EFTA01295897

NAME SEARCHED: Richard Kahn PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business. Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RDC 0 No Hit • Not Kayoed K I. RDC Results RUC alert mail send scparatel ) C Ilit PCR Cti No Hit • Not Required 0 Flit IL PCR Results No PCR alert (Please sec attached) BIS (81 Yes 0 No III. Negative Media Result Found(please see attached) IV. Non-Negative Media There was no information found • Not Required V. Other Language Media Not Required D&B VI. D&B Not Required Results? M Yes • No CI Not Required Smartlinx Results? 0 Yes 0 No • Not Required VII. Smartlinx Result Found(please see attached) Court Cases 0 Review by Legal Ma) be Required 0 No Results Search not required VIII. Court Cases Result Found(please see attached) Prepared by: Prachi Pawa Da c: 10/12/2016 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-tlubbellhttp://w ww.martindak.comisp/MartindaleJhome.:ml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. S. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only S0NY_GM_00057232 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0020056 EFTA_00167800 EFTA01295897 OFAC RESULTS RDC: ALERT PCR: C20161034948238 Richard Kahn 12013245 NCA customised Closed - No Hit 12/10/2016 BIS RESULTS Negative Media: Class Action Reporter April 15, 2016 BMW OF NORTH AMERICA: Final Approval Hearing Moved to July 14 SECTION: Vol. 18 ISSN: 1525-2272 LENGTH: 1187 words The final hearing to consider approval of the settlement reached in the case, JOSHUA SKEEN and LAURIE FREEMAN, on behalf of themselves and all others similarly situated, Plaintiffs, v. BMW OF NORTH AMERICA, LLC, a Delaware limited liability company; BMW (U.S.) HOLDING CORP., a Delaware corporation; and BAYERISCHE MOTORENWERK AKTIENGESELLSCHAFT, a foreign corporation, Defendants, Civ. No. 2:13-cv-1531-WHW-CLW (D.N.J.), has been rescheduled to July 14, 2016, at 10:00 a.m. For internal use only SDNY_GM_00057233 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020057 EFTA_00 167801 EFTA01295898 Page 2 BMW OF NORTH AMERICA: Final Approval Hearing Moved to July 14 Class Action Reporter April 15, 2016 In January 2016, Senior District Judge William H. Walls of the District of New Jersey granted plaintiffs' unopposed motion for preliminary approval of the settlement and scheduled the final fairness hearing to assess the fairness, reasonableness, and adequacy of the proposed settlement on May 9, 2016. Plaintiffs are owners or lessees of MINI Coopers who allege that, at the time of purchase, their vehicles contained a latent defect in a part of the engine known as the timing chain tensioner which causes the part to fail prematurely. The cars are second generation MINI Coopers with an N12 or N14 engine, the MINI Cooper R56 (Cooper Hardtop), 2007-2010 model years, the MINI Cooper R55 (MINI Clubman), 2008-2010 model years and the MINI Cooper R57 (MINI Cooper Convertible), 2009-2010 model years. Plaintiffs include Joshua Skeen, from Georgia, Laurie Freeman, from Illinois, Scott Lamb, Gina Romaggi, Emmanuel Nomikos, Vicki Blasucci and Julian Mercado, from New Jersey, Gregory Abbott, Kevin Kebabjian, Ginger Roach, James Stoecker, and Candi Sossa, from California, Scott Bookhout, from Minnesota, Michelle Colberg, from Arizona, Marta Motel, from Pennsylvania, Heather Swango, from Florida, Karla Moreno-Vanni, from New York, Lauren Sanders, from Texas, MaryAnne Howland, from Tennessee and Teresa Welch from Arkansas. Plaintiffs Skeen and Freeman first filed a complaint against BMW of North America, LLC, BMW (U.S.) Holding Corp., and Bayerische Motorenwerk Aktiengesellschaft on March 12, 2013. Plaintiffs filed a first amended complaint on June 14, 2013, adding Lamb, Romaggi, and Nomikos as Named Plaintiffs. Defendants moved to dismiss the first amended complaint. On December 6, 2013, the court consolidated the action with another action brought in the district, Curran v. BMW of North America, LLC, 2:13-cv-4625, dealing with similar subject matter. On January 24, 2014, addressing only the first amended complaint and not the consolidated claims from Curran, the court granted defendants' motion to dismiss in part and denied it in part. On May 2, 2014, plaintiffs filed a second amended complaint, specifically incorporating the plaintiffs and claims asserted in Curran and asserting the eighteen federal and state law claims, including claims for breach of express warranty, breach of implied warranty, and violation of the Magnuson-Moss Warranty Act, 15 U.S.C. Section 2301 et seq., on behalf of themselves and the entire nationwide class. On April 17, 2014, Richard Kahn filed a putative class action against defendants in the United States District Court for the For internal use only SDNY_GM_00057234 CONFIDENTIAL-PURSUANTTOFED.R.WhfiI E)EENTFIAL_ DB-SONY-0020058 EFTA_00 I 67802 EFTA01295899 Page 3 BMW OF NORTH AMERICA: Final Approval Hearing Moved to July 14 Class Action Reporter April 15, 2016 Eastern District of New York dealing with similar subject matter, but the sane has not yet been consolidated. On November 23, 2015, plaintiffs announced that they and defendants had agreed to a settlement with respect to owners and lessees of vehicles with an N14 engine only. The Defendants agree to provide N14 Class members with four primary types of relief: 1. N14 Class Vehicles will receive a warranty extension for the timing-chain tensioner and timing chain for seven years or 100,000 miles from the date when the vehicle was first placed into service, whichever comes first, subject to certain exceptions. 2. N14 Class members will be entitled to reimbursement for out-of-pocket expenses incurred before the effective settlement date for repair and/or replacement of the timing chain and/or timing-chain tensioner, subject to certain limitations. Class members will be entitled to 100% of costs incurred at authorized MINI dealers and up to $120 for timing-chain tensioners and $850 for timing chains repaired or replaced at independent service centers. 3. N14 Class members will be entitled to reimbursement for up to $4,500 in out-of-pocket expenses incurred before the effective settlement date for repair and/or replacement of an engine because of timingchain tensioner and/or timing chain failure, subject to discounts based on mileage and the amount of time since their vehicle was first placed into service, as well as certain other limitations. 4. N14 Class members will be entitled to compensation of up to $2,250 if they had to sell their vehicle at a loss before the effective settlement date due to an unrepaired damaged or failed engine caused by timing-chain tensioner and/or timing chain failure, again subject to discounts based on mileage and the time since their vehicle was first placed into service, as well as certain other limitations. The parties have not specified the total dollar value of the settlement because the total amount paid out by Defendants will depend on the number and nature of claims submitted by N14 Class members, but Plaintiffs' counsel estimated at oral argument on January 6, 2016 that the settlement's total value may be in excess of $30 million. Under the settlement agreement, Plaintiffs' counsel may apply to the Court for a total award of fees and expenses not more than For internal use only SDNY_GM_00057235 CONFIDENTIAL-PURSUANTTOFED.R.CalliI E)EENTFIAL_ DB-SONY-0020059 EFTA_00 167803 EFTA01295900 Page 4 BMW OF NORTH AMERICA: Final Approval Hearing Moved to July 14 Class Action Reporter April 15, 2016 $2,320,000. Defendants agree not to object to an application for an award of up to $1,820,000. Defendants also agree not to oppose an application for service awards of $4,000 each to the 18 Class Representatives. In the January Order, the Court appointed as class counsel the firms Khorrami Boucher Sumner Sanguinetti, LLP (now Boucher LLP), Cafferty Clobes Meriweather & Sprengel LLP, Markun Zusman Freniere Compton LLP, and Pinilis Halpern, LLP. The Court also appointed Kiesel Law LLP, Ahdoot & Wolfson PC, and Morgan & Morgan Complex Litigation Group, all of whom Plaintiffs represent are "exceedingly qualified in class action and complex litigation" and whose resumes and curriculum vitae Plaintiffs have attached to their proposed settlement agreement. A copy of Judge Walls's opinion dated January 6, 2016, is available at http://goo.gl/U81kY4 from Leagle.com. Joshua Skeen and Laurie Freeman, Plaintiff, represented by Jeffrey Alan Koncius [email protected] Kiesel Larson LLP; William J. Pinilis [email protected] -- at Pinilis Halpern Scott Lamb, Gina Romaggi and Emmanuel Nomikos, represented by William J. Pinilis -- [email protected] -- at Pinilis PlaintiffS, Halpern , Consol Plaintiff, represented by Bryan L. Clobes [email protected] -- AT cafferty clobes meriwether & sprengel LLP; William J. Pinilis at Pinilis Halpern Defendants BMW of North America, LLC, BMW (US) Holding Corp., and Bayerische Motoren Werke Aktiengesellschaft, are represented by Christopher J. Dalton -- [email protected] -- at Buchanan, Ingersoll & Rooney, PC; Rosemary Joan Bruno -- [email protected] -- at Buchanan, Ingersoll & Rooney, PC; and Daniel Zev Rivlin [email protected] -- at Buchanan Ingersoll & Rooney PC LOAD-DATE: April 15, 2016 LANGUAGE: ENGLISH PUBLICATION-TYPE: Newsletter Class Action Reporter For internal use only SDNY_GM_00057236 CONFIDENTIAL-PURSUANTTO FED. R.CON(F I DENTIAL DB-SONY4*20060 EFTA 00167804 EFTA01295901 Page 5 BMW OF NORTH AMERICA: Final Approval Hearing Moved to July 14 Class Action Reporter April 15, 2016 Copyright 1994 - 2016 Bankruptcy Creditors' Service, Inc. and Beard Group, Inc. All Rights Reserved Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2016 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date: 10/12/2016 Report processed by: DEUTSCHE BANK AGII Full Name KAHN. RICHARD CHARLES Address ADDITIONAL PERSONAL INFORMATION SSN DOB 451-51-Y000( 9/1968 I SSN linked to multiple (Age.48) people Subject Summary Name Variations T. KAHN. RICAHRD C 2: KAHN, RICHARD 3: KAHN, RICHARD C JR 4: KAHN, RICHARD C 5: KAHN, RICHARD C SR 6: KAHN. RICHARD CHARLES 7: KHAN, RICHARD C SSNs Summary No. SSN State Iss. County Phone PARK Gender Date Iss. Warnings For internal use only LexID(sm) 001296139875 SDNY_GM_00057237 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020061 EFTA_00 I 67805 EFTA01295902 Page 2 Most frequent SSN attributed to subject: 1: 451-51-XXXX Texas 1980-1981 SSN linked to multiple people DOBs Reported DOBs: 9/1968 9/1968 • . • . . i si gia iiiss a yin _ • hers Using records found # Full Name SSN DOB 1: KAHN. RICHARD C JR 451-51-XXXX 1/1995 Address Summary - 32 records found No. Address 1 2 3: 4 5 6: 8: 9: For internal use only SDNY_GM_00057238 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020062 EFTA_00167806 EFTA01295903 Page 3 No. Address 10: 11: 12: 13: 1 14: ;PT 809 B2 15: n Preparation Service 16: 17: D7 18: 19: 20: 21: 22: 23: 5-4110 24: For internal use only SDNY_GM_00057239 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020063 EFTA_00167807 EFTA01295904 Page 4 No. Address 25. 26 27. 28 29: 30. 31: 32. Census Data for Geographical Region Median Head of Household Age. 53 Median Income: $67,477 Median Home Value: $257.042 Median Education: 15 years Household Members KAHN. MARY BLANCHE Other Associates None Listed 2 Address 356 Census Data for Geographical Region Median Head of Household Age: 41 Median Income: $76.856 Median Home Value: $162,908 For internal use only Dates 2008 - 8/2016 Dates 2012 - 10/2016 Phone SDNY_GM_00057240 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020064 EFTA_00167808 EFTA01295905 Page 5 Median Education: 12 years Household Members DELGADO, CRISTINA VIRIDIANA KAHN. RICHARD CHARLES JR Other Associates None Listed dress Census Data for Geographical Region Median Head of Household Age: 24 Median Income: $50.000 Median Home Value: $103,395 Median Education: 11 years Household Members None Listed Other Associates None Listed 4A:111. 1 Census Data for Geographical Region Median Head of Household Age 24 Median Income: $50,000 Median Home Value: $103,395 Median Education: 11 years Household Members KAHN, JULIA E KAHN, RICHARD CHARLES JR Other Associates None Listed 5: Address Census Data for Geographical Region Median Head of Household Age 53 Median Income: $67,477 Median Home Value: $257.042 Median Education: 15 years Household Members KAHN. MARY BLANCHE Other Associates None Listed 6: For internal use only Dates 6f2002 - 7t2016 Phone Dates Phone 10/1997 - 5/2016 Dates 11/2008 - 2015 Phone Dates Phone 4/1996 - 2014 SDNY_GM_00057241 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020065 EFTA_00 I 67809 EFTA01295906 Page 6 Census Data for Geographical Region Median Head of Household Age: 28 Median Income: $51,533 Median Home Value: $103423 Median Education: 11 years Household Members None Listed Other Associates None Listed 7: Census Data for Geographical Region Median Head of Household Age: 42 Median Income: $18,151 Median Home Value: $157.095 Median Education: 13 years Household Members DELGADO. CRISTINA VIRIDIANA Other Associates None Listed 8: Census Data for Geographical Region Median Head of Household Age: 28 Median Income: $51.533 Median Home Value: $103.423 Median Education: 11 years Household Members KAHN. RICHARD CHARLES JR Other Associates None Listed 9: Address Dates Phone 1/2011 - 11/2013 Dates Phone 7/2009 - 912013 Dates Phone 7/1998 - 2013 Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $104.762 Median Home Value: $221,429 Median Education: 14 years Household Members None Listed Other Associates None Listed 10: Address Dates 6/2006 - 92012 For internal use only SDNY_GM_00057242 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020066 EFTA_00167810 EFTA01295907 Page 7 WEBB COUNTY Census Data for Geographical Region Median Head of Household Age. 36 Median Income: $104.762 Median Home Value: $221,429 Median Education: 14 years Household Members KAHN. MARTHA STABEN Other Associates ZUNIGA. FEDERICO CARLOS 11: Address 8104 SAN GABRIEL DR STE 1 LAREDO, TX 78045-7017 WEBB COUNTY Census Data for Geographical Region Median Head of Household Age: 24 Median Income: $50,000 Median Home Value: $103,395 Median Education: 11 years Household Members None Listed Other Associates None Listed Dates Phone 12/2004 - 8/2012 12: NONE NONE TX SAN ANTONIO, TX 78209 Address Dates Phone NONE NONE TX 10/2011 - 2/2012 SAN ANTONIO, TX 78209 BEXAR COUNTY Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $51,563 Median Home Value: $121,635 Median Education: 15 years Household Members None Listed Other Associates None Listed 13: Address Census Data for Geographical Region Median Head of Household Age 29 Median Income: $77,114 Median Home Value: $148,826 Median Education: 13 years Household Members DELGADO, CRISTINA VIRIDIANA KAHN. RICHARD CHARLES JR Other Associates DELGADO, JULIO CESAR Dates Phone 2006 - 6/2011 14: 2255 THOUSAND OAKS DR APT 809 SAN ANTONIO, TX 78232-3982 Address Dates Phone For internal use only SDNY_GM_00057243 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020067 EFTA_0016781 I EFTA01295908 Page 8 5/2004 - 4/2007 EEXAR COJftlY Census Data for Geographical Region Median Head of Household Age 37 Median Income: $61.769 Median Home Value: $152,310 Median Education: 14 years Household Members None Listed Other Associates None Listed 15: WEBB COUNTY Census Data for Geographical Region Median Head of Household Age 28 Median Income: 651.533 Median Home Value: $103.423 Median Education: 11 years Household Members None Listed Other Associates None Listed 16: Address Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $104,762 Median Home Value: $221,429 Median Education: 14 years Household Members None Listed Other Associates None Listed Dates 3/1996 - 3/2007 Dates 4/2003 - 7/2066 Phone 17: Address Dates Phone 8/2005 - 3/2006 BEXAR COUNTY Household Members None Listed Other Associates None Listed 18: Address Dates Phone 6f2003 - 12006 WEBB COUNTY Census Data for Geographical Region Median Head of Household Age. 24 Median Income: $38.989 For internal use only SDNY_GM_00057244 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020068 EFTA_00 I 67812 EFTA01295909 Page 9 Median Home Value: $117.339 Median Education: 10 years Household Members None Listed Other Associates None Listed 19: Address Dates Phone 1/1998 - 3/2004 WEBB COUNTY Census Data for Geographical Region Median Head of Household Age: 35 Median Income: $73.980 Median Home Value: $139.931 Median Education: 12 years Household Members None Listed Other Associates None Listed 20: Address Dates Phone 1/1996 - 4/2003 WEBB COUNTY Census Data for Geographical Region Median Head of Household Age: 26 Median Income: $38.341 Median Home Value: $63,500 Median Education: 11 years Household Members KAHN. ADOLPH R JR KAHN. MARTHA STABEN Other Associates None Listed 21 Address WEBB COUNTY Household Members None Listed Other Associates None Listed Dates 1/2002 - 6/2002 Phone 22: Address Dates Phone 4 %, BB CAJUN I Y Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $104.762 