[{ NONE (No reportable positions.)

Transcription

1 Gere.el, Richard M. AO JO Rev. J/20JJ Report Required by the Ethics in Go1 ernment Act of 1978 FOR CALENDAR YEAR 2010 (5 U.S.C. app. /01-l I I) I. Person Reporting (last name, first, middle initial) Court or Organization Dare of Report Gergel, Richard M. District of South Carolina 07/12/2011 Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or pan-time) United States District Judge- Active 7. Chambers or Office Add res 85 Broad Street Charleston, SC Sa. Report Type (check appropriate type) 6. Reporting Period D Nomination, Date 01/01/2010 D Initial [{ Annual Final to 12/31/2010 Sb. [{ Amended Repon D 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. RHie,.ing Officer Date IM PO RT ANT N 0 TES: 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. POSITIONS. (Reponing individual only; see pp. 9-/J of filing instructions.) [{ NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. 5. II. AGREEMENTS. (Reponing individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS I.

2 Page 2of8 Gergel, Richard 1\ /2011 Ill. N 0 N-JNVES TMENT IN CO ME. (Reporting individual and spouse; supp. 17-U of filing instructions.) A. Filer's Non-Investment Income D NONE (No reporrable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I Gergel, Nickles and Solomon, P.A. $1, 704, B. Spouse's Non-Investment Income - (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) If you were married during any portion of the reporting year, comp/ell this section. SOURCE AND TYPE I Columbia City Council Salary IV. REIMBURSEMENTS - transportation, lodging.food, entertainment (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. SC Defense Trial Attorneys' 11/11-12/2010 Pinehurst, NC Presentation Hotel and Meals 5.

3 Page 3of8 Gergel, Richard :\ /2011 V. GIFTS. (Includes those to spouse and dependent clrildren; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. 5. VJ. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. Bank of America Mortgage on Investment Property: Edisto Beach, South Carolina N Bank of America Mortgage on Investment Property: Charleston, South Carolina N 5.

4 Page 4of8 Name or Person Reporting Gergel, Richard M. Date or Report 07112/2011 VII. INVESTMENTS and TRUSTS - income, atue, transactions <Inctudes thou of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reponing period (including trust assets) reponing period of reponing period (I) (2) (I) (2) (I) (2) (3) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g. Date Value Gain Identity of (5) exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) I. Investment Property, Edisto Beach, SC None PI w Investment Propert, Charleston, SC None N w 1519 Richland LLP, Columbia, SC D Rent M w Prudential Life Insurance None K T 5. Columbia Cash Reserves B lnt./div. J T 6. Alliance Balance Wealth Strategies Class A A lnt./div. K T 7. Am. U.S. Government Securities Class B A lnt./div. K T 8. Am. Balanced Class A D Int./Div. M T 9. Am. Balanced Class B A lnt./div. J T 10. Am. High Income Trust Class A B lnt./div. K T 11. Columbia Marsico Focused Eq. Class A A lnt./div. K T 1 AM. Europacific Growth Class A A lnt./div. J T 1 Goldman Sachs Strategic Fund None J T 1 Hartford Advisors Class A A lnt./div. J T 15. Putnam International Equity Class A None J T 16. Am. Washington Mutual Inv. Class B A lnt./div. J T 17. Ship Financial International Com LSD A Int./Div. Sold 08/03/10 J A I. Income Gain Codes: A =$1,000 or less B =Sl,OOt -$2,500 C =$2,50I - $5,000 D =$5,00I - SI5,000 E =SI 5,00 I -$50,000 (Sec Columns BI and D-) F =S50.00I - SI G =SI00,001 -Sl, HI =Sl.000,001 -S5.000,000 H2 =More lhan $5, Value ('odes J =SI 5,000 or less K=S S L =$50,00I - SI 00,000 M =SI 00,00 I -$250,000 (Sec Columns Cl and DJ) N =$250.00I - $ =$500,00 I -S 1,000,000 Pl =S $5,000,000 P2 =$5,000,001 -$25, P3 =$25.000,001 -$ P4 =More than $50,000,000 3_ Value Method Codes Q =Apprnisal R =Co t (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V =Other W =fatim::cd

