Hicks, Jr . S. Maurice - Judicial Watch · 2019. 7. 26. · Hicks, Jr., S. Maurice Date of Report...

3.

5.

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO JO in Government Act of 1978

Rev. 112011 FOR CALENDAR YEAR 2010 (5 U.S.C. app. §§/OJ-JI/)

J. Person Reporting (last name, first, middle initial)

Hicks, Jr., S. Maurice

2. Court or Organization

U.S. District Co., Western La.

3. Date of Report

08/16/2011

4. Title (Article Ill judges indicate active or senior status;

magistrate judges indicate full- or part-time)

U.S. District Judge - Active

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial [2J Annual

Sb. D Amended Report

D Final

6. Reporting Period

01/01/2010

to

12/31/2010

7. Chambers or Office Address

U.S. Courthouse

300 Fannin St., Suite 5101

Shreveport, LA 7110 I

8. 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

JMPO RT ANT 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. POSIT! 0 NS. (Reporting individual only; see pp. 9-13 of filing instrut:tions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I. Lecturer Centenary College of Louisiana

2. Board of Directors Member Children and Arthritis, Inc. (50l(c) (3) organization)

4.

II. A GREE MEN TS. (Reporting individual only; see pp. 14-16 of filing instructions.)

[{] NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

3.

Hicks, Jr . . S. Maurice

3.

4.

FINANCIAL DISCLOSURE REPORT

Page 2of18

Name of Person Reporting


Date of Report

08/16/201 I

I II. N 0 N-INV EST ME NT IN CO ME. (Reporting indfridual and spouse; see pp. 17-14 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. 2010 Centenary College of Louisiana - Teaching $2,500

2.

3.

4.

B. Spouse's Non-Investment Income - If 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. 2010 Paraglegal services - self-employed

2.

3.

4.

IV. REIMBURSEMENTS - transportation, lodging.food, entertainmenL

(Includes those lo spouse and dependent children; see pp. 25-27 of filing ins/ructions.)

[{] NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I.

2.

5.

4.


Page 3of18



Date of Report

08/16/2011

V. GIFTS. (Includes tlwse to spouse and dependent children; supp. 28-31 of filing instructions.)

[{] NONE (No reportable gifts.)

SOURCE

I.

DESCRIPTION VALUE

2.

3.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

D NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I. Ci timortgage Mortgage - Rental Property #I, Ruston, LA L

2.

3.

4.

5.

Page 4of18

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT 08/16/2011Hicks, Jr., S. Maurice

VII. INVESTMENTS and TRUSTS income, 1·a1ue, transactions r1nc1udes t11ose of spouse and dependent children; see PP· 1-1-60 of filing - instructions.)

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

A. 8. D.

Description of Assets Income during Gross value at end Transactions during reponing period

(including trust assets) reponing period of reponing period

C.

(I) (2) (1) (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, Code2 Method buy, sell, mm/dd/yy Code2 CodeI buyer/seller

(A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) ( if private

(Q-W) transaction)

I. Capital One Bank Accounts D Interest M T

2. State Farm Life Insurance Co. Account None J T

3. Northwestern Mutual Life Insurance Co. None J T Account

4. Timber Land, Lincoln Parish, Louisiana - None K R 1/1/96, $30,000

5. Left intentionally blank None

6. Rental Property #I, Ruston, LA- 07/03/01, A Rent L R $75,427



9. IRA# I Morgan Keegan (prev Capital One) A Interest K T Money Fund


11. VAC Federal Credit Union A Dividend J T

12. Barksdale Federal Credit Union A Interest K T

13. Red River Syndicate LP A lnt./Div. K u


15. Janney, Montgomery Scott Brokerage None J T Account - Cash

16. Left Intentionally blank None


I. Income Gain Codes: A =$1,000 or less B =Sl,001 - $2,500 C =$2,50 I - $5,000 D =$5,001 -$15.000 E =$15,001 -S50.000

(See Columns Bl and D4) F =$50,00 I -SI 00.000 G =SI00.001 -Sl,000,000 HI =Sl.000,001 -$5.000.000 H2 =More than $5.000.000

2. V::iluc Codes J =S15,000orlcss K =Sl5,00I -S50.000 L =$50.001 - SI00,000 M =SI00.001 -$250.000

(Sec Columns Cl and DJ) N =$250.001 -$500,000 0 =$500.001 -Sl,000.000 Pl =Sl.000.001 -$5,000.000 P2 =$5.000.001 - $25.000.000

PJ =$25,000,001 - $50.000.000 N =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Asscs mcnt T ::o(a h Marl-.ct

(Sec Column C2) U =Book Value V =Other W =btimatcd

D.

