--Cogan, --. lintfr fofrs isfrid Iout CHAMBERS OF . iufrn istril of tu !ork . BRIAN M. COGAN . 225...

--

Cogan,

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;llintfr fofrs isfrid

June 23, 2010 0 ,.......,

= en l) ;os , - L_ mo::- =

..._CJ) 'Honorable Bobby R. Baldock, Chair 0r-- .. N

::a . rnJudicial Conference of the United States ni . co -

Co).

... ;pon

__________________

POSITION NAME OF ORGANIZATION/ENTITY

--------- -------

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PARTIES

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SOURCE D"PE INCOME

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SOURCE AND

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DATES LOCATION PURPOSE PAID QR PR0\1DED

Datt" of Rtporr Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2of18 05115/2010Cogan, Brian 1\1.

III, N 0 N-lNVESTMENT JN COJ\1E, (Repvrting individoal and spouse; sec pp. I 7-U of fihng in

SOURCE DESCRIPTION

---------

-----------------------

CREDITOR

4

DESCRIPTION

----- ---- ------ ------

VALUE CODE

[{] NONE (.\'o rcpurruhle gr/is.)

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1>1-tf(' or fh·pun FINAi.\CIAL DISCLOSURE REPORT

Cogan. Brian M. Page 3 of 18

V. G f FTS. Ont luJt'\ 1/wv ro 'P""'" mu/ J,·renJnu

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Page 4of18 05!151WIOCogan, llrl3n M.

V 11. I NV ESTiVI E NTS and TRUSTS - inn•me . .-u1ue. """'"";,,., 11n.inJe.1 '""" .. J '''""" un.i m Ii) t:!) 11> ( > ( ) \'ctlu-.: \'.ilU lb!.; \'.iluc CiJ111I I)\; (I.: g., ;\mnuntPb1.·i: "('.Xl" :ift.:f .;:Kh a" ..:t Tir-: '' g. "''"·11!11 ,.r

(,,J,.: I div. r.:nl. CoJ..: t'U)' ...... 11. !lllll Jd )'Y Cnd..: 2 iJcnd h1ui1y Fund .\ Divitk·nd Buy

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Page 5 of 18 Cogan.. Brian :\I.

\l 11. IN\/ESTI\ lENTS and TRUSTS - i11n111tt', •·fllur. ITU'1'Wrtiutr'.) (lnd11J« .. 1lim1t rif •Jrllll),. lJnd "'P t1J.-r11 d1i!Jn•n: lj't' rP· ' J-f/O 11//ilinx i11•IT11tli11rH.)·

NONE 1.Vo ,-,portah!e inc'um.:. l/S.1t•/s, 1Jr 11w1s,1e1in11s.1

fl c ll 01.: ..:np!:1)n .lt .\.....;..:1" 111..:lli \.' during (irl1'" va!u..: al

{111..:lud1n lru:-.t ..:b) r..:porti.1 Jh.'ri1."J 11f r1.·r11rtin r,..,;rilllJ ii) II I ' ) I ) L'l l I I I

l'la-.:..: "t \ }" .tf!..:r 1.'Jch .t:-isd .-\m,1un1 l")pC(..: . \"du..: V.1\tr...: r)p...: il· g. Dai.: \':ih1..: (1:1•11 llk·111il'j \lf 1.·., mr1 fr1Hn prior J1:;.d,> ..un: l lHJi: I ,(1\·. r ( ·" ..!.: .\kth1ld h11 ' ...... ;;, IH!ll dd '.-Y l •'lk l .,J,· I t-H1 ·r )

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FINANCIAL DISCLOSURE REPORT

Page 6 of 18

'\Jmt or Pt-rson ffrporting Ui.1rt or Report

Cogan, Brian M.