Median Home Value: $221,429 Median Education: 14 years Household Members KAHN. ADOLPH R JR For internal use only 12/1989 - 6/2002 SDNY_GM_00057245 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020069 EFTA_00167813 EFTA01295910 Page 10 KAHN. MARTHA STABEN Other Associates None Listed 23 Ad 25 CC BR Census Data tor Geographical Region Median Head of Household Age: 28 Median Income: $89,727 Median Home Value: $184.649 Median Education: 15 years Household Members None Listed Other Associates None Listed Census Data for Geographical Region Median Head of Household Age. 35 Median Income: $73,980 Median Home Value: $139,931 Median Education: 12 years Household Members None Listed Other Associates None Listed BRAZOS COUN Census Data for Geographical Region Median Head of Household Age. 28 Median Income: $89,727 Median Home Value: $184,649 Median Education: 15 years Household Members None Listed Other Associates None Listed WEBB COUNTY Census Data for Geographical Region Median Head of Household Age. 37 Median Income: $64,939 Median Home Value: $144,130 Median Education: 12 years Household Members For internal use only Dates 8/1993 - 1/1999 Phone Dates Phone 12/1998 - 12/1998 Dates Phone 3/1994 - 3/1994 Dates Phone 9/1993 - 3/1994 SDNY_GM_00057246 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020070 EFTA_00167814 EFTA01295911 Page 11 KAHN. ADOLPH R JR Other Associates None Listed TRAVIS COUNTY Census Data for Geographical Region Median Head of Household Age: 27 Median Income: $35,353 Median Home Value: $137,500 Median Education: 13 years Household Members None Listed Other Associates None Listed WEBB COUNTY Household Members None Listed Other Associates None Listed WEBB LOUNIY Household Members None Listed Other Associates None Listed TRAVIS COUNTY Census Data for Geographical Region Median Head of Household Age 31 Median Income: $46,269 Median Home Value: $110.947 Median Education: 12 years Household Members None Listed Other Associates None Listed Household Members For internal use only Dates Phone 5/1990 - 12/1990 Dates Phone 2/1990 - 2/1990 Dates Phone 12/1989 - 12/1989 Dates Phone SDNY_GM_00057247 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020071 EFTA_00167S15 EFTA01295912 Page 12 None Listed Other Associates None Listed BEXAR COUNTY Census Data for Geographical Region Median Head of Household Age: 27 Median Income: $61,957 Median Home Value: $115,515 Median Education: 14 years Household Members KAHN. RICHARD CHARLES JR Other Associates None Listed Voter Registrations - 5 records found 1: Texas Voter Registration Registrant Information Name: KAHN. RICHARD CHARLES Residential Address: Dates Phone SSN: 451-51400OC Date of Birth: 9/1968 Gender: Male Voter Information Registration Date: 10/31/1986 Last Vote Date: 11/2/2010 2: Texas Voter Registration Registrant Information Name: KAHN. RICHARD Residential Address: SSN: 451-51-XXXX Date of Birth: 9/1968 Gender: Male Voter Information Registration Date: 10131/1986 Active Status: ACTIVE 3: Texas Voter Registration Registrant Information Name: KAHN. RICHARD CHARLES Residential Address: SSN: 451-51-XXXX Date of Birth: 9/1968 Gender: Male Voter Information Registration Date: 4/19/2014 For internal use only SDNY_GM_00057248 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020072 EFTA_00I678I6 EFTA01295913 Page 13 Party Affiliation: NONE DECLARED Active Status: ACTIVE 4: Texas Voter Registration Registrant Information Name: KAHN, RICHARD CHARLES Residential Addres SSN Date of Birth: 9/1968 Gender: Male Voter Information Registration Date: 6/312012 Last Vote Date: 11/6/2012 5: Texas Voter Registration Registrant Information Name: KAHN. RICHARD CHARLES Residential Address: SSN: Date of Birth: 9/1968 Gender: Male Voter Information Registration Date: 6/3/2012 Last Vote Date: 11/6/2012 Party Affiliation: NONE DECLARED Active Status: ACTIVE Driver Licenses - 12 records found 1: Texas Driver License Driver Information Name: KAHN. RICHARD CHARLES Address: Data source: Governmental. TX Personal Information SSN: 451-51-XXXX DOB: 09/1968 License Information 2: Texas Driver License Issue Date: 04/05/2013 Additional Driver Information DOB: 09/1968 History: Current Driver Information Name: KAHN. RICHARD CHARLES Address: Data source: Governmental: TX Personal Information For internal use only SDNY_GM_00057249 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020073 EFTA_00167817 EFTA01295914 Pug 14 SSN: 451-51-XXXX DOB: 09/1968 License Information Issue Date: 09/07/2012 Additional Driver Information DOB: 09/1968 History: Historical 3: Texas Driver License Driver Information Name: KAHN RICHARD CHARLES Address: Data source: Governmental TX Personal Information SSN: 451-51-XXXX DOB: 09/1968 License Information 4: Texas Driver License Issue Date: 06/13,2011 Additional Driver Information DOB: 09/1968 History: Historical Driver Information Name: KAHN. RICHARD CHARLES Address: Data source: Personal Information SSN: 451-51-XXXX DOB: 09/1968 License Information 5: Texas Driver License Issue Date: 03/08/1984 Additional Driver Information DOB: 09/1968 History: Historical Driver Information Name: KAHN. RICHARD CHARLES Address: Data source: Governmental. TX Personal Information SSN: 451-51-XXXX DOB: 09/1968 6: Texas Driver License Additional Driver Information DOB: 09/1968 History: Historical For internal use only SDNY_GM_00057250 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020074 EFTA_00 I 67818 EFTA01295915 Page 15 Driver Information Name: KAHN, RICHARD CHARLES Address: Data source: Personal Information SSN: 451-51-XXXX DOB: 09/1968 Additional Driver Information DOB: 09/1968 History: Historical 7: Texas Driver License Driver Information Name: KAHN. RICHARD CHARLES Address: Data source: Governmental: TX Personal Information SSN: 451-51-XX)0( DOB: 09/1968 License Information License Type: ADDRESS CHANGE ONLINE 8: Texas Driver License Additional Driver Information DOB: 09/1968 History: Historical Driver Information Name: KAHN, RICHARD CHARLES Address: Data source: Governmental: TX Personal Information SSN: 451-51-XXXX DOB: 09/1968 License Information License Type: DUPLICATE 9: Texas Driver License Additional Driver Information DOB: 09/1968 History: Historical Driver Information Name: KAHN, RICHARD CHARLES Address: Data source: Personal Information SSN: 451.51-XXXX DOB: 09/1968 For internal use only SDNY_GM_00057251 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020075 EFTA_00167819 EFTA01295916 Page 16 Additional Driver Information DOB: 09/1968 History: Historical 10: Texas Driver License Driver Information Name: KAHN. RICHARD CHARLES Address: Data source: Personal Information SSN: 451.51-XXXX DOB: 09/1968 License Information License Type: DUPLICATE 11: Texas Driver License Additional Driver Information DOB: 09/1968 History: Historical Driver Information Name: KAHN, RICHARD CHARLES Address: Data source: Personal Information SSN: 451-51-XXXX DOB: 09/1968 License Information License Type: RENEWAL 12: Texas Driver License Additional Driver Information DOB: 09/1968 History: Historical Driver Information Name: KAHN. RICHARD C Address: Data source: Non-Govemmentai: TX Personal Information SSN: 451-51-XXXX DOB: 09/1968 Additional Driver Information DOB: 09/1968 Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses -1 records found 1: Name: For internal use only SDNY_GM_00057252 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020076 EFTA_00167820 EFTA01295917 Pug 17 Address: Record Type: Certification Class: Medical Certification Date: Medical Date Expires: Sport Licenses 1: Sport License Name: DOB: Address: Number: License Date: License State: Type: Home State: Real Property - 10 records found 1: Assessment Record for WEBB County, TX Owner Information KAHN RICHARD CHARLES Certification Type: Level: Ratings: -1 records found KAHN, RICHARD C 2005 Alaska Hunting and Fishing Texas Name: Address: County/FIPS: Data Source: Assessor's Parcel Number: Assessed Value: Total Market Value: 2: Assessment Record for Name: Address: County/FIPS: Address: County/FIPS: Data Source: Assessor's Parcel Number: Recording Date: 06123t2006 Book/Page: 226 WEBB Property Information B Legal Information 0301610-9224446-OR Assessment Information $250 $250 WEBB County, TX Owner Information KAHN RICHARD C IV GOO WEBB B Legal Information 909-00057-808 For internal use only SDNY_GM_00057253 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020077 EFTA_00 I 67821 EFTA01295918 Page 18 Assessment Information Assessed Value: Market Land Value: Market Improvement Value: Total Market Value: 3: Assessment Record for Name: Address: County/FIPS: Address: Cou nty/FI PS: Data Source: Assessor's Parcel Number: Recording Date: Book/Page: Assessed Value: Market Land Value: Market Improvement Value: Total Market Value: $232030 $73230 $158800 $232030 BEXAR County, TX Owner Information KAHN RICHARD C Property Information BEXAR B Legal Information 16129-100-8090 06/04/2004 10793/597 Assessment Information $81990 $14300 $67690 $81990 4: Assessment Record for BEXAR County, TX Owner Information Name: KAHN RICHARD Address: County/FIPS: WEBB Property Information Address: WILDERNESS OAK Data Source: B Assessor's Parcel Number: Recording Date: Book/Page: Assessed Value: Market Land Value: Total Market Value: Legal Information 04900-000-1020 12/22/2004 11154/162 Assessment Information $23500 $23500 $23500 5: Assessment Record for BEXAR County, TX Owner Information For internal use only SDNY_GM_00057254 CONFIDENTIAL — PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0020078 EFTA_00 67822 EFTA01295919 Page 19 Name: KAHN RICHARD Address: County/FIPS: Address: Data Source: Assessor's Parcel Number: Recording Date: Book/Page: Assessed Value: Market Land Value: Total Market Value: Property Information WILDERNESS OAK B Legal Information 04900-000-0305 12/22/2004 11154/157 Assessment Information $23700 $23700 $23700 6: Assessment Record for COMAL County, TX Owner Information KAHN RICHARD C & JULIA E Name: Address: County/FIPS: Address: Data Source: Assessor's Parcel Number: Recording Date: Market Land Value: Total Market Value: 7: Assessment Record for Name: Address: County/FIPS: Address: County/FIPS: Data Source: Assessor's Parcel Number: Assessed Value: Market Land Value: WEBB Property Information OAK SHORES DR CANYON LAKE. TX B Legal Information 40-0400-0056-00 04/03/2001 Assessment Information $93600 $93600 WEBB County, TX Owner Information KAHN RICHARD C & JULIA E WEBB WEBB B Legal Information 909-00056-800 Assessment Information $210000 $57830 For internal use only SDNY_GM_00057255 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020079 EFTA 00167823 EFTA01295920 Page 20 Market Improvement $152170 Value: Total Market Value: $2100° 0 8: Assessment Record for WEBB County, TX Owner Information Name: Address: County/FIPS: Address: County/FIPS: Data Source: WEBB WEBB B Legal Information Assessor's Parcel 900-90221-024 Number: Recording Date: 07/01/1998 Book/Page: 655/475 Assessment Information Assessed Value: $158720 Market Land Value: $158720 Total Market Value: $158720 9: Assessment Record for WEBB County, TX Owner Information KAHN RICHARD CHARLES 8 SUSANNE K LEYENDECKER Name: Address: County/FIPS: Address: County/FIPS: Data Source: ENDECKER TRUSTEE WtBB Property Information 8002 SAN GABRIEL DR LAREDO, TX 78045.7120 WEBB B Legal Information Assessor's Parcel 900-90221-156 Number: Recording Date: 07/01/1998 Book/Page: 655/475 Assessment Information Assessed Value: $159900 Market Land Value: $32140 Market Improvement $127760 Value: Total Market Value: $159900 10: Assessment Record for WEBB County, TX Owner Information Name: KAHN RICHARD C Address: For internal use only SDNY_GM_00057256 CONFIDENTIAL — PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0020080 EFTA_00167824 EFTA01295921 Page 2 I County/FIPS: Address: County/FIPS: Data Source: Assessor's Parcel Number: Recording Date: 04/06/1999 Book/Page: 753/743 Assessment Information Assessed Value: $95320 Market Land Value: $28800 Market Improvement $66520 Value: Total Market Value: $95320 Motor Vehicle Registrations - 59 records found WEBB WEBB B 1: TX MVR Legal Information 909-00038-642 Registrant Information Registrant: KAHN. RICHARD CHARLES DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: 2: TX MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Color: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: eg strat on Informal on 5/6/2015 5/19/2016 4/30/2017 Vehicle Information WOCGG5GB7CF895609 PASSENGER CAR/LIGHT TRUCK 2012 Mercedes-Benz GLK350 GLK350 4 Dr Wagon Sport Utility White Plate Information Private FSX2146 TX FSX2146 TX Source Information GOVERNMENTAL Vehicle Information VIN: WDCGG5GB7CF895609 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2012 Make: Mercedes-Benz Model: GLK350 Series: GLK350 Body Style: 4 Dr Wagon Sport Utility For internal use only SDNY_GM_00057257 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020081 EFTA_00 I 67825 EFTA01295922 Page 22 Color: White Owner Information Name: KAHN. RICHARD CHARLES DOB: Address: Title Information Title Number: 24020042154132638 Title Transfer Date: 6/8/2015 Title Issue Date: 6/8/2015 Source Information Data Source: GOVERNMENTAL 3: TX MVR Registrant Information Registrant: KAHN. RICHARD CHARLES DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: 4: TX MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Color: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: Registration Information 4/5/2016 4/5/2016 9/30/2016 Vehicle Information 3D73Y4CL1BG621965 PASSENGER CAR/LIGHT TRUCK 2011 Dodge Ram 3500 Crew Pickup White Plate Information Private CPT9594 TX HBT4813 TX Source Information GOVERNMENTAL Vehicle Information VIN: 3D73Y4CL1BG621965 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Dodge Model: Ram Series: 3500 Body Style: Crew Pickup Color: White Owner Information Name: KAHN. RICHARD CHARLES DOB: Address: For internal use only SDNY_GM_00057258 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020082 EFTA_00I 67826 EFTA01295923 Page 23 5: TX MVR Title Number: Title Transfer Date: Title Issue Date: Data Source: 24031142463155825 4/13/2016 4/13/2016 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. RICHARD CHARLES DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: 6: TX MVR 7: TX MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Color: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: egistration Information 1/26/2015 1/5/2016 12/31/2016 Vehicle Information 1FTSW20566EC04571 PASSENGER CAR/LIGHT TRUCK 2006 Ford F250 SUPER DUTY Crew Pickup white Plate Information Private FJL6563 TX FJL6563 TX Source Information GOVERNMENTAL Vehicle Information VIN: 1FTSW20566EC04571 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2006 Make: Ford Model: F250 Series: SUPER DUTY Body Style: Crew Pickup Color: White Owner Information Name: KAHN. RICHARD CHARLES DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: 24025042028144003 2/2/2015 2/2/2015 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN, R C For internal use only SDNY_GM_00057259 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020083 EFTA_00I 67827 EFTA01295924 Page 24 DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: 8: TX MVR 9: TX MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Color: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: Registration Information 11/9/2013 11/9/2013 10/31/2014 Vehicle Information 3GCPCSE04DG256007 PASSENGER CAR/LIGHT TRUCK 2013 Chevrolet Silverado C1500 LT Crew Pickup Black Plate Information Private BPP0949 TX CPH2O85 TX Source Information GOVERNMENTAL Vehicle Information VIN: 3GCPCSE04DG256007 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2013 Make: Chevrolet Model: Silverado Series: C1500 LT Body Style: Crew Pickup Color: Black Owner Information Name: KAHN. R C Title Number: Title Transfer Date: Title Issue Date: Data Source: Title Information 01522341585135052 11/19/2013 11/19/2013 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. R C DOB: Address: Registration Information Original Registration Date: 9/1/2013 Registration Date: 9/1/2013 Registration Expiration Date: 8/31/2014 For internal use only SDNY_GM_00057260 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020084 EFTA_00I 67828 EFTA01295925 Page 25 VIN: Class: Model Year: Make: Model: Series: Body Style: Color: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 10: TX MVR 11: TX MVR Data Source: Vehicle Information WDDGF5EB6BR 135752 PASSENGER CAR/LIGHT TRUCK 2011 Mercedes-Benz C300 C300 Sedan 4 Door Black Plate Information Private BCZ9880 TX BCZ9880 TX Source Information GOVERNMENTAL Vehicle Information VIN: VVDDGF5EB6BR135752 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Mercedes-Benz Model: C300 Series: C300 Body Style: Sedan 4 Door Color: Black Owner Information Name: KAHN. R C DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: Title Information 01512341151120536 9/14/2012 9/14/2012 Source Information GOVERNMENTAL Registrant Information Registrant 1 Registrant: RKCD ENTERPRISES LLC Address: Registrant 