(5)

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 5of18 08/16/2011Hicks, Jr., S. :\1aurice

VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.) -


A. 8. c. Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period

(4)(I) (2 ) (I) (2) (I) (2) (3) Gain Identity of Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value

Code I Code I buyer/sellerexempt from prior disclosure div., rent, Code 2 Method buy, sell, mmldd/yy Code 2

(A-H) {if private {A-H) or int.) (J-P) Code 3 redemption) {J-P)

transaction)(Q·W)


19. IRA #I XTO Energy A Dividend Sold





24. IRA #I Entrada Networks None J T

25. IRA #I Globalnet None J T





30. Left intentionall blank None



33. Giant Studios None J T

34. IRA #2 Morgan Keegan (prev Capital One) A Interest J T Money Fund

06/29/10 J A

I. Income Gain Codes: A =S 1,000 or less B =S 1.00 I - $2,500 C =$2.50 I -$5,000 D =S5.00I -$15,000 E =S15,00 I -$50,000

(See Columns Bl and [).I) F =S50,00 I - SI 00,000 G =SI00.001 - S l . 000.000 HI =Sl.000.001 -$5.000.000 H2 =More than $5,000,000

2. Value Codes J =Sl5,000 or less K =Sl5,00I - S50.000 L =$50,001 - SI00.000 M =St 00.00 I -$250,000

(Sec Columns Cl and DJ) N =$250.001 • $500,000 0 =$500,001 -Sl.000.000 Pl =S 1.000.001 - $5.000.000 P2 =$5.000,001 - $25.000,000

PJ =$25.000.001 - $50.000.000 P4 =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Ass.cssmcnl T =Cash Markel

(Sec Column C2) U =Book Value V =Other W =E 1im::itcd


Page 6of18 08116/2011Hicks, Jr., S. Maurice

VII. INVESTMENTS and TRUSTS income, 1·alue, transactions (Includes those of spouse and depmdent children; SU pp. 34-60 of filing instructions.) -


A. B. c. D.


(including trust assets ) reponing period of reponing period

(I) (2) (I) (2) (I) (2) (3) (4) (5)

Place "(X)" after each asset Arno um 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)


















I. Income Gain Codes: A =S 1,000 or less B =S l.001 - S2.500 C =S2,50 I - S5,000 D =S5,00I - Sl5,000 E =Sl5.00I -SS0.000

(See Columns BI and [).I) F =S50,00I - SI00.000 G =SI00.001 - Sl.000.000 HI =Sl,000,001 -S5,000.000 H2 =More than $5,000.000

2. Value Codes J =S15. 000 orlcss K = S 15.00I - $50.000 L =$50.00 I - SI 00,000 M =SI 00.00 I - S250.000

(Sec Columns Cl and 03) N =$250.001 - SS00.000 0 =$500.001 -s 1,000.000 Pl =Sl.000.001 -SS,000,000 P2 =SS.000.001 -$25,000.000

P3 =S25.000.00I - $50.000.000 P4 =More than $50,000.000

3. Value Method Codes Q =Appraisal R =Co t (Real Es1a1c Only) S =Assessment T =Cash Market

(Sec Column C2) U =Book Value V =Other W =Estimated

(I)


Page 7of18

Name of Pen;on Reporting


Date of Report

08/16/2011

v II. IN v ES TM EN TS and TR us TS - income, i·alue, transactions (Includes those of spouse and dependent children; Ste pp. 34-60 of filing instructions.)