\'I I. I NVESTJ\ 1 E NTS and TR u STS - jnnmrt', i·ulul', ITiUf\lll'liom (/n. lwJ.-, tlrou• uf'f'IJIHe unJ tfep nJ.·nt ,bi!Jrtn; '"" J'P· J/.6/J ,,,Jifi,,g imtru, timn,)

D NONE (No reportahle i11co111e. assets. or tr1111.1·m·1io11>.) B. ll.

o..:,cript:on \1 f :\!- \.·rs 1:1...- 1.nl.' durin,!! (;··th'i \,1(U\.':lt\'!hl (mtl1lllin lru')I :l-,-;..:!!-l r"·p.Hl1ng pl.'rni..I .if r.,;p1,r.mg r\.·r1nJ

t I J tl) ii) tll t'.'!) t11 (4• 151

J5. -I\ lli"1i ct FU I Oppurtuni1y Fu11d 0j(1n K T

40. - Bl.Kkruck New York l\.luni fund Cl;\ A lnfl:n:::.I

141 - Culumhia fDS SlR l'R Small Cap Value II ro ,'\ D"iJ

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Page 7of18 05• 15•20 Io Cogan, L!ri•n 1\1.

VII. I NV ESTl\IENl'S and l"'R u STS - im 1une, 11.l/ut•, trumlH 1iom (/nduJe, '''"'"of \jWIOt' IJtrd Jt'pf'nJrnt I liildrt'n,· \t'•' l'P· .l I-fin oj fili11x ;,htr111 tiun".)

NONE (Xo reportable i11comc. assets. or 1ru11suctio11s ) D A. II l. n

O..:-."·r!pt1 1n Llf ;\.;..;.;ts 1111..rnni.: Jur1:1g (;flh" \Jiu.; JI ,,:nJ J r:111 .. h: t iu.u Lhu ing 1q'L•11111g p..:r oJ

{1n..lt1lltlll! tru ! a.........:t\l rqh1n10g p...:rltH.1 or 1.:p,1rti11g p..:n11tl

•I) I ) Cl) 1!) ti) , , ) \l) {J) 15) rh.:.: "IX)" ;ilf.:r ..:ad1 ,1o;; ..1,:t ·\muunl f}pi..·h· !!: • \ .1!u.: \',llu.; l'>pck g. lki< 'i. in IJ .. ·n111)'· or

..,·::\11 (ICll '\1/1!)_111111 (, 'IOTl_(illl ')l.ftl)l)J)011 Ill ·\/!loo Ul/I - \i}n:IJ 1)tlCJ 11! \11irC" rh.111 ;; :-00.: 10

\".du ( 1•J.:--. J ':-- .l'ttl) 1"' k ...... ti. \I_( hq] . \I

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'.-ayckn lnvl Group High lncumc Fd T lluy 12:nv1 KI\ Di,iJend K

· Perk ins 1!d Cap Value T Jluy 12'24 ll'I Kf\'l1ne K

- Koy"·c Fund\. ;due Plus Fund S('rviccs Sold 12/2.i .. otJ?\'.one

7J. · RyJex Sl;f liJ Cap Value Fund

74. · l'homlnug 11111 Vah1e Fund CL I\

75 · ·1hurnburg11' VT TK Cor.: liru,.ih Fund

76. · Wdls brgo /\dvt lntem1dt tax.'aml-frce umJ

i 77.

n -Wasah.:h AU\oi ur..., Funds Inc Smalt CJp

A

A

NPnc

Dividend K

lluy I :!: -i (}IJ

None Sold 1212-t"U9 K

Oivi,knd L lluy

Huy tadd'I)

Buy

3'24.1)9

12. 24

X_l -:\ lli.11K lkrn.... 1t:in /ml V .!11..: Fund CL A l\nne Suld .1i2(Hl9

r -l -·\stvn Fund:. .i\lun!Jg & CalJ\\.dl ( irowth

L11::drt>ck ;\ " York Mum h111d CL:\ H

t\\lll

J1trl:lt:SC

K

L T

lluy K

I hl»r11t' (,Jin ( "'k 1'\1 ) 112 \l,•r th.m ';,.'-.JHlll.OU(l \! )IOll.IMll · S ll.tlf ) p ,,_l\l)!l.:�111 - ".- 5.111111 tltlt}

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Oart of Ht>port 'lam or rcr-..on Rt>porrlng FINANCIAL DISCLOSURE REPORT Page 9of 18 CoJ.:an. Hrhln l\1. 05.'IS 010

\! 11. I NV ES'l'I\'1 ENTS and l'R u S'fS - in .. :nm,, 1•alru, lrtJllUlt•tiun)· (/nduJn (/Wli, of\pOI# unJ Jt

