EFTA Document EFTA01297717

NAME SEARCHED: Darren K Indyke 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: Res 'o'er Comments (as necessar> ) RDC . tesii t, I RI) I I No RDC Alert (please see attached) No Hit • Not Roquirod • Hit F1RCOSOFT U No Hit 0 Not Required II FiRcosort Rodin, FIRCOSOFT Alert (please see attached) Hit TIIS 0 Yes I S No K Not Required III. Nee.ative MedM No Information Found IV. Non-Isleutive Media Not Required V. Other Language Media Not Required MEI VI. D&B Not Required Results/TO Yes M No cgi Not Required Smanlinx Results') ® Yes 0 No 0 Not Required VII. Smartlinx Information Found (please see attached) Court Caws .14 Review by Legal May be VIII. Court Gnus Information Found (please see attached) Required • No Results • Search not required Prepared by: Vikram-D Instructions: Singh Date: 5/31/2018 Research Analyst and confirm that all results are returned for your client. note that you arc still required to perform any Martindale-Hubbell for your convenience:Nlartindale-Hubbellhttp://www.martindak.com/xp/Martindaleihume.tml provide comment for any negative results. please obtain clearance from Compliance for all alerts. changes you make to this document and attach file to your KYC. of a signed KYC is your confirmation that you have fully reviewed For internal use For internal use search (if applicable) on each search subject. We have attached the web link the research documents. only only I. Review 2. Please below .3. As needed, 4. If applicable, 5. Save any Please note: Submission S0N`CGM_ 1147 CONFIDENTIAL — PURSUANT TO FED Ft CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023972 EFTA_00171659 EFTA01297717 OFAC RESULTS RDC: Inquiry Id Response Type Tracking Id Name Address Date of Birth: 11632109 No Match Found KYC 01946825 Darren K Indyke . UNITED STATES Date of Birth: FIRCOSOFT: Request ID Record ID Type Name Details Alert(s) ADM INT PEP SAE 12593920 WR_125939202182 Individual Indyke, Darren K No AlertClL_TMEDRI No Alert No Alert BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Records: FOR INFORMATIONAL PURPOSES ONLY Copvnght 201 0,.xisrrexis a division of Free,'. Ffs*v Alt Riobts Reserved. Date: S/31/2018 Report processed by: DEUTSCHE BANK AGI I For internal use only For internal use only SDNY_GM_00061148 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0023973 EF1'A_00171660 EFTA01297718 Fun Name INDYKE, DARREN K Address County PALM BEACH Phone Ara Dde may change ADDITIONAL PERSONAL INFORMATION SSN - Subject Summary Name Variations 1: INDYKE, DARREN 2: INDYKE, DARREN K 3: INDYKE DARREN, K SSNs Summary mm most frequent SSN attributed to subject: DOB SSN Gender State Iss. 1: DOBs New York LexID(sm) View All Name Vanations Sources View All SSN Sources Date Iss. 1974-1975 Repotted DOlls: Possible E-Mail Addresses Others Usine SSN - 0 records found Address Summary - 16 records found 1: 2: 3: 4: Warnings Vices All MR Sources View All E-Mail Sources View All Address Variations Sources Address For internal use only For internal use only Action* Get Report View Details Get Report. View Details .gSt_gePtrt View Details Get Report View Details SDNY_GM_00061149 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023974 EFTA_00I71661 EFTA01297719 5: 6: 7: B: 9: 10: 11: 12: 13: 14: 15: 16: Address Details Get Report Yiew_Pekolls Get Reoort View Details Qe.t.Reoort View Details Get Report viewDetails Get Report View Details Get Report view Details Get Report View Details Get Report View Details Get Report View Details Get Report View Details Get Report View Details Get Report View Details Address PALM BEACH COUNTY Census Data for Geographical Region Median Head of Household Age: Median Income: Median Home Value: Median Education: Household Members Dates 9/2011 - 5/2018 For internal use only For internal use only Phone Actions Oct Rcrat 55 $162,324 $743,519 15 years SDNY_GM_0006i150 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023975 EFTA 0017166? EFTA01297720 Oct Report Oct Report Address Dates 4/2004 - 5/2018 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: Median Income: Median Home Value: Median Education: Household Members None Listed Other Associates None Listed Phone Actions Oct Report 51 $71,102 $585,558 14 years Address Dates - 5/2018 Phone Actions 9/2000 Oct Report tJtJ 1/4 LULIN I T Census Data for Geographical Region Median Head of Household Age: median Income: Median Home Value: Median Education: Household Members 39 $182,847 $684,590 16 years Coo Report