A. B. c. D.


(including trust assets) reponing period ofreponing period

(I) (2) (I) (2) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

Code I Code I buyer/sellerexempt from prior disclosure div., rent, Code 2 Method buy, sell, mmlddlyy Code 2 (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

52. Left inlentionally blank None

53. Left inlenlionally blank None








61. Left inlenlionally blank None



64. Left intenlionally blank None


66. Left inten1ionally blank None



I. Income Gain Codes: A =$I ,000 or less B =$ J,00 I -$2,500 C =$2,50 I -$5,000 D =$5,001 -Sl5,000 E =SI 5,00I - S50.000

(See Columns Blond [).l) F =S50.001 -$100.000 G =SI00,001 -Sl.000.000 HI =S 1.000.00 I -S5,000.000 H2 =More than $5,000,000

2. Volue Codes J :S 15,000 or less K =Sll,001 -$50,000 L =$50.001 -$100.000 M =$I 00,00 I - $250,000

(Sec Columns Cl and DJ) N =$250.001 - $500,000 0 =$500.00 I -S 1,000,000 PI =S 1.000.00 I -$5.000.000 P2 =S5,000,00I -$25,000.000

PJ =$25.000,001 -$50.000.000 P4 =More thoo $50.000,000

3. Volue Method Code> Q =Appraisol R =Cost (Real EslOLe Only) S =Asscs mcnt T =Ca h Market

(Sl·c Column C2) U =Book Value V =Other W =Estimated

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT 08/16/2011Hicks, Jr., S. Maurice Page 8of18

VII. INVESTMENTS and TRUSTS income, •·atue, transactions r1nctudes those of spouse and dependent children: see PP· J4-6o of filing instructions.) -


A. B. c. D.


(including trust assets) reponing period of reponing period

(I) (2) (I) (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)

69. Biosante Pharmaceutical None J T

















I. Income Gain Codes: A =S 1,000 or less B =Sl,001 - $2,500 C =$2,50 I -$5,000 D =$5,00 I -S 15,000 E =Sl5,00I -S50.000

(See Columns BI and 0-l) F =$50.001 -SI00,000 G =SI 00,00 I - S 1.000.000 HI =S 1.000,00 I - S5. 000.000 H2 =More than S5,000.000

2. Value Codes J =S 15,000 or less K =$15.001 -S50.000 L =S50,00I -SI00.000 M =SI 00.00 I • $250.000

(See Columns Cl and DJ) N =$250.001 -$500,000 0 =S500.00 I -S 1,000, 000 Pl =Sl.000.001 - S5,000,000 P2 =S5,000.00 I -S25.000.000

PJ =$25.000,001 - $50.000.000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U =Book Value V =Other W =Estimated


08/16/2011Hicks, Jr., S. Maurice Page 9of18

VII. INVESTMENTS and TRUSTS -income, •·arue, transactions rrnc1udes those of spouse and dependent children; see PP· J4-6o 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 ofreporting period

(I ) (2) (I) (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, Code2 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)







92. IRA #I Dodge and Cox Int'! Stock Fd A Dividend J T









10 I. Left intentionally blank None


1. Income Gain Codes: A =S 1,000 or less B =Sl.001 -$2,500 C =$2.50 I • $5,000 D =S5.00 I -S 15.000 E =S 15.001 - $50.000

(See Columns BI and D-1) F =$50.00 I -SI 00.000 G =$100.001 -Sl,000.000 HI =Sl.000.001 -$5.000.000 H2 =More than S5.000.000

2. Value Codes J =$15.000or lcss K =$ 15.00 I • $50,000 L =$50,00 I -SI 00.000 M =SI 00.00 I -$250.000

(Sec Columns Cl and DJ) N =$250.001 - $500.000 0 =$500.00I • S 1.000.000 PI =S 1.000.00 I • $5.000.000 P2 =$5.000.001 -$25.000.000

PJ =$25.000.001 -$50.000.000 P4 =More than $50,000.000

J. Value Method Codes Q =Apprai>al R =CoSI (Real Estate Only) S =Assessment T =Cash Marlct


'

B.


Page 10of18


Hicks, Jr., S. :\1aurice

Date of Report

08/16/2011

VI I. IN YES TM EN TS and TRUSTS - income, •·arue, transactions r1nc1udes those of spouse and dependent children; see PP· 1-1-60 of filing instructions.)