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DJ\iJcnJ K

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T nuy

Sold

Sold

Sol.I

S1>ld

Sold

So!d

Snld

l'lo

l:?i.:!4,'01)

12' 4-M

12124,0'l

12i! 09

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12.·2 ,1{)')

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\ SI 0•111 .·r I,· " fl 'I 1'!11 'i ;:I'() I \ . 'tll - ') .111111 D S .'1411 - Sl _1i1>11 \'OJ it) I ') 1 I I 111111 1.1 \l1t0 ,1J4)1 . \I . .Jtlll.Ptll,) Ill ·)J OfJOJiill - \5.oOO.ltl.'U 11? "\l,•ri� 1lu11 ) ;; t Ji1.::t111

_' \.1lu.:t .. ,1.-.. J '11 .llHO ,.f 1,:-. \l ( J! ) 11.111;11 l. . ;;.:;n 001 - .;,rno ooo I .:\I00.1Xll - \::' !li1110 1'h'.11()1 .;1)(1.(11)() t) . ')'1ot1 no1 . \I J>t J.IJ110 Pl ,1 un1:.no1- .1}1J11noc P? ')'i !iOP,uOI - S.:'. 111:11 IMiO

Pl '?' 1,1"4) !lf!I . )'P.ll1Ml_!llM) P \l"r'· 1t...n 'i50,11tto,ooo ' \ .1111(' \f 1h,,,1 ( ti..!C'l. 1) \rprlhJ/ R l ·• 11.R:.1J [:..1 .. 1i:-t>nlyJ o; __,.,.""'".. ,tlh."111

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C1igan, Hrian 1\1. Page 10of18

\''I I. IN\/ESTl\,I E TS and TRUSTS - im·11m . l·a11te. 1ruma11iom r1nd11Je\ ,,,,,\i- IJI\rou, un.i uepem1en1 d1itJun: \a'•· rr· .r.t- 611111Jilinx im1r11c.rivns.J

NONE (No repurtahle i11cu111e, u1·set.1. or t1w1wC1io11s.)[] ,\ IJ ll

D ... · rip1ion of A-.-...:1-; Income during (jrn:-.::.. \ i.ltu..: :J! ..:nJ

1i11duding tru... 1 a si.::ts) n.:P'-1rnn p..:rll>d 111' r... ·p1'r::11g r-.·nuJ

I I ti! !?} tll I )(I) 151 J,k11111yuf\'.1!111." \'aluL' Dal\! \'alu..: ( ;.un Pla..:c "I.\ r afrl.'.'r ..:ach ii.SSi:I Amuunt

Chk I d1-.. . r.:-nt • Cu1k 2 \h·tl11.J huy. ,,·II mmd1.L)) ( ,1J ...• ! f ,id...- I huy..:r·, .. ·lkr ..:'..:rnpt lf\)Jll priur Ji t lv::.un: tA-11) or in! 1 1.!-PJ ( .. 11!..: 1 r1.·1f..:rnri11in) il·PI f\·11) l1fprtvJIC'

t0·W} 1r:m d11tn)

103. -Jami; lnvt fd forr1 hi CbS> S None K T lluy I 'H!09 Sl.'l' nnlc in Part VIII

104. -knnison Nat Res hi Inc None lluy 12'2-Ul9

105. -knnison Mid Cap Gruwlh Fd Inc CL A A Dividend K T S11"1 I :!124:01J ip.Jrl)

llJ6. -Keel")' Small Cap Value I'd t\one Sold 12124/0'J

107. ·LanrJ [:merging :-.brk1h-r

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\' 11. I N \l E STl\ IE N 1 ..s and TR us TS - inrnm,, \•lJlu . trurf\(J( lion ( /nd11J,, tlld.\ of \poll\t' ""J Jt!pc'lrdt•nt d1i/Jrrn; \Upp . .t.J .fiO 11/ Jilin:I( ltl\ff'U( tiot·n.)