5 Page 5of8 Gergel, Richard M. 07/12/2011 VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income,.. a1ue, transactions (Includes those of spouse and dependent c11i/dren; see PP of filing instructions.) A. B. c. D. De scription of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period ofreporting period (I) (2) (I) (2) (I) (2) (3) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value (4) Gain (5) Identity of exempt from prior disclosure Code I div., ret, Code 2 Method buy, sell, mm/dd/yy Code 2 ' Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 18. AllianceBer Large Cap Growth Class A A Int./Div. 1 T 19. Morgan Stanley Divident Growth Class B A Interest J T 20. Morgan Stanley European Equity Class B A Int./Div. 1 T 21. Morgan Stanley Liquid Asset Fund A Int./Div. 1 T 2 Morgan Stanley Strategist Fund A A Int./Div. 1 T 2 Bank Meridian NA None K T 2 First National Bankshares Inc None Sold 08/03/10 1 A 25. Tidelands Baneshares Inc None Sold 08/03/10 1 A 26. VistaBank South Carolina None K T 27. Bank of America A Int./Div. K T 28. TIAA-CREF D Int./Div. M T 29. Exxon Mobil None Sold 08/03/10 J A 30. Columbia Tax Exempt Reserves A Int./Div. 1 T 31. Wachovia Certificates of Deposit A lnt./div. 1 T 3 Morgan Stanley Global Div. Growth/ A Int./Div. 1 T Section A 3 Am. Short Term Bond/Class A A lnt./div. K T 3 Lord Abbott Short Duration Tax Free Fund B lnt./div. L T Buy 06/22/10 L I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 C =$2,50 I -$5,000 D =$ $15,000 E =$ $ (Sec Columns Bl and [)I) F =$ $ G =SI00,001 -Sl HI =S I -$ H2 =More than $5.000,000 Value Codes J =$ or less K =$15,001 -$ L =$50.00 I - $I M =$ $ (Sec Column> Cl and 03) N =$ $ =$500,00I - $1, PI =$ I -$5.000,000 P2 =$ I - $ P3 =$25.000,001 - $50.000,000 P4 =More than $50.000,000 V;iluc Method Codes Q =Appr isal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

6 Page 6of8 Gergel, Richard :\I /2011 VII. INVESTMENTS and TRUSTS -income, a1ue, transactions r1nc1udes ttwse of spouse and dependent children; see PP J4-6o D NONE (No reportable income, assets, or transactions.) of filing instructions.> B. A. D. Description of Assets Income during Gross value at end Transactions during reponing period c. (including trust assets) reponing period ofreponing period (I) (I ) (2) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 35. Blackrock Global Allocation Fund B lnt./div. L T Buy 06/22110 L 36. Templeton Global Bond Fund B Int./Div. L T Buy 06/22/10 L I. Incom e Gain Codes: A =$1,000 or less B =$1,00 I - $2,500 C =$2,50 I $5,000 D =$ $15,000 E =$15,00 I - $50,000 (See Columns Bl and 04) F =S50.00 I SI G =SI I -S HI =Sl $ H2 =More than $ Value Codes J =S or less K =Sll,001 $ L =$50.00 I - $I M =SI $ (Sec Columns Cl and DJ) N =$ I - $500,000 O =$ I -S 1, Pl =$1,000,001 -$5, P2 =$ $ PJ =$25,000,001 -$ P4 =More than $ J. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Asscs mcnl T =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

7 Dale of Report Page 7of8 Gergel, Richard M /2011 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofreport.)

8 Page 8of8 Gergel, Richard M. 07/12/2011 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 pro\isions 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 nith the prolisions of S U.S.C. app. SOI et. seq., S U.S.C. 7353, and Judicial Conference regulations. Signature: s/ Richard M. Gergel 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 Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C

