ao lo

Rev. V2010

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization United States District Court, SDO, WD
5a. Report Type (check appropriate type) ] Nomination, [] Initial Date ~ ~ Annual [] Final

Repo,~ Required by the Ethics

in Government Act of 1978

t5 u.s.c, app.
3. Date of Report

1. Person Reporling (last name. fast, middle initial) Spiegel, S. Arthur

4. Title (Article BE[ judges indicate active or senior status; magislaate judges indicate filIl- or part-time) United States Senior District Judge

07/2712010
6. Reporting Period 01/01/2009 to 12/31/2009

5b. [] Amended Report 7. Chambers or Office Address 838 Potter Stewart United States Courthouse Cincinnati, OH 45202 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

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

I. POSITIONS. (Reporting individual only; see pp. 9-13 of J~ing instructions.)

NONE (No reportable positions.) POSITION
1.

NAME OF ORGANIZATION/ENTITY

4.

--.,o
7-- "~

~
,~ . ..~

~~ NO~ (No reportable agreements.)

~
I.

P~TI~ ~ TE~S

FINANCIAL DISCLOS~ ~PORT Page 2 of 6

Name o~ Person Repox~ng

Date of Repor~

Spiegel, s. A~hur

07127/2010

III. NON-~S~NT ~CO~. ~ ~,~ ~ ~o~; ~,~p. ~-u o~ in~.~

A. ~ers Non-Inv~em In.me

~
1. 2. 3.
4.

NONE (No reportable non-investment income.)

~A~

SOURCE ~D ~E

(you~, not s~uses)

B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amo~tnt not required except for honoraric~ )

NONE (No reportable non-investment income.) DATE

1. 2. 3. 4.

~QURCE AND TYPE

IV. REIMBURSEMENTS - t,,,~spon,~, ~,Io~t ,,~,,~=,nt.

(Includes those ro spouse and dependent children.- see pp. 25-27 of filing insrru~tions. I

[]

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

1. 2. 3. 4.

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 6

N~e of Person Reporting

Date of Report

Spiegel, S. Arthur

0712712010

o ~Jl~ l ~ (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

NONE (No reportable gifts.)

SOURCE
1 2, 3. 4. 5.

DESCRIPTION

VALI.~.

VI. LIABILITIES. an,~de~ those of spouse and dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.

DESCRIPTION

VALUE (~QDE

FINANCIAL DISCLOSURE REPORT Page 4 of 6

N~me of Person Reporting

I Date of Report

Spiegel, s. Arthur

I
O)
Type (e.g., buy. sell. redemption)

07f27/2010

NONE (No reportable income assets, or transactions.)

A. Description of Assets (including tn~st assets) Place "(X)" after each asset exempt from prior disclosure B. /ncome during repoaing period C. Gross value at end of reperting period D. Transactions during reporting period

(1)
Amount Code ! (A-H)

(2)
Type (e.g., div., rent, or int.)

O) 1 (2)
Value Code 2 (J-P) I Value Method Code 3

(2)

(3)

(4)
Gain Code 1 (A-H)

(5)
Identity of buyeffseller (if private

Date Value mm/dd/yy Code 2 (J-P)

(Q-W)
1. See attached

transaeaon)

2. 3.

5.

7.

8. 9. 10.

17.

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

A --$1,04)0 or Jess F z.$50,001 - $100,000 J --$15,0~0 or less N --$250,001 - $5~0,000 P3 --$25,000,001 - $50,000,000 Q =Apln-aisal U =Book Value

B --$1,001 - $2 ~500 G ---$100,001 - $1,000,000 K --$15,001 - $50,000 O --$500.001 - $1,000,0~0 R =~ost (Real Estate Only) V =Oth~

C --$2,501 - $5,000 H1 --$1.000.001 - $5,000.000 L --$50.001 - $100,000 P1 --$1,000,001 - $5,000,000 P4 =More th0.n $50.000.0~0 S =Assessment W =Estimated

D -.~5,001 - $15,1~00 H2 =More than $5,000,000 M ---$100,001 - $250,000 P2 --.$5,000.001 - $25.000.000 T --Cash MaP, eel

E --$15,001 - $50,000

Name of Person Reporting S. A~thur Spiegel B. Income during C. Gi:oss value at end of

Dale of Report 07/27/10

"

D. Transa~tion~ during reporting period

(A-H)

Amt Code

Ty~(e.g. ~al,u__e div., rent or

t~t)

17qalue Method

(Q-W)

:lXpe~e.g.,t)uy, . : se~ merger, (2) reaem~tion) !Value(3) ~ ?i)ay (J-P)

i~(~of Gain(4) (A-H) (i~t)tivatO Iransagtion)