0 NONE (.Vo n.:pvrtah/e incomt>. assets. or tra/l.\'lllfions.)

A II I> lk lription of .-\-.'."llS ln..:\)mc dur.ng l.it1"-s ';1\uc Jt end

(induding 1ru:i.1 a:-.:-:\!:S) ff..'ptlrtin p..:rioJ ,,f 11..'p1)ning p..:noJ

ii) \II 4)1 ii) 1l) 1•1 I ! Pl:u;\! "tX )'" Jt'.cr t.::11:h :i-.-...:1 ,\moun( r> p..: k i;. Valui..: V:\lu ... · T>rc i..: g. f).•1..: \'ilui..: (i.11n IJ...·111;1y llf

CuJi.;: I d1\·, r.::nt.·".:1np! fru1n prior J1 ..:klslJr:: 1..:thiMI huy . .;.;II. nun d,t )' l .)lk 2 f"n.lc I t'iu}._.r·o;.clkr iA·tl) or1n1} llP) CoJ..: 3 r..:J..:rnpt111n) (J-P) I \-111 11r Pl I\ a11..

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121.

l'n 123.

·Th1irnburg Jnvt TR Cure Gru--·th Fuml CL A

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-\\!asa1ch Advisor.; Funds Inc Small Cap

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None

Dividend

l'une

L T

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Sold

lluy

Buy (adJ'I)

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12.24,0•1

03.-20 ll'I

12.•2.i·ll'J

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P.\ -S ),IJllO ()01 - ')-\0.tJIM'.l.lll(l I' I 'l...:r-= 1h-1n "i 1)_qt10.•Jll() \'.1lue \ttir1 .. .I (,tj 1) - \;ipn1... -1I H "'( i.hf Ofr.11 i .1 ... 10: On'y)

1'i.c-=l d11nrnC ) L. rt. 1l \."..1h1e \' t 11tia

127. -lsharcs Trnsl lbrcl"ys J-1 YI< l"rca Buy ()_1•20.09

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NONE (Nv rr!portahle income. as.H'ts. or tramuctions.)

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lk..1.:npT11m 1d' A .......l:IS l1H.nrn.: Ju1ing Grns!lo \'aill..: .11..:nJ

(1111.:ludin lru:-1 .1-.s..:1s) r\'f)

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FINANCIAL DISCLOSURE REPORT

Page 13of18

':imt• of Pl'non Rt'portlng

Cug•n, Brian M.

vI I. INV ESTl\ 1 ENTS and TR u STS - ;n,·ume. n1/u . lr1.1mul"ti1m\ (/nd11Jt'\ thmt' uf \JUJU\ urrJ J p1•nJent' hi/Jrrn; \t't' l'I'· JJ.(l() of /iii"!( im/TU< lilln\.)

D NONE (No r Mid Cap \'aluc

-Maiming and Nap ier Fund Wold Opponuni1ies

-Manhews Pa 1tii.: figer fLmti 01\.i

Pl

(, ·)l1>11111H - \I 0111 1 1 10 "" 15.1101 ''ti llrll)

I ) C" l 11l11mn:-. l I .1nJ ll I l

'\".Jluc:.\k1h.,.1r·... ks 1"i,"(" l"ulu111n l '.!I

N ·\::'.50.•ttll. \''00,ll1)U pl -") ' Potl.1 11 )nl c;.:,.ooo HI -S1.rn.1n•}lll -S .ou1.ooo L ) !l.1!1JI. )li!OJIOO I'\ ·Sl.Olnl.11111 ·'!>S.!1011.ll!J() r..i ·.\!..re 1h.J11 )50.ooo.nno

(1) (.l) 1 1 Dar..: \'i\lu..: C ;,un

mm.'Jdi)y Cod..; Cl11k I (JI') (,\ I I)

1212.+/09 J

12/24/09 M

1.16/09 K

12124109 L

12124109 K

12124109 K

12/24/09 J

12/24/09 J

12/2-f,'1)9 M

12/24:09 K

12124.'09 J

03'20/09 J

12/2.J,1)9 K

12iN·09 K

0 ".-'OOl-Sl'\1100 H · \l\•h! th.Jn '.. .IHIO t .IO \I "\IHH.IJt.ll. '.'l!"-001 1 P:! ·· s uon.1>c11 • s:::i.1•rn).l)oo

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Page 14of18 05115'1010Cogan, Bri•n :'.I.

