in compliance with applicable laws and regulations.

Re\'iewing Officer Date

/. I PO RT ANT NOTES: The inslruccions accompa11yi11g this form must be follo.,..ed. Complete all parts, chect.ing the NO.'VE box for ea<·h part where you ha1·e no reportable information. Sign 01' last page.

I. P OS l TI 0 NS. (Repot1ing i1U/i1>idual only; see pp. 9-/ J 11/ filing in.\lrudiomc)

D NONE (No 1·eportable positions.)

I. Member Visiting Committee lo the Divinity School, University of Chicago

2. Member, Doaud of Directors Illinois Humanities Council

3. Member. Board of Directors Martin Marty Center at the University of Chicago Divinity School

4. Member Friends of the University of Sussex

5.

CJ ........ ,

(/') 0

C'."JI a -;-;;

.... ,_,

11. AG REEM E NTS. (Reporting indi>'iduu/ only; uc pp. 14-16 of filing in.\fructions.)

[{] NONE (No reportable agreements.)

, --.. o:--··

�� fgt'. o> ., ,

c..... c.: :z:

N N

J>

71 C)

-l

.---"' .. ,

n-i •i

-f? 0 fT1 0

I.

2.

3_

Gottschall, Joan B.

Page 2: Gottschall, Joan · 35. JP Morgan Intrepid America Fd. A Dividend J T 36. JP Morgan/Chase checking account A lnteresl J T Constant changes J7. .IP Morgan/Chas sa,·ings account A

SOURCE AND TYPE

SOURCE

SOURCE DATES LOCATION PURPOSE

INCOME

ITEMS PAID OR PROVIDED

06116/2010

D11< of Rtport Name of Person ReportingFINANCIAL DISCLOSURE REPORT

Gottschall, Joan B. Page 2 of9

HJ. N 0 N-JN VESTMENT IN CO ME. (Reporting individual 11nd .,pouse; ue pp. I i-U offiling instructions.)

A. Filer's Non-Investment Income

0 NONE (No reportable non-investment income.)

(yours. not spouse's)

I. See Section VIII. n.l $0.00

2.

J.

4.

B. Spouse's Non-Investment Income - I/you werema,,ied duringanyportfon oftliereportingyear, ctJmplete this section.

rDalh.1r c1mcmm not req11ired rxl'ept.fhr hv.norario.J

[{] NONE (No reportahle non-investment income.)

I.

A;-.JD TYPE

2.

3.

4.

(V. RE IM B URSE J\1E NTS - tran•porfation, lodging, food, enf<rf11inmenL

/}ncfodt'.'i rlm.,·1• w v10U.H' a11d d1·1u•mlenl C"hildren: .fl!C' pp. 1.5-27 (ffiling in.,-1,·1u·1iomf.)

[ZJ NONE (No reportable reimbursements.)

I.

2.

3.

4.

5.

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SOURCE

DESCRIPTION

VALUE

2.

4.

FINANCIAL DISCLOSURE REPORT

Page 3 of9

Namr or Person Rtporting

Gottschall, Joan B.

llatt of Reporl

()(>11612010

V. G J FTS. (/nc/"d .f tho5e lo spaus anti Jep ndenl children,· se pp. 28-J I 'if filin instruction5.)

[ZJ NONE (No reportable gi(ls.)

DESCRIPTION

I.

3.

4.

5.

VI. LJ ABILITIES. (/ndud .1 thou..[ <pou..c and dep nderit childr<n; .1u pp . .11-JJ of filing in.<trudion.>.)

[ZJ NONE (No reportable liabilities.)

CREDITOR VALUE CODE

I.

2.

3.

5.

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B.

FINANCIAL DISCLOSURE REPORT

Page 4of9

Name or Person Rrporting

Gottschall, Joan B.