2 Registrant: KAHN. RICHARD DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: 8/23/2011 8/27/2013 7/31/2014 Vehicle Information 3D7UT2HLXBG629398 For internal use only SDNY_GM_00057261 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020085 EFTA_00167829 EFTA01295926 Page 26 Class: Model Year: Make: Model: Series: Body Style: Color: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 12: TX MVR 13: TX MVR Data Source: PASSENGER CAR/LIGHT TRUCK 2011 Dodge Ram 2500 MEGA CAB Crew Pickup White Plate Information Private BJ04010 TX BJ04010 TX Source Information GOVERNMENTAL Vehicle Information VIN: 3D7UT2HLXBG629398 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Dodge Model: Ram Series: 2500 MEGA CAB Body Style: Crew Pickup Color: White Owner Information Owner 1 Name: RKCD ENTERPRISES LLC Address: S I. Name: DOB: Address: Owner 2 KAHN. RICHARD Lienholder Information Name: JPMORGAN CHASE BANK N. A Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: Title Information 16320140776134448 9/8/2011 9/8/2011 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN, R C DOB: Address: Registration Information Original Registration Date: 7/1/2013 Registration Date: 7/1/2013 For internal use only SDNY_GM_00057262 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020086 EFTA_00 I 67830 EFTA01295927 Page 27 Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: Color: Secondary Colo: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 14: TX MVR 15: TX MVR Data Source: VIN: Class: Model Year: Make: Model: Series: Body Style: Color: Secondary Colo: Name: DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: 6/30/2014 Vehicle Information 1FTSX21P67EA49146 PASSENGER CAR/LIGHT TRUCK 2007 Ford F250 SUPER DUTY 4 Door EXT Cab PK Silver Red Plate Information Private BV64074 TX BV64074 TX Source Information GOVERNMENTAL Vehicle Information 1FTSX21P67EA49146 PASSENGER CAR/LIGHT TRUCK 2007 Ford F250 SUPER DUTY 4 Door EXT Cab PK Silver Red Owner Information KAHN, R C nrormanon 01512341099174214 7/20/2012 7/20/2012 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. R C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Registration Information 4/18/2013 4/18/2013 3/31/2014 Vehicle Information 1C6RD7JT6CS267589 PASSENGER CAR/LIGHT TRUCK 2012 Dodge For internal use only SDNY_GM_00057263 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020087 EFfik_00I67831 EFTA01295928 Page 28 16: TX MVR 17: TX MVR Model: Series: Body Style: License Plate Type: License Plate Number: Plate State: Data Source: Ram TRUCK 1500 LARAMIE Crew Pickup Plate Information Private 8RL5363 TX Source Information GOVERNMENTAL Vehicle Information VIN: 1C6RD7JT6CS267589 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2012 Make: Dodge Model: Ram Series: TRUCK 1500 LARAMIE Body Style: Crew Pickup Owner Information Name: KAHN, R C DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: 24030541380141515 5/1/2013 5/1/2013 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN, R C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: Color: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: Registration Information 9/17/2012 9/17/2012 8/31/2013 Vehicle Information 5LMJJ2H59BEJD6474 PASSENGER CAR/LIGHT TRUCK 2011 Lincoln Navigator BASE 4 Dr Wagon Sport Utility White Plate Information Private AM52297 TX AM52297 TX Source Information GOVERNMENTAL For internal use only SDNY_GM_00057264 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020088 EFTA_00 I 67832 EFTA01295929 Page 29 18: TX MVR Vehicle Information VIN: SLMJJ2H59BEJ06474 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Lincoln Model: Navigator Series: BASE Body Style: 4 Dr Wagon Sport Utility Color: White Owner Information Name: KAHN. R C 19: TX MVR DOB: Address: Name: Address: Name: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: Lienholder 1 FORD MOTOR CREDIT CO 27600 KINGS MANOR DR N APT 1073 KINGWOOD. TX 77339-2163 MONTGOMERY COUNTY Lienholder 2 FORD MOTOR CREDIT CO. LLC PO BOX 105704 ATLANTA. GA 30348-5704 FULTON COUNTY Title Information 24030740652163713 5/10/2011 5/10/2011 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. R C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Registration Information 8/31/2012 8/31/2012 7/31/2013 Vehicle Information WBAUT9C53BA191881 PASSENGER CAR/LIGHT TRUCK 2011 BMW 3281 3281 Station Wagon Plate Information Private CK9S222 TX BCZ9842 TX Source Information For internal use only SDNY_GM_00057265 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020089 EFTA_00 I 67833 EFTA01295930 Page 30 Data Source: GOVERNMENTAL 20: TX MVR 21: TX MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Name: DOB: Address: Name: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: Vehicle Information VVBAUT9C53BA191881 PASSENGER CAR/LIGHT TRUCK 2011 BMW 3281 3281 Station Wagon Owner Information KAHN. R C Lienholder Information IBC BANK 1200 SAN BERNARDO AVE LAREDO. TX 78040-6301 WEBB COUNTY Title Information 01502341150144923 9/17/2012 9/17/2012 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. RICHARD C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 22: TX MVR Data Source: egis ra on Information 8/1/2011 8/1/2012 7/31/2013 Vehicle Information 3B7KF23771G238243 PASSENGER CAR/LIGHT TRUCK 2001 Dodge Ram 2500 QUAD 4 Door EXT Cab PK Plate Information Private BG11924 TX BG11924 TX Source Information GOVERNMENTAL Vehicle Information VIN: 3B7KF23771G238243 Class: PASSENGER CAR/LIGHT TRUCK For internal use only SDNY_GM_00057266 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020090 EFTA_00I67834 EFTA01295931 Page 31 Model Year: 2001 Make: Dodge Model: Ram Series: 2500 QUAD Body Style: 4 Door EXT Cab PK Owner Information Name: KAHN. RICHARD C 23: TX MVR DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: Title Information 24030438390120504 2/24/2905 2/24/2005 Source Information GOVERNMENTAL Registrant Information Registrant 1 Registrant: KAHN. R C DOB Address Registrant: KHAN. RC Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: Color: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 24: TX MVR Data Source: Registrant 2 9505 MINES RD STE 207 LAREDO. TX 78045-8842 WEBB COUNTY Registration Information 7/11/2912 7/11/2912 6/30/2013 Vehicle Information 1FTVVVV31Y68EE 14364 PASSENGER CAR/LIGHT TRUCK 2008 Ford F350 SUPER DUTY Crew Pickup Brown Plate Information Private 26MGB8 TX BV64525 TX Source Information GOVERNMENTAL Vehicle Information VIN: 1F1VVVV31Y68EE 14364 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2008 Make: Ford Model: F350 For internal use only SDNY_GM_00057267 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020091 EFTA_00 I 67835 EFTA01295932 Page 32 Series: SUPER DUTY Body Style: Crew Pickup Color: Brown Owner Information Name: KAHN. R C 25: TX MVR DOB: Address: Name: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: 07 42 rmation IBC BANK 1200 SAN BERNARDO AVE LAREDO. TX 78040-6301 WEBB COUNTY Title Information 01512341099175039 7/20/2012 7/20/2012 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN, RICHARD C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: Color: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 26: TX MVR Data Source: 1 Registration Information 6/1/2012 6/1/2012 5/31/2013 Vehicle Information WAULL44E75N005432 PASSENGER CAR/LIGHT TRUCK 2005 Audi A8 QUATTRO Sedan 4 Door Gray Plate Information Private GNF768 TX GWF768 TX Source Information GOVERNMENTAL Vehicle Information VIN: WAULL44E75N005432 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2005 Make: Audi Model: A8 Series: QUATTRO Body Style: Sedan 4 Door Color: Gray For internal use only SDNY_GM_00057268 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020092 EFTA_00I 67836 EFTA01295933 Page 33 Owner Information Name: KAHN. RICHARD C 27: TX MVR DOB: Address: Name: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: E1 ion INTL. BANK OF COMMERCE PO BOX 1359 LAREDO, TX 78042-7359 WEBB COUNTY Title Information 06600039629094315 7/15/2008 7/15/2008 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN, RICHARD CHARLES DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 28: TX MVR Data Source: 4/12/2011 4/12/2011 3/31/2012 Vehicle Information 1ZVHT80N575334782 PASSENGER CAR/LIGHT TRUCK 2007 Ford Mustang BASE Coupe Plate Information Private 570YWJ TX CR9K021 TX Source Information GOVERNMENTAL Vehicle Information VIN: 1ZVHT80N575334782 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Ford Model: Mustang Series: BASE Body Style: Coupe Color: Black Owner Information Name: KAHN, RICHARD DOB: Address: For internal use only SDNY_GM_00057269 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020093 EFTA_00 I 67837 EFTA01295934 Page 34 Lienholder Information Name: KAHN. RICHARD 29: TX MVR Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: itk Information 22720741013143156 4/24/2012 4/24/2012 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. R C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 30: TX MVR Data Source: D 13 Registration Information 12/31/2007 12/1/2010 11/30/2011 Vehicle Information 1FTPW14V18KC47827 PASSENGER CAR/LIGHT TRUCK 2008 Ford F150 FX4-KING RANCH-LARIAT-XL- Crew Pickup Plate Information Private 44DGB7 TX 44DGB7 TX Source Information GOVERNMENTAL Vehicle Information VIN: 1FTPW14V18KC47827 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2008 Make: Ford Model: F150 Series: FX4-KING RANCH-LARIAT-XL- Body Style: Crew Pickup Owner Information Name: KAHN. R C DOB: Address: Lienholder Information Lienholder 1 Name: FORD MOTOR CRED. CO. For internal use only SDNY_GM_00057270 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0020094 EFTA_00I67838 EFTA01295935 Page 35 31: TX MVR Address: Name: Address: Name: Address: Name: Address: Name: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: PO BOX 105704 ATLANTA. GA 30348-5704 FULTON COUNTY Lienholder 2 FORD MOTOR CREDIT CORP. PO BOX 105704 ATLANTA. GA 30348-5704 FULTON COUNTY Lienholder 3 FORD MOTOR CREDTI co. PO BOX 105704 ATLANTA GA 30348-5704 FULTON COUNTY Lienholder 4 FORD MOTRO CREDIT CO. PO BOX 10574 ATLANTA, GA 30310-0574 FULTON COUNTY Lienholder 5 PROD MOTOR CREDIT CO. PO BOX 105704 ATLANTA. GA 30348-5704 FULTON COUNTY Title Information 24030539454110034 1/24/2008 1/24/2008 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. R C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 32: TX MVR Data Source: VIN: egis ra n n ormation 5/18/2010 5/18/2010 4/30/2011 Vehicle Information 1FTNW20L54EB71555 PASSENGER CAR/LIGHT TRUCK 2004 Ford F250 SUPER DUTY Crew Pickup Plate Information Private 07KJZ1 TX AL21256 TX Source Information GOVERNMENTAL Vehicle Information 1FTNW20L54EB71555 For internal use only SDNY_GM_00057271 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020095 EFTA_00I 67839 EFTA01295936 Page 36 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2004 Make: Ford Model: F250 Series: SUPER DUTY Body Style: Crew Pickup Owner Information Name: KAHN. R C 33: TX MVR DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: 07 2 Title Information 17830340335145322 6/22/2010 6/22/2010 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. RICHARD C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 34: TX MVR Data Source: VIN: Class: Model Year: Make: Model: Series: Body Style: Name: DOB: Address: egistration information 4/4/2006 4/1/2007 3/31/2008 Vehicle Information YV1RS58D012043890 PASSENGER CAR/LIGHT TRUCK 2001 Volvo S60 2.4T Sedan 4 Door Plate Information Private 154MCX TX 154MCX TX Source Information GOVERNMENTAL Vehicle Information YV1RS580012043890 PASSENGER CAR/LIGHT TRUCK 2001 Volvo S60 2.4T Sedan 4 Door Owner Information KAHN, RICHARD C For internal use only SDNY_GM_00057272 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020096 EFTA_00 I 67840 EFTA01295937 Page 37 35: TX MVR Title Number: Title Transfer Date: Title Issue Date: Data Source: Title Information 24030838829102447 5/2/2006 5Q/2006 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN RICHARD C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 36: TX MVR Data Source: B40 Registration Information 2/22/2006 3/13/2007 1/31/2008 Vehicle Information 1FDLF47F6SEA30778 HEAVY TRUCK 1995 Ford F SUPER DUTY Cab And Chassis Plate Information Private 8FTR71 TX 8FTR71 TX Source Information GOVERNMENTAL Vehicle Information VIN: 1FDLF47F6SEA30778 Class: HEAVY TRUCK Model Year: 1995 Make: Ford Model: F Series: SUPER DUTY Body Style: Cab And Chassis Owner Information Owner 1 Name: KAHN FENCE CORP. Address: 9505 MINES RD LOT 28 LAREDO, TX 78045-8840 WEBB COUNTY Owner 2 Name: KAHN, RICHARD C DOB: Address: Lienholder Information Lienholder 1 For internal use only SDNY_GM_00057273 CONFIDENTIAL — PURSUANT TO FED. R.crt;IFIlf IDENTIAL DB-SDNY-0020097 EFTA_00167841 EFTA01295938 Page 38 37: TX MVR Name: Address: Name: Address: Name: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: FROST NATIONAL BANK PO BOX 1600 SAN ANTONIO, TX 78296-1600 BEXAR COUNTY Lienholder 2 FROST NAIL. BANK PO BOX 1600 SAN ANTONIO. TX 78296-1600 BEXAR COUNTY Lienholder 3 THE FROST NATIONAL BANK PO BOX 1600 SAN ANTONIO, TX 78296-1600 BEXAR COUNTY Title Information 00022200050510049 6/6/1996 6/6/1996 Source Information GOVERNMENTAL Registrant Information Registrant 1 Registrant: KAHN, RICHARD DOB: Address: Registrant 2 Registrant: MADRIGAL. CRISTINA DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 38: TX MVR Data Source: 1/1/2005 2/27/2006 1/31/2007 Vehicle Information JA4LS21HX3J034110 PASSENGER CAR/LIGHT TRUCK 2003 Mitsubishi Montero SPORT ES/SPORT LS 4 Dr Wagon Sport Utility Plate Information Private X45FKP TX X45FKP TX Source Information GOVERNMENTAL Vehicle Information VIN: JA4LS21HX3J034110 Class: UNKNOWN For internal use only SDNY_GM_00057274 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020098 EFTA_00167842 EFTA01295939 Page 39 Model Year: 2003 Make: Mitsubishi Model: Montero Series: SPORT ES/SPORT LS Body Style: 4 Dr Wagon Sport Utility Weight: 004100 Owner Information Owner 1 Name: KAHN, RICHARD 39: TX MVR DOB: Address: Name: MADRIGAL, CRISTINA DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: me n orma ion 01538237999105104 1/26/2004 1/26/2004 Source Information GOVERNMENTAL Registrant Information Registrant 1 Registrant: RC KAHN CORP. Address: 501 FENWICK DR LAREDO. TX 78041-2815 WEBB COUNTY Registrant 2 Registrant: KAHN. RICHARD DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: 5 T 809 Registration Information 12/1/2004 12/1/2005 11/30/2006 Vehicle Information 2FTRF17254CA16468 PASSENGER CAR/LIGHT TRUCK 2004 Ford F150 HERITAGE Pickup Plate Information Private 9LYT68 TX 9LYT68 TX Source Information GOVERNMENTAL For internal use only 09 SDNY_GM_00057275 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020099 EFTA_00167843 EFTA01295940 Page 40 40: TX MVR Vehicle Information VIN: 2FTRF17254CA16468 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2004 Make: Ford Model: F150 Series: HERITAGE Body Style: Pickup Owner Information Owner 1 Name: RC KAHN CORP. Address: 501 FENWICK DR LAREDO. TX 78041-2815 WEBB COUNTY Owner 2 Name: KAHN. RICHARD 41: TX MVR DOB: Address: Name: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: Lienholder Information FORD MOTOR CREDIT PO BOX 105704 ATLANTA, GA 30348-5704 FULTON COUNTY Title Information 24031037983154950 1/9/2004 1/9/2004 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. RICHARD DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: 15 Registration Information 10/1/2004 10/6/2005 9/30/2006 Vehicle Information 1HD1FRW483Y734228 MOTORCYCLE 2003 Harley-Davidson Flhrci ANNIVERSARY Road/Street Plate Information Motorcycle 616T4P TX 616T4P TX Source Information GOVERNMENTAL For internal use only SDNY_GM_00057276 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020100 EFTA_00 167844 EFTA01295941 Page 41 42: TX MVR Vehicle Information VIN: 1HD1FRW483Y734228 Class: MOTORCYCLE Model Year: 2003 Make: Harley-Davidson Model: Flhrci Series: ANNIVERSARY Body Style: Road/Street Owner Information Name: KAHN, RITCHARD DOB: Address: -2815 43: TX MVR Name: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: Lienhoider Information EAGLEMARK SAVINGS BANK 4150 TECHNOLOGY WAY CARSON CITY, NV 89706-2026 CARSON CITY COUNTY Title Information 24025037916103922 11/3/2003 11/3/2003 Source Information GOVERNMENTAL Registrant Information Registrant 1 Registrant: KAHN. RICHARD C Address: Registrant 2 Registrant: KAHN, RICHARD C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: Registration Information 6/1/2005 6/1/2005 5/31/2006 Vehicle Information 1GNEC162X2J243411 PASSENGER CAR/LIGHT TRUCK 2002 Chevrolet C1500 SUBURBAN 4 Dr Wagon Sport Utility Plate Information Private 7LDD23 TX 7LDD23 TX Source Information GOVERNMENTAL For internal use only SDNY_GM_00057277 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020101 EFTA_00 167845 EFTA01295942 Page 42 44: TX MVR Vehicle Information VIN: 1GNEC162X2J243411 Class: UNKNOWN Model Year: 2002 Make: Chevrolet Model: C1500 Series: SUBURBAN Body Style: 4 Dr Wagon Sport Utility Weight: 005300 Owner Information Name: KAHN. RICHARD C 