FLORIDA COMMISSION ON ETHICS DEC 0 4 2017 BEFORE THE RECEIVED STATE OF FLORIDA eens COMMISSION ON ETHICS CONFIDENTIAL Inre: Jim Barfield, Respondent. Complaint No. 17-004 J ADVOCATE'S RECOMMENDATION ‘The undersigned Advocate, after reviewing the Complaint and Report of Investigation filed in this matter, submits this Recommendation in accordance with Rule 34-5,006(3), F.A.C. RESPONDENT/COMPLAINANT Respondent, Jim Barfield, serves as a member of the Brevard County Commission. Complainant is Matt Nye of Melbourne, Florida, JURISDICTION ‘The Executive Director of the Commission on Ethics determined that the Complaint was legally sufficient and ordered a preliminary investigation for a probable cause determination as to whether Respondent violated Article Il, Section 8, Florida Constitution, and Section 112.3144, Florida Statutes. The Commission on Ethics has jurisdiction over this matter pursuant to Section 112.322, Florida Statutes. ‘The Report of Investigation was released on November 22, 2017.ALLEGATION ONE Respondent is alleged to have violated Article II, Section 8, Florida Constitution, and Section 112.3144, Florida Statutes, by filing an inaccurate 2014 CE Form 6, “Full and Public Disclosure of Financial Interests.” APPLICABLE LAW Article II, Section 8 Florida Constitution provides: (@)_Allelected constitutional officers and candidates for such offices and, as may be determined by law, other public officers, candidates, and employees shall file full and public disclosure of their financial interests. . * . (i) Schedule-On the effective date of this amendment and until changed by law: (1) Full and public disclosure of financial interests shall mean filing with the secretary of state by July 1 of cach year a swom statement showing net worth and identifying each asset and liability in excess of $1,000 and its value together with one of the following: a. A copy of the person’s most recent federal income tax return; or b. A swom statement which identifies each separate source and amount of income which exceeds $1,000. The forms for such source disclosure and the rules under which they are to be filed shall be prescribed by the independent commission established in subsection (f), and such rules shall include disclosure of secondary sources of income. . * . Section 112.3144, Florida Statutes, provides as follows (1) An officer who is required by s. 8, Art. Il of the State Constitution to file a full and public disclosure of his or her financial interests for any calendar or fiscal year shall file that disclosure with the Florida Commission on Ethics. . * *ANALYSIS In November 2014, Respondent was elected to the Brevard County Commission. (ROI 3) Complainant alleges that Respondent failed to properly disclose income and/or assets on his 2014 CE Form 6, “Full and Public Disclosure of Financial Interests,” filed on June 22, 2015. (ROI 1, Complaint 4-6) On August 1, 2017, subsequent to the filing of the ethics complaint, Respondent filed a CE Form 6X, “Amendment to Full and Public Disclosure of Financial Interests,” for 2014, (ROL 3, 5, Exhibit B) A review of Respondent's original form reflects that he failed to disclose his county commission income. (ROI 5, Complaint 5) On his amended form, Respondent disclosed $4,627.97 as his county commission income. (ROI 5, Exhibit B-6) In addition, Respondent's original form reflects an asset identified only as “Money Market Account” with a value of $1,400,000. (RO! 7, Complaint 6) The 2014 CE Form 6 instructions state, “How to Identify or Describe the Asset: Intangible Property: Identify the type of property and the business entity or person to which or to whom it relates. Do not list simply ‘stocks and bond’ or ‘bank accounts.”” (Emphasis in original,), (ROI 6, Exhibit C) On his amended form, Respondent listed an asset as “BB&T Investor's Deposit Account” with a value of $1,071,717.03. (ROI 8, B-3) Respondent advised that the BB&T account is the only money market account he had as of December 31,2014 which indicates that this is the account that Respondent intended to identify on his original form. (ROI 8) He further advised that this account