Oct Report Oct ReorK1 Oct Raton Oct Revolt 4: 6030 LE LAC RD BOCA RAYON, FL 33496-2316 Address Dates For internal use only For internal use only Phone Actions SDNY_GM_00061151 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023976 EFTA_00 I 71663 EFTA01297721 7/2015 - 2/2018 PALM BEACH COUNTY Census Data for Geographical Region Median Head of Household Age: (lei Report 70 Median Income: $147,321 Median Home Value: $572,674 Median Education: 15 years Household Members None Listed Other Associates None Listed Address Dates Phone Actions 9/2004 - 11/2017 GO Report NEW YORK COUNTY Household Members None Listed Other Associates None Listed Address Dates Phone Actions 11/2008 - 4/2016 Rcpon NEW YORK COUNTY Household Members None Listed Other Associates None Listed Address Dates Phone Actions 2009 - 3/2010 (let Report CARBON COUNTY Census Data for Geographical Region Median Head of Household Age: 46 Median Income: $51,694 For internal use only For internal use only SDNY_GM_00061152 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023977 EFTA 00171664 EFTA01297722 Median Home Value: Median Education: Household Members None Listed Other Associates None Listed $157,589 12 years 8: Arhirsa, CARMJN -COUNTY Household Members None Listed Other Associates None Listed Dates 6/2005 - 3/2010 Phone Actions Oct Report 9: 53 KENT CLARK DR SPLIT ROCK, PA 18624 Address 53 KENT CLARK DR SPLIT ROCK, PA 18624 CARBON COUNTY Household Members None Listed Other Associates None Listed EDO Address Dates Phone Actions 10/2000 - 7/2007 Oct Report NEW YORK COUNTY Household Members None Listed Other Associates None Listed Address Dates Phone Actions Dates 3/2008 - 6/2008 Phone Actions Oct Report For internal use only For internal use only SDNY_GM_00061153 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023978 EFTA_0017 1665 EFTA01297723 5/2000 - 2/2006 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: Oct Report 36 Median Income: $156,291 Median Home Value: $753,989 Median Education: 16 years Household Members (id Re ton Other Associates None Usted Address Actions Dates Phone 2002 - 9/2004 Oct Report NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: 51 Median Income: $111,607 Median Home Value: $475,000 Median Education: 14 years Household Members None Listed Other Associates None Usted Address Phone Actions cot Report Dates 1/2003 - 1/2003 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $105,460 Median Home Value: $965,278 Median Education: 15 years Household Members rici Report Other Associates For internal use only For internal use only SDNY_GM_00061154 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023979 EFTA_GOII71666 EFTA01297724 None Listed Address Dates Phone Actions 8/1988 - 4/1994 Get Report TOMPKINS COUNTY Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $60,484 Median Home Value: $275,562 Median Education: 16 years Household Members None Usted Other Associates riet Report Address Dates Phone Actions 20 MAX DR APT 8A Get Report MORRISTOWN, NJ 07960-3028 MORRIS COUNTY Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $149,816 Median Home Value: $400,000 Median Education: 14 years Household Members None Usted Other Associates None Usted E Ad ress Dates Phone Actions Oct Report NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $118,056 Median Home Value: $590,000 For internal use only For internal use only SDNY_GM_00061155 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023980 EFTA_00171667 EFTA01297725 Median Education: Household Members None Listed Other Associates None Listed Voter Reeist rations - I records found Vicw Votcr RA:sou:mon Source: 16 years Registration Registrant Information Name: INDYKE, DARREN K Residential Address: NEW YORK COUNTY SSN: Date of Birth: Gender: Male Voter Information Last Vote Date: 2001 Party Affiliation: Active Status: ACTIVE Dricer Licenses - records found .71Profenional Licenses - 1 records found Vicw Professional I.icensc Sources 1: Professional License Name: INDYKE, DARREN K SSN: Company Name: Address: County: NEW YORK Phone: Date of Birth: Profession or Board: ATTORNEYS License Type: ATTORNEY License Number: 2491850 Issue Date: 1992 Last Renewal Date: 06/19/2002 State: New York Licensee Information NEW YORK STRATEGY GROUP, LLC License Information For internal use only For internal use only SDNY_GM_00061156 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0023981 EFTA_00171668 EFTA01297726 - ':Health Care Pro; iders - 0 reconls found ,-]Ilealth Care Sanctions - 0 records found HPilot Licenses - 0 records found - Sport Licenses - 0 records found ,Real Property -6 records found View Real Property Sources 1: Assessment Record for PALM BEACH County, FL Owner Information Name: INDYKE DARREN & Address: County/FIPS: ESSEX Address: Property Information County/ FIPS: PALM BEACH Data Source: g Automated Valualion_Report Legal Information Assessor's Parcel Number: 00-42-47-21-28-000-0500 Recording Date: 09/15/2011 Book/Page: 24756/738 Sale Information Sale Price: $460000 Assessment Information Assessed Value: $304694 Market Land Value: $85000 Market Improvement Value: $219694 Total Market Value: $304694 Atitomataxl Valuaasl Revolt Owner Information Name: INDYKE DARREN K & Address: County/FIPS: ESSEX Address: County/FIPS: PALM BEACH Data Source: g Property Information Legal Information For internal use only For internal use only Automated Valuation Report Automated Vtiluation Reimrt SDNY_GM_00061157 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023982 EFTA_00I 7 1669 EFTA01297727 Assessors Parcel Number: 00.42.46-34-06-000.0301 Recording Date: 07/16/2015 Book/Page: 27691/473 Sale Information Sale Price: $3100000 Assessment Information Assessed Value: Market Land Value: $2622629 $1464375 Market Improvement Value: $1158254 Total Market Value: $2622629 • Misesstnent Record for ESSEX County, NJ Owner Information Name: INDYKE, DARREN Address: County/FIPS: ESSEX Address: Data Source: g Automated Valuation Retzrrl Property Information Automated Valuation Report Legal Information Assessors Parcel Number: 10 00107-0000-00007- 01-C3205 Recording Date: 06/30/2006 Book/Page: 6363/100 Sale Information Sale Price: $415000 Assessment Information Assessed Value: $388700 Market Land Value: $210000 Market Improvement Value: $178700 Total Market Value: 1385)00 Buyer Information Name: INDYKE , DARREN K Name: Add county/FIPS: ESSEX Seller Information Name: SCHULTHEIS , GARY ) Name: SCHULTHEIS , CHERYL Address: iitomat‘d Valuatiim Repoli For internal use only For internal use only Automated Valuation Report SDNY_GM_0006i158 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023983 EFTA_00I7 1670 EFTA01297728 County/F1PS: ALBEMARLE Property Information Address: County/FIPS: PALM BEACH Data Source: Legal Information Assessors Parcel Number: 00.42.46-34-06-000.0301 Contract Date: 07/22/2015 Recording Date: 07/23/2015 Document Number: 20150274380 Document Type: WARRANTY DEED Book/Page: 27691/473 Sale Information Salo Price: $3100000 Mortgage Information Loan Type: THIS CODE IS USED ONLY FOR BKFS LEGACY Title Company: ATTORNEY Automated Valuation Karon Buyer Information Name: INDYKE, DARREN Name: Address: County/FIPS: ESSEX Seller Information Name: LARGE, EDWARD W Name: EDWARD W LARGE REVOCABLE TRUST, Address: County/FIPS: PALM BEACH Address: County/FIPS: PALM BEACH Data Source: B Property Information Automated Valuation Report Automated Valuation Rcport Lender Information Name: WELLS FARGO BANK NA Legal Information Assessor's Parcel Number: 00-42-47-21-28-000-0500 Contract Date: 09/15/2011 Recording Date: 09/21/2011 Document Number: 20110353592 For internal use only For internal use only VitomatvJ Valuation Rcroi I SDNY_GM_00061159 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SONY-0023984 EFTA_00I7167 I EFTA01297729 Document Type: WARRANTY DEED Book/Page: 24756/738 Sale Information Sale Price: $460000 Mortgage Information Loan Amount: Loan Type: Title Company: $345000 NEW CONVENTIONAL ATTORNEY Owner Information Name: Name: Address: County/FIPS: INDYKE, DARREN K ESSEX Automated Valuati4mi Ripori Property Information Address: Data Source: B Automated Valuautxt Report Legal Information Assessor's Parcel Number: Recording Date: Book/Page: 32C-21-F53 09/15/2000 899/119 Sale Information Sale Price: $253000 Assessment Information Assessed Value: -!Motor Vehicle Registrations - 12 records found $125400 MVR Registrant Information Registrant: DOB: Address: INDYKE, DARREN K PALM BEACH COUNTY Lessee Information Registration Information Original Registration Date: Registration Date: Registration Expiration Date: 7/31/2017 2/18/2018 2/19/2020 For internal use only For internal use only SDNY_GM_00061160 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SONY-0023985 EFTA 00171672 EFTA01297730 Decal Number: 00361771 Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: Color: Weight: PASSENGER CAR/LIGHT TRUCK 2017 Lincoln MKC SELECT 4 Dr Wagon Sport Utility Red 3896 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Private