45: TX MVR DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: 29 Title Information 16320137418082532 6/25/2002 6/25/2002 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. RICHARD C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 46: TX MVR Data Source: 1 Registration Information 3/1/2004 3/1/2004 2/28/2005 Vehicle Information 1GCGC24R2WE132201 PASSENGER CAR/LIGHT TRUCK 1998 Chevrolet C2500 CHEYENNE-SILVERADO Pickup Plate Information Private 9RRH01 TX 9RRH01 TX Source Information GOVERNMENTAL Vehicle Information VIN: 1GCGC24R2WE132201 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1998 Make: Chevrolet Model: C2500 Series: CHEYENNE-SILVERADO Body Style: Pickup For internal use only SDNY_GM_00057278 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020102 EFTA_00 167846 EFTA01295943 Page 43 Owner Information Name: KAHN. RICHARD C 47: TX MVR DOB: Address: Lienholder Information Lienholder 1 Name: GMAC Address: PO BOX 8104 COCKEYSVILLE. MD 21030-8104 BALTIMORE COUNTY Lienholder 2 Name: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: GMAC PO BOX 8106 COCKEYSVILLE. MD 21030-8106 BALTIMORE COUNTY Title Information 24030735883164006 4/8/1998 4/8/1998 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. RICHARD C DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 48: TX MVR Data Source: Keglstration Informa ion 4/27/2001 4/27/2001 3/31/2002 Vehicle Information 1 EM1 B2624M4044350 TRAILER 1991 FLEETWOOD TRAILER HEAVY HAUL BASE MODEL CAMPING TRAILER Plate Information Trailer 307G5J TX 307G5J TX Source Information GOVERNMENTAL Vehicle Information VIN: 1EM1B2624M4044350 Class: TRAILER Model Year: 1991 Make: FLEETWOOD Model: TRAILER HEAVY HAUL Series: BASE MODEL For internal use only SDNY_GM_00057279 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020103 EFTA_00 167847 EFTA01295944 Page 44 Body Style: CAMPING TRAILER Owner Information Name: KAHN. RICHARD C 49: TX MVR DOB: Address: Name: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: Registrant: DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Body Style: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: 50: TX MVR Data Source: Lienholder Information INTL. BANK OF COMERS 1200 SAN BERNARDO AVE LAREDO. TX 78040-6301 WEBB COUNTY Title Information 00022200052205033 1/24/1998 1/24/1998 Source Information GOVERNMENTAL Registrant Information KAHN. RICHARD C 9/1968 705 BEVERLY DR LAREDO. TX 78045-2001 WEBB COUNTY Registration Information 7/1/2000 7/1/2000 6/30/2001 Vehicle Information 1CXBB1618DSBA0666 UNKNOWN 1983 CALKINS BOAT TRAILER BOAT TRAILER Plate Information Trailer 02WHJB TX 02WHJB TX Source Information GOVERNMENTAL Vehicle Information VIN: 1CXBB1618DSBA0666 Class: UNKNOWN Model Year: 1983 Body Style: BOAT TRAILER Weight: 000300 Owner Information Name: KAHN. RICHARD DOB: Address: Title Information Title Number: 24030836138155617 For internal use only SDNY_GM_00057280 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020104 EFTA_00167848 EFTA01295945 Page 45 Source Information Data Source: GOVERNMENTAL 51: TX MVR 52: TX MVR 53: TX MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Name: Address: Name: DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: Vehicle Information 1FTEX15N5JKB25626 PASSENGER CAR/LIGHT TRUCK 1988 Ford F150 CUSTOM-SPECIAL EDITION-XL Club Cab Pickup Owner Information Owner 1 KAHN. R C 8210 SAN GABRIEL DR LAREDO, TX 78045.8749 WEBB COUNTY Owner 2 KAHN. RICHARD Title Information 24030235091135648 2/8/1996 2/8/1996 Source Information GOVERNMENTAL Vehicle Information Class: UNKNOWN Model Year: 1994 Make: Shopmade Body Style: Flat-Bed Or Platform Weight: 000300 Owner Information Name: KAHN, RICHARD C DOB: Address: O AVE 709 Title Information Title Number: 24030435028101037 Source Information Data Source: GOVERNMENTAL Vehicle Information VIN: 1GBHC34M5DV102805 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1983 Make: Chevrolet Model: C30 Series: CUSTOM DELUXE-SCOTTSDALE— Body Style: Cab And Chassis Owner Information Owner 1 For internal use only SDNY_GM_00057281 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020105 EFTA_00 I 67849 EFTA01295946 Page 46 54: TX MVR 55: TX MVR Name: Address: Name: Address: Name: Address: Name: Address: Name: DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: WEBB COUNTY Title Information 24020035052141852 1/9/1996 1/9/1996 Source Information GOVERNMENTAL Vehicle Information VIN: 1FTRW08L21KF84038 Class: UNKNOWN Model Year: 2001 Make: Ford Model: F150 Body Style: Crew Pickup Weight: 005000 Owner Information Name: KAHN. RICHARD C DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: Title Information 24020036898155829 1/25/2001 1/25/2001 Source Information GOVERNMENTAL Vehicle Information VIN: 3GNEC16RXXG263487 Class: UNKNOWN Model Year: 1999 Make: Chevrolet For internal use only SDNY_GM_00057282 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020106 EFTA_00 I 67850 EFTA01295947 Page 47 Model: C1500 Series: SUBURBAN Body Style: 4 Dr Wagon Sport Utility Weight: 005300 Owner Information Name: KAHN, RICHARD C DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: 56: TX MVR Vehicle Information VIN: 1MEBM604XJH670241 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1988 Make: Mercury Model: Cougar Series: LS Body Style: Sedan 2 Door Owner Information Name: KAHN. RICHARD C 24030936528092930 1/15/2000 1/15/2000 Source Information GOVERNMENTAL DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: 57: TX MVR Vehicle Information VIN: 1C9CS2027ST458294 Class: UNKNOWN Model Year: 1995 Weight: 002900 Owner Information Name: KAHN, RICHARD Title Information 24030935171143340 4/30/1996 4/30/1996 Source Information GOVERNMENTAL DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: 58: TX MVR Title Information 24030134980155757 10/20/1995 10/20/1995 Source Information GOVERNMENTAL Vehicle Information For internal use only SDNY_GM_00057283 CONFIDENTIAL — PURSUANT TO FED. R.C2C?FiNtfIDENTIAL DB-SDNY-0020107 EFTA_00 I 6785 I EFTA01295948 Page 48 VIN: 1FTEX15N3NKA26700 Class: UNKNOWN Model Year: 1992 Make: Ford Model: F150 Body Style: Club Cab Pickup Weight: 004100 Owner Information Name: KAHN. RICHARD CHARLES DOB: Address: Title Information Title Number: 00022200043585410 Title Transfer Date: 7/12/1994 Title Issue Date: 7/12/1994 Source Information Data Source: GOVERNMENTAL 59: Non-Governmental Vehicle Record Vehicle Information VIN: 1FTPW14V77KD62740 Class: HEAVY TRUCK Model Year: 2007 Make: Ford Model: F150 Body Style: Crew Pickup Owner Information Name: KAHN. RICHARD DOB: Address: Source Date First Seen: Source Date Last Seen: Data Source: Boats - 3 records found 1: Colorado Boat Registration State: Registration Number: Registration Issue Date: Vessel Make: Hull Type: Use: Propulsion Type: Vessel Year: Hull Identification Number: Length (Ft-In): Date Last Seen: Owner Information 1/14/2011 8/7/2014 Source Information NON-GOVERNMENTAL Colorado CL1901GD 06/22/2013 TRACKER MARINE GROUP L.P. OTHER PLEASURE OUTBOARD 2001 BUJ76203J001 17-0 06/22/2013 Name: KAHN, RICHARD Address: ource inrormation Data Source: GOVERNMENTAL 2: Colorado Boat Registration For internal use only SDNY_GM_00057284 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020108 EFTA 00167852 EFTA01295949 Page 49 State: Registration Number: Registration Issue Date: Vessel Make: Hull Type: Use: Propulsion Type: Vessel Year: Hull Identification Number: Length (Ft-In): Date Last Seen: Owner Information Colorado CL1901GD 07/08/2009 TRACKER MARINE GROUP L.P. OTHER PLEASURE OUTBOARD 2001 BUJ76203J001 17-0 07/08/2009 Name: KAHN, RICHARD Address: Data Source: 3: Colorado Boat Registration State: Registration Number: Registration Issue Date: Vessel Make: Hull Type: Use: Propulsion Type: Vessel Year: Hull Identification Number: Length (Ft-In): Date Last Seen: Owner Information Source Information GOVERNMENTAL Colorado CL1901GD 07/08/2009 TRACKER MARINE L.P. OTHER PLEASURE OUTBOARD 2001 BUJ76203J001 17-0 07/08/2009 Name: KAHN, RICHARD Address: 523 Source Information Data Source: GOVERNMENTAL Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens -1 records found 1: CO Judgments and Liens Filings Debtor Information Name: SSN: Address: Name: SSN: Address: Name: LEO ELA E Filing Information For internal use only SDNY_GM_00057285 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020109 EFTA_00 I 67853 EFTA01295950 Page 50 Jurisdiction: CO Amount: $340 Filing Date: 5/21/2014 Eviction N Filing 1 Number: C0472014S000003 Type: SMALL CLAIMS JUDGMENT Agency: PARK COUNTY COURT Agency State: CO Agency County: PARK UCC Liens -1 records found 1:TX UCC LIEN FILING Debtor Information Debtor 1 Name: KAHN. RICHARD CHARLES SSN: 451-51-XXXX Address: Name: Name: Debtor 2 DBA EVERGREEN LANDSCAPING (R. C. KAHN CORP) Address: 8210 SAN GABRIEL DR STE 1 LAREDO. TX USA 78045-8749 Secured Party Information CARROLL CHILDERS COMPANY Address: PO BOX 750549 HOUSTON. TX USA 77275-0549 Filing Status Description: Filing Jurisdiction: Original Filing Number Original Filing Type: Original Filing Date: Type: Pages: Description: Number: Date: Expiration Date: Fictitious Businesses - 2 re 1: Fictitious Businesses Name: Office Address: Jurisdiction: Type: Filing Number: Filing Date: Name: Address: Contact Type: 2: Fictitious Businesses Name: Office Address: Jurisdiction: ACTIVE Filing Information TEXAS 578944 ORIGINAL FILING 9/5/2000 UCC STANDARD 1 ACTIVE 578944 9/5/2000 9/5/2005 cords found Business Information KAHN FENCE CORPORATION TX DBA 0138949900 02/23/1996 Contact Information Business Information RKCD ENTERPRISES L L C SAN GABRIE 82 DR TX, LA 78045-8749 TX For internal use only SDNY_GM_00057286 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020110 EFTA_D0I67854 EFTA01295951 Page 51 Type: DBA Filing Number: 0800942982 Filing Date: 02/25/2008 Contact Information Name: Address: Contact Type: OWNER Notice Of Defaults - 0 records found Potential Relatives - 9 records found 1st Degree: 9 No. Full Name 1. DELGADO. CRISTINA VIRIDIANA • AKA MADRIGAL, CRISTINA V • AKA DELGADO, CHRISTINA VIRIDIANA • AKA MADRIGAL, CHRISTINA V • AKA MADRIGAL. CRISTI • AKA MADRIGAL. CRISTINA V SSN:632-18-XXXX DOB:12/1976 (Age: 39) 2. KAHN, JULIA E • AKA GUTIERREZ, JULIA ELSA • AKA DELGADO. JULIA • AKA DELGADO, JULIA G • AKA DELGADO KAHN, JULIA E • AKA KAHN. JULIA E • AKA KAHN, JULIA ELSA • AKA DELGADO, J SSN:455-81-XXXX DOB:12/1968 (Age: 47) 3. KAHN, RICHARD CHARLES JR • AKA KAHN, RICHARD C SSN:630-46-XXXX DOB:111995 (Age: 21) Address/Phone For internal use only SDNY_GM_00057287 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020111 EFTA_00I 67855 EFTA01295952 Page 52 No. Full Name 4. KAHN, ADOLPH R JR 5. 6. 7. A Deceased • AKA KHAN, • AKA KAHN. • AKA KAHN. • AKA KAHN, • AKA KAHN, • AKA KAHN. • AKA KAHN. ADOLPH R AR JR ADOLPH ROBERT JR ADOLPH ADOLF R ADOLPH R ADOLPH R JR SSN:449-66-XXXX DOB:8/1926 (Age: 90) KAHN, MARY BLANCHE • AKA KAHN. MARY H • AKA HILL. MARY BLANCHE • AKA KAHAN, MARY B • AKA MARY. B KAHN SSN.466-66-XXXX DOB:12/1941 (Age: 74) KAHN. MARTHA STABEN A Deceased SSN:460-36-XXXX DOB:2/1927 (Age: 89) KAHN, ADOLPH R • AKA KAHN. ADOLPH ROBERT III • AKA KAHN. ADOLF • AKA KAHN. A • AKA KAHN. ADOLPH ROBERT 3 • AKA KAHN, ADOLPH R III • AKA KAHN. ANDOLPH • AKA KAHN LINDSEY, A Address/Phone For internal use only SDNY_GM_00057288 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020112 EFTA_00 167856 EFTA01295953 Page 53 No. Full Name • AKA ADOLPH, KAHN SSN:464-02-XXXX DOB:11/1955 (Age: 60) 8. KAHN, RICHARD C 9. KAHN, LINDSEY ALLISON • AKA KAHN, LINDSAY • AKA HINTON, LINDSEY ALLISON SSN:643-30-XXXX DOB:8/1989 (Age: 27) Business Associates - 11 records found 1: EVERGREEN LANDSCAPING SERVICES Name: KAHN. RICHARD C Address: Status: AL I nit State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: 2: EVERGREEN LANDSCAPING SE Name: Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: 3: KAHN CONSTRUCTION Name: Address: TX 0135074000 ACTIVE PRESIDENT HISTORICAL 1/31/2016 2/17/2006 RVICES KAHN, RICHARD C 8210 SAN GABRIEL DR LAREDO, TX 78045-8749 EXPIRED TX 0135074000 EXPIRED PRESIDENT HISTORICAL 1/31/2016 8/7/1995 KAHN. RICHARD C Address/Phone Status: EXPIRED For internal use only SDNY_GM_00057289 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020113 EFTA_00I 67857 EFTA01295954 Page 54 State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: 4: KAHN FENCE CORPORATION Name: Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: 5: KAHN FENCE CORPORATION Name: Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: 6: PHD FENCING, L.L.C. Name: Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: 7: PHD FENCING, L.L.C. Name: Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: 8: R.C. KAHN CORPORATION Name: Address: TX 0135074000 EXPIRED PRESIDENT HISTORICAL 1/31/2016 8/7/1995 KAHN. RICHARD C TX 0138949900 INACTIVE DIRECTOR CURRENT 8/5/2008 2/23/1996 KAHN, RICHARD C VOLUNTARILY DISSOLVED TX 0138949900 VOLUNTARILY DISSOLVED DIRECTOR CURRENT 8/5/2008 11/13/2006 KAHN, RICHARD CHARLES IN EXISTENCE TX 0800948886 IN EXISTENCE MANAGER HISTORICAL 1/31/2016 3/7/2008 KAHN. RICHARD CHARLES U TX 0800948886 IN USE MANAGER HISTORICAL 1/31/2016 3/7/2008 KAHN. RICHARD C For internal use only SDNY_GM_00057290 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0020114 EFTA_00 167858 EFTA01295955 Page 55 Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: 9: R.C. KAHN CORPORATION Name: 10: RKCD 11: RKCD Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: ENTERPRISES, L.L.C. Name: Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: ENTERPRISES, L.I.C. Name: Address: LAREDO. TX 78045-8749 IN EXISTENCE TX 0135074000 IN EXISTENCE PRESIDENT HISTORICAL 1/31/2016 3/31/1995 KAHN. RICHARD C IN USE TX 0135074000 IN USE PRESIDENT HISTORICAL 1/31/2016 3/31/1995 KAHN, RICHARD CHARLES IN EXISTENCE TX 0800942982 IN EXISTENCE MEMBER MANAGER HISTORICAL 1/6/2016 2/25/2008 KAHN. RICHARD CHARLES Status: Il USE State: TX Corporation Number: 0800942982 Descriptive Status: IN USE Title: MEMBER MANAGER Record Type: HISTORICAL Record Date: 1/6/2016 Filing Date: 2/25/2008 Person Associates - 17 records found No. Full Name Address SSN Phone DOB 1: SIFUENTES. BRICIO A ALVARADO, BRICIO SIFUENTES SIFUENTES. B SIFUENTES, BRICIO ALVARADO SIFUENTES, BRICLO For internal use only SDNY_GM_00057291 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020115 EFTA_00 167859 EFTA01295956 Page 56 No. Full Name 2: DELGADO. ANA DELIA DEGALDO, ANA D 3: DELGADO. JULIO CESAR DELGADO, PEREZ JULIO DELGADO PEREZ, JULIO DELGADO. J GADO, JULIO C SR 4: DELGADO. LUIS EDUARDO DELGAD. LUIS EDWARDO DELGADO, E LUIS 5: DELGADO. MARIA G DELGADO, MARIA JULIAG DELGADO. JULIA G DELGADO, MA J GARCIA, MARIA Address SSN Phone DOB SDNY_GM_00057292 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F 1DENTIAL DB-SONY-0020116 EFTA_00 I 67860 EFTA01295957 Page 57 No. Fon Neme 6: DELGADO. MARIA DE JESUS DELGADO, MARY D DELGADO. MARIA DEJESUS DELJESUS, MARY D DEJESUS DELGADO. MARIA D DELJESUS, MARY 7: JOHNSON, MARIA CONCEPCION DELGADO, MARIA CONCEPCION JOHNSON. CONNIE DELGADO, CONNIE BLUHM, MA C 8: DELGADO, MIGUEL ANGEL Address SSN Phone DOB r or imernal use otuy SDNY_GM_00057293 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020117 EFTA_G0 I 67861 EFTA01295958 Page 58 No. Fon Neme 9: DELGADO, JULIO CESAR DELGADO, JULIO 10: DELGADO, CARLOS ARMANDO CADO, C V 11: ZUNIGA, FEDERICO CARLOS ZUNIGA, SEDERICO C ZUNIGA. F ZUNGA. FEDERICO C FEDERICO, ZUNIGA 12: MADRIGAL, HERIBERTO ANTONIO MADRIGAL, H MADRIGAL, HERBERTO A MADRIGAL, EDDIE MADRIGAL, HENBERTO 13: MADRIGAL, GILBERTO JR SALINAS, GILBERTO MADRIGAL, GILBERT SALINAS. GILBERTO M Address SSN Phone DOB For interval use onl y SDNY_GM_00057294 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020118 EFTA_00 Il 67862 EFTA01295959 Page 59 No. Full Name 14: DELGADO, LAURA ISABEL OBRYANT, LAURA ISABEL DELGADO. ISABEL 15 DELGADO, MARIA ESTHELA GARCIA, MARIA ESTH DELGADO, ESTHELA DELGDO. MARIA GARCIA, ESTHELA GARCIA, ESTEHELA 16: ZUNIDA, KRISINAJANAYE 17: ZUNIGA, LINESSA MICHELLE SUNIGA, LINESSA Address SSN Phone DOB For infernal use only SDNY_GM_00057295 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F 1DENTIAL DB-SDNY-0020119 EFTA_00 167863 EFTA01295960 Page 60 No. Full Name Address Neighbors - 2 records found 124 BEAR TRL FLORISSANT, CO 80816-9523 Name ANDER. ANTAL LEO, ELAINA M L KLINE, RAY Employment Locator - 50 records 1: 2: 3: 4: 5: 6: Company Name: Name: Title: SSN: Phone: Confidence: Company Name: Name: Title: SSN: Phone Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: Company Name: Name: SSN Address RKCD ENTERPRISES. L.L.C. KAHN, RICHARD C PRESIDENT 451-51-XXXX High RKCD ENTERPRISES. L.L.C. KAHN, RICHARD C DIRECTOR 1-111. High FENCE MASTER KAHN. RICHARD C MANAG 8210 SAN GABRIEL DR STE A LAREDO, TX 78045.8769 451-51-XX>O( High EVERGREEN LANDSCAPING SERVICES KAHN. RICH Address: 9505 MINES RD STE 207 LAREDO, TX 78045-8842 SSN: Phone: Confidence: Company Name: Name: Address: SSN: Phone: Confidence: Company Name: Name: High EVERGREEN LANDSCAPING SERVICES KAHN, RICHARD C 9505 MINES RD STE 207 LAREDO. TX 78045-8842 451-51-XXXX