D T l Tt jD DISTRIC"fo): NEW

P.O.BOX7365

.

j\''\\ m1·, \\

CLINTOt.i'

132Git l:i:\I_ ,.. .-\" j,1 • • - ",.. ,-\• ...

ui

Report

UNITED STATES

NORTHERN YORK

CHAMBERS OF NEAL P. McCURN

SENIO R JUDGE

·.

c ·A\\: 2: - :

100 SOUTH STREET

SYRACUSE, NEW YORK

. Q\$CLGSUR::.. i .... 1-

May 27, 2004

Judge Mary M. Lisi, Chair Committee on Financial Disclosure Administrative Office of the United States Courts One Columbus Circle, N.E. Suite 2-301 Washington, D.C. 20544

Re: 2003 Financial Disclosure

Dear Judge Lisi: ·

TEL: 315-234-8590

In response to your correspondence of May 19, 2004 concerning my 2003 Financial Disclosure Report dated March 26,2004, please be advised as follows.

(1) Part VII, ·page 2, line 36 listed on my March 26, 2004 report for the year 2003 "Zimmer Common" was owned in 2002 and was exempt from disclosure because its value at that time was below the report threshold. I should have inserted a parenthetical "(X)"

amend

along side the asset name in my year 2003 report, and beg your indulgence for not doing so, and ask your permission to ·so my 2003 report in this manner ex post facto.

(2) Part VII, page 2 line 24 in my 2002 report listed as "ML Floating Rate Fund" reported cash held by my broker Merrill Lynch in my IRS account at the end of the year 2002. During the year 2003 I closed out my Merrill Lynch brokerage IRA account and transferred all assets therein to an UBS brokerage account. ·I inadvertently neglected to list cash held in my UBS IRA account at the end of the year 2003, and hereby amend my 2003 return to set forth at Part VII, page 2, line 27 "UBS Bank USA Dep. Acct." The gross value at the end of the 2003 reporting period as set forth in Part VII, Col. C "l", page 2, line 20 is not changed.

NEAL P. McCURN NPMcC: jw SENIOR U.S. DISTRICT JUDGE

____________________ __ Date. _______ _

POSITION MAME OF ORQAN1ZATION/EN11TY

PARTIES AND TERMS

•, ..

·-.

Report Required by the Ethics A0-10 FINANCIAL DISCLOSURE REPORT ln Government Act of 1978 Rev.1/2004

Calendar Year 2003 (5 U.S.C. app. §§ 101-111)

l. Pers0n Reporting (Last name, First name, Middle initial) 2. Court or Organization

MCCURN, NEAI; P US DISlRICT COURT NDNY

4. Title (AJ!iclc ill Judges indicate active or senior status; S. ReportTypc (check appropriate type) magistrate judges indicate full- or part-time)

Q Nomination, Date Senior U.S. District Judge

@Annual0 Initial 0 Final

3. Date of Report

312612004

6. Reporting Period

l/l/2003

to 1213112003

7. Chambers or Office Address 8. On the basis of the infonnation contained in this Report and any modifications pertaining tbm:to, it is, in my opinion, in compliance ' P.O. BOX 7365 with applicable laws and n:gulations.

100 S. CLINTON ST Reviewing Officer.

SYRACUSE, NY 13261-7365

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 informatio1L Sign on last page.

L POSmONS, ilidividual only; ICC PP· 9-13 of filing instructions). . .

0 NONE <No positioas.>

1. Board of Visitors Syracuse University College ofl.aw

,...., :0 rn

-0 ;··--n--- ::0 (')1.,...-_

rn�� N -r.-121 <

IL AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions) l> rn0 q c NONE - (No reportable agreements.) "' ·-

I.

SOURCE AND mE GROSS INCOME

SOVRCEANPmB

SQURCE DESCRIPTION

- lnmsportation, lodging, food, entertainment.

·

FINANCIAL DISCLOSURE REPORT NamcofPcnon Reporting

MCCURN, NEAL P

Ill. NON- Tl\1ENT INCOME. (Reporting individual and spouse; see pp. 17-24 offiling instructions)

A. Filer's Non-Investment Incom

0 NONE - (No reportable non-invc:stmcnt income.)

I. NY State Employees Rdir=ient System

Date of Report

3/26/2004

()ooun. not spouse's)

2,551

B. Spouse's Non-Investment Income -(Ifyou were married during any portion oftbc reporting year, please complete this section. (dollar amount not required except for bonoraria)

··

NONE - (No reportable non-investment income.)

l.

