AO IO Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2011

2. Court or Organization U.S. District Court N.D.N.Y.
5a. Report Type (check appropriate type) ] Nomination, Date [] Annual [] Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)

1. Person Reporting (last name, first, middle initial) McCurn, Neal P.

4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time)

3. Date of Report 07/27/2011

6. Reporting Period 01/01/2011 to 12/31/2011

Senior U.S. District Judge

[] Initial

5b. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date

P.O. Box 7365 I00 S Clinton Street Syracuse, NY 13261

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.

I. PO SITIONS. tRepo,,ing indlviduul o,ly; see ~,p. 9-13 of filing instructions.)

~] NONE (No reportable positions.) POSITION

NAME OF ORGANIZATION/ENTITY

2. 3. 4. 5.

II. AGREEMENTS. tRepo.ing individual only; seepp. 14-16 offillng instructions.)

~] NONE (No reportable agreements.)
DATE PARTIES AND TERMS

McCurn, Neal P.

FINANCIAL DISCLOSURE REPORT Page 2 of 10

Name of Person Reporting McCurn, Neai P.

Date of Report 07/27/2011

III. NON-INVESTMENT INCOME. (Repo.ing individual and spouse; seepp. 17-24 of filing instructions.)
A. Filers Non-lnvestment Income ~ NONE(No reportable non-investment income.) DATE
1. 2010 2. 3. 4.

SOURCE AND TYPE

N.Y. State Employees Retirement System

INCOME (yours, not spouses)

$2,824.00

B. Spouses Non-Investment Income - If you were married during anyportion of the reportlng year, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)

DATE
1.2010 2.2010 3. 4.

SOURCE AND TYPE

Catholic Relief Services Annuity $847 Catholic Church Ext. Society $722

IV. REIMBURSEMENTS - transportation, lodging, food, entertainment.

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

~]

NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

2. 3.
4.

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 10

Name of Person Reporting McCurn, Neal P.

Date of Report 07/27/2011

V. GIFTS. aneludes tl, ose to s, ouse o.d dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
i. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. aneludes those olspouse und dependent children; see pp, 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 10

Name of Person Reporting McCurn, Neal P.

Date of Report 07/27/201 I

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A Description of Assets (including trust assets) Place "(X}" after each asset exempt from prior disclosure B. Income during reporting period (l) (2) Amount Type (e.g., Code 1 div., rent,
(A-H) or int.)

C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method
(J-P) Code 3

Transactions during reporting period

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

redemption)

(2) (3) (4) Value Gain Date mm/dd/yy Code 2 Code 1 (J-P) (A-H)

(Q-W)
Brokerage A/Cs Sts Bds Wells Fargo 2. 3. 4. 5. 6. 7. 8. 9. I0. 11. 12. 13. 14. 15. 16. 17. AT&T Amer Electric Power Heinz HJ lntl Business Machines Valero Energy Corp Verizon Comm YUM Brands Biotech Holders Tr Fairport Communications (Y) Long Island 0% 12/1/11 Long Island 0% 6/1 / 15 Coming Coming Franklin Temp Mut Disc NYS Dorm 3.5% 7/1/16 NYS Dorm 3.25% 7/I/14 A A B A A None Non e Dividend Dividend Dividend Interest Interest K K M J K T T T T T Sold Sold 01/20/10 01/20/10 K K B B B B A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend K K J K J K K K T T T T T T T T

(5) Identity of buyer/seller (if private transaction)

market market

I. Income Gain Codes: ( See Colurms B 1 and D4) 2. Value Codes (Sce Columns CI and D3) 3. Value Method Codes {See Column (22)

A =$1,000 or less F =$50.001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50.000.000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$100,001 - $1.000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other

C =$2.501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $ 5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001- $50,000

FINANCIAL DISCLOSURE REPORT Page 5 of 10

Name of Person Reporting McCurn, Neal P.

Date of Report 07/27/201 I

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NOblE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(x)" after each asset exempt from prior disclosure B. Income during reporting period (t) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period (t) Type (e.g., buy, sell, redemption) (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

NYS Dorra 5%3/15/13 FL St PWR 4% 10/1/15 NYC WTR4.75% 6/15/33 NYC WIR5% 6/15/34 Southampton4%12/15/25 Lake SuccessNY 3%1/15/15 Campbell Strategic AgilentTech Inc (Y) Stryker Corp Port Auth NY 4.25% 10/15/30 NYC 4.50% 6/15/34 Amer Fds Cap Wrld G&I EOG Resources First Busey Corp(Y) Hewlett Packard Johnson &Johnson Eli Lilly

B B B A A C A

Interest Interest Interest Interest Interest Interest Interest

K L K K J M M

T T T T T T T

A B A A A

Dividend Interest Interest Dividend Dividend

K L K J K

T T T T Buy Buy 01/22/10 L 08/31/10 K market market

A A A

Dividend Distribution Dividend

K K J

T T T

I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns C 1 and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50,001 - $100.000 J = 515,000 or les s N =$250.001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =5100,001 - 51,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 PI =51,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 -$5,000,001 - 525,000,000 T =Cash Market

E =$15,001- 550,000

FINANCIAL DISCLOSURE REPORT Page 6 of 10

Name of Person Reporting McCurn, Neal P.