EVERGREEN LANDSCAPING SERVICES KAHN. RICHARD C For internal use only Phone DOB SDNY_GM_00057296 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020120 EFTA_00167864 EFTA01295961 Page 61 Title: OWNER Address: 9505 MINES RD STE 207 LAREDO, TX 78045-8842 SSN: 451-51-XXXX Phone: Confidence: High 7: Company Name: RC KAHN MANAGEMENT LLC Name: KAHN. RICHARD Title: MEMBER Address: 8210 SAN GABRIEL DR STE 1 LAREDO. TX 78045-8749 SSN: 451-51-XXY4X Phone: Confidence: High 8: Company Name: PHD FENCING, L.L.C. Name: KAHN, RICHARD CHARLES Title: MANAGER SSN: 451-51-XXXX Phone: PIIIMINIM Confidence: Medium 9: Company Name: RKCD ENTERPRISES. L L C. Name: KAHN, RICHARD CHARLES Title: MEMBER MANAGER IN SSN. 451-51-)OOV Confidence: Medium 10: Company Name: RKCD ENTERPRISES, L.L.C. Name: KAHN. RICHARD CHARLES Title: MANAGER SSN: 451-51-XXXX Phone: Confidence: Medium 11: Company Name: KAHN AND DE LUNA, INC. Name: KAHN. RICHARD C Title: PRESIDENT SSN: 451-51-XXXX Confidence: Medium 12: Company Name: KAHN FENCE CORPORATION Name: KAHN. RICHARD C Title: DIRECTOR SSN: 451-51-)OOCX Confidence: Medium 13: Company Name: PHD FENCING L L C Name: KAHN. RICHARD CHARLES Title: MANAGER Address: 8210 SAN GABRIEL DR STE 1 LAREDO. TX 78045-8749 SSN: Phone: For internal use only SDNY_GM_00057297 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020121 EFTA_00 167865 EFTA01295962 Page 62 Confidence: High 14: 15: 16: 17: 18: 19: 20: 21: Company Name: Name: Address: SSN: Confidence: Company Name: Name: Address: SSN: Confidence: Company Name: Name: Title: Address: SSN: Confidence: Company Name: Name: Title: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: Company Name: Name: Title: SSN: Confidence: Company Name: RKCD ENTERPRISES L L C KAHN. RICHARD CHARLES 8210 SAN GABRIEL DR LAREDO. TX 78045-8749 451-51-XXXX High RKCD ENTERPRISES L L C KAHN. RICHARD CHARLES 8210 SAN GABRIEL DR LAREDO. TX 78045-8749 451-51-XXXX High RKCD ENTERPRISES L L C KAHN, RICHARD CHARLES MANAGER 8210 SAN GABRIEL DR LAREDO, TX 78045.8749 451-51-XX>0( High R C KAHN ENTERPRISES KAHN. RICHARD OWNER High R C KAHN ENTERPRISES KAHN, RICHARD OWNER 8210 SAN GABRIEL DR LAREDO, TX 78045-8749 451-51400(X I Hsi, R C KAHN ENTERPRISES KAHN. RICHARD OWNER 8210 SAN GABRIEL DR LAREDO, TX 78045-8749 451-514000C KAHN AND DE LUNA, INC. KAHN. RICHARD C DIRECTOR 451-51-XXXX Medium KAHN FENCE CORPORATION For internal use only SDNY_GM_00057298 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020122 EFTA_00 167866 EFTA01295963 Page 63 Name: KAHN. RICHARD C Title: PRESIDENT SSN: 451-51-XXXX Confidence: Medium 22: Company Name: KAHN FENCE CORPORATION Name: KAHN, RICHARD C Title: DIRECTOR Address: SSW: Phone: Confidence: High 23: Company Name: KAHN FENCE CORPORATION Name: KAHN. RICHARD C Title: P Address: 8210 SAN GABRIEL DR 24: 25: 26: 27: SSN: Phone: Confidence: 9 Company Name: R.C. KAHN CORPORATION Name: KAHN. RICHARD C Title: PRESIDENT Address: SSN: Phone: Confidence: rfign Company Name: R.C. KAHN CORPORATION Name: KAHN. RICHARD C Title: DIRECTOR Address: SSN: Phone: Confidence: ig Company Name: R.C. KAHN CORPORATION Name: KAHN. RICHARD C Title: P Address: SSN: Phone: Confidence: High Company Name: KAHN AND DE LUNA, INC. Name: KAHN. RICHARD C Title: DIRECTOR Address: SSN: 451-51-XXXX For internal use only SDNY_GM_00057299 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020123 EFTA_00 167867 EFTA01295964 Page 64 Confidence: Medium 28: Company Name: KAHN AND DE LUNA, INC. Name: KAHN. RICHARD C Title: P Address: SSN: 451-51-XXXX Confidence: Medium 29: Company Name: KAHN INDUSTRIES INCORPORATED Name: KAHN. RICHARD C Title: P Address:• 30: 31: 32: 33: 34: SSN: Phone: Confidence: Company Name: Name: Title: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: Jo di. ig EVERGREEN LANDSCAPING SVC KAHN. RICAHARD OWNER 451-51-XXXX (956) 727-7841 High EVERGREEN LANDSCAPING SVC KAHN. RICAHARD Company Name: EVERGREEN LANDSCAPING SVC Name: KAHN. RICAHARD Title: OWNER Address: SSN: Phone: Confidence: -ugh Company Name: FENCE MASTER Name: KAHN, RICHARD Title: FINANCE EXECUTIVE Phone SS : Confidence: High Company Name: FENCE MASTER Name: KAHN, RICHARD Title: FINANCE EXECUTIVE Address: For internal use only SDNY_GM_00057300 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0020124 EFTA_00 167868 EFTA01295965 Page 65 35: 36: 37: 38: 39: 40: 41: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: Company Name: Name: Title: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: ( Confidence: High 451-51-XXXX High FENCE MASTERS KAHN, RICHARD FINANCE EXECUTIVE 451-51-XXXX High FENCE MASTERS KAHN. RICHARD FINANCE EXECUTIVE Company Name: FENCE MASTERS Name: KAHN, RICHARD Title: FINANCE EXECUTIVE Address: SSN: Phone: Confidence: Company Name: Name: 1-b High FENCE MASTER KAHN, RICHARD Title: Address: High FENCE MASTER KAHN. RICHARD FINANCE EXECUTIVE SSN: Phone: Confidence: High Company Name: R C KAHN CORPORATION Name: KAHN. RICHARD C Title: DIRECTOR Address: SSN: Phone: Confidence: High Company Name: R C KAHN CORPORATION For internal use only SDNY_GM_00057301 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020125 EFTA_00 I 67869 EFTA01295966 Page 66 Name: KAHN. RICHARD C Title: Address: SSN: Phone: Confidence: High 42: Company Name: RC KAHN MANAGEMENT LLC Name: KAHN. RICHARD Title: MEMBER Address: SSN: Phone: Confidence: 43: Company Name: EVERGREEN LANDSCAPING Name: KAHN. R C Address: 44: 45: 46: 47: SSN: Confidence: Company Name: Name: Title: SSN: Phone: Confidence: Company Name: Name: Address: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: Company Name: Name: Title: Address: 1 451-51-XXXX High TORO FENCE KAHN, RICHARD OWNER iikar raim High TORO FENCE KAHN, RICHARD TORO FENCE KAHN. RICHARD NER 1- High TORO FENCE KAHN, RICHARD OWNER SSN: 451-51-YJOV Phone: Confidence: High For internal use only SDNY_GM_00057302 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020126 EFTA_00 167870 EFTA01295967 Page 67 48: 49: 50: Company Name: Name: Title: SSN: Phone: Confidence: Company Name: Name: Title: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: FENCE MASTER KAHN, RICHARD FINANCE EXECUTIVE ig FENCE MASTER KAHN, RICHARD OWNER 451-5140(XX High FENCE MASTER KAHN. RICHARD FINANCE EXECUTIVE gn Criminal Filings - 0 records found Cellular & Alternate Phones -1 records found 1: Personal Information Name: KAHN. RICHARD Address: Phone Number: Phone Type: LN 041-2734 Carrier Information Carrier: AERIAL COMMUNICATION Carrier City: FREEPORT Carrier State: TX Sources - 265 records found All Sources Corporate Affiliations Deed Transfers Driver Licenses Email addresses FAA Pilot Certifications FAA Pilot Licenses Fictitious Business Names Records Historical Person Locator Hunting and Fishing Licenses Liens and Judgments Motor Vehicle Registrations Person Locator 1 Person Locator 4 Phone PhonesPlus Records Tax Assessor Records UCC Lien Filings Utility Locator Voter Registrations For internal use only 265 Source Document(s) 11 Source Document(s) 6 Source Document(s) 12 Source Document(s) 1 Source Document(s) 1 Source Document(s) 1 Source Document(s) 2 Source Document(s) 44 Source Document(s) 1 Source Document(s) 1 Source Document(s) 100 Source Document(s) 15 Source Document(s) 1 Source Document(s) 9 Source Document(s) 1 Source Document(s) 43 Source Document(s) 1 Source Document(s) 10 Source Document(s) 5 Source Document(s) SDNY_GM_00057303 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020127 EFTA_00 I 6787 I EFTA01295968 Page 68 D&B: Not Required LEGAL RESULTS: Court Cases: Copyright 2016 Info4c, All Rights Reserved info4c Watchlists and Blacklists October 7, 2016 Richard Kahn SOURCE: AUTHORITY: New York Stock Exchange LIST NAME: NYSE Arca Enforcement COUNTRY: United States of America DATE OF PUBLICATION: April 20, 2012 DATE OF INFORMATION: September 8, 2016 PERSONAL INFORMATION Decision number: 12-ARCA-3 ID DIESES DATENSATZES: 20200292674 OTHER INFORMATION CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) For internal use only SDNY_GM_00057304 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020128 EFTA_00 I 6787.2 EFTA01295969 Page 2 Watchlists and Blacklists October 7, 2016 Watchlists and Blacklists, 20161007, Kahn, Richard CATEGORY: Warning Notices LOAD-DATE: October 7, 2016 Lincoln Park Nursing and Convalescent Home, Applicant v. Richard Kahn, Guardian Ad Litem of Nancy Ellen Jobes, Et Al. No. A-65 SUPREME COURT OF THE UNITED STATES 483 U.S. 1036; 108 S. Ct. 6; 97 L. Ed. 2d 796; 1987 U.S. LEXIS 3071; 56 U.S.L.W. 3114 July 23, 1987 PRIOR HISTORY: Sup. Ct. N.J. DISPOSITION: Application denied. OPINION r1036] ran ORDER IN A PENDING CASE ['1037] The application for stay addressed to Justice Scalia and referred to the Court is denied. Justice Brennan took no part in the consideration or decision of this application. MICHAEL WHALEN; RICHARD KAHN, individually and on behalf of all others similarly situated, Plaintiffs-Appellants, v. CENTURY COMMUNICATIONS; CENTURY COMMUNICATIONS as successor to ML MEDIA PARTNERS L.P., trading as MULTIVISION CABLE TV; and ML MEDIA PARTNERS, L.P., trading as MULTIVISION CABLE TV, Defendants-Appellees. CA No. 97-16572 UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT 172 F.3d 61; 1999 U.S. App. LEXIS 10775 For internal use only SDNY_GM_00057305 CONFIDENTIAL — PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0020129 EFTA_00 167873 EFTA01295970 Page 3 172 F.3d 61; 1999 U.S. App. LEXIS 10775, * December 10, 1998 ,, Submitted 2 The panel unanimously finds this case sutable for decision without oral argument. See Fed. R App P 34(a) February 26, 1999, Filed NOTICE: ['l] DECISION WITHOUT PUBLISHED OPINION PRIOR HISTORY: Appeal from the United States District Court for the Northern District of California. DC No. CV-97-0431-EFL. Eugene F. Lynch, District Judge, Presiding. Reported in Full-Text Format at: 1999 U.S. App. LEXIS 3353. OPINION AFFIRMED. ROSELYN KAHN, JAN KAHN, individually and as custodian for Brad Michael Kahn and Brendan Adam Kahn under the Uniform Gifts to Minors Act, CRAIG KAHN, individually and as custodian for Alex Kahn under the Uniform Gifts to Minors Act, JAN KAHN and CRAIG KAHN as Trustees for and on behalf of Four Seasons Manufacturing Co., Inc., PENSION TRUST & JAN AND CRAIG'S WINDOW FACTORY, LTD., by its Trustee Ronald Lipshie, Plaintiffs-Appellants, v. CHASE MANHATTAN BANK, N.A., THOMAS J. GREENE, WOODMERE SECURITIES, INC., RICHARD KAHN, BRUCE C. BLACK, SHEPPARD MESSING, JEFFREY P. BERG, MATTHIAS & BERG and MICHAEL R. MATTHIAS, Defendants-Appellees. Docket No. 95-7925 UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT 91 F.3d 385; 1996 U.S. App. LEXIS 19807; 35 Fed. R. Serv. 3d (Callaghan) 1352 April 19, 1996, Argued August 7, 1996, Decided For internal use only SDNY_GM_00057306 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020130 EFTA_OOI 6787,1 EFTA01295971 Page 4 91 F.3d 385, *; 1996 U.S. App. LEXIS 19807, n; 35 Fed. R. Serv. 3d (Callaghan) 1352 PRIOR HISTORY: rag Appeal from an order of the United States District Court for the Southern District of New York (McKenna, J.) denying appellants' motion for leave to amend their complaint to add additional plaintiffs, the district court having found that the claims of the additional plaintiffs did not relate back to the date of the filing of the complaint and therefore were time-barred under the applicable statutes of limitations. DISPOSITION: Appeal dismissed. CASE SUMMARY: PROCEDURAL POSTURE: Appellant investors challenged an order from the United States District Court for the Southern District of New York that denied the motion to amend their complaint to add additional plaintiffs after holding that the claims of additional plaintiffs did not relate back to the date of the filing of the complaint and therefore were time-barred under the applicable statutes of limitations. OVERVIEW: Appellant investors filed a complaint against appellee corporations and individuals alleging schemes to defraud them and later moved to amend the complaint to add additional plaintiffs as parties. The proposed amendment alleged that appellees defrauded additional plaintiffs by nearly identical schemes. The district court denied this motion after finding that the claims of additional plaintiffs did not relate back to the date of the filing of the complaint and therefore were time-barred under the applicable statutes of limitations. On appeal, the court dismissed the appeal for lack of jurisdiction, holding that the district court's ruling was not a final judgment under Fed. R. Civ. P. 54(b). The order did not dispose of all of appellants' claims against each appellee, and the district court did not certify the order by making an express determination that there was no just reason for delay or by directing entry of judgment pursuant to Rule 54(b). Thus, the order was interlocutory and therefore unappealable. The order was also unappealable under the collateral order exception to the final judgment rule because the court could still review it on appeal from a final judgment. OUTCOME: The court dismissed an appeal by appellant investors that challenged the district court's denial of their motion to amend the complaint to add additional plaintiffs for lack of jurisdiction because that order was interlocutory and therefore unappealable. CORE TERMS: amend, final judgments, leave to amend, certification, time-barred, statutes of limitations, appealable, certify, common law, denying leave to amend, causes of action, summary judgment, jurisdiction to hear, interlocutory orders, entry of judgment, present case, immediate appeal, immediately appealable, collateral order, interlocutory, finality, defraud, dispose LexisNexis(R) Headnotes Civil Procedure > Judgments > Entry of Judgments > Multiple Claims & Parties For internal use only SDNY_GM_00057307 CONFIDENTIAL - PURSUANT TO FED. R.Q11;)N(FIDENTIAL DB-SDNY-0020131 EFTA_00I67875 EFTA01295972 Page 5 91 F.3d 385, "; 1996 U.S. App. LEXIS 19807, **; 35 Fed. R. Serv. 3d (Callaghan) 1352 Civil Procedure > Appeals > Appellate Jurisdiction > Final Judgment Rule [HN11 Under Fed. R. Civ. P. 54(b), an order that adjudicates fewer than all the claims or the rights and liabilities of fewer than all the parties is not a final judgment unless the district court makes an express determination that there is no just reason for delay and an express direction for the entry of judgment. Strict adherence to the certification requirements of Rule 54(b) has been the court's consistent view. Civil Procedure > Judgments > Entry of Judgments > Multiple Claims & Parties Civil Procedure > Judgments > Relief From Judgment > Motions to Alter & Amend Civil Procedure > Appeals > Appellate Jurisdiction > Final Judgment Rule [HN21To be certified under Fed. R. Civ. P. 54(b), an order must possess the degree of finality required to meet the appealability requirements of 28 U.S.C.S. § 1291. This degree of finality is defined as a judgment which ends the litigation on the merits and leaves nothing for the court to do but execute the judgment. Civil Procedure > Pleading & Practice > Pleadings > Amended Pleadings > Leave of Court Civil Procedure > Judgments > Relief From Judgment > Motions to Alter & Amend Civil Procedure > Appeals > Appellate Jurisdiction > Final Judgment Rule [HN3) An order denying leave to amend a complaint is not a "final decision" within the meaning of 28 U.S.C.S. § 1291. Civil Procedure > Appeals > Appellate Jurisdiction > Interlocutory Orders [HN41 See 28 U.S.C.S. § 1292(b). Civil Procedure > Appeals > Appellate Jurisdiction > Collateral Order Doctrine Civil Procedure > Appeals > Appellate Jurisdiction > Final Judgment Rule [HN51 Under the "collateral order" exception to the final judgment, an interlocutory order is immediately appealable if, inter alia, the order would "be effectively unreviewable on appeal from a final judgment." COUNSEL: FREDERICK R. DETTMER, New York, NY (Karen M. Streisfeld, Law Office of Frederick R. Dettmer, New York, NY, Neil Friedkin, Lamendola & Friedkin, Great Neck, NY, of counsel), for Plaintiffs-Appellants. ANDREW R. KOSLOFF, New York, NY (Kent T. Stauffer, Litigation Division, The Chase Manhattan Bank, N.A., of counsel), for Defendant-Appellee Chase Manhattan Bank, N.A. SCOTT K. NIGRO, Long Beach, NY, for Defendant-Appellee Richard Kahn. Kenneth M.H. Hoff, Matthias & Berg, Los Angeles, CA, for Defendants-Appellees Matthias & Berg, Jeffrey P. Berg, and Michael R. Matthias. JUDGES: Before: MINER, McLAUGHLIN and LEVAL, Circuit Judges. OPINION BY: MINER For internal use only SDNY_GM_00057308 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020132 EFTA_OOI 67876 EFTA01295973 Page 6 91 F.3d 385, *; 1996 U.S. App. LEXIS 19807, n; 35 Fed. R. Serv. 3d (Callaghan) 1352 OPINION p386] MINER, Circuit Judge: Plaintiffs appeal from an order of the United States District Court r-2] for the Southern District of New York (McKenna, J.) denying their motion for leave to amend their complaint to add additional plaintiffs. The district court found that the claims of the additional plaintiffs did not relate back to the date of the