Oare or Rt porl

06/1612010

VI I. INVESTMENTS and TRUSTS -income, •·atue, 1ran>ac1ion" r1nc1ud"' those of.,pouu and dependcn1chi1drcn; "'PP· H-60 offilinK in11ruc1i"""·'

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

A. c. D.

Gross \·alue at end Transactio11s during reporting period

(including trust assets) reporting period of reporting period

Description of Assets Income during

(ll (2) (II (21 (II (2) (3) (4) (5) Place "(Xl" after each asset Amount Type (e.g.• Value Value Type (e.g. Date Value G;iin ldentily of

exempt from prior disclosure Code I div.. rent. Code 2 Method buy. sell. mm/dd/yy Code 2 Code I buyer!sc:ller

(A-HJ or int.) (J-P) Code 3 redemption) (J-PI (A-HI (1fpriva(e

(Q-W) transaction)

I_

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

16.

17.

Vanguard Welling1on Fund

Vanguard Wellesley Fund

Vanguard Index Trust

Vanguard Prime Portfolio

US Treasury Slrip (I 1-15-09)

Fed Empl Credit Union Acts

IBM cistock

Intel cislock

Waste Management c/stock

Vanguard Tax-Managed Growth & Income Fund

Hewlett-Packard c/stock

CVS Caremark cistock

MFS Mid-Cap Grow1h Fund B

MFS Value Fund B

Vanguard Capital Opportunity Fund

BlackRock Large Cap Value

BlackRock Value Opportunities

13 Dividend K T

B Dividend K T

A Dividend L T

A Dividend K T

None Matured

A Interest J T

A Dividend K T

A Dividend J T

A Dividend J T

A Dividend J T

A Dividend J T

A Dividend J T

None J T

A Dividend J T

A Dividend J T

A Dividend J T

A Dividend J T

11/15/09 J

1. Income Gain Code : A •$1.(lOOor '"'' B =$1.001-52.500 C =S2.501 - $5,000 fJ =$5.00 I - S 15,000 E •SI S,00 I - 550.000

(Sec Columns 01and 04} F •$50.001. SI00.000 G •SI00.001 - Sl,000.000 HI =S 1.000.001 - $5,000.000 H2 =More than $5.000,000

2. Value Codes J ·SI S,000 or less K •S 15,00 I -SS0.000 L •S50.00I • $100,000 M •SI 00,00 I • $250,000

(Sec Columns CI and DJ) N •S250,00 I • $500,000 0 •SS00.001 - Sl.000,000 Pl =$1,000,001 • $5,000.000 P2 •SS,000.001 - $25.000,000

rJ •S25.000.00I. S50.000,000 P4 =M0<c than $50.000,000

3. Value Mi:ttiod C:oJcs. 0 •Appnisal R =-Cost (Real fatale Only) S --Assessment T -.o(ash Marh1

<Sec Column C21 U •Book Value \'=Other W -'E!<i1ima1cd

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I

{2) (2)

Datt nf H.rporl Name of Prrsoo Rrportini: FINANCIAL DISCLOSURE REPORT

Page 5of9 Gottschall, Joan B.

V 11. I NV ES TM EN TS and TRUSTS - income, ..a1,,,, 1runsae1ions r1nc1ud<S thou ofspouu 4nd drpendrn1 chitdrm: '"pp. 34-60 <If filing in11ruc1ion. 1

NONE (No reportable income, assets, or transactions.) D A. 1:1. c. D.

Description of Ass<ts Income during Gross value at end Transactions during reporting pc1iud

(including trust asse1s) reporting period of reponing period

(I) (I) (2) (I) (3) (4) (51

Place "(X)" after e-och asse: Amount Type (e.g., Value Value Type (e.g., Date Value Gain !<lentil) of

exempt from prior disclosure Code I div., rent. Code 2 Method buy, sell, mm!dd!yy Code 2 Code I b11Jyer 1;c;ellcr

(A·H) or in1.) (J-P) Code 3 redemption) (J-PJ (A-HJ Cifpri,·ate

18.

19.

20.

21.

22.

23.

24.

25.

26.