Date of Report 07/27/201 l

VII. INVESTMENTS and TRUSTS - inco,~e, volne, ,ransactions anaad~s a, os~ o/spoas~ and aep~naent c~,iUr~n; se~ pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure

Income during reporting period

(1) (2)

Amount Code 1 (A-H)

Type (e.g., div., rent, or int.)

Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) J J J K T T T T

Transactions during reporting period

(I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)

Identity of
buyer/seller (if private transaction)

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

Pfizer Vodafone Group Xerox NYS Envrnmt 4% 6/15/14 MTA NY Trans 7/i/13 NYS L0C Gvt 4/1/13 NYS Gvt 4/1/14 Mass WTR 2% 8/1/I 1 Norwalk CT 2% 7/1/12 NYS D0rm 4% 12/15/16 NY S Envm 4.625% 6/15/33 Sentinel Cap Mrks Finl Sector SPDR Intuitive Surgical lnc NY TWY 3.125% 3/15/25 Port Auth 4% 9/15/30 FNMA 4.5% 9/24/24

A A A A

Distribution Dividend Dividend Interest None None None

Sold Sold Sold L K K J L J K K L T T T T T T T T T Buy Buy Redeemed

01/20/I 0 01/20/10 01/20/10

K J K

B A C

market market market

A A A A B A

Interest Interest Interest Interest Dividend Dividend None None

09/20/10 01/22/10 09/24/10

K L J

market market market

C A

Interest Interest

1. Income Gain Codes: (See Columns BI and 1)4) 2. Value Codes (See Columns CI and D3) 3. Value Methyl Codes (See Column C2)

A =$1,000 or less F =$50.001 - $100,000 J =$15.000 or less N =$250.001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U ~Book Value

B =$1,001 - $2,500 G =$100.001 - $1,0~0.000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R ~Cost (Real Estate Only) V Other

C =$2,501 - $5,000 HI =$1.000.001 - $5,000.000 L -$50,001 - $100,000 PI ~$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 7 of 10

Name of Person Reporting McCurn, Neal P.

Dare of Report 07/27/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(x)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.

IRA Acct (Wells Fargo)Stks & Bnds listed below: Boston Scientific (Y) Eli Lilly Halliburton Co MedcoHealth (Y) Pfizer Simon Property Grp UDR Inc Amer Express CD 12/30/11 Franklin T Mutual Disc Amer Fds-New Economy Individual Accounts held listed as follows: US Savings Bonds Dreyfus Emerging Leaders Dreyfus MidCap Value Dreyfus MidCap Value Dreyfus Appreciation A A A None Dividend Dividend None Dividend K T K L L T T T Buy (addl) Buy (addl) Buy (addl) 04/12/10 06/22/10 03/10/10 J J J market market market B A A B A A Dividend Dividend Dividend Interest Dividend Dividend K K K K K K T T T T T T A A Dividend Dividend J K T T

I. Income Gain Codes: (See Columns B 1 and 1)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$ 50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000.001 - $50,000,000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G ~$100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 H I =$ 1,000,001 - $5,000,000 L =$50.001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S -Assessment W =E~timatcd

D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E 2515,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 8 of 10

Name of Person Reporting McCurn, Neal P.

Date of Report 07/27/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (lnclu,les those of spouse and dependent children; see pp. 34-60 of filing instructions.)
[] NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3)[ (4) Date Value I Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

69. 70. 71. 72. 73.

Dreyfus NY Tax Exempt Dreyfus Stock Fund Dreyfus Short Int Muni Summit!Syracuse Police Fed Credit Union CDs & Base A/C M&T Bank Syracuse Checking A/C

A A A A A A

Dividend Dividend Interest Interest Interest Interest

K K K K K J T T T T T

74. Metlife Bank & Money Mrk A!C

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (Sce Colunm C2)

A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N -$250,001 - $500,000 P3 =$25,000,001 - $50,000.000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 -More than $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5,000,000 M =$ ! 00,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 9 of 10

Name of Person Reporting McCurn, Neal P.

Date of Report 07/27/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndlcate part of report.)

FINANCIAL DISCLOSURE REPORT Page 10 of 10

Name of Person Reporting McCurn, Neal P.

Date of Report 07/27/201 l

IX. CERTIFICATION.
1 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 knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-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 provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature: S] Neal P. McCurn

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