A. C. D.



Place "(X)" after each asset

exempt from prior disclosure

I 03. Left intentionally blank

104. Left intentionally blank




108. Morgan Keegan cash-T

109. Encana Corp-Janney

I I 0. Left intentionally blank

I I I. Left intentionally blank

I12. Left intentionally blank

113. Cubic Energy Inc




I 17. IRA #3-Terra Nitrogen Co LP



(I) (2) (I) (2) (I)

Amount Type(e.g., Value Value Type(e.g., Code I div., rent, Code 2 Method buy, sell, (A·H) or int.) (J-P) Code 3 redemption)

(Q-W)

None

None

None

None

None

A Int./Div. J T

A Dividend Sold

None

None

None

None Sold

None

None

None

A Dividend Sold

None

None

(2) (3) (4) (5)

Date Value Gain Identity of

mm/dd/yy Code 2 Code I buyer/seller

(J-P) (A·H) (if private

transaction)

I 1/12/10 J A

11/12/10 J A

03105110 J A

I. Incom e Gain Codes: A =$1,000 or less B =$1,001 • $2,500 c =$2,501 • $5,000 D =S5,00I • S15,000 E =S\5,001 -S50.000

(See Columns BI and [).l) F =S50.001 • SI00.000 G =SI 00,00 I • S 1,000.000 HI =Sl.000.001 • $5,000.000 H2 =More than S5.000.000

2. Value Codes J =S15,000orless K =$15,001 • S50,000 L =$50.00 I • SI 00.000 M =St00.001-$250.000

(Sec Columns C l and D3) N =$250.001. $500.000 O =$500,001. Sl,000.000 Pl =Sl,000.001 - $5.000,000 P2 =$5.000.001 • $25,000.000

P3 =$25,000,001 - $50.000.000 P4 =More th an $50,000,000

3. Valu e M ethod Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Ca::.h Market

(Sec Column G) U :Book Value V =Other W =E::.timatcd


Page 11 of 18



Date of Report

08/16/2011

VII. INVESTMENTS and TRUSTS - income, 1•a/ue, transactions (Includes those ofspouu and dependent children; SU pp. 34-60 of filing instructions.)


A. D. c. D.



(I) (2) (I) (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, Code2 Method buy, sell, mm/dcL'yy Code2 Code I buyer/seller {A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)











130. Left intentionall blank None







I. Income Gain Codes: A =Sl,000 or less B =S 1,00 I - $2,500 C =$2,501 -S5.000 D =S5.00 I -S 15,000 E =$15,001 -$50,000

(See Columns Bl and !).I) F =S50.00 I -SI 00.000 G =SI 00.00 I -S 1.000.000 HI =Sl.000.001 -$5.000.000 H2 =More than $5,000,000

2. Value Codes J =S 15,000 or less K =$15.001 -S50.000 L =S50.00I -SI00.000 M =SI00.001 -$250.000

(See Columns Cl and DJ) N =$250,001 -$500.000 0 =S500,00 I -S 1.000.000 rI =S 1.000.00 I -$5.000.000 P2 =$5,000,001 - $25.000,000

PJ =$25.000.001 -$50.000.000 N =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cosl (Real Eslatc Only) S =A:io s:iomcnt T =Cash Market

(See Column C2) U =Book Value V =Other W =b1imatcd

Page 12of18

FINANCIAL DISCLOSURE REPORT Name of Person Reporting


Date of Report

08/16/2011

v II. I NV ES TM EN TS and TR us TS - income, .. atue, transactions (Includes those of spouse and dependent chi/dun; SU pp. 34-60 of filing instructions.)