IV. REIMBURSEMENTS

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

NONE - (No such rcportablcn:imbUJliallcnts.)

I.

SOURCE DESCRIPTION

CREDITQR DESCRIPTION VALUE CODE

3/2612004

Name orPc:non Reporting FINANCIAL DISCLOSURE REPORT Date of Report

MCCURN, NEAL P

V. GIFTS. OPc:IU<lcs those to spouse and dependent children. Sec pp. 28-31 of instructions.)

NONE (No such reportable gifts.) -

I.

VL IIABILil1ES. {InclU<ics those of spouse and dependent children. Sec pp. 32-34 of instructions.)

NONE (No reportable liabilities.)-

-

I.

-

l n :. · . . . 04}''"

.D ) : r mo. :

· ffE:

(2}

It trom

(3)

- ·-

(4) (S)

Gain

H\

·IL st i.$2.SOO o '"' i,Mt4i;ooo.ooo ;aJ:. 1 001.:s oo.o x;- $- . l ' . ...•

"''�'-$!;���;·:.

FINANCIAL DISCLOSURE RXPORT Date of Report Name of Peison Reporting

Page 1 of 5 MCCURN, NEAL p 3/2612004

VIL .INVEST.MENTS and TRUSTS - iDl:ome. va1uc, transcalions(includes tboscoftbcspousean11 dependentdilldren. See PP. 34-s1 or filing instructions.)

- - A. B. c D.

Description of Assets (including aust assets)

Income dirilg reporting period

Gross value at end of

reporting period TraDSBCtions during rq>orting period

(I) (2) (I) (2) (I) not exempt disclosure

-Place "(X}" after elcb asset exempt from prior discl<llilm

DNONE (No reportable income. usell, or tnnlllctiona)

l. Brolcerage Acct. # I -(Common Stocks):

2. AT & T

Amomtt Type (e.g. Code I div. rad. or (A-H} inL}

A DIV

Value Value Code2 Metbod(J-P) Code3

(Q-W}

J T

Type (e.g. buy, aell, metger, redemption)

Date: Month·Day

Value Code2 (J-P)

Identity of Code buyerlaellerI (A· (ifprivate

lransaCtion)

.

3. AT&T Wireless Serv., Inc None J T

4. QWEST . " · . . . None J T

s. BellSouth A DIV K T

6. SW Bell A DIV K T

7. Salomon Bros. Fund Inc. A Div Sold 6127 -

K

8.

9. EOGRes. Inc

·-10. Ingersol Rand Co. (See Part VllI)

A Dividend

A Dividend

J T

J T

11. US Savings Bonds None K T

12. Ml.ITUAL FUNDS:

13 . Manhatten (Neuburger) A DIV

--

Sold 5130 L

14. Inter. Fund (Neuburger) A Dividend - Solcl 5130 J

15. Milleniurn fund (Neuburger None Sold S/30 J

16. Oryfus Emer.lDR Fund

17. Dryfus Midcap Value Fund

A Dividend

A Dividend

K T

K T

18. Dryfus Appreciation Fund A Dividend J T

.A ,•Sl,�orlcss. . :. D;C <"""S2;$0l · -ss,()Ot,SUJ)()OI. • ...

'9'· f ...··• SSMOl"StOO;OOO (SeiJ Colun1nfllalld

2. Value Codes:

(S@CO!umnsCI

; · . . ..,.. .. ..

. :"') "'··; •Sl5;QOO-orless ·

.. ...

3.Valiie.Metbidcodc:i '•"·

t<!�'r....'1. M\··

lfnot uom

'

- -

(J-P)

(Sc;c: 'lJL 04) +uj l : 1;ss ;OOO •MOie s5;0<loM>o v., '1 100,000 M•'-.. $100,0<J . < "" "'""">l. :,,::=- --· -T' ; . rT _ _ )-_·;s'°°9; f ; !

Code U\

c

- COst(R aiffs1ati'oniy) ::· · • Book. Value ""-"-- "'- --"""'""""'- ..:.... ·--- ....;.__ ....;.__--_:.... -- ---'"--'

,,,

FINANCIAL DISCLOSURE REPORT Date of Report Name of Pason Reporting

Page 2of5 MCCURN, NEAL P 312612004

VII. , INVESTMENTS and TRUSTS - income, value, trallSClliom (mcludcs oflhe spouse and dependent cbildnm. Sec pp. 34-57 of filing instructions.)

- - A. Description of Assets

(including ttust assets)

-

19.