essentially served as cash and that he was told by BB&T that this account cannot be broken down into individual investments. (ROI 8) Respondent overstated the value of this account by $328,282.97 on his original form. (ROI 9)Also, Respondent's original form reflects an asset identified as “Value of retirement account ~ 401K Plan” with a value of $160,000. (ROI 10, Complaint 6) On his amended form, Respondent listed assets as “Individual Retirement Account Edward D Jones Custodian Prudential Premier Retirement” valued at $93,260.09 and “Edward Jones Joint Tenants with Right of Survivorship” valued at $25,234.03. (ROI 11, B-3) Respondent advised that these constitute all of his retirement accounts as of December 31, 2014, (ROI 11) Respondent advised that the Individual Retirement Account is an annuity which cannot be broken down into individual accounts. (ROI 11) Respondent overstated the value of his retirement account(s) by $41,505.87 on his original form. (ROI 12) ‘There are items that should have been properly identified and/or disclosed which affected the accuracy of Respondent's original disclosure form. Therefore, based on the evidence before the Commission, I recommend that the ‘Commission find probable cause to believe that Respondent violated Article Il, Section 8, Florida Constitution, and Section 112.3144, Florida Statutes. ALLEGATION TWO Respondent is alleged to have violated Article Il, Section 8, Florida Constitution, and Section 112.3144, Florida Statutes, by filing an inaccurate 2015 CE Form 6, “Full and Public Disclosure of Financial Interests.” APPLICABLE LAW Article Il, Section 8, Florida Constitution, and Section 112.3144, Florida Statutes, as set forth under Allegation One, above.ANALYSIS Complainant alleges that Respondent failed to properly disclose asset(s) on his 2015 CE Form 6, “Full and Public Disclosure of Financial Interests,” filed on July 1, 2016. (ROI 1, Complaint 8-10) On August 1, 2017, subsequent to the filing of the ethics complaint, Respondent filed a CE Form 6X, “Amendment to Full and Public Disclosure of Financial Interests,” for 2015. (ROL3, 15, Exhibit D) Respondent's original form reflects an asset identified only as “Money Market Account” with a value of $1,300,000. (ROI 14, Complaint 10) The 2015 CE Form 6 instructions state, “How to Identify or Describe the Asset: Intangible Property: Identify the type of property and the business entity or person to which or to whom itrelates. Do not list simply ‘stocks and bond? or ‘bank accounts.’”” (Emphasis in original.), (ROI 13, Complaint 13) Respondent advised that the BB&T account is the only market account he had as of December 31, 2015 which indicates that this is the account that Respondent intended to identify ‘on his original form. (ROI 15) On his amended form, Respondent listed an asset as “BB&T Investor's Deposit Account” with a value of $663,638.62. (ROI 15, D-3) Respondent overstated the value of the account by $636,361.38 on his original form. (ROI 15) This item should have been properly identified and/or disclosed which affected the accuracy of Respondent's original disclosure form. Therefore, based on the evidence before the Commission, 1 recommend that the ‘Commission find probable cause to believe that Respondent violated Article Il, Section 8, Florida Constitution, and Section 112.3144, Florida Statutes.RECOMMENDATION It is my recommendation that: It is my recommendation that: 1, There is probable cause to believe that Respondent violated Article II, Section 8, Florida Constitution, and Section 112.3144, Florida Statutes, by filing an inaccurate 2014 CE Form 6, “Full and Public Disclosure of Financial Interests.” 2. There is probable cause to believe that Respondent violated Article Il, Section 8, Florida Constitution, and Section 112.3144, Florida Statutes, by filing an inaccurate 2015 CE. Form 6, “Full and Public Disclosure of Financial Interests.” Respectfully submitted this__ 44%" _ day of December, 2017 Advocate for the Florida Commission on Ethics Florida Bar No. 0636045 Office of the Attorney General ‘The Capitol, PL-01 Tallahassee, Florida 32399-1050 (850) 414-3300, Ext. 3704