A. B. c. D.



(I) (2) (I) (2) (I ) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.,

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption)

(Q-W)

137. Lefi intentionally blank None


139. Scottrade Cash Acct. A Interest K T

140. Chesapeake Energy-Janney Acct. A Dividend Sold

141. Petrohawk Energy- Janney Acct. None Sold





146. Canadian Oil Sands- Scottrade A Dividend J T


148. Eagle Rock Energy- Scottrade A lnt./Div. J T Sold (part)

149. Encana Corp-Scottrade A Dividend J T





(2) (3) (4) (5) Date Value Gain Identity of

mm/dd/yy Code 2 Code I buyer/seller

(J-P) (A-H) (if private

transaction)

09123/10 J A

11/16/10 J A

03/03/10 J A

I. Income Gain Codes: A =SI ,000 or less B =S 1.00 I - S2,500 C =S2,50 I -SS,000 D =S5.00 I -SI 5,000 E =SIS,001 -$50,000

(See Columns BI and 0-t) F =$50.001 -$100.000 G =SI00.001 -Sl.000.000 HI =S 1.000,00 I -$5.000.000 H2 =More than SS.000.000

2. Value Codes J =S 15.000 or less K =$15.001 -$50.000 L =$50.001 - SI00,000 M =SI00.001 -$250.000

(Sec Columns Cl and DJ) N =$250.001 -S500.000 o =$500.001 -Sl.000.000 Pl =Sl.000,001 -S5.000.000 P2 =$5,000,001 - $25,000.000

PJ =$25.000.001 - $50.000.000 P4 =More than $50.000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S -=Assessment T =Cash Market

(Sec Column C2) U =Book Value V ::=Q1hcr W =Estimated

Series[ J

·,;;:;:;.{':;£

(I) (3) (4)


Page 13of18


Hicks, Jr., S. :\1aurice

Date of Report

08/16/2011

VII. INVESTMENTS and TRUSTS - inromt, •·alut, transartions (/nrludes those ofspoust and dependent children; Set pp. J.f-60 of filing instructions.)


A. 8. c. D.

Description of Assets Income during Gross value at end Transactions du ring reponing period


(I) (2) (I) (2) (2) (5) Place "(X)" afier each asset g., Date Value Gain Identity of Amount g., Value Value Type (e.Type(e.

Code I buyer/sellerexempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 (A-H) (A-H) (if private or int.) (J-P) Code 3 redemption) (J.P)

transaction)(Q-W)


155. IRA 112 American Superconductors None J T

156. IRA #2 Encana A Dividend J T

157. IRA #2 National Fuel Gas A Dividend J T

158. IRA #2 Pacific Asia Petroleum None Sold 08/10/10 1 B

159. IRA #2 Smartheat Inc None Sold 04/09/10 1 A

160. IRA #2 Stericycle None J T

161. IRA #2 Teck Corp Ltd None Sold 05/11/10 1 A

162. IRA #2 Eagle Rock Energy Partners A Dividend 1 T

163. IRA #2 Kinder Morgan Partners A Dividend 1 T

164. IRA #I FHLMC CMO A Interest J T

165. IRA Ill GNMA CMO A Interest 1 T

166. Cenovus Energy-Janney A Dividend Sold 11/12/10 1 A


168. GMX Resources- Janney None J T

169. Rigel Pharmaceutical-Janney None Sold 11/12/10 1 A

170. Biomass Resources- Janney None J T

I. Income Gain Codes: A =$I ,000 or Jess B =$1.00 I -$2.500 C =$2,50 I -$5,000 D =$5,001 - Sl5,000 E =SI 5,001 -S50,000

(Sec Columns DI and D·O F =$50.001 -SJ00,000 G =SJ00,001 -Sl,000,000 H 1 =SI .000.00 I -$5.000.000 H2 =Mon: than $5,000.000

2. Value Codes J =SI 5.000 or Jess K =SI 5,001 -$50.000 L =$50.001 -$100.000 M =SI 00.00 I - $250.000

(Sec Columns Cl and DJ) N =$250.00 I - $500,000 0 =S500.00 I - S 1.000.000 Pl =Sl.000.001 - $5,000,000 P2 =$5,000.001 - $25,000,000

PJ =$25.000.001 -$50,000.000 P4 =More than $50.000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =As.scs mcnt T =Cash Market

(Sec Column C2) U =Book Value V =Other W =fatimated

A. D.

(I) (2) (4)


Page 14of18



Date of Report

08/16/2011

- income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing instructions.) VII. INVESTMENTS and TRUSTS