~
I 2 3 4 5 6 7 8 9 I 0 11 12 13 14 15 16 17 18 19 20 21 22

NONE (No reportable income, assets, or transactions.) Brokerage Account # I Anadarko Petroleum Corp (APC) Exxon Mobil Corp (XOM) Fifth Third Bancorp Ohio (FITB) Marathon Oil Corp (MRO) PNC Financial Services Group (PNC) Piper Jaffiay Companies Inc (PJC) Procter & (}amble Co (PG) J M Smuckor Company New (SJM) U.S. Bancorp Delaware New (USB) Union Pacific Corp (UNP) United States Steel Corp (X) Ealon Vance Balanced Fund (EV[FX) Gateway Fund (GATEX) Victory Ohio Muni Bond l,und (SOHTX) Midfirst Bank OK US Rate 3.1% Fixed CD Matures 01/23/2009 Westernbank PR Rate 2.3% Fixed CD Matures 07/3012010 Bank North GA US Rate 3.7% Fixed CD Matures 07/17/2009 Stealing Savings Bank WA US Rate 4.00% Fixed CD Matures 01/25/2010 RMA Tax Free Fund Ine Brokerage Account # 2 - ]rust - UBS RMA Money Market Portfolio (FKA Victory Ohio Municipal Money D A A B A A B C B B B B A E A D A B B Div Div Div Div Div None Div Div Div Div Div Div Div Div Int Int Int In! Div Div & lnt K M M K M J N J L M J J M M 1. 1, L I, M PI T T T T T T T T T T T T T T T T T T T T Redemption Buy Redemption 01/23/09 01,23/09 07/17/09 I, L L

Name of Person Reporting S. Arthur Spiegel B. Income C. Gross value

Date of Report 07/27/10

D. T~ns dining re~rting

(1)

(2)

(:i) i ;~ (2) M~hod

(I) ~x~l~ger, j

"

Ifnotexemptfromd~osure

.... ~Ii~A.H) ~,,

,;~e !div,,rentor

iat)

(Q-W)

Mo~aDay

: Value

(J-P) (A-r0

(if privatenama~t~n)

~]
23 24 25 ;26 27 i28 ;29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44

NONE

(No reportable income assets or transactions,)

- Automatic Data Processing (ADP) - Exxon Mobil Corp (XOM) - JP Morgan Chase & Company (JPM) - Pepsico lnc (PEP) - Pfizer lnc (PFE)) - Pitney Bowes Inc (PBI) - Procter & Gamble Co (PG) - 3M Co (MMM) Partial Sale 01/02/08 K E

- U.S. Bancorp (USB)

- Berea Ohio 3.75% due 12/1/I I - Butler County, Ohio 4.95% due 12/1/10 - Cuyahoga County, Ohio 4.75% due 12/1/09 - Eastern O! I Regional Wastewater 4.25% due 12/I/10 - Nordinia Hills, O14 School District 4.7% due 12/I/09 - Hamilton County, Ohio 3.125% due 12/01/12 - Ohio State 3.50% due 03/01/11 - Deerfield Twp, Ohio 4.00% due 12/01/13 - Vanguard Short Term Tax Exempt Fund (VWSTX) Brokerage Account # 3 - Trust - Templeton Foreign Fund (TEFTX) - Victory Established Value Fund (GETGX) - Victory Small Company Opportunity, Fund (GOGFX) B Div M T Partial Sale Paraal Sale Partial Sale Partial Sale Partial Sale Partial Sale Partial Sale Partial Sale 00/10/09 12;09/09 01,"15/09 03,18/09 12/09/09 I 01/15/09 i 12/09/09 06/12~09 J J J J J .7 A A A A A A Buy Buy 0t!28!09 03/I 1!09 K 1. Redemption 12/01/09 K A Redemption 12/01/09 K A

Name of Person Reporting

Date of Repor~

S. Arthur Spiegel B. ,Income during :.:i[lj" (2) C~ GrosS, ~alue at~ of (1) ::i~:: (2) (1) .... l~p ~-e.g., Imy, seo, merge, (2) 7 Code2 Codel (J-P) (A-r~) D. TranSa~i(ms during repor~s peri~

07/27/10

.... Ifnotcxcmptliomdisclosur~ (5) f b~ycr/s~iler (re Vri~t nans~tion)

!:::~at Ty~ (e.g. ~alpe ~ ValUe :,~C0de div., rent o~~ Method ! ~A-H) int) (Q-W) :

~
45 46
47

NONE (No reportable income, assets, or transactions.) - Victory Diversified Sto~k Fund (GR1NX) - Victory Government Reserves Fund
Brokerage Account # 4

Partial Sale Partial Sale

01/15/09 03/18/09

.i J

A A

48 49
50

-Victor Established Value Fund (GETGX) -Victor), Fund for Income (GG~X)
-UBS Ret Money Fund

A B
A

Div Div
Div

L K
J

T T
T

Partial Sale

12/10/09

51 52
53

Brokerage Account # 5 - ]rust - Victory Gradison Government Reserves

- Gateway Fund (GATEX)

Div

"i"

Full Sale

03/03/09

54 55 56 57 58

- Harbor International Fund (HAINX) - 1Shares S&P 500 Index Fund - lShares Russell 1000 Value Index - IShares Russell 1000 Growth Index - Royce Total Return (RYTKX) [

Full Sale Full Sale Full Sale Full Sale

03/03/09 03/03/09 03/03/09 03/03/09 03/03/09

2 J 3 2 J

A A A A A

Full Sale

FINANCIAL DISCLOSURE REPORT Page 5 of 6

Name otPerson Reporting

Date of Report

Spiegel, s. Arthur
[

07/27/2010
[

VHI. ADDITIONAL INFORMATION OR EXPLANATIONS. ~:~nc~,~,oyRepo,,)

FINANCIAL DISCLOSURE REPORT

N~e of Person Reporting Spiegel, S. Arthur

Date of Report 0712712010

Page 6 of 6
IX. CERTIFICATION.

I 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-disdosure. 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.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CREVHNAL 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 2-301 One Columbus Circle, N.E. Washington, D.C. 20544