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AO IO Rev.

112011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010


2. Courl or Organization United States District Court, SDO, WD
~a. Repert Type (~k appropriate type) ] Nomination. Date [] Annual [] Final

Report Required by the Ethics

in Government Act of 1978


(5 U.S.C. app. 101-111)

!. Peru~ Repotting (last name, first, middle Initial) Spiegel, S. Arthur


Title (Article HI Judas Indicate active or stak~ status; magistrat~ judges indicate full. c~ part-time) United States Senior District Judge

3. Date of Report 05/15/2011 Reporting l~rl~l 01/01/2010 Io 12/31/2010

[] Initial

5b. [] Amended Relx~

7. ~ambers or OITR~ Addre~ 838 Putter Stewart United States Courthous~ Cincinnati, OH 45202

O~ the baxls ~th Information c~ntained in Ibis Rcl~rl tad any modifications pertaink, g thertleb it I~ in my ~plnlon, In ~pllart~ with appl|~ble laws lind rtgulallons.

IMPORTANT NOTES: The inUrucaons accompanying this form must be foliowe, Complete all part~,
checking the NONE box for each par~ where you have no reportable information. Sign on laxt page.

I. POSITIONS. r~p.,nnt ~/,~ *no; ,,,

~
|o

NONE (No reportable positions.)

pOSITION

NAME OF ORGANIZATION/ENTITY

2. 3. 4.

IL AGREEMENTS. ~,~o,~s ~,~ o~O; ,,, ~,~. 1~.~ oI~m~ t,,,~,ao,,.~

NONE(No reportable agreements.)

DATE

PARTIES AND TERMS

Spie_qel, S. Arthur

FINANCIAL DISCLOSURE REPORT Page 2 of 9

Dttt of Repor~ 0M15/201 i

HI. NON-INVESTMENT INCOME. rR~o,a,z


A. Fliers Non-Investment Income [] NONE (No reportable DATE
non-inveMmenl

income.) SOURCE AND TYPE INCOME (yours, not spom~s)

2. 3.
4.

B. Spouses Non-Investment Income - t.f~,ou ,~e,~ ma,,~ea,~,~g amy portion of~e ~gy~ o~kte ~ se~
(~l~r amour n~ re~ired e~ept for ~rari~)

~
1. 2. 3. 4.

NONE (No repo~able non-investmem income.) DA~ SOUR~ ~D ~E

(Incl~leJ those to spouse and dependent children; see pp. 25-27 off!lin8 instructions.)

~-~

NONE (No reportable reimbursements.) U~ ~ LOCATION PURPOSE ITEMS PAID QR PROVIDED

2. 3,
4.

5,

FINANCIAL DISCLOSURE REPORT Page 3 of 9

Name of Pers~ Reporting Spiegel, S. Arthur

D~t~ of Report 05/I~/2011

V. GIFTS. (Inclmtt~ thost to spoust a~d depemtnt children; ste pp. 23-31 of fding in~ruction~.)
NONE ~No reportable gifts.)
SOURCE
!. 2. 3. 4. 5.

DF..$CRI PTION

~]

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

I. 2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 9 VII. INVESTMENTS and TRUSTS

Date of Report Spiegel, $. Arthur OSII 5/7.D I 1

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


A. Description of Asr,~= (inclmiinlt t~st asseta) Pla~ "(X)" ~ ~h as~ B. Income dm~g ~oliag Ix:Hod (t) ~m (A-~ (2) T~ (e.g., ~ ~.) C. Gross va~m: at cad of tel:rotting (2) U) V~uc Va~ (J~) C~ 3 D. Transactions daring ixpotting period O) T~ (e.g., ~m~) (2) ~m (3) Val~ (J-P) (4) Ga~ (A-H) (5) I~ of (~

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. I 1. 12. ] 3. 14. 15. 16. 17.

Brokerage Account #1 Anadarko Petrolenm Corp. Exxom Mobil Corp. (XOM) Fifth Third Bancorp Ohio (FIIB) Marathon Oil Corp. (MRO) PNC Financial Services Group (PNC) Piper Jaffray Companies Inc. (PJC) Procter & Gamble Co. (PG) JM Smucker Company New (SJM) U.S. Bancorp. Delaware New (USB) Union Pacific Corp (UNP) United States Steel Corp (X) Eaton Van.. Balanced Fund (EVIFX) Gateway Fund (GATEX) Victory Ohio Muni Bond Fund (SOHTX) Westernbank PR Rate 2.3% Fixed CD D A A B A A B C B B A D A B B Dividend Dividend Dividend Dividend Dividend None Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Int./Div. Int./Div. K M M L M J N J L M J J M M L L T T T T T T T T T T T T T T T T 05110/10 01/25110 L L

Matures 0713012010

Sterling Savings Bank WA US Rate 4.00% Fixed CD Matures 01/2

I, Income Gain Codes: (Set Co]tinms BI and D4) 2 Vtlu= Codes

A --$1.000 or less F =$50.001 - $IOO,(X~) l =$15.13130 or Ict~. P3 =$25.~00.001 - $50.000.000

B =SI.0OI - $2,..q30 O --~111~1.001 - $1.000,O00 X --.,$15.~1 - $,~.0CO

C =$2.501 - $5,000 HI =Sl,O00.001. $5.000.000 L =$50.001 - $100,000 P4 =Mc~ th*m $~0.~00.000

D --.$5.0~1 - ,$ H2 M

FINANCIAL DISCLOSURE REPORT Page 5 of 9

Name ot Person R~r~in~ Spiegel, S. Arlhur

Date or ReperI 05/I 5/201 !