filing of the complaint pursuant to Fed. R. Civ. P. 15(c) and therefore that the claims of the additional plaintiffs were time-barred under the applicable statutes of limitations. For the reasons set forth below, we dismiss the appeal. BACKGROUND On April 27, 1990, plaintiffs-appellants Roselyn Kahn, Jan Kahn, Craig Kahn, Four Seasons Manufacturing Co., Inc. Pension Trust, and Jan and Craig's Window Factory, Ltd. (together, the "Plaintiffs") commenced this action against defendants Bruce C. Black, Thomas J. Greene, Gruntal & Co., Inc. ("Gruntal"), Richard Kahn, Sheppard Messing, Woodmere Securities, Inc. (“Woodmere"), Chase Manhattan Bank, N.A. ("Chase"), Jeffrey P. Berg, Michael R. Matthias, and Matthias & Berg (together, the "Defendants"). In their complaint, the Plaintiffs alleged that the Defendants had engaged in various schemes to defraud them and others. Pleading six separate causes of action, the Plaintiffs alleged: (1) that [".3] the Defendants had violated the Racketeer Influenced and Corrupt Organizations Act ("RICO"), 18 U.S.C. § 1961 et seq.; (2) that all the Defendants except for Gruntal had violated section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b); (3) that all the Defendants except for Gruntal had committed common law fraud; (4) that Black, Messing, Greene, and Chase had committed common law conversion; (5) that Berg, Matthias, and Matthias & Berg had committed legal malpractice; and (6) that Berg, Matthias, Matthias & Berg, Black, and Woodmere had committed common law constructive fraud. In July of 1990, the Defendants moved to dismiss the complaint. On March 29, 1991, the district court dismissed the Plaintiffs' RICO claims against Gruntal and Chase, dismissed all the claims of Roselyn Kahn p387] against Berg, Matthias, and Matthias & Berg, and dismissed the section 10(b) claims against Berg, Matthias, Matthias & Berg, and Chase. However, the district court granted the Plaintiffs leave to replead the section 10(b) claims against each of the Defendants. Accordingly, on April 29, 1991, the Plaintiffs filed an amended complaint (the "first amended complaint"), setting forth the [""4] same six causes of actions alleged in the original complaint. In March of 1995, Chase moved for summary judgment on the section 10(b) claim and the state law claims against it. On April 6, 1995, the Plaintiffs moved for leave to amend the first amended complaint, pursuant to Fed. R. Civ. P. 15(a), to add Laurence LoScalzo, Constance LoScalzo, Kenneth Boklan, Dix Hills Equities Group, Inc., and Dix Hills Air (together, the "Additional Plaintiffs") as parties. The proposed second amended complaint alleged that Black and the other Defendants defrauded the Additional Plaintiffs by For internal use only SDNY_GM_00057309 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0020133 EFTA_OOI 67877 EFTA01295974 Page 7 91 F.3d 385, *; 1996 U.S. App. LEXIS 19807, **; 35 Fed. R. Serv. 3d (Callaghan) 1352 engaging in schemes that were nearly identical to the schemes that the Defendants used to defraud the Plaintiffs. These claims of the Additional Plaintiffs, however, were time-barred under the applicable statutes of limitations. Consequently, the Plaintiffs argued that the claims of the Additional Plaintiffs related back to the date of the filing of the original complaint, pursuant to Fed. R. Civ. P. 15(c). The Plaintiffs asserted that the Additional Plaintiffs had not been previously joined in the action due to a mistake by their attorney, Eric Moss. In support of the motion, the Additional Plaintiffs asserted ["5] that they had retained Moss to commence an action against the Defendants in 1990, at the same time that the Plaintiffs retained Moss to pursue their claims against the Defendants. The Additional Plaintiffs contended that Moss' failure to name them as plaintiffs in the original complaint was a mistake that was caused by Moss' serious illness and subsequent death in 1993. On August 17, 1995, the district court granted Chase's motion for summary judgment to the extent of dismissing the 10(b) claim against Chase, and denied Chase's motion to dismiss the state law claims against it. The district court also denied the Plaintiffs' motion for leave to amend the first amended complaint. The court found that the claims of the Additional Plaintiffs did not relate back to the date of the original complaint under Rule 15(c). Because the claims of the Additional Plaintiffs, without relation-back, were time- barred under the applicable statutes of limitations, the district court concluded that it would be futile to grant the Plaintiffs leave to amend the complaint under Rule 15(a). The Plaintiffs then filed the instant appeal, claiming that the district court erred in determining that the claims ["6] of the Additional Plaintiffs did not relate back and therefore that the district court erred in denying its motion to amend the first amended complaint. DISCUSSION Although the appellees have not argued the issue, we must determine whether we have jurisdiction to review the district court's order denying the Plaintiffs' motion for leave to amend their complaint. See Petereit v. S.B. Thomas, Inc., 63 F.3d 1169, 1175 (2d Cir. 1995), cert. denied, 134 L. Ed. 2d 520, 116 S. Ct. 1351 (1996). This Court's jurisdiction is defined by statute and generally is limited to appeals from final judgments of the district court pursuant to 28 U.S.C. § 1291 and from certain interlocutory orders pursuant to 28 U.S.C. § 1292. We lack jurisdiction to hear this appeal under § 1291 because the district court's August 17, 1995 order is not a final judgment. Rule 54(b) of the Federal Rules of Civil Procedure sets forth the requirements for the entry of a partial final judgment in multi-claim or multi- party actions. [FIN1] Under Rule 54(b), an order that "adjudicates fewer than all the claims or the rights and liabilities of fewer than all the parties" is not a final judgment unless the district court makes "an express ["7] determination that there is no just reason for delay and . . . an express direction for the entry of judgment." "Strict adherence to the certification requirements of Rule 54(b) has been our consistent view." In re Martin- Trigona, 763 F.2d 135, 139 (2d Cir. 1985). The district court's August 17th order did not dispose of all the Plaintiffs' claims against each of the Defendants. p388] Moreover, the district court did not certify its August 17th order by making an express determination that there was no just reason for delay or by directing entry of judgment pursuant to Rule 54(b). For internal use only SDNY_GM_00057310 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020134 EFTA_OOI 67878 EFTA01295975 Page 8 91 F.3d 385, "; 1996 U.S. App. LEXIS 19807, **; 35 Fed. R. Serv. 3d (Callaghan) 1352 Because the August 17th order did not dispose of all claims against all parties and because there was no Rule 54(b) certification, the August 17th order remains interlocutory and is not appealable. See HBE Leasing Corp. v. Frank, 48 F.3d 623, 632 (2d Cir. 1995) (holding that order that did not resolve all the claims in the action was interlocutory and was not appealable because there was no Rule 54(b) certification); see also Martin- Trigona, 763 F.2d at 139 (dismissing appeal for lack of jurisdiction where the defendant appealed from an order disposing of only a portion of the case and the district ("8] court had not certified the appeal pursuant to Rule 54(b)); DeNubilo v. United States, 343 F.2d 455 (2d Cir. 1965) (dismissing appeal for lack of jurisdiction where the plaintiffs appealed from an order denying their motion to amend their complaint and the district court had not certified the appeal pursuant to Rule 54(b)). 1 We are not persuaded by the Plaintiffs reliance on Lockett v. General Finance Loan Co.. 623 F.2d 1128 (5th Cir. 1980). Lockett held that an order denying leave to amend a complaint was final because the plaintiffs' action against a newly sought defendant would otherwise be time-barred. But in that case the district court did certify the appeal under Rule 54(b). id. at 1129. which the court below did not. We thus find Lockett inapposite, and otherwise decline to follow it. The portion of the district court's August 17th order denying the Plaintiffs' motion to amend their complaint could not have been certified under Rule 54(b) in any event. [HN2] To be certified under ("9] Rule 54(b), an order must possess the "degree of finality required to meet the appealability requirements of 28 U.S.C. § 1291." Acha v. Beame, 570 F.2d 57, 62 (2d Cir. 1978). This degree of finality is "defined as a judgment 'which ends the litigation on the merits and leaves nothing for the court to do but execute the judgment."' Id. (quoting Catlin v. United States, 324 U.S. 229, 233, 89 L. Ed. 911, 65 S. Ct. 631 (1945)). In the present case, the Plaintiffs appeal from only the portion of the district court's order denying their motion to amend their complaint. It is well-settled that [HN3] "an order denying leave to amend a complaint is not a 'final decision' within the meaning of 28 U.S.C. § 1291." DeNubilo, 343 F.2d at 456-57. Accordingly, the district court's denial of the Plaintiffs' motion to amend their complaint would not be certifiable pursuant to Rule 54(b). Nor do we have jurisdiction to hear this appeal pursuant to § 1292(b), since the district court did not utilize that provision to certify for immediate appeal its order denying the Plaintiffs' motion to amend the first amended complaint. See D'Ippolito v. Cities Serv. Co., 374 F.2d 643, 648 (2d Cir. 1967) (holding that "no appeal ("10] lies from the order denying permission to amend [the complaint] in the absence of certification" under § 1292(b) or Rule 54(b)); DeNubilo, 343 F.2d at 456-57 (same). 2 Section 1292(b) provides in part: IHNI4j When a district judge, in making in a civil action an order not otherwise appealable under this section. shall be of the opinion that such order involves a controlling question of law as to which there is substantial would for difference of opinion and that an immediate appeal from the order may materially advance the ultimate termination of the litigation, he shall so state in writing in such order. The Court of Appeals which would have jurisdiction of an appeal of such action may thereupon, in its discretion, permit an appeal to be taken from such order, if application is made to it within ten days after the entry of the order . . . . For internal use only SDNY_GM_00057311 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020135 EFTA_00I 67879 EFTA01295976 Page 9 91 F.3d 385, "; 1996 U.S. App. LEXIS 19807, **; 35 Fed. R. Serv. 3d (Callaghan) 1352 Finally, the district court's order is not immediately appealable [FINS] under the "collateral order" exception to the final judgment rule set forth in Cohen rig v. Beneficial Indus. Loan Corp., 337 U.S. 541, 546-47. 93 L. Ed. 1528. 69 S. Ct. 1221 (1949). Under Cohen, an interlocutory order is immediately appealable if, inter alia, the order would "be effectively unreviewable on appeal from a final judgment." Coopers & Lybrand v. Livesay, 437 U.S. 463, 468, 57 L. Ed. 2d 351, 98 S. Ct. 2454 (1978). In the present case, we would not be foreclosed from reviewing the district court's denial of the Plaintiffs' motion to amend their complaint on an appeal from a final judgment. See Richardson r389] Greenshields Sec., Inc. v. Lau, 825 F.2d 647, 651 (2d Cir. 1987). Accordingly, the collateral order exception does not apply to this case. See DeNubilo, 343 F.2d at 456-57 (holding that the collateral order exception does not apply to an order denying a motion to amend a complaint). CONCLUSION In view of the foregoing, we dismiss the appeal for lack of jurisdiction. NATIONAL INDEPENDENT THEATRE EXHIBITORS, INC., Plaintiff, James T. Patterson, Sr., individually and d/b/a/ Screen Advertising Film Fund, Plaintiff-Appellant, v. BUENA VISTA DISTRIBUTION COMPANY, et al., Defendants-Appellees No. 83-8638 UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT 748 F.2d 602; 1984 U.S. App. LEXIS 15990; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 December 12, 1984 PRIOR HISTORY: rij Appeal from the United States District Court for the Northern District of Georgia. Screen Advertising Film Fund Corp. v. Buena Vista Distribution Co., 100 F.R.D. 14, 1983 U.S. Dist. LEXIS 14570 (N.D. Ga., 1983) CASE SUMMARY: PROCEDURAL POSTURE: Plaintiffs, a corporation and its president, appealed the judgment of the United States District Court for the Northern District of Georgia, which granted summary judgment in favor of defendant distributors in plaintiffs' suit alleging For internal use only SDNY_GM_00057312 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020136 EFTA_001 67880 EFTA01295977 Page 10 748 F.2d 602, *; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 violations of federal antitrust law in connection with defendant's alleged prevention of plaintiff corporation from entering the marketplace of movie distributorship. OVERVIEW: Plaintiffs, corporation and its president, sued defendant distributors regarding an alleged violation of federal antitrust laws in connection with defendants' alleged prevention of plaintiff corporation from competing as a movie distributor. The district court granted summary judgment in favor of defendants and plaintiffs appealed, arguing that it was error to grant summary judgment where genuine issues of material fact remained unresolved. Plaintiff president additionally challenged the ruling that he lacked standing to sue under the antitrust laws. On appeal, the court vacated the decision awarding summary judgment, finding that the inference that defendants' conduct might have caused plaintiff corporation's injury was sufficient to preclude summary judgment. However, the court affirmed the decision citing plaintiff president's lack of standing, finding that plaintiff president was not a target against which anticompetitive activity had been directed and that, as an officer of plaintiff corporation, he lacked standing to sue on behalf of his corporation. OUTCOME: The court vacated in part, affirmed in part. The court vacated the grant of summary judgment in favor of defendant distributors, finding that the inference that defendants' conduct might have caused plaintiff corporation's injury was sufficient to preclude summary judgment. Plaintiff president lacked standing to sue under the federal antitrust laws where he was not a target of anticompetitive activity. CORE TERMS: advertising, film, screen, theatre, distributors', exhibitor, summary judgment, picture, on-screen, movie, discovery, target. antitrust violations, advertisers, deposition, antitrust, Clayton Act, antitrust laws, antitrust claims, pro se, anticompetitive, participating, substitution, dissolved, withdrew, reporter, material fact, abuse of discretion, shareholder, prosecute LexisNexis(R) Headnotes Civil Procedure> Summary Judgment > Appellate Review > Standards of Review Civil Procedure> Summary Judgment > Standards > Materiality [HN11 In determining whether the existence of material fact issues precluded the entry of summary judgment in the district court, the appellate court treats the evidence presented to the district court in the light most favorable to the nonmovant plaintiffs. Antitrust & Trade Law > Clayton Act > Claims Antitrust & Trade Law > Private Actions > Standing > Clayton Act Antitrust & Trade Law > Sherman Act > Claims [HN21 The prerequisites to a private cause of action under § 4 of the Clayton Act are well established: the plaintiff must show (1) a violation of the antitrust laws, (2) injury to its business or property, and (3) a causal relationship between the antitrust violation and the injury. The last two elements require the valuation of the plaintiffs injury in terms of money damages with some degree of certainty. For internal use only SDNY_GM_00057313 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020137 EFTA_00I67881 EFTA01295978 Page 11 748 F.2d 602, *; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 Antitrust & Trade Law > Private Actions > Injuries & Remedies > General Overview Evidence > Procedural Considerations > Burdens of Proof > General Overview [HN3] The law does not require an antitrust plaintiff to show that the defendant's wrongful action was the sole proximate cause of the injury sustained. The plaintiff need only prove, with a fair degree of certainty, that defendant's illegal conduct materially contributed to the injury. Antitrust & Trade Law > Clayton Act > General Overview Antitrust & Trade Law > Private Actions > Injuries & Remedies > General Overview Evidence > Procedural Considerations > Burdens of Proof > General Overview [HN4) It is enough that the illegality is shown to be a material cause of the injury; a plaintiff need not exhaust all possible alternative sources of injury in fulfilling his burden of proving compensable injury under § 4 of the Clayton Act. Antitrust & Trade Law > Private Actions > Standing > Clayton