B. c.


(including trust assets) reporting period ofreporting period

(I) (2) (2) (I) (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., ren 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)

171. Rental Property #2, New Orleans, LA 1/1/09 None L R $55,000

172. Breitbum Energy Partner-Janney None J T Buy 11/16/10 J

173. Eagle Rock Energy Partners-Janney None K T Buy 11/30/10 J

174. ford Motor Company-Janney None J T Buy 11/16/10 J

175. Genesis Energy LP- Janney None J T Buy 11/16/10 J

176. Cenovus Energy- Scottrade A Dividend Spino IT 01/04/10 J

(from line 149)

177. Ci ti group- Scottrade None J T Buy 04/14/10 J

178. Geron Corp- Scottrade None J T Buy 01/08/10 J

179. GMX Res Inc- Scottrade None J T Buy 04/14/10 J

180. Stec Inc- Scottrade None J T Buy 04/22/10 J

181. 3 Par Inc- Scottrade None J T Buy 04/22/10 J

182. Sold 08/16/10 J B

183. IRA #2 BP Amoco None J T Buy 02/26/10 J

184. Sold 06/09/10 J A

185. IRA #2 Johnson & Johnson A Dividend J T Buy 05/06/10 J

186. Sold 07/20/10 J A

187. IRA #2 China New Borun Corp None J T Buy 10/14/10 J

I. Income Gain Codes: A =S 1.000 or less B =Sl.001 - S2.500 C =S2.50 I - $5,000 D =S5.00 I - S 15,000 E =S 15.00 I - $50.000

(See Colwnns 8 I and [).l) F =$50.001 - SI00.000 G =SI00.001 -Sl.000.000 HI =S1.000,00 I - S5.000.000 H2 =More than S5.000.000

2. Value Codes J =$15.000 or l"'s K =$15.001 - $50.000 L =$50.00 I - SI 00.000 M =SI 00.00 I - $250.000

(Sec Columns CI and DJ) N =$250.001 - $500.000 0 =$500.001 - Sl.000,000 r1 =s1 .ooo.001 - S5.ooo.ooo P2 =$5.000.001 -$25.000.000

PJ =$25.000.001 -$50.000.000 P4 =More than $500000.000

3. Value Method Codes Q =ApprJisal R =Cosl (Real E tatc Only) S =A sscssmcnt T =Cash Market


of filing

... ,;::;:;:;;4 =-

l!I

A.

(2) (I) (2) (3)

Date of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT

Page 15of18 08/16/2011Hicks, Jr., S. Maurice

VII. INVEST MEN TS and TRUSTS - income, .. atue, transactions r1nc1udes those of spouse and dependent chitdren; see PP· J.t.60 instructions.)


Description of Assets

B. c. D.

Income during Gross value at end Transactions during reponing period


(I) (2) (I) (4) (5) Place "(X)" after each asset

exempt from prior disclosure

Amount Code I (A-H)

Type (e.g.,

div., rent,

or int.)

Value

Code2

(J-P)

Value

Method

Code 3

(Q-W)

Type (e.g.,

buy, sell,

redemption)

Date

mm/dd/yy

Value

Code 2

(J-P)

Gain

Code I

(A-H)

Identity of

buyer/seller

(if private

transaction)