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


Description of Assc, tS (including uust ~u) Income during ~g ~ (]) ~) (I) (2) VaI-," Vain~ Code 2 Method (J-p) Code 3 (Q-W) during rc1~ling period

(A-H)

~ ant)

(2) (3) (4) (t) Ty~ (.g~ Date Value Gain buy. ~ell, n~/dd/~ Code 2 Code I (J-P) (A.rl) redemption)

(5) lde.n~ly of b~ie~/~ll~ (if r~vate uan.nctinn)

18.
19.

RMA Tax Fr,," Fund Inc.


Brokerage Account # 2 - Trust

Divkle~d

N PI

T T

E ! Int./Div.

20.

UBS RMA Money Market Pcnffolio (FKA

Victory OhioMunicipal Mo

21. Bank of Nova Scotia Canada CAD (BNS) 22. Exxon Mobil Corp. (XOM)
23. JP Morgan Chase & Company (JPM)

02/10110

08/06/10
02/12/10

K
K

E E

24.
25.
26.

Pepsico Inc. (PEP)


Pfizer Inc. (PFE)
Pitney Bowes Inc.(PBl) Procter & Gamble (PG) 08/06/10 J

27.

28.

3M Co.(MMM) USBancorp(USB)

29.

30.

Bcrea Ohio 3.75% due )2.~ll/l 1

31. 32.
-33.

Butler County Ohio 4.95% due t2/011l 0 Eastern OH Regional Wastewater 4.25%
due | 2/01110 Hamilton County, OH 3.125%du~ 12/01/12

12/01/10 K
12/01110 K

34.

Ohio State 3.50% due 03/01111

I. Incorn~ Gain Codes! (S~ Coltmms BI and IM) 2 Value Code~ (S~ Co~ CI and D3) 3. Value Method Cod~s (S~e C~lunm C2)

A =$I.000 ci" less F =$54),001 - $100.0~1 J N Q =Apprais~ U =Book VaJue

B =,$ l.O01 $2,500 G --$100,~01 $1,~30.{~0

C =$2,501 - $5.000 HI =$J,~O.001 - $5,~O3,0C0

D =S5.O01 - $15.0(30 H2 =Mine than S5,000,~O0

E =$)5D0! - $50.0O0

R =l~ost (Real E.,,ItIe On!y) V --O~

S =Asscssme~ W =E~t)maled

T =Cash Matkrl

FINANCIAL DISCLOSURE REPORT Page 6 of 9

Name of Peru~ Reporting Spiegel, S. Arthur

Dale of Report 05/15/2011

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


Gros~ value at end O) (2) Value Value Code 2 Method Code 3 (J-P) (I) T.v~e (e.g~ Transactions during rqx~ing (2) Da~ 13) Value t4)

(5)
Id~dty of buy~rl~ellex pivate

35.

De~fieldTwp. Ohlo 4.00% due 12A31113

36.
37.

Vanguard Short Term Tax Exempt Fund (VWSTX)


Brokerage Accotmt # 3

09/17110 K A

38.

Victory Estab~hed Value Fund (GETGX)

Dividend
Dividend A Diddend

L K J

T T T

11/30110 J

39.
40. 41.
42.

Victor3 Fund for Income (GGIFX)


UBS Ret Money Fund

43. 44.

45.

46.

47.

48.

49.

50.

51.

I. Income Gain Ccdel: (Se~ O~lumns B1 and D4) 2. V,hz C~, (~ C~ CI ~D3) 3. Va1~ M~ C~ (See C~n ~)

B =$t.o01.

E =$15.00! - $50.0CO

o =$5~3.ool. $1,0~3.{]00 R ---~mt troll Estate O~y) V =O~e~

P2 =S5.0~,001 - $25.(X30.003 T ~sh M~rk~

FINANCIAL DISCLOSURE REPORT Page 7 of 9

Name of Person Re~rflng Sple~el, S. Arthur

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


A. ~lXiO~ of Assets (including tru~ ~aseta) Plice "(X)" afie* each asset exempt from prior disclosure: B. Income during repotting period el) (2) Amo~m! TyIx (e.g., Code I day., rent, (A-H) or int.) C. Grote value at end of reporting lm~Od (I) (2) Valu~ Value Code 2 Method Code 3 (I-P)

during tr4x~ing ix~od O) Tylx (e.g~ buy, sell, redeml~ion)


(2) Date Value naWdd,yy Code 2 (J-P)

Gain Cod~ 1 (A-H)

Idr.mity of tmy~/teller (if private

~2.
53. 54.

!55.
56. 57.

2. V, lu Cods (Se~ C~utrml CI and D3)

J ~1S.O~l ot less N -4250,001 - $500,0t30 P3 --.$25.000.~ ! - $50.(300.000 U =Beok Vl~o

g =$15.001 0 =$5~0,001 - $ I.~tqO,0t30

Pl --$ I,~.001 - $5.000,000 P4 ~More than $~0.000.000 W =F~imated

P2 =$$,0~30,001 - $25,000.(]00

(~e Column C2)

V .--Or,her

FINANCIAL DISCLOSURE REPORT Page 8 of 9

Name o~ Person R~porlin! Spiegel, S. Arthur 05/15/2011

VIII ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 9 of 9 LX. CERTIFICATION.

Name o~erson Reporting Spiegel. S. Arthur

D~te o( Report O~ll 5/2011

I ceMfly that all information given abeve (including information pertaining to my spouse and minor or dependent children, if any) h 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 pro~Islons l~rmllling non~lisclosure.

I further certify that earned income Icom outs/de employment and honoraria and the acceptance of gifts which have been reported are In compliance with the provisions of $ U.S.C. app. 501 et. seq., $ U.S.C. 7353, and Judicial Conference regulatlou~.

Si

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS ($ 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