AO ]O Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

I. Cour~ ~r O~a~z~Uom U.S. Dist6ct Court, Arizona
Sa. Report Type (check appropriate ~pe) ] Nomination, [] Initial Date [] Annual [] Final

Report Required by the Ethi~ in Government Act ofl978 (5 U.S.C. app. ff~ 101-111)

I. Person Reporting 0a~t same, tint, middle initial) Wake, Neil V.

4. Title (Article HI judge) indicate active or sen~or status; mzgislnte judgc~ indicate full- or i~~-tirac)

3. Date of Report 09/10/201 Reporang Period 01101/2010 to 12/31/2010

U.S. District Judge

15b. [] AmendcdR~port

7. C~ambcrs nr Office Address 401 W. Washington SL, S1~2 52 Phoenix, AZ 85003

8. On the basJ,~ of the information coatain~ la this Repo~ and any m~i~aao~ pe~ainiag the~t~ It ~ I~ my o~nlon, In compliance wit~ tpplicable laws and

Rc~ewin$ Officer

Date

IMPORTANT NOTES: lTte tmtructiona accompanying this form must be followed. Complete all para,
checking the NONE box for each part where you ha~e no reportable information. Sign on last pag~

blAME OF ORGANIZATION/ENTITY
1. 2. 3. 4. 5. Trustee

Law Offices of Nell Vincent Wake Money Purchase Plan (I am sole ben~ficixo,)

NONE reportable agreements.) (No

DATE PARTIES AND TERMS

Wake, Neil V.

FINANCIAL DISCLOSURE REPORT Page 2 of 10

Name o[ Person Reporting Wake, Nell V.

Date of Report 09/10/2011

III. NON-INVESTMENT INCOME. tS~.,i.: ~.~.~.~ *nd ,poa,.; ,,e p~ t Z.u of :t~nt
A. Fliers Non-Investment Income ~-~ NONE(No reportable non-investment income.) . DATE SOURCE AND TYPE
(yours, not spouses)

2. 3. 4.

B. Spouses Non-Investment Income -/f~o, w, ~,om, d during anyportton of the reportlng)~ar, complete thl~ sectla~
(Dollar amount not required x~cepl for honoraria.)

NONE (No reportable non-investment income.)

SOLl!tcE AND TYPE

1.2010 2. 3. 4.

Self-employed attorney and m~diator

IV. REIMBURSEMENTS (Includ~ those to spouse and dependent children: see pp. 25-27 of fding instructions.)

NONE (No reportable reimbursements.)

SOURCE ~ LOCATION PURPOSE ITEMS pAID OR PROVJDED

2. 3.
4.

5,

FLNANCIAL DISCLOSURE REPORT Page 3 of 10

Name f P~rson Reporting Wake~ Nell V.

Date or Report 09/10/2011

NONE (No reportable gifts.) DESCRIPTION

VI. LIABILITIES. tt~,t~d,, ~o,, oZ ,po~,e ,nd a,p,~d~t ,~i~d,~,; ,,, e~ J:-" o/l"d~,s
NONE (?go reportable liabilities.) ~REDITOR 1. DESCRIPTION

VALUE CODE

3. 4.

FINANCIAL DISCLOSURE REPORT Page 4 of 10

VII. INVESTMENTS

Name of Person Reporting Wake, Nell V.

Date of Report 09/10/201 ]

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

A. Descriptio~ of Assert (including trot assets) Pla~e "(~)" after eat21 asset exemptf~mpriordis~losure B. Income during t"epo~ing period O) Amine ~I (A-H) (2) T~e (e.g., div.,renk or int.) C. Gra~t value at end of reporting p~od (2) (I) Value Value Code2 Melhod (J-p) Code 3 (Q-W)
J T

D. Trar~action~ d~ring reporting Ixtied (I) Type (e.g., b~y. sell, redemption) (2) Date rnm/d~Jy7 O) (4) Value Gain Code2 Code | (J-P) (A-H) (5) Identity of buTeds~ller (if private attraction)

Wells Fargo account~

A !

Interest

Apache Peak Inv., LLC

None

Whetstone Dev. Co. (common stock) {X)

None

U LiU

Interstate Ventures V Ltd. Ptshp BROKERAGE ACCT # 1

--Morgan Stanley Active Assets Mort Tr (Liquid Asset Fund) IRA# I -MS Charter Campbdl LP --MS CharterMSFCM LP --MS Charter Grahan LP

Distribution

Dividend

None None None Dividend

I
ll. 13. t 14. i IS. 16. 17.