9 GerQel, Richard M. A AOJO Rev. 110// Report Required by the Ethics in Go\ ernment Act of 1978 FOR CALENDAR YEAR 2010 (5 U.SC. app. /()/./I I) I. Person Reporting (last name, first, middle initial) Court or Organization Gergel, Richard M. District of South Carolina 05/04/2011 Title (Article III judges indicate actin or senior status; magistrate judges indicate full- or pan-time) United States District Judge- Active Sa. Report Type (check appropriate type) D Nomination. D Initial Date [{ Annual Sb. D Amended Report D Final 6. Reporting Period 01/01/2010 to 12/31/ Chambers or Office Address 85 Broad Street Charleston, SC On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance "ith applicable laws and regulations. Revie"ing Officer Date 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. J. POSITIONS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. 5. II. AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS I.

10 , Page 2of8 Gergel, Richard :'I. 05/04/2011 Ill. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-U of filing instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I Gergel, Nickles and Solomon, P.A. $1, Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE I Columbia City Council Salary IV. REIMBURSEMENTS - transportation, lodging.food, entertainment. (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. SC Defense Trial Attorneys' 11/11-12/2010 Pinehurst, NC Presentation Hotel and Meals 5.

11 Page 3of8 Gergel, Richard :\I. 05/04/2011 V. G JFTS. (Includes thost to spouse and deptndent children; see pp of filing instructions.) [{ NONE (No reportable gifs.) SOURCE DESCRIPTION VALUE I. 5. VJ. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. Bank of America Mortgage on Investment Property: Edisto Beach, South Carolina N Bank of America Mortgage on Investment Property: Charleston, South Carolina N 5.

12 Page 4of8 Gergel, Richard M. 05/04/2011 VI I. IN v Es T ME NTS and TR us TS - D NONE (No reportable income, assets, or transactions.) income, 1 alu e, transactions (lncludesthose of spouse and dep endent childr en; SU pp of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period ofreponing period (I) (2) (I) (2) (I) (2) (3) (4) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (5) (Q-W) transaction) I. Investment Property, Edisto Beach, SC None Pl w Investment Property, Charleston, SC None N w 1519 Richland LLP, Columbia, SC D Rent M w Prudential Life Insurance None K T 5. Columbia Cash Reserves B lnt./div. J T 6. Alliance Balance Wealth Strategies Class A A lnt./div. K T 7. Am. U.S. Government Securities Class B A lnt./div. K T 8. Am. Balanced Class A D lnt./div. M T 9. Am. Balanced Class B A lnt./div. J T IO. Am. High Income Trust Class A B lnt./div. K T 11. Columbia Marsico Focused Eq. Class A A lnt./div. K T 1 AM. Europacific Growth Class A A lnt./div. J T 1 Goldman Sachs Strategic Fund None J T 1 Hartford Advisors Class A A lnt./div. J T 15. Putnam International Equity Class A None J T 16. Am. Washington Mutual Inv. Class B A lnt./div. J T 17. Ship Financial International Com LSD A lnt./div. Sold 08/03/10 J A I. Income Gain Codes: A =$1.000 or less B =$1.00 I - $500 C =$2,50 I - $5.000 D =$5,00 I - S 15,000 E =S I - $ (Sec Columns Bl and [)) F =SS SI G =SI Sl HI =S I - S H2 =More than $ \'aluc Codes J =$ or ks.s. K =$ $ L=S50.00l - S IOO.OOO M =SI $ (Sec Columns Cl and DJ) N =$ $ =$500.0U I - S 1, PI =S 1.000,00 I - $ P2 =$ I - $ P3 =S UI - $ P4 =More than S50, Value Method Codes Q =Apprni><1I R =Cost (Real Estate Only) S =Asscs mcnt T =Cash Market (Sec Column C2) U =Boolo Value V =01hcr W =Eslimatcd