20.

21.

Place: "(X}" after each asset cxcqitliom priordisclosure:

Franklin NY 'lit Fn:c

UBS IRA ACCT: (Aggregate) (Common Stocks):

WYETH (Successor to Alna'. Home Prod-Stock)

B. Income duringieporting period

c. Gross Value at end of rqiorting period

D. Transactions during reporting period

{I) (2)

AmllunlCode:!(A.ff)

D

E

Type: (e.g.div. R!ILor int.)

DIV

Div&lnt

(1)

Value: Codc:2(J-P)

'

N

(2)

Value MethodCodc:3 (Q-W)

T

(I)

Type: (e.g. buy, ac:U,ll1CIJCI',n:demplion)

Sold

cxcnq>t dasclosurc: (2)

Date:: Month-Day

3120

(3)Value Codc:2

M

(4) (5) Gain Identity of

/sellerI (A· (if private

iransaction)

22. Bristol Myus

23. Ivt Rem. I Sya. (X) value end 2003 less than $1,000

24. Merck & Co. (sec Part VIII) - - -- - --

25. New &on. Fund

26. Boston Sci.

27.

28.

29.

30.

31.

32.

33.

34.

35.

36.

Home Depot

Halliburton Com

-

Lilly Eli & Co (sec Part VIll)

Philips Pct Com Stock

Simon Prop Group-REIT

UTD DOM Realty REIT

Target Co. ( Sec Part VIll)

Time Warner (Connerly AOL-Time-Warner

Zimmer Common

-

-- --

1. lncotne/GainCode&: A -s1,oooor1essc B -s1,001.s2,.500 .c -- cn�s.ooo o -ss.001:..su.ooo B • Sl.S,001-$50,000 · f •SSO.QOl-SIOO,oo(I . 0 •Sl00,001 $1,�'°°' ": H2

2. J •S1s.oooorim ·K -s1s,001.sso,oi11rc'.'''. : -: · o

3. VnrueM tbodOJdes <SccColumnC2)

Q _u

' R ,v •.Otbc:r. .'.·' .- ·:.:;;,)�'.,:;;,

-

•.

. ·.Q · Ap ·· :?u: - · va1uc

-

J

.. -

(2)

ff2

.;s1;0oo;119'l ,OOQ;OJ».:

(4) Gain

"'

(SeeColumnsBI andD4) F ;;.s .001-$100,000

(See Colum11i'CI and 03) . N • S250,000-5SOO,OOO

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Page3 ofS MCCURN, NEAL P 312612004

VIL . INVESTMENTS and 1RUSTS - income, value, ttanscations (includes those ofthe spouse and dependent children. See pp. 3+57 of filing iastruclions.)

-

37.

38.

39.

40.

41.

42.

43.

44.

- - A.

Desmprion of Assels (including bUSI assets)

Place "QC}" &tier each asset liom prior disdosun:

BROKERAGE ACCOUNT: (Stock & Bonds)

Hewlett Parckard

US Treas. Notes

NYS Urban Dev. Corp Bond

Gm Motors Acc:pt.Bond '

NM'BK ofNY Bond - -·

BioTcch HI.DRS Dcp Rcpts

REN RE Holdings Bond

B. Income

reporring period

(I)

Amount Code I (A-H)

A

A

A

B

A

B

during

(2)

Type (e.g.div. nmt. or int.)

Dividend

Interest

Interest

Interest

Interest·

None

Interest

c. Gross value at end of

period

(I) (2)

Value Value Codi: 2 Method (J-P) Code3

(Q-W)

J T

J T

K T

T

(I)

Type (e.g. buy, sell, merger,redemption)

Sell

Sell

Rcdcmptio Ii

Sell

D. ransactions during reporting period

If not exe ftom disclosure

Date: MOlllb-Day

IO/IS

10/IS

S/28

9129

(3} Value

Code2 (J-P)

J

K

J - --

J

(S} Identity of

Code buyer/seller I (A- (if private

ll"llllSaCtion)

.