27.

28.

29.

30.

31.

32.

33.

34.

I Shares Russell IOOO GrO\vth Index Fd.

I Shares Russell Midcap Index Fd.

I Shares Russell 2000 Growth Index Fd.

Vanguard lntem'I Eq. ldx. Emerg. Mkt. Etf.

I Shares Russell 2000 Index Fd.

I Shares Russell Midcap Growth Index

JP Morgan Growth Advantage Fd.

JP Morgan Intrepid Intern'! Fd.

JP Morgan Asia Equity Fd.

JP Morgan Tax Aware Short Intoned Inc. Fd.

JP Morgan Short Tenn Muni Bond Fd.

JP Morgan lntcnned. TK. Free Bond

JP Morgan Ta" Aware Real Rct. Fd.

Fiddity Adv. Hi Inc Advantage Fd

Harbor Fd. lnlt>m'I Fd. Inst[ Cl

JP Morgan US Large Cap Core Plus

JP Morgan US Equity Fd.

(Q-W)

A Dividend J T

A Dividend J T

A Dividend J T

A Dividend J T

,\ Div idend J T

A Dividend J T

None J T

A Dividend J T

A Dividend J T

A Dividend Closed

A Dividend J T Buy

D Interest M T

A Dividend K T Buy

A Dividend K T

A Div idend Sold

A Dividend K T

A Dividend J T

transaction,

06/29/09 J See Part VIII. n. 4

06129109 J See Part VIII. n. 4

05107109 J Bought more

04124109 K

I. fnc:mnc Gain Codes: A cSl.000 or less B =Sl,00 I - S2.500 C •S2,.5111 - SS.000 D •Sl.OOt - SllJlOO E •Sll.001 -Wl,000 (SccColutnn!i Bl and 04) f •rnl.001 - SI00.000 G •SIOO,OOl -Sl.000,000 HI •$ 1.000,00 I - $5,000,000 H2 •More than $5.000.000

2. Value Codrs J "'SI S,000 or less K •SIS.001-SSO,OOO L sso.001 - s10o.ooo M ··SI00.001 - S250.MO (See {"olumns CI and DJ) N '·S250.00J - SS00.000 0 •$500,00 I - S 1,000.000 Pl =$1.000,001-SS,OOO,OOO rz •SS.000,001 - SlS,000.000

Pl •S2S,OOQ.OOI · 550,000.000 P4 •M0<e than SS0,000,000

3. Value Method Cod(. Q •/\rpni,.I R CC'tsl ( R al Esta.le Only) S •Assessment T :("ash Marlci

(See Column (2) U B..x)k \'aluc V =Othcr W =Estimated

Page 6: Gottschall, Joan · 35. JP Morgan Intrepid America Fd. A Dividend J T 36. JP Morgan/Chase checking account A lnteresl J T Constant changes J7. .IP Morgan/Chas sa,·ings account A

(Q-IV)

FINANCIAL DISCLOSURE REPORT

Page 6of9

Name of Ptnon Reporting

Goltschall, Joan B.

Ualt of Report

06116/2010

VII. lNVESTl\1ENTS and TRUSTS -income. value, Ira mac/ions (/nc/ud.s those ofsp<•ll5' and dependentchi/Jren; see pp. U-60 of filing in<truction<)

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

A. lJ. c. D.

Ot-scription of Assets Income during Gross value at end Transaclions during reporting period

(including trust assets) reporting period of reporting period

(I) I (2) (l) Place "(X)'' af!er each asset Amount Type (e.g .. Value

exempl from rmor disclosure Code l div .• rent. Code 2 (A-H) or int.) {J-Pl

(2) (l) (2) (J) (4) 0) Value Type (e.g., Date Value Gain ldmtiiy of

Method buy. sell. mm/dd:'yy Code 2 Code l buyer/seller

Code 3 redemption) (l-1') (A-Hl (ifprivale

tro:ms.acrion)