IRA #3 -Morgan StanleyLiquid Asset Fund (MM) [ A

--MS Charter Aspect LP

Dividend None None None

-MS Charier Graham

--MS Charter WCM LP UTMAAeet# 3

--Liquid Asset Fund (MM)

]nterest

t. ltmo~ Gain Codes: (See Columns B I a~l D4) 2. Value Cod~

B =$1.001 - $2200 K =$IS,00L - $50,000 O =$~0.001 - $1 R ,-Cos~ (R~I Est~t~ Only)

D =$$,001 - $15.000 H2 -More than $5,,000,O00 M =1100.001 - $250.0OO F2 -$:$.000,00! . $25,tXX).0CO T -C~h M~-ket

(~ Column ~)

FINANCIAL DISCLOSURE REPORT Page 5 of I0

Name of Person Reporting Wake, Neff V.

Date of Report 09110/2011

[]

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

A. Description of Assets (including trust assc~s) Place "{X)" at~r each asset exempl ~rom prior dbclosur~ B. Income during reporting period 0) Amount Code 1 (A-H) C. Gross value at end of reposing period Transactions during r~poning period

(2) Valu~ TyI~ (e.g., div.. mn~, Co~ 2 or int.) (J-p)

0)
Value Me~hod Code 3 Type (e,&. r~demption)

(2) O) (4) Grin Da~ Value mm/dd/yy Code 2 ~ I (J-P) (A-H)

(5) IdenfiW of buys/seller (ifw~va~ transaction)

19. 20. 21. 22. 23. 24. 25. 26.

-SEI Tax-Free Fund (/riCO -SEI Intermediate-Term Municipal Fund (Mut Fd) --SEI Short Duration Munical Fd -STET Tax-Advantaged Income Fd # 19 --SEITax Managed Volatity Fd --SEI P,~al Esat~ Fd [ [ B B

I i

None :, Dividend ! i Dividend ! Dividend Dividend Dividend None None

K K K L

T T T T

Sold (pea) Sold (part) Sold

10/19110 110/19/10 10/19/10 10/19110

K J K J K

tart)
Sold

. A A A

,
K K f! N M T T T T ]

(pa~)
(part)Sld

(part) Itl 10/19/10

[

Sold

10/19/10

ING USA.Annuity & Life Ins Co (annuity) Amer. Inv. Life Ins. (AVIVA) Co. (annuity)

29. 30. 31. 32. 33. 34.

--Cisco Systems Inc (common) --SEI Short Duration Municipal Fd -STETTax-Advantaged Income Fd # 19 --SEI Tax Managed Volatity d --SEI RealEsate Fd --SEI Tax-Free Fd B A

None Dividend Dividend

J L J

T T T Sold 10/19/10 10/19/10 J

I A r ] Dividend ,. A ~ Dividend Distribution T T T

I
,

Sold Cpart) (part)

IIO/19/1O Sld

Sold (part) !

FINANCIAL DISCLOSURE REPORT Page 6 of 10

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

Description otAsset~ (including ~ust asses) Pl~ce "(X)" after ~ch asset exempt from prior disclosure Income dufinl~ r~oni~g period (i) (2) Amount Type (.g., (A-ID or int) Grosl value at end oft~portinff I~riod (i) (2) CM 2 (J-P) Method C~e 3
Tran~c~ons during rcl~ning period

(l) Type (e.g., buy, ~ell, r~lemption)

(2) (3) Date Value Gain mnddd/y~ Code 2 Code I (J-P) (A-H)

Identity of tmyer/~lter (if~ ~ion)

)35.

American Realty Capital (common stock)

None

Buy Buy

10/20/10 ~ L

~J

I
36. 37. 39. 40. 41.

Healtheare Tnmt of America (common stock) BROKERAGE ACCT # 5 -SEI High Yield Bond Fund (Mut Fd) -SEI Prime Obligation Fund (Money Market) -SEI Primo Obligation Fund (Money Market)
--SllvlT Enhanced Income (Fd) --SEI Managed Volatity Fd A A Dividend Dividend None

IO~2O~O

Sold Sold Sold Sold Sold Sold

07/22/10 (

07/22! I 0 M 07/22/10 JL 07/22/10

A I Dividend
A I Dividend

43. 44. 45. 46. 47.