D NONE (,Vo rC'purrah!e income. a.1·si:r. . '"" transacriom.)

,\ fl. c.

O..:.;;,rip1i ..•n of ;\ "..:ts 111..:nmi.: during Ciw:-.' \;1lu..: al 1:nJ

tim.:ltuhng 1rus1 :i s1.·ts) n.:porting p..:rwJ ,if r-...·pnrling p1.·ri11J

11) l I ill I ) (ll m tl) 15) P?:ti.:I.' "( xr ali..:r (:lt.:h a S('I ,\rnount fyrc t< g .. V.1!111.'.' \',d11t: T)p< ( "l_!lfl I • ) I . l!tll t "'i·..- ( ,,[umn::. (I I 111J lH I F -, 11,11111 '"\:1ic1100 (, - 1011.11111. q t '.illlll II i 'I • 10•l.!N)I • ) 111." 1.• IOll 11 \h•re 1h m .;; _foi)IJ.fll I

-. \'.1l11rl•klr.., J SI JU>41 oir !,·-..::. i..: -sr 5 01.11 . s:.u.1111o1 I. )i1).Llo:JI - SloO.•Jt>') \I \ 1110.lllJI · \ 1}.1:1111 1\l-,: l 1111111111'> l I 1nJ l>.\1 · " '": o.c1n1. >uonoo I I ') r>ll.111!1 • )I .01Ml POO Pl )1.1.\011.HIJI . "S'.t·IX:.(llll) P:::' .:; i no.11HI. \? .·Jllll •}j J

Pl 'S? .1)(>41JIOI - \ 11.'10').llClfl P-i . \l,·1e 1nJn -ssn.noOJ)0•1 t \"Jl;h· \.t.:11°1o>o.I\ ,..J,-s l) -.\i'PfJ1. JI R c .. 11Ri•.tl F ... wr Ont)') s .. -\ ..._·...... 111(0111

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-, •. :ripti,1n

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Page 15 of 18 o .15: 01 oCogan, Brian M.

"r' I. I NV EST i\'I ENTS and TR u STS - innmr . ••u/ue. ,,Ull\Utlion'i ,,,,l ludt'!i lh" " uf 'POU unJ Jqu•nJt'nl 1 l1i/Jrr:n; \U l'P· JJ-MJ of filinx imfrJJl liorn,)

D NONE (No reportahli! incmm:. a.1H:ls. or 1m11.1acti1111s.) A. ll. c. 0.

n ... nf ,,,,... ,'i fn..;on1l.'lI r..:p11rt1llJ.! p..:ril1J

(II I 2.1 (I) m ti) (]) (J) ll) (jJ ?\m11un1 rHl..:lt: . \.';ilui: \. .alu..: r r..: t1.: Jot .• D.111: V.ilu..: (i.11n hkn111 11f 1 ·,,Jc I d1\. . r...·nt. ( 1:-J..: kthuJ tiuy. s..:11. nun.\J,L'y> l tllk l'f"t..! I bu)..:r , .. lkr 1.-\-li) er 1n1.) 11·1') ('ndl.' J r.:-dl.'mptinn) 1J-Pl IA · l l ) 11f11ri1..11..:

(C)-\'l lrn1h.l1.:linn)

188.

189.

llJO.

191.

-Columbia Sekel Small Cap CL l

-bcrgrcen Equity TR Intrinsic Value FD CLA

-Davis New York Veniure Fund lnc.-CL A

-Harlling Lu;:vn HJ In.:. CL A

02. ·Manning 1\nJ NJpi\!r Fund \\'or lJ lluy 1212-109 K Opportunities Ser CL,\

: 20-1. - hl!lhews Paritic T1g r FunJ 01\ltknd lluy 12'2-l'il'J Rt:in•,:esrt. d

20-1 -Drpenhcirner Value Fd CL A lluy 12.'2-l'il')