35. JP Morgan Intrepid America Fd. A Dividend J T

36. JP Morgan/Chase checking account A lnteresl J T Constant changes

J7. .IP Morgan/Chas sa,·ings account A Interest !\1 T Constanl changes

38. JP Morgan1Chasc Money Markel Acct B Dividend 0 T See Pan VIll, n .2

39. JP Morgan Chase 100% CS Treasury MM See Pan VIII. n.2 Fd. (investment acct)

40. JP Morgan Chase 100% US Treasury MM See Part VIII, n.2 Fd. (retirement account)

41. JPMorgan Short Duration Bd. Fd. A Interest K T

42. Barclays Tips Bd .. A Dividend 1 T

143. JPMorgan lntcm'I Value fund A Dividend J T

44. JPMorgan llighbridge Stat Mkt Neut Fd A Dividend J T

45. Manning & Napier Fd Inc New Eq Ser A Dividend J T

46. Spdr Tr Unit Ser I A Dividend K T

47. Eaton Vance lnvt Tr Lg Car Value Fd A Dividend K T

48. Dodge & Cox Fds Intl Stk Fd A Dividend J T

49. I Shares MSCI Asian Ex Japan A Dividend J T See Part VI II, n. 3

50. US Treasury llill, May 14 maturity A Interest Buy 02/17/09 J

51. US Treasury Bill, May 14 maturity A Interest Matured 05/14/09 J

I. Income Gun Codes. A •Sl,000 or Im B •Sl.001- S2.IOO C'<S2..IOI -$5,000 D SlJlOI - SI 5.000 E =115,001 -$50.000

{SccColtJrrUI) 61and04) F •Sl0.00 I - SI 00.000 G -sroo.001. sr.000.000 HI •S 1.000.001 • S5.000.000 H2 •More than SS.000.IKIO 2 Value Codes J •S 15.(\()0 or less K =S 15.00 I - S50.000 L =$50,00I • $I 00.IJOO M =SI00.001-$250,0CIO

t Sec Columns Ct and DJ I N •Uso.001 - s.•oo.ooo 0 =$500.001 • $1.000.000 Pl =Sl.000.001 - $5.000,000 P2 =SS.000.001 - $25.000.000 ri ·S25.ooo.oor - s .000.000 P4 =More than $50,000.000

l Value MC"tllod C"Cl'k Q 'Appra1ul R <ma Real Esutc Only) S "'As ssmcnt T =Cash MarkC'l I Sec Column (2) ti "'8()(lk Value V =()ihcr W '"'Estimated

Page 7: Gottschall, Joan · 35. JP Morgan Intrepid America Fd. A Dividend J T 36. JP Morgan/Chase checking account A lnteresl J T Constant changes J7. .IP Morgan/Chas sa,·ings account A

/\

Ua It of Rt port Name of Penun Reporting FINANCIAL DISCLOSURE REPORT

Page 7of9 06116/2010Gottschall, Joan B.

v II. INVEST!\1ENTS and TRUSTS - inwme. value, tran>acrions (/nc/uJcsthoseofspouu and dependmt t•hi/drcn; SU pp. 34-60 of filing inmuaion. )

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

A. c. 0.

Description or Assets Jncmnc during Gross \·alue al end Transactions during reporting per-ind

(including trust assets) reponing penod of reponing period

(I) (11 (I) I (2} (I) (2) (3) (4) (5) Place "(X)" after each asset Amoun1 Type (cg .. Value Value Type (<.g. Date Value Gain Identity of

exempt from prior disclo!'ure Code I div.. rent. Code 2 Method buy, sell. mmidd/yy Code 2 Code I buyer!selkr (A-H) or int.) O·P} Code 3 redemp!lon) (J.P) (A-Hl (if private

(Q·W) transac1ion)