Act Civil Procedure > Justiciability > Standing > General Overview Evidence > Procedural Considerations > Burdens of Proof > General Overview [HN5] Standing to prosecute a private antitrust action under § 4 of the Clayton Act requires the plaintiff to prove that he is within that sector of the economy, which is endangered by a breakdown of competitive conditions in a particular industry. The plaintiff must be the target against which anticompetitive activity is directed. The injury must be of the type the antitrust laws were intended to prevent and that flows from that which makes defendants' act unlawful. Incidental or consequential injury or injury remotely caused by an antitrust violation does not give a plaintiff standing to complain that he has been injured by reason of anything forbidden in the antitrust laws. Antitrust & Trade Law > Private Actions > Standing > General Overview Civil Procedure > Justiciability > Standing > General Overview [NNE] Neither an officer nor an employee of a corporation has standing to bring an action in his own right for an antitrust violation causing injury to the corporation and its business. Such persons may suffer indirect or secondary financial injury from antitrust violations, but they are not the target of the anticompetitive practices. Civil Procedure > Parties > Self-Representation > General Overview [HN7] See 28 U.S.C.S. § 1654. Civil Procedure > Parties > Self-Representation > General Overview [HN8] Corporations must always be represented by legal counsel. Business & Corporate Law > Corporations > Dissolution & Receivership > Termination & Winding Up > Limited Survival Civil Procedure > Parties > Substitutions > General Overview [HN9] Georgia law provides that a cause of action on behalf of a corporation, which is the subject of litigation pending on the date of dissolution, may continue to be prosecuted by the corporation in its corporate name. Ga. Code Ann. § 14-2-293 (1982). A dissolved corporation may maintain a federal suit when it has been given that power by state law. For internal use only SDNY_GM_00057314 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020138 EFTA (()167882 EFTA01295979 Page 12 748 F.2d 602, *; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 Civil Procedure > Parties > Substitutions > General Overview [HN10] See Fed. R. Civ. P. 25(c). Civil Procedure > Parties > Substitutions > General Overview [HN11] The decision whether to allow substitution is discretionary. COUNSEL: James T. Patterson, Sr., Pro Se, Riverdale, Georgia, for Appellant. William N. Withrow, Jr., Tench C. Coxe, J. Kirk Quillian, Atlanta, Georgia, for Appellee. Joseph B. Haynes, Atlanta, Georgia, for Appellee. A. Vernon Carnahan; Daniel R. Murdock, New York, New York, for Appellee. JUDGES: Tjoflat and Hatchett, Circuit Judges, and Garza, • Senior Circuit Judge. • Honorable Reynaldo G. Garza. U.S. Circuit Judge for the Fifth Circuit. sitting by designation. OPINION BY: TJOFLAT OPINION ["6O3] TJOFLAT, Circuit Judge: This private antitrust dispute concerns the alleged attempt of eight major ["6O4] motion picture distributors to prevent a potential competitor from entering the marketplace. The district court entered summary judgment for the distributors. 100 F.R.D. 14. This appeal questions that decision and several of the district court's procedural and discovery rulings. We find no error in any of these latter rulings but vacate the summary judgment because certain material fact issues remain to be litigated. 1 IFIN1] In determining whether the existence of material fact issues precluded the entry of summary judgment in the district court, we treat the evidence presented to the district court in the light most favorable to the nonmovart plaintiffs. Adickes v. S.H. Kress 8 Co., 398 U.S. 144. 157.90 S. Ct. 1598. 1608.26 L Ed. 2d 142 (1970); Thrasher v. Slate Pam; Fire B Casualty Co.. 734 F.2d 637. 638 (11th Cir.1984). ("2] Buena Vista Distribution Company, Inc., Columbia Pictures Industries, Inc., Metro-Goldwyn Mayer, Inc., Paramount Pictures Corporation, Twentieth Century Fox Film Corporation, United Artists Corporation, Universal Film Exchanges, Inc., and Warner Brothers Distributing Corporation, the eight defendants below, collectively supply eighty-five percent of the high quality motion pictures exhibited at theatres in the United States. They were producing approximately one hundred such motion pictures a year when this controversy arose. All eight belong to the Motion Picture Association of America (MPAA), a trade organization composed of the ten largest film distributors in the country. For internal use only SDNY_GM_00057315 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020139 EFTA_00167883 EFTA01295980 Page 13 748 F.2d 602, "; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 National Independent Theatre Exhibitors, Inc. (NITE) is a trade association of independent movie theatre exhibitors who own and operate some five thousand screens in the continental United States. They formed NITE to protect and promote their interests. James Thomas Patterson, Sr., an independent theatre owner-operator, is NITE's president and a member of its board of directors. In the early 1970's Independent theatres found themselves in a serious financial crisis. Faced with growing competition [".3] from large circuit exhibitors, shrinking attendance, and rising film rentals, they found it difficult to obtain top quality films for exhibition. In 1976, NITE decided that the solution for this problem was to increase the supply of quality films to the independent distributors. A greater variety of movies, NITE assumed, would foster more vigorous price competition by all distributors, resulting in lower film rentals, and would permit the independent theatres to offer movies to their patrons that were not being shown by most of their competitors. In addition, the lower admission prices and greater variety would increase public interest in going to the movies. NITE concluded that the major film producers lacked the economic incentive to cure the supply problem it perceived and that it should enter the production and distribution market. NITE lacked the financial resources to take this step, however. In an effort to raise the capital that would be necessary to finance the production of high quality films, NITE's board of directors, in April 1977, created a "Film Fund," to which its members could make donations, and gave Patterson the job of soliciting their contributions. He, in r 41 turn, devised the following plan. NITE's member theatres would show several minutes of on-screen advertising before each feature film and contribute revenues generated by this advertising to the Film Fund. A board of advisors, chosen by the participating independent theatre owners, would select the movies the Fund would finance. The Film Fund would then contract with independent motion picture companies to produce the movies. The NITE members who participated in this voluntary screen advertising program would receive a discount on the rental of these movies in return for their contributions to the Fund. Daily Variety, a leading trade newspaper, reported on the NITE Film Fund in a front-page story on April 26, 1977. The story related strong interest in the program from film producers and exhibitors alike. r605] In June 1977, NITE entered into a four-year contract with Cinemavision, Inc., a company engaged in the selling of on-screen theatre advertising, for the sale of advertising space on NITE's members' movie screens. The contract provided that at least fifty percent of the net revenues Cinemavision collected from its advertisers for the participating theatres would ['.5] be paid directly to the Film Fund. The contract required NITE to use its best efforts to solicit exhibitors to participate in the screen advertising program. NITE anticipated that its Film Fund would generate $42 million from the program over the four- year contract period. NITE's board of directors decided that the Film Fund should be organized as a separate legal entity and persuaded Patterson to incorporate Screen Advertising Film Fund Corporation (SAFFCO). SAFFCO in turn contracted with NITE and Cinemavision to administer the program. The contract provided that SAFFCO would receive the theatre contributions generated by the on-screen advertising and would retain two percent of these contributions as a profit margin to pay Patterson a salary. Cinemavision eventually For internal use only SDNY_GM_00057316 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020140 EFTA_00 167884 EFTA01295981 Page 14 748 F.2d 602, *; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 enrolled independent exhibitors representing four thousand screens to display advertisements, two thousand of whom agreed to contribute their advertising revenues to SAFFCO. On September 27-28, 1977, at a NITE regional meeting held in St. Louis, Cinemavision announced that the screen advertising program would be launched in late October with a one thousand theatre test run. A reporter from Daily Variety ("6] attended the meeting and filed a long story entitled "NITE's Screen Advertising Network Gets 1000-Theatre Test Run Beginning Oct. 24," which appeared on the front page of the September 29 edition. The story stated, in part: Folowing the tryout, additional theatres in other markets will be added until all 4200 screens signed up for the program are unreeling soft•sell commercials. William Woosley of Cinemavision told NITE's national conference of small circuits and independent buyers. Included in that number. per NITE prexy Tom Patterson. are 2000 screens (not al NITE members) which will be donating proceeds from the ads to the Screen Advertising Film Fund Corp. (SAFIFICO), the NITE group established to purchase. finance and produce features. All exhibitors signed by Patterson have agreed to put three minutes of advertising on their screens before showing the feature for four years. Over that period. Patterson estimated. $42,000,000 would be generated for SAFIFICO from the 2000 subscnbing screens. A second Daily Variety reporter in Hollywood, California placed phone calls to the major motion picture distributors to obtain their response to the NITE r7] film advertising program. Senior executives from Universal Pictures, Buena Vista, Twentieth Century Fox, Columbia, and Warner Brothers returned the reporters calls. All the executives were familiar with the program. They all voiced strong opposition to NITE's program because they feared the advertisements would "clutter the screen" and alienate theatre patrons. The executives' responses were quoted in the September 29, September 30, and October 5, 1977 editions of Daily Variety. The MPAA Advertising-Publicity Committee met on October 27, 1977 and discussed the NITE Film Fund. Richard Kahn, chairman of the committee and vice president of Metro- Goldwyn Mayer, told a Daily Variety reporter that the committee unanimously voted to take a stand urging theatres not to exhibit screen ads. A story on the cover of the November 4, 1977 edition of Daily Variety reported that A new voice — that of the ad-pub committee of the Motion Picture Association of America — has been added to the campaign to dissuade theatre owners from participating in the screen advertising program through which the National Independent Theatre Exhibitors Association (6063 hopes to generate rotti financing for new feature film product. Richard Kahn, ad-pub-exploitation v.p. of MGM, chairman of the MPAA panel. yesterday disclosed a unanimously approved committee stand deploring the "rebirth" of screen advertising, and urging exhibitors "to keep their screens free of nonentertainment oriented clutter." Action of the ad•pub committee was endorsed by MPAA president Jack Valenti. and the associations advertising chief. Bethlyn Hand. Both attended the session, along with representatives of Universal. United Mists. Warner Bros. and MGM. Nonmember observers from American International and First Mists concurred. On October 31, 1977, Twentieth Century Fox issued a statement that it would require all future exhibitors of its films to pay it a percentage of any revenues they might derive from on-screen advertising. The purpose of this statement was to discourage theatre participation in screen advertising programs. For internal use only SDNY_GM_00057317 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020141 EFTA_001678115 EFTA01295982 Page 15 748 F.2d 602, *; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 On November 22, 1977, Warner Brothers mailed out bid solicitations for "Superman," one of the most commercially important movies of the year. The bid solicitation stated that theatres exhibiting screen ads would not be considered eligible for licensing (**9] the new film. The clear intent was to discourage screen advertising programs. As a result of the major distributors' coercive activities, numerous theatre exhibitors withdrew from the NITE program; they could not afford to lose their principal sources of supply. At the same time, Cinemavision tried to separate itself from SAFFCO and NITE in order to save its business. These efforts came too late, and in 1978 Cinemavision went out of business. NITE, Patterson, and SAFFCO, invoking section 4 of the Clayton Act, 15 U.S.C. § 15 (1982), brought this private anti-trust action against the eight defendant film distributors we have referred to supra, alleging that they had conspired to destroy SAFFCO, in violation of sections 1 and 2 of the Sherman Act, 15 U.S.C. §§ 1 and 2 (1982), because SAFFCO threatened to compete vigorously in their oligopolistic market. The plaintiffs alleged that the statements by the defendants' executives concerning the NITE Film Fund and the subsequent meeting of the MPAA Advertising-Publicity Committee evidenced this conspiracy and that Warner Brothers' and Twentieth Century Fox's threatened boycott of any exhibitor rloi who participated in the on-screen advertising program was in pursuance thereof. The conspirators knew, plaintiffs alleged, that the exhibitors would respond to such threats by refraining from on-screen advertising. After answering plaintiffs' complaint, the defendants moved for summary judgment on the ground that plaintiffs lacked standing to prosecute their antitrust claims. Following a period of discovery limited to the standing issue, the court granted the defendants' motions as to Patterson and NITE because they were not within the target area of the alleged antitrust violations. The parties subsequently engaged in extended discovery on the merits of SAFFCO's claims, and the defendants again moved for summary judgment. Before the court could hear argument on their motions, though, SAFFCO's attorneys withdrew from the case. SAFFCO obtained new counsel, but Patterson soon became dissatisfied with his performance and sought to represent SAFFCO himself. The court refused to permit him to do so, however. Patterson then tried another approach; he dissolved SAFFCO and moved the court to substitute him for the company as party plaintiff. The court denied his motion and proceeded rig to consider the defendants' motions for summary judgment. It concluded that the defendants' actions were not responsible for SAFFCO's alleged injury and consequently granted summary judgment for the defendants. SAFFCO and Patterson appeal. SAFFCO contends that the court erred in granting the distributors summary judgment because material facts remained unresolved. r607] Patterson contends that the court erred in concluding that he lacked standing to sue under the antitrust laws. Both appellants challenge the trial court's denial of Patterson's motion for substitution as party plaintiff and its disposition of several procedural and discovery matters. We discuss these points in order. II. For internal use only SDNY_GM_00057318 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020142 EFTA_00 167886 EFTA01295983 Page 16 748 F.2d 602, "; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 [HN2] The prerequisites to a private cause of action under section 4 of the Clayton Act are well established: the plaintiff must show (1) a violation of the antitrust laws, in this case sections 1 and 2 of the Sherman Act, (2) injury to its "business or property," and (3) a causal relationship between the antitrust violation and the injury. Nichols v. Mobile Board of Realtors, Inc., 675 F.2d 671, 675 (5th Cir. Unit B 1982); (**121 Jot-Em-Down (JEDS) Store, Inc. v. Cotter & Co., 651 F.2d 245, 247 (5th Cir.1981). > The last two elements require the valuation of the plaintiff's injury in terms of money damages with some degree of certainty. Id. 2 In Stein v. Reynolds Secutities. Inc.. 667 F.2d 33 (11th Cir.1982). this court adopted as binding precedent all decisions of Unit B of the former Fifth Circtit handed down after September 30. 1981. 3 In Bonne, v. City of Prichard. 661 F.2d 1206. 1209 (11th Cir.1981) (en banc). this court adopted as binding precedent all decisions of the former Fifth Circuit handed down prior to October 1. 