\ .. "' 11011"' 1.-.... n - ,;; I 11\1 . i..,, ;..LAI l "- 5n i . ;;, °'.11t111 f) = ...'\_1 .. 11 . ) l J!t'ol• 1.'\._"(' lulu.nr.-. Bl ,..11.; l).ll t .. -. o.1 11. s11 1. .. 1 1 \ 1 -. ). ,11l/ 1o(JI · -;,i IJl)\I (itJi) Hl )l_111lil_(hll - \)_111>ft.11t)(J II \l,•11: th ... .CJllCl,( .. 10

\ .dut l , '1,k J ·s 1 nt,o'1 l t'T lulll•lll':"o("I .11\o! 0') '.j '\ 0,!101 - '))IMI C)(ltl O ·'l-.110001 - I rli'lll,111111 l'I )l_1Jnn1111lt - .;;5_1.111010) P:! -S\.Ol l.1)01 ... J-OHJ> .\ .....:-.,1nt1n

tS..; l iilurrin l':!l I! -0•'1.•\.. \'...1111 \. -(11h

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Ihle of Hrpnrt '.\i.1mt" of Prnon Htportine FINANCIAL DISCLOSURE REPORT

Page 16of18 05.'15·20IOCogan. Brian :\I.

vII. INVEST.I\'I ENTS and TRUSTS - inrnm . 1·u/iu, ""n'liJOions (/nduJe\ tlwH' "''flllH\e und Jt•pt•mlnr/ 111IJr,.n: \(t' Pl'· ti-hi) vf jilinx in\ITUttiun:i.)

NONE (No rcport11hlt' i11nm1e. assr..: ii..· . hu), l."11.

r.-tl..:1npr1111\)

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lhri:

!Tllll dJ, )

1:r

lif rn\;11 ... •

1r;in...., 1ion)

05 -Oppcnht.."i111i::r lnl!!matil.mal Gnvolh Fund·CL A

20o. ·Oppenheimer International OunJ Fund- CL lluy 12/24 '09 A

207. -l'imrn Total Re1um fund CL,\ lluy 12,24109 M

21JM. -l'imrn High Yidd FunJ·CL A lluy Ol'ilh.'U'I L

209. Ouy 12:2 10•1 K (add'I)

210. -RiJge\\mlh FDS lmcrmeuia1c BD FD CL I t'2.',!4:0') M

211. ·Ry.Jex SCil Mid Cap V:oluc Funu CL A Buy I :?: _..'OlJ

212. -Royce hi Total Keturn Fd Consult nl Sold 12/24'09

213. -Royce Fund v,lue Plus Funt! Sen·ice SolJ J::!..':! ,'(11)

214. -Thornburg Intl Value Fund CL A

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"a me or Pl'nt>n HrporlinJ: 0;11r of Ht: port FINANCIAL DISCLOSURE REPORT

Co an. Brian J\I. 05'15':010Page 17of18

VIII. A D DITIONAL l'.'IFOR:VIATION OR EXPLANATIONS. (/ndhur.purt .. JRq•vrt.}

.I) Purl \'II. page 7, line 55: page 10. line HU: page I:!. Jin 147: pat-: 15. l1i:c I 1J6: , he OJlllC of ;i..;s\.!f of "fanus :\

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FINANCIAL DISCLOSLIRE REPORT

Page 18of18

!"amt- of Pt·nun Ht."porrini,:

Co1:an, Bri•n 1\1.

0;.1.1r of Rt port

05:15·2010

IX. CERTIFICATION.

I n.·rtif)' that all information gin ·n abo,·e (including information pcrtainin to 01) °'pouse and minor or tlrpcmh.·nt 1.:hildrcn. if om)) is ac(uralilh the pn»isions of S l'.S.C. :lpp. § 501 el. seq., 5 U.S.C. § 7J .l. and Judicial Confrrene< n·gulalion>.

Signalurr_

NO n:: A,..,\' 1:'1101\'IJ}l] ..\L WllO K!\OWINGLY ,\NO WILFULLY FALSIFIES II. ,\,..,0 CRl ll:-IAL SA:"tCllONS (5 V.S.C. app. § 10 )

FIUNG INSTRUCTIONS

\fail igncd ori'. inul mi 3 additi'Jml copies 10:

Committee on Finam:1al Disclosure Administralive Office of lhc United S!Jles Courts Suite 2-JO l Om: Columbus Cin:k N.E. Wa>hingron. D.C. 20544