52. US Treasury Bill. Aug. 13 maturity Interest Buy 02117109 J

53. US Treasury Bill Aug. 13 maturity /\ Interest M3tured 08/13109 J

54. US Treasury llill Oct. 15 maturity /\ lntere t Buy 05/14109 J

55. US Treasury Bill Oct. 15 maturity /\ lntcre-st Matured 10115/09 J

1. lncomcG11nCCldcs. A .zo.\1,000 or less B =St.001. Sl.500 C •U,50 I - S5,000 D =S5.<llll. St5,000 E ·S tl.001 - SS0.000 (Sec Colurnns Bl .and 04) F •SS0.001 . S 100.[lllO G =SIOO.<Kll -Sl.000,000 HI =St,000.00t • S5,000.000 H2 · 1orc tlian 55.000.000

2. Value Code5 1 •$15.000 nr le>< K •SIS,001. $50,000 L =SS0,001 - S t00,000 M ·SI00,001. S250.000 (SccCoturruuCI andDJJ N =S250.00I • SS00,000 o •S500.0<ll • S 1.000.000 Pl =$1,000,001 • SS,000,000 Pl =$5.000.00t • $25,(1()0.000

Pl =SZS.000,001 - SS0.000.!JOO P4 -t.forc than $50,0<lll.OOO 3. V.aluc Method Codes Q •AppraiS>I R =('o I (Re.al Est tc Only) S •AS!".CSSIT\COl T =Cash Market

(Sc-cColumn Cl U "'Book Value \' =Other W .._falimatcd

Page 8: Gottschall, Joan · 35. JP Morgan Intrepid America Fd. A Dividend J T 36. JP Morgan/Chase checking account A lnteresl J T Constant changes J7. .IP Morgan/Chas sa,·ings account A

a'""J which was

Ual• of l«porr Name of Person Reporling FINANCIAL DISCLOSURE REPORT

Gottschall, Joan B. 06/1612010Page 8 of9

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (/ndicauparto/R pori)

NOTE 1 ( Section Il l ) I am a shareholder in business as was described fully in my 1991 Financial Disclosure Report and in the October 23. 1991. Opinion of the Commiuee on

Codes of Conduct. attached to that Report and is attached hereto . I realized no income from t his business during the reporting period.

NOTE 2 ( Section Vil, 11. 38-40) The entries on lines 38-40 arc money market cash equivalent sweep accounts, meaning that interest. dividends and receipls from <e>set sales are swept into these

accounts. amounts for purchases are taken from these accounts and cash (or its money market equivalent) is held in these accounts. "Transactions'" in these accounts take place daily as money is swept in and swept out. I have combined these three sweep accounts into one (line 38) since my broker frequently changes the types of shon tcm1 money market fund it uses for sweep accounts, and keeping track of these changes is virtually impossible. By combining these entries I can ,report more accurately the total assets held in these accounts. The assets reported represent the combined total of these accounts in my retirement and non-retirement accounts.

NO l"E 3 (Section Vil, I. 48) This asset was purchased in October 24, 2008 and accidentally omitted from my 2009 Report. Its proper valuation code for the transaction in 2008 \\as J.

NOTE 4 (Section Vil, II. 27-28) The fund listed on line 27 was closed. JP Morgan automatically transferred the contents of that fund into the fund fi,ted on line 28, which it viewed as comparable. JP Morgan has infom1ed me thal 1his wa a non-laxable event, and was handled by JP Morgan in a way thal no profit or loss was realized.

Page 9: Gottschall, Joan · 35. JP Morgan Intrepid America Fd. A Dividend J T 36. JP Morgan/Chase checking account A lnteresl J T Constant changes J7. .IP Morgan/Chas sa,·ings account A

Oalt oCRtporr Namr of rcnon R"por-tin FINANCIAL DISCLOSURE REPORT

Page 9of9 06! 16120 I 0Gottschall, Joan B.

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if a ny) 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 statutor)' pro\'isions permitting nan-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 pro\·isions of 5 U.S.C. app. § 501 et. seq .. 5 U.S.C. § 7353, and Judicial Conference regulations.