1981. In the instant case, the distributors moved for summary judgment against SAFFCO on the ground that SAFFCO failed to establish the third element of its antitrust claims, the causal relationship between the distributors' alleged anticompetitive behavior and SAFFCO's injury. The distributors presented a two-part argument. First, the distributors r13] noted that SAFFCO failed to obtain contributions from exhibitor on-screen advertising revenues because Cinemavision collapsed and that Cinemavision collapsed because it could not persuade anyone to advertise on its network of theatre screens. Second, they pointed out that there was no proof that they had ever contacted any of Cinemavision's potential advertisers in an attempt to discourage them from engaging in on-screen advertising. Absent any interference on their part with Cinemavision's sources of income, the distributors concluded, they could not be held responsible for SAFFCO's injury. The district court accepted their argument and gave them summary judgment. We begin our assessment of the validity of the distributors' argument, and hence the summary judgment, by observing that [HN3] the law does not require an antitrust plaintiff to show that the defendant's wrongful action was the sole proximate cause of the injury sustained. The plaintiff need only prove, with a fair degree of certainty, that defendant's illegal conduct materially contributed to the injury. Comfort Trane Air Conditioning v. Trane Ca, 592 F.2d 1373, 1383 (5th Cir.1979); r14] Alabama v. Blue Bird Body Co., Inc., 573 F.2d 309, 317 (5th Cir.1978); Terrell v. Household Goods Carriers' Bureau, 494 F.2d 16, 20 (5th Cir.), cert. dismissed, 419 U.S. 987, 95 S. Ct. 246, 42 L. Ed. 2d 260 (1974). [HN4] "It is enough that the illegality is shown to be a material cause of the injury; a plaintiff need not exhaust all possible alternative sources of injury in fulfilling his burden of proving compensable injury under § 4 [of the Clayton Act]." Zenith Radio Corp. v. Hazeltine Research, Inc., 395 U.S. 100, 114 n. 9, 89 S. Ct. 1562, 1571-72 n. 9, 23 L. Ed. 2d 129 (1969). The causation argument the distributors advanced in the district court, and repeat, here, ignores this rule of law, for it does not address the question of whether the distributors' threats to boycott or otherwise penalize any exhibitor who engaged in on- screen advertising played a role in the decision of Cinemavision's putative advertisers not to participate in its advertising program. For internal use only SDNY_GM_00057319 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0020143 EFTA_00 167887 EFTA01295984 Page 17 748 F.2d 602, "; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 In determining whether such threats, especially Twentieth ("15] Century Fox's and Warner Brothers' communications to exhibitors of October 31 and November 22, ['6O8] 1977, supra, played a role in the advertisers' decisions, we must view the evidence in a light most favorable to SAFFCO. In doing so, we conclude that a large number of movie theatres, both those who had agreed to contribute to SAFFCO's Film Fund and those who had not, withdrew from the Cinemavision's screen advertising program because of the distributors' coercive conduct and that such withdrawal was a natural cause of Cinemavision's failure. These exhibitors could not risk losing their supply of motion pictures and had no choice except to refuse to exhibit on-screen advertising. We think a jury could infer that this significant contraction in the number of screens participating in Cinemavision's advertising program reduced its attractiveness as an advertising medium. A network of five thousand screens was obviously more attractive than one with only two thousand screens to national advertisers who wished to reach the largest audience possible. In sum, the inference that the distributors' conduct may have caused SAFFCO's injury was sufficient to preclude the entry ("16] of summary judgment. Thrasher v. State Farm Fire & Casualty Co., 734 F.2d 637, 638 (11th Cir.1984); Griffis v. Delta Family-Care Disability, 723 F.2d 822, 823-24 (11th Cir.), cert. denied, 467 U.S. 1242, 104 S. Ct. 3514, 82 L. Ed. 2d 823 (1984). III. Patterson challenges the district court's conclusion that he lacked standing to pursue his antitrust claims. His challenge lacks merit. [HN5] Standing to prosecute a private antitrust action under section 4 of the Clayton Act requires the plaintiff to prove that "he is within that sector of the economy which is endangered by a breakdown of competitive conditions in a particular industry." Jeffrey v. Southwestern Bell, 518 F.2d 1129, 1131 (5th Cir.1975). See Construction Aggregate Transport, Inc. v. Florida Rock Industries, Inc., 710 F.2d 752, 762 (11th Cir.1983). The plaintiff must be the target against which anticompetitive activity is directed. Midwestern Waffles, Inc. v. Waffle House, Inc., 734 F.2d 705, 710 (11th Cir.1984); Pan-Islamic Trade Corp. v. Exxon Corp., 632 F.2d 539, 546-47 (5th Cir.1980), ("17] cert. denied, 454 U.S. 927, 102 S. Ct. 427, 70 L. Ed. 2d 236 (1981). The injury must be "of the type the antitrust laws were intended to prevent and that flows from that which makes defendants' act unlawful." Brunswick Corp. v. Pueblo Bowl-O-Mat, Inc., 429 U.S. 477, 489, 97 S. Ct. 690, 697, 50 L. Ed. 2d 701 (1977). "Incidental or consequential injury or injury remotely caused by an antitrust violation does not give a plaintiff standing to complain that he has been injured by reason of anything forbidden in the antitrust laws." Midwestern Waffles, 734 F.2d at 710-11. See Jeffrey, 518 F.2d at 1131 (citing cases). The film production and distribution market was the target of the distributors' alleged anticompetitive behavior in this case. Patterson never intended or prepared to enter this market, whether as a sole proprietor or as a member of a partnership or joint venture. Moreover, there was no evidence that any of the distributors' alleged behavior was directed against him individually. He clearly fell outside the target area. Patterson claimed individual injury in his capacity as an officer and shareholder ("18] of SAFFCO, the target of the alleged conspiracy. The law on standing in this situation is clear. [HN6] Neither an officer nor an employee of a corporation has standing to bring an action in his own right for an antitrust violation causing injury to the corporation and its For internal use only SDNY_GM_00057320 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020144 EFTA_00 167888 EFTA01295985 Page 18 748 F.2d 602, *; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 business. Midwestern Waffles, 734 F.2d at 710-11; Pitchford v. Pepi, Inc., 531 F.2d 92, 97-98 (3d Cir. 1975), cert. denied, 426 U.S. 935, 96 S. Ct. 2649, 49 L. Ed. 2d 387 (1976); Jeffrey, 518 F.2d at 1131; Reibert v. Atlantic Richfield Co., 471 F.2d 727, 730-31 (10th Cir.1972), cert. denied, 411 U.S. 938, 93 S. Ct. 1900, 36 L. Ed. 2d 399 (1973). Such persons may suffer "indirect" or "secondary" financial injury from antitrust violations, but they are not the target of the anticompetitive practices. Jeffrey, 518 F.2d at 1131. Patterson [1609] plainly lacked standing to sue the defendants in this case. IV. SAFFCO and Patterson contend that the district court erred in ruling on a variety of motions ["19] made during the discovery process. Only two of these claims are worthy of discussion; the remainder are frivolous. A trial judge has broad discretion to control the course of discovery, especially in a complex antitrust case such as this one, and we will not disturb his discovery rulings absent an abuse of discretion. Commercial Union Insurance Co. v. Westrope, 730 F.2d 729, 731 (11th Cir.1984); Majd-Pour v. Georgiana Community Hospital, Inc., 724 F.2d 901, 903 (11th Cir.1984); Aviation Specialties Inc. v. United Technologies Corp., 568 F.2d 1186, 1189 (5th Cir.1978). A. On September 10, 1982 SAFFCO's counsel, in Atlanta, received the defendants' notice to take the deposition of a key witness in New York City on September 14, 1982. At the time, counsel for both sides were in the midst of trial in a related case in the district court. Late in the afternoon of the day before the deposition, SAFFCO's attorneys moved the district court for a protective order requiring the defense to reschedule the deposition because they could not be present in New York the next day. Defense counsel had already arrived in New York for the deposition, (**20] however. The district court granted SAFFCO's motion on the condition that it pay for one-half of defense counsel's round-trip air fare to New York. Fed.R.Civ.P. 26(c) and 37(a)(4). SAFFCO contends that the order was patently unfair because the notice of deposition was not filed within a "reasonable" time, as required by Fed.R.Civ.P. 30(b), and was not scheduled in good faith. This may be so, but SAFFCO's attorneys could have avoided the situation by advising opposing counsel about their problem before counsel departed for New York. We find no abuse of discretion in the court's award of partial expenses in this situation. B. SAFFCO's counsel withdrew three years into the suit. Patterson, SAFFCO's only shareholder, thereafter sought to represent the corporation pro se pursuant to 28 U.S.C. § 1654 (1982). The court correctly refused to allow him to do so. Section 1654 provides: [HN7] "In all courts of the United States the parties may plead and conduct their own cases personally or by counsel as, by the rules of such courts, respectively, are permitted to manage ("21] and conduct causes therein." Patterson failed to recognize that SAFFCO, the corporation, and Patterson, its sole shareholder, were separate legal persons and that section 1654 precluded him from appearing pro se in behalf of another person. Moreover, [HN8] corporations must always be represented by For internal use only SDNY_GM_00057321 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020145 EFTA_00 167889 EFTA01295986 Page 19 748 F.2d 602, *; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 legal counsel. Southwest Express Co., Inc. v. Interstate Commerce Commission, 670 F.2d 53, 55 (5th Cir.1982); K.M.A., Inc. v. General Motors Acceptance Corporation, 652 F.2d 398, 399 (5th Cir.1981). This rule ensures that a licensed attorney, an officer of the court, is responsible for conducting the corporation's litigation. It protects the court and the public from unscrupulous and irresponsible behavior. In this case, for example, Patterson continually made unwarranted personal attacks on the court and opposing counsel, repeatedly misled the court as to the state of the record, and raised frivolous motions and objections. An attorney would have been deterred from engaging in such behavior because of his obligations to the court and his fear of the sanctions r*22] that might otherwise be imposed by the court and the bar. Patterson sought to circumvent the rule which prevents a nonlawyer from representing a corporation by dissolving SAFFCO. To this end, Patterson dissolved SAFFCO in accordance with Georgia law and moved to substitute himself, doing ['61O] business as Screen Advertising Film Fund Company, as party plaintiff. As a sole proprietor, he could proceed pro se under section 1654. The trial court denied Patterson's motion. In its dispositive order, the court observed that this is a complicated antitrust case: that the appropriate handling of this case demands skilled attorneys. who are officers of this Court: that attempts by Mr. Patterson to act pro se have been and will be disruptive of the orderly processing of this litigation (observe the ad hominem approach adopted in the motion to substitute order and the motion for sanctions). In a courtroom setting should Mr. Patterson be on the witness stand and at the same time attempting to act as his own attorney, the task of the trial judge in preventing the trial from degenerating would be a difficult one. Patterson takes issue with the court's [*23] ruling. (HN9] Georgia law provides that a cause of action on behalf of a corporation, which is the subject of litigation pending on the date of dissolution, may continue to be prosecuted by the corporation in its corporate name. Ga.Code Ann. 14-2-293 (1982). A dissolved corporation may maintain a federal suit when it has been given that power by state law. Bauer v. Uniroyal Tire Co., 630 F.2d 1287, 1290 n. 2 (8th Cir.1980); Froning's, Inc. v. Johnston Feed Service, Inc., 568 F.2d 108, 110 (8th Cir.1978). When Patterson moved to substitute himself for his dissolved corporation, the question became whether the court could insist that SAFFCO continue to prosecute the case. Fed.R.Civ.P. 25(c) speaks to this question; it governs the substitution of parties during pending litigation due to a transfer of interest through corporate dissolution. Froning's, Inc. v. Johnston Feed Service, Inc., 568 F.2d at 110; Panther Pumps & Equipment Co. v. Hydrocraft, Inc., 566 F.2d 8, 23 (7th Cir.1977), cert. denied, 435 U.S. 1013, 98 S. Ct. 1887, 56 L. Ed. 2d 395 (1978). ["*24] The rule states, in pertinent part, (11N10] (c) Transfer of Interest In case of any transfer of interest, the action may be continued by or against the original party, unless the court upon motion directs the person to whom the interest is transferred to be substituted in the action or joined with the original party. For internal use only SDNY_GM_00057322 CONFIDENTIAL — PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0020146 EFTA_00 167590 EFTA01295987 Page 20 748 F.2d 602, *; 1984 U.S. App. LEXIS 15990, **; 1984-2 Trade Cas. (CCH) P66,311; 40 Fed. R. Serv. 2d (Callaghan) 954 [HN11] The decision whether to allow substitution is discretionary. Collateral Control Corp. v. Deal (In re Covington Grain Co.), 638 F.2d 1357, 1360 (5th Cir. Unit B 1981); Prop-Jets, Inc. v. Chandler, 575 F.2d 1322, 1324 (10th Cir.1978); Fontana v. United Bonding Insurance Co., 468 F.2d 168, 170 (3d Cir.1972). In this case, the district court refused substitution because Patterson's participation had been and would continue to be highly disruptive of the orderly administration of the litigation. We find no abuse of discretion. V. For the reasons we have stated, the district court's summary judgment in favor of the r*25] defendants and against SAFFCO is VACATED, and the case is REMANDED for further proceedings on SAFFCO's antitrust claims against the defendants. In all other respects, the district court is AFFIRMED. m THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY m Copyright 2015 CourtLink Corporation UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NEW YORK (Central Islip) Kahn V. Bmw Of North America, LIc PLAINTIFF: Richard Kahn DEFENDANT: BMW of North America, LLC DOCKET CASE NUMBER: 2:14cv2463 FILING DATE: 4/17/2014 JURISDICTION: Diversity JUDGE: Arthur D. Spatt REFERRED TO: Magistrate Judge Anne Y. Shields NATURE OF SUIT: 370 Fraud FILING TYPE: Civil - Class Action CAUSE: Diversity-Fraud28 USC 1332 For internal use only SDNY_GM_00057323 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020147 EFTA_00 167891 EFTA01295988 Page 21 Kahn V. Bmw Of North America, Lie 2:14cv2463 JURY DEMAND: Plaintiff DEMAND: $ 5,0,00„000 STATUS: Case Closed PLAINTIFF ATTORNEY(S): Tina Wolfson [LEAD ATTORNEY;ATTORNEY TO] Ahdoot & Wolfson, P.C. 1016 Palm Avenue West Hollywood, CA, USA 90069 310-474-9111 Fax: 310-474-8585 Email:[email protected] Wendy R. Stein [LEAD ATTORNEY;ATTORNEY TO] (Terminated 9/29/2014) Gibbons P.C. One Gateway Center Newark, NJ, USA 07102 Paul C. Whalen [LEAD ATTORNEY;ATTORNEY TO] Law Offices of Paul C. Whalen, P.C. 768 Plandome Road 3 Manhasset, NY, USA 11030 516-426-6870 Fax: 212-658-9685 Email:[email protected] DEFENDANT ATTORNEY(S): Christopher J. Dalton (LEAD ATTORNEY;ATTORNEY TO] Buchanan Ingersoll & Rooney PC 550 Broad Street Suite 810 Newark, NJ, USA 07102 973-273-9800 Email:[email protected] Rosemary J. Bruno [ATTORNEY TO BE NOTICED] Buchanan Ingersoll & Rooney PC 550 Broad Street Suite 810 Newark, NJ, USA 07102 973-273-9800 Fax: 973-273-9430 Email: Rosemary. [email protected] THE COURT UPDATED THIS RECORD ON: 04/16/2015 12:00:00 AM " • THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY • * CIVIL SUITS FROM NEW JERSEY SUPERIOR COURT For internal use only CONFIDENTIAL -PURSUANT TO FED. R.CON(F IDENTIAL SDNY_GM_00057324 DB-SDNY-0020148 EFTA_OOI 67892 EFTA01295989 Page 22 CIVIL SUITS FROM NEW JERSEYSUPERIOR COURT Defendant: ABC COMPANY; JOHN DOE; RICHARD KAHN Plaintiff: BOBBY DONALDSON Plaintiff Attorney: BERARDI DIMARZIO Number: L 000476 1998 Vendor Number: SL-00000476-1998 Date: 1/12/1998 Filing Type: CIVIL SUIT Case Type: TORT-OTHER Status: DISMISSED Status Date: 9/18/1998 County Filed: ESSEX Place Filed: NEW JERSEY SUPERIOR COURT, LAW DIVISION Description: SUITS OVER $ 7,500 00 (BUT NOT AUTO RELATED CASES BEFORE 6/1/91) For internal use only SDNY_GM_00057325 CONFIDENTIAL — PURSUANT TO FED. R.CDFNE IDENTIAL DB-SDNY-0020149 EFTA_00I 67893 EFTA01295990