--SEI Real Estate Fd --SIMT Global Managed Volatility Fd Jac~on Nat. Life Ins. (70. (annuity) Final County, AZ, land Mohave County, AZ, land Roth IRA # 4 None A Dividend

Sold Buy (addl)

49. 50. 51.

--Morgan Stanley Liquid Asset Fund (Mut Manulif Financial Life Ins Nationwide Life Ins. Co-adjustable life ins i

Dividend. J

iT

Sold Sold 08113/10 Kii 08/24/10 K (i ,

None . K

Buy

FINANCIAL DISCLOSURE REPORT Page 7 of I 0

Date of Report 09/10/201 I

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

Description of Assets (imludin$ trust assets) Place "(X)" ~fl.er each at~et ~empt front prior disclosur~ Income during r~:,orting l~riod (t) Amotmt Code I (A-I-~ (2) T~ (e.8., dlv. rent, or inL) Gro~ vah~e at end of reporting txriod Value C~e 2 (J-P) Value M~ C~e 3 (i) Type (e.g., buy, sell, redemption)
Transactions during r~pcrtlng ~ (2) (3) Date Value mm/dd/yy Code 2 (J-P) (4) Gain Code I (A-I-0 (~) Identity of buyerlsll~" (if print* ~nsactlo~)

52.

Section 529 Account --Ivy Capital Appree. E (422) IRA# 5-Allianz Life Ins Co of North Am (annuity) -Avive Life and Annuity Co (annuity) Trust # 5 (beneficiaries) --SEI PrimeObligadon Fund IRA # 6 --Morgan Stanely Liquid Assets Fund --BlackrockGlobal Allocation C BROKERAGE ACCT # 6 --Van Kampen Grw & Inc A --Ivy Large Cap Grw A Fd Dividend Dividend Dividend None J A iT Buy 04/30/10 InL/Div. L None Sold 10/28/10 N 10/29/10 i N

53. 54. 55. 56. 57. 58. 59. 60. 161. 62.

Buy

i
T

!65. i66. 67.

--Amer Balanced Fd Callon Petroleum Co (common) BROKERAGE ACCT ~ 8

-.Morgan Stanley Bank

Interest

B -$1.001 - $2,.500

O -$~00.001 . $~ ,000,000 K -St:L001 - ~0,000 O-$500.001 - $1

R ~COsI (Real Ettam O~Jy)

O -$5.001 - $15.000 H2 -Mo.~ ~an $5.000.000 M -$100.001 - $250.000 P2 -$5.00~.001 - S2~,~O,O00 T =C~b Madc~

FINANCIAL DISCLOSURE REPORT Page 8 of 10

Name of Person Reportin~ Wake, l~eil V.

D~te of Report 09/10/201 |

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

A. D~scripticn c f As.s~ts (incl.,cling trust assets) PI~c "(~" tfl~ ~h ~,t exempt from prior disclo.~a~ B. Income during ~porting period (l) Amount Code I (A-IF/ ~2)
T)~ { l ~.

C. Grcss value at end of regorfin8 p~riod (I) Value Code 2 (,I-P] (2) Value Mehod Code 3 (Q-W) (I) Type (e.g., b~y, sell, redempth~n)

D. Transa~tiom during ~pcrting (3) Valt~ mm/dd/y~ Code 2 (J-P) (2) Date (4) Gain Cod~ I (A-H)

div., rent, or in~-)

ldenti~/of buy~/~lkr 0f pdvat~ trans~:tion)

69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79.

BROKEP,.AGE ACCT # 9 --MS Bank D~p Prgm (new bank account) --MF$ Total Return A -Blackrock Equity Dividend A --Columbia Select LG CP Growth A IRA # 7 --MS Liquid Asset Fd -Am Growth Fd ofAmer F --Gab~lli EQ Inc AAA -MS Strategist Fund A --American GR FD of America F B [ Dividend B !Dividend K L K A

r
i i Dividend i

Dividend
None

c I Dividend

il.
T T T

Dividend [

FINANCIAL DISCLOSURE REPORT Pag~ 9 of l0

iName o! Per+o. Reportln~

Wake, Neil V.

Date of Report 09110/201 ]

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 10 of 10 IX. CERTIFICATION.

Name of Person Reporting Wake, Neil V.

Date of Report 09!10/201 t

! certify that all information given above (including information pertaining to my spouse and minor or dep.endent children, if any) Is accurate, ~ue, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permi~ng non-disclosure. ! further certify that earned 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. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature: $/Neil V. Wake

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544