Signa

NOTE: ANY INDIVIDUAL WllO KNOWINGLY ANO WILFl.ILLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUB.JECI" 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 2-30 I One Columbus Circle, N.E. Washington, D.C. 20544

Page 10: Gottschall, Joan · 35. JP Morgan Intrepid America Fd. A Dividend J T 36. JP Morgan/Chase checking account A lnteresl J T Constant changes J7. .IP Morgan/Chas sa,·ings account A

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JUDICIAL CONl'"U'tl.'.NCC 01'" THI!: UNIT!:O 5TATl!:5

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T o le Jc n B. Got s h l United States District Court 219 South Dearborn Street Chi c ago , Illinois 60604

Re: Docket No. 828

Dear Judge Gottschall:

In 1986, 1987, and 1988 you, along with edited and a manus ript on a no -legal subject written

.

· . The manuscn.pt was published as a book by 1

. .. The book is selling well to income for' Jt:S ublisher, author, and editors. ·

who reside in Canada have proposed formation of a partnersh1p Canadian laws whose assets will be all the to the book. The partners will be

you. After the partnership is formed, it will, turn, be dissolved and the assets transferred t o a Canadian corporation whose shareholders will be the partners o f the dissolved partnership. After the partnership is formed ,

your sole role will be to serve as a shareholder. As a sharehold­.er, you wil l share in proceeds arising from the sales of the book and h? use ?f th rights to the oak. You ask w ethe you may pdrtic1pate n is r= gc:2 1tho t tr n gressin either the C ode of Conduct for United States Judges or the Ethics Reform Act of 1989.

The receipt of income from writing or editing a book is permitted under the Code of Conduct. Canon SA says, "A judge may write on non-legal, subjects." The Committee believes that e diting and proofreading are activities covered by the word 11writing.11 And the Committee has approved, at least implicitly, the receipt of income from writing. Advisory Opinion No. 55.

There are restrictions on the manner in which a judge•s name may bA used in the promotion of a book, but, we assume, these restrictions are not likely to be involved in your case since you are not the author and your name is unlikely to be used in connection with selling of the book. Nor is there anything about the nature of the

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The Honorable Joan 8. Gottschall October 23, 1991 Page Two

book, " Food and the Gut Reaction", that suggests your association with the book would "detract from the dignity of the j udge 1 s office." Canon SA.

Under Canon 5C(2) a judge may serve as a "director active . . of any . . . business wholly owned by

all of whom are related to the judg . within . . according to the civil law syst:em.11

are within the third degr.ee, and· you be their 'partner in a . .. . .. business or a shareholder in t:he . corpora ion. The language cf th2 ::a:ion pernits, 9. fortiori,· participation as an inactive partner and a non­of ficer shareholder in a . enterprise . Your participation in the enterprise would not violate your duty under Canon 5c. J to " manage . financial interests to minimi ze the number of cases in which the judge is disqualified"; this is so because could not, in any event, hear cases in which . have an intere st . Canon JCl(d).

Finally, the Ethics Reform Act does not generally prohibit either serving as a r rtner or a shareholder. There are specific limitations to such activity, but these are not, save one, remotely app licab l e here. Regulations of the Judicial Conference of the United S tates Under Title VI of the Ethic Reform Act of 1989 ("Title VI Regulations"). The Title VI Regulations do bar any service '' for compensation as an of ficer or member of he boa d of any . . corporation or other en tity. 11

§ S(a) (4). In your case, you will not serve as an officer or board member and the prohibition of § 5(a) (4) does not apply to your proposed activity.

also should be aware that the Ethics Reform Act of outside income earned in any one year. The

:ict. z.p?l icabl c i!'l your c i.r:::t:m:;tances. Title VI

3(b) (2) prov ides that "funds received for services 199111before Janua ry 1, are not outside earned

income.

The Committee advises that the course of action proposed by you is consistent with the Codes of Conduct and the Title VI Regulation s of the Judic i a l Conference .

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