188. IRA #2 Cree Inc None K T Buy 09/14/10 K

189. IRA #2 Denbury Resources Inc None J T Buy 04106110 J

190. IRA #2 Dendreon Corp None J T Buy 03/02/10 J

191. IRA #2 Kraft Foods A Dividend J T Buy 04/06/10 J

192. IRA #2MolyCorp Inc None K T Buy 09/24/JO J

193. IRA#2 Sharps Compliance Corp None 1 T Buy 10/13/10 J

I 94. IRA #2 Sociedad Quimica Y A Dividend J T Buy 10/13/10 J

195. IRA #2 Southern Co A Dividend J T Buy 02/26/10 1

196. IRA #2-Genesis Energy LP A Dividend 1 T Buy 10/13/10 J

197. IRA #2 Pepsico A Dividend 1 T Buy 02/26/10 1

198. Sold 10/13/10 J A

199. IRA#l-GNMA None 1 T Buy 02/19/10 J

200. IRA #I-FNMA CMO s None J T Buy 02/05/10 J

201. IRA #I GNMA CMO Series None K T Buy 07/23/10 K

202. IRA #I Canadian Oil Sands Trust A Dividend 1 T Buy 12/01/10 1

203. IRA #3 Regions Money Fund A Interest 1 T

204. JP Morgan -Cash Acct. None J T

I. Inco me Gain Codes: A =$1,000 or less B =S 1.00 I -$2,500 C =$2,50 I - $5.000 D =$5,00 I - S 15,000 E =S 15.00 I - $50.000

(See Columns Bl and ().1) F =$50.00 I - SI 00,000 G =SI00,001 -Sl, 000,000 HI =S 1,000,00 I - $5. 000,000 H2 =More than $5.000.000

2. Value Codos J =S 15,000 or loss K =$15,001 -$50,000 L =$50,001-$100,000 M =SI 00,00 I - $250.000

(Sec Columns Cl a nd DJ) N =$250.00 I - $500,000 0 =$500,001 - Sl,000,000 Pl =Sl,000.001 -$5,000,000 P2 =$5.000,001 -$25,000.000

Pl =$25,000,001 -$50.000.000 P4 =More than $50,000,000

J. Value Method Codos Q =Appraisal R =Cost (Real Estate Only) S =Asscs:;.mcnt T ""Cash Markel


1 205.

Page 16of18

FINANCIAL DISCLOSURE REPORT Name of Person Reporting


Date of Report

08/16/2011

VII. INVESTMENTS and TRUSTS income, .. atue, transactions <rnc1udes t1rose ofspouu and dependent clrildren; see PP· 34-60 of filing instructions.) -


A. B. c. D.



(5) Place "(X)" after each asset Identity of

exempt from prior disclosure buyer/seller

(if private

transaction)

(I) (2) (I) (2) (I) (2) (3) (4)

Amount Type (e.g., Value Value Type (e.g., Date Value Gain

Code I div., rent. Code 2 Method buy, sell, mm/dcL'yy Code 2 Code I

(A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H)

(Q-W)

Morgan Keegan Cash{] A lnt./Div. T

I. Income Gain Codes: A =$1,000 or less 8 =$1.001. $2,500 c =$2,501. $5.000 D =$5.001 • $15,000 E =$ 15,00 I - $50,000

(See Columns Bl and 1).1) F =S50.00I - SI00.000 G =SI00,001 • Sl.000.000 HI =Sl.000.001 - $5.000.000 H2 =More than $5.000.000

2. Value Cocks J =SI 5.000 or less K =S 15,00 I - $50.000 L =$50,00 I • SI 00,000 M =SI00.001 • $250.000

(Sec Columns Cl and 03) N =$250.001 • $500,000 0 =S500.00 I • $1,000.000 Pl =$1.000.001 • $5,000,000 P2 =$5.000.001 • $25.000.000

P3 =$25.000,001 • $50.000,000 P4 =More than $50.000.000

3. Value Method Codes Q =Appraisal R =CoSI (Real EstJtc Only) S =Assessment T =CJsh Market

(Sec Column C2) U =Book Value V =Other W =E::.timatcd

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 17of18 Hicks, Jr., S. :\laurice 08/16/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicale partofreport.)

166. Cenovus Energy, Inc: A split from Encana Corp.

152. Pacific Asia Petro- Scottrade: should have been reported in prior year as completely sold and having no value at 12/31/2009.

170. Biomass Resources: Should have reported a partial sale in 2008, there are some shares still owned.

203. IRA #3 Regions Money Fund: should have been reported in prior years.

204. JP Morgan Cash Account: should have been reported in prior years.

205. Morgan Keegan Cash Account: was reported together with line I 08 in prior years. It should have been reported separately in prior years.


Page 18of18 Hicks, Jr., S. Maurice 08/1612011

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 l\ithheld 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. §SOI et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature: s/ S. Maurice Hicks, Jr.

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. § I04)

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301 One Columbus Circle, N.E.

Washington, D.C. 20544

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