A

45. BROKERAGE ACCT. (Common Stocks): -

46. Eastman Chemical ..

A Dividend J T

47. Eastman Kodak A Dividend T

48. Arncr.Elcct.PowcrCo. B Dividend K T

49. Genesee Corp. (X) (Sec Part VIII) None J T

so. IBM A Dividend K T

51. Motorola A Dividend J T

52. SunMicrosystcms, Inc. None J T

53. Lilly, Eli (X) (Sec Part Vlll) A Dividend K T now at pg 2 #30

54. Merck Co. (X) (Sec Part Vlll) A Dividend K T now at pg 2 #24

0 •$5,001-SIS,000 E ···•$15,00l•SS0,000 I. lnc;omc/GaitrCodcs: A • Sl,000 or k:ss B •ll,001-S2,SOO

2. Value Codes: J ".'.S1S,000ot less

o ·. -noo,001..s1;000,ooo Hl • Sl�iOOl:SS�OOO · .: •Mon: 1hmSS,OOO;OOO

K< •SlS;?Jl4S0,000 L "'$50.001:,$llll)Jl00 -M?-$100,00l-S2S0,000

· SS;000,001-S2S,000,000 0 •.SSOO,OQl. l.Ooo,000 Pf . . - · · P3 ·• • S .(I00,00 l.SS0,000,000

3. Vahle Method Code$ .. r r•r.1umn 6\ .. ·

Ir trom

-

-

Method

- -

I

--

Gain

m

-s1001.s2;soo •S2;1ot4S'Ji00 o 001 sts.ooo A@1 100.ooo -s16o.001 t;ooo;000 sl.@.oot-u. ' .•• :ln "'M:n s5.ti«i;ooo

Codes: l<.:::.;.:s:• .ooz · >-< L>1· ss9:1io .$J®.<>9'Ait L:M;,..s100.001�.600

< Q :-.ssoo;oq1..s1;000, ·•.: -.--.:·.··· ss -m .@Wi>''

! , OfJt wtr -' ,., - = <Jl eon :& , ·.... '·"" 111111(

·:v"- -ooier >· ..-:.: "" ;: ; , .,, ..: .. -· - =-

312612004

··· -ss B -sts,001-sso.ooo

·• .• · ·

:

: • :. . �P2-- ss.ooo.001- .�.6oo

, ;, :-: - -';,;

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

Page 4 of 5 MCCURN, NEAL p

. VIl. ·INyES'rMENTS and TRUSTS - income, value, ttanscations (includes those ofthe spouse and dependent cbikhen. See pp. 34-S7 of filing insuuctions.)

- - A. B. c. D. lncomD during Gross value at end of Transactiom during reporting period Description of Assets

(including llUSt -> reporting periOd reponing period

-

SS.

56.

57.

58.

Place •(X)• after liacb uset exeqicftom prior disclosure

YUM Brands Inc.

AT&T Wireless Scrv.Inc - (X) (sec Part VIIl)

LSI Logis. - Stock

XEROX

(I)

Amoulll Code I (A-H)

A

(2)

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

None

None

Dividend

(l)

Value Codc2 (J-P)

1

1

J

(2)

Value

Ccxle 3 (Q-W)

T

T

T

(I)

T)'llC (e.g. buy, sell, JDCtFI",

lion)

(2)Dale: Month-Day

not exempt disclosure (3)

Value Codc2(J-P) -

(4) (S) Identity of

Code buyer/sellerI (A- (if private

llllnsaction)

.

· -

59.

60.

61.

62.

Syracuse Police Fed. Cr. Unicn

M & T Banlt Syracuse .

Intuitive Surgical - Stock

ITO YOKAOO Ltd Dcp Rec

- - --

B

A

A

Dividend

Interest

None

Dividend

K.

1

J

T

T

T

Sc1l S/22

- --

J

63. COMMON STOCKS:

64. Pfizer, Inc. - Sec Part VIll ·- A Dividend I T

65. First Busey Corp A Dividend J T Buy 8/13 J

66.

67.

68.

69.

70.

71.

72.

Comcast - Sec Part VIll

Lucent Tech - Sec Part VIll

UBS IRA ACCT: (Sec Part VllI)

GMAC Bond

Ford Motor Credit Co Bond

VODA Phone Group Bond

BROKERAGE ACCOUNTS: (Sec Part Vlll)

A Dividend

None

J T

T

· 1. tncon:ic/GainCO<lcs: . •· :/,•.11;:•2i.i.t!;OOOorless · B · c'.· · ··c&1:eolwnn$e1 ™>. . ·· ·- · o. .