13 Page 5of8 Gergel, Richard :'I. 05/04/2011 VII. INVESTMENTS and TRUSTS - income, atue, transactions r1nc1udes tlrou of spouse and dependent c1rudren; see PP J4-6o of filing instructions.> D NONE (No reportable income, assets, or transactions.) B. A. c. D. Description of Assets Income during Gross value at end Transactions during reponing period (including trust assets) reponing period of reponing period (I) (2) (I) (2) (I) Place "(X)" after each asset Amount Typ (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div.., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J.P) Code 3 redemption) (J-P) (A-H) (ifprivate (2) (3) (4) (5) (Q-W) transaction) 18. Alliance Ber Large Cap Growth Class A A Int./Div. J T 19. Morgan Stanley Divident Growth Class B A Interest J T 20. Morgan Stanley European Equity Class B A Int./Div. J T 21. Morgan Stanley Liquid Asset Fund A Int./Div. J T 2 Morgan Stanley Strategist Fund A A Jnt./Div. J T 2 Bank Meridian NA None K w 2 First National Bankshares Inc None Sold 08/03/10 J A 25. Tidelands Baneshares Inc None Sold 08/03/10 J A 26. VistaBank South Carolina None K w 27. Bank of America A lnt./div. K T 28. TIAA-CREF D Int./Div. M T 29. Exxon Mobil None Sold 08/03/10 J A 30. Columbia Tax Exempt Reserves A lnt./div. J T 31. Wachovia Certificates of Deposit A Int./Div. J T 3 Morgan Stanley Global Div. Growth/ A lnt./div. J T Section A 3 Am. Short Term Bond/Class A A Int./Div. K T 3 Lord Abbott Short Duration Tax Free Fund B Int./Div. L T Buy 06/22/10 L 1. Income Gain Codes: A =$1,000 or kss B =Sl,001 -$2,500 C =$2,501 -SS,000 D=S5,001-Sl5,000 E=SIS,001-SSO,OOO (Sec Column' DI and D-0 F =S50.00I - SI G =SI00,001 -S l HI =Sl $ H2 =More than $ Value C'oJcs J =S or less K =$15,001 -$ L =$ SI M =S J00,00 I - $ (Sec Columns CI and DJ) N =$ $500,000 0 = SS00.00I-S 1.000,000 Pl =Sl SS,000,000 P2 =$5.000,00 I $25, PJ =$ $ P4 =More than $ Value Mc1hod Codes Q =Appr isal R =Cost (Real E talc Only) S =A s mcnt T =Cash Market (Sec Column GJ U =Book Value V==Othcr W =Eslim:.tcd

14 Page 6of8 Gergel, Richard M. Date of Repon 05/04/2011 VI I. IN v ES TMENTS and TR us TS - income, alue, transactions (Includes those of spouse and dependent children; see PP f-60 of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reponing period (including trust assets) reponing period of reponing period (2) (I) (2) (I) (I) (2) (3) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (4) (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 35. Blackrock Global Allocation Fund B Int./Div. L T Buy 06/22/10 L 36. Templeton Global Bond Fund B lnt./div. L T Buy 06/22/10 L I. Income Gain Codes: A =S 1,000 or Jess B =Sl.001 -$2,500 C =$2,50I - $5,000 D =$5,00 I -$15,000 E =S 15,00 I -S (Sec Columns 81 and D-l) F =SS SI00,000 G =SIOO.OOl -Sl,000,000 HI =Sl,000,001-SS,OOO,OOO H2 =More than $5,000,000 Value Codes J=St5,000 orlcss K =$ $50,000 L =$50,001 - SI M =$I I - $250,000 (Sec Columns Cl and DJ) N =$ $ o =$ Sl Pl =Sl, $5,000,000 P2 =S5, I - $25, PJ =$25, I - SS P4 =More than $50,000,000 J. Value Method Codes Q =Appr isal R =Cost (Real Estate Only) S =A'.scs m cnt T =Cash Market (Sec Column C2) U =Book Value V =Other W =Estim ated

15 Dare of Report Page 7of8 Gergel, Richard l\i. 05/04/2011 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofreport.)

16 Page 8of8 Gergel, Richard M. 05/04/2011 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-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. 50I et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: s/ Richard M. Gergel 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 Offce of the United States Courts Suite 2-30 I One Columbus Circle, N.E. Washington, D.C