2. value

·.:;/ ::. : ... ._ :.. · .. .· - . -

. 1=

•0ish1Milrke1 · ;.,, . ....... ;i --;-/" ·· =r"· ,; ..· ·.. ._

__.._..:::-= · ·- _

If disclosure

c 10/31

L L

(SeC ·ai: 1)4) •SSO.Ol)l J9(J,000 •StQO;OOl. ;QOO

c c1#1Pl) s1, .!io1 000.ooo -ss.OO«?i9fil12.5.iX>Q,ooo ·-sMo.edia ·S50;0oo,ooo

va t.:fclhod:. - :. • COS1 ··9';liy}

,..r;...,;,b,::;:(' sook'.'\f : • .: < :.:o£-"-:-"'"':' ·o;,.- ·-"'"· · ;..;;;.;..-..;;... ...;.__ T :. -

(S)

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Page 5 of 5 MCCURN, NEAL P 312612004

. VII. ·INVESTMENTS and TRUSTS - incoml, va1uc.uansca1ions<inc1uc1es those or111c:spouseanc1dependeiacbildren. Secpp. 34-s1 or61ing insttuctions.>

- . A.

Description of Assets (including trust asact!i)

B. Income during

tqXlt1ing period

c. Gross value at end of reporting period

D. Transactions during reporting period not exempt from

73.

74.

. Place "(X)" after e!acb asset cxempe&om prior disclosure

Campbell Strategic Allocation Fund

UBSM2Fund

(I)

Amount Code I (A-H)

A

(2)

Type (e.g.div. n:nt. or int.)

Dividend

Dividend

(I)

Value Code2 (1-P)

M

(2)

Value Method Codel (Q-W)

T

T

(I)

Type (e.g. buy, sell, merger,

)

Buy

Buy

(2) Date: Month-Day

6110

(3) Value

Code2 (J-P)

M

(4) Gain Identity of Code buyer/seller I (A- (ifprivale"'' transaction) .

7S. Conagra Foods Common Stock A Dividend J T Buy 8/IS J

76. PIMCO Mun. Inc. Fund - SeePartVID A Dividend K T Buy 6125 K

77. PIMCO Mun.Inc.Fund • A Dividend Sell 8/13 K B

78. Frankl)'D NY lntcnnediate.Term Tax Free Class A -- -· D Dividend M T Buy 3120 M

- ·-

l. IncomclGui1CildCS A • Sl,000 or less B • $1,001-S2,500 C • S2,S(li:.s5,000 D • SS,OO:hSls,QOQ E • Sl5,001'-$5(),()09

F •$50,001-SlOO;OC}O .G •$100,001-$1;000,000 Jil -s1.000;001+s$;00D.OOO H2 •Moicll'iaii$$,OOO;()OO 2. ViliieCodes: : " J •SlS,OOOoriess K •SIS,-001..$50,000 L M

·(Sec N •S25D;Oi)p.;S5oo.� . o ssoo.ool-St,<190,000 PJ .!" P2 ·

P3 -s2s,O!iQ,ooi;sso.oo0.ooo· P4 _

3. Q. :, .Rn:..;. U .,; " . . . <V .. _-.;Olhcr . :· · • · \• 'w ..·.· .- _?· '· ·

,,,

Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT MCCURN, NEAL P 312612004

(Indicate part of Report.)VID. ADDIDONAL INFORMATION OR EXPLANATIONS

VII, page I, #10 of this report listed incurrcctly at page 3, #54 of2002 report

Vll; page 2, #27 of this report incorrectly listed at page 2, #27 of 2 002 report -now comedy listed at page I at #10 of this report

VII, pag1; 2, #30 of this report listed incorrccdy at page 3, #53 of2002 report

vn, pagc2, # 34, neglected to list this in past reports -pUrchascd in 2001

Vll, page 3, #49, liquidating distn"butions have reduced value to less than $1,000

Vll, page 4, #56- duplicate of VII, page I,# 2

Vll, page 4, #64 - transferred from IRA Acct 12116199 - neglected to report prior to this year

Vll, page 4, #66 - spinoft' from AT&T l l/lS/02 - !leglectcd to report in 2002 report

Vll, page 4, #67 .

- spinoft'from AT&T to rqiort in2002 RpOrt

Vll, page 4, #68 - additional invc:stmcnt asset #'s 69, 70 & 71 not heretofore JisW:d i» IRA aggregate account at page 2,#20 of Part vn

Vll, page 4, #72 -additions in 2003

Vll, page 4, #76 - neglected to repo p_!_ll'C* in 2002 report (reported sale in 2003 report)

/f-6- ?­I

FINANCIAL DISCLOSURE REPORT

I '

Name of Person Reporting

MCCURN, NEAL P

Date of Report

3f26/2004

. .

IX. CERTIFICATION.

I certify that all information givc;t 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. § 501 et seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature Date

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)

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