FL FL Source Information Data Source: GOVERNMENTAL Registrant Information Registrant: DOB: Address: INDYKE, DARREN K PALM BEACH COUNTY Lessee Information Registration Information Original Registration Date: Registration Date: Registration Expiration Date: Decal Number: 7/31/2017 2/18/2018 2/19/2020 00361769 Vehide Information VIN: Class: Model Year: Make: Model: Series: PASSENGER CAR/LIGHT TRUCK 2017 Lincoln MKC SELECT For internal use only For internal use only SDNY_GM_00061161 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023986 EFTA_00171673 EFTA01297731 Body Style: 4 Dr Wagon Sport Utility Color: Blue Weight: 3896 Plate Information License Plate Type: Private Previous Plate Number: Previous Plate State: FL License Plate Number: Plate State: FL Source Information Data Source: GC Y ENTAL Registrant Information Registrant: INDYKE, DARREN K DOB: Address: ESSEX COUNTY Original Registration Date: 4/15/2017 Registration Date: Registration Expiration Date: Decal Number: 4/15/2017 2/19/2019 00713679 Lessee Information Registration Information Vehide Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2016 Make: Lincoln Model: MKX Series: RESERVE Body Style: 4 Dr Wagon Sport Utility Color: Blade Weight: 4044 License Plate Type: Private Previous Plate Number: ■ Previous Plate State: FL License Plate Number: Plate Information For internal use only For internal use only SDNY_GM_00061162 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SONY-0023987 EFTA_00171674 EFTA01297732 Plate State: FL Source Information Data Source: GOVERNMENTAL 4: FL MYR, Registrant Information Registrant: DOB: Address: INDYKE, DARREN K IMB ESSEX COUNTY Registration Information Original Registration Date: Registration Date: Registration Expiration Date: Decal Number: 4/15/2017 4/15/2017 2/19/2019 00713924 Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: Color: Weight: PASSENGER CAR/LIGHT TRUCK 2015 Mercedes-Benz S600 S600 Sedan 4 Door Black 3501 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Private FL Source Information Data Source: veitc e iformabon VIN: Class: Model Year: PASSENGER CAR/LIGHT TRUCK 2015 Make: Mercedes-Benz For internal use only For internal use only SDNY_GM_00061163 CONFIDENTIAL - PURSUANT TO FED R.CONIF IDENTIAL DB-SDNY-0023988 EFTA_00171675 EFTA01297733 Model: S600 sad: 5600 Body style: Sedan 4 Door Color: Black Weight: 3501 Owner Information Memo: INDYKE, DARREN K DOB: Address: Name: Address: PALM BEACH COUNTY Uenholder Information BANK OF AMERICA PO BOX 2759 JACKSONVILLE, FL 32203-2759 DUVAL COUNTY Title Information Title Number: 0122859154 Title Transfer Date: 4/22/2016 Title Issue Date: 4/22/2016 Source Information Data Source: GOVERNMENTAL Registrant Information Registrant: INDYKE, DARREN K DOB: Address: ESSEX COUNTY Registration Information Original Registration Date: 4/2/2013 Registration Date: 2/27/2015 Registration Expiration Date: 2/19/2017 Decal Number: 00340965 VIN: Class: Model Year: Make: Model: Series: Vehicle Information PASSENGER CAR/LIGHT TRUCK 2012 Lincoln MKX FWD For internal use only For internal use only SDNY_GM_00061164 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023989 EFTA_00171676 EFTA01297734 Body Style: 4 Dr Wagon Sport Utility Black 4120 Color: Weight: Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Pi ivate Plate State: FL Data Source: Source Information 30‘.,ERN ENTAL Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: PASSENGER CAR/LIGHT TRUCK 2016 Lincoln MKX RESERVE 4 Dr Wagon Sport Utility Owner Information Name: DOB: Address: Source Date First Seen: Source Date Last Seen: INDYKE, DARREN PALM BEACH COUNTY 3/11/2016 1/20/2017 Source Information Data Source: NON-GOVERNMENTAL Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: PASSENGER CAR/LIGHT TRUCK 2012 Lincoln MKX FWD 4 Dr Wagon Sport Utility For internal use only For internal use only SDNY_GM_00061165 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023990 EFTA_00171677 EFTA01297735 Owner Information Name: DOB: Address: Source Date First Seen: Source Date Last Seen: INDYKE, DARREN ESSEX COUNTY 8/20/2014 12/5/2014 Source Information Data Source: NON-GOVERNMENTAL 9: Non-Governmental Vehicle Record Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: PASSENGER CAR/LIGHT TRUCK 2008 Cadillac Escalade LUXURY 4 Dr Wagon Sport Utility Owner Information Name: DOB: Address: Source Date First Seen: Source Date Last Seen: INDYKE, DARREN ESSEX COUNTY 7/14/2016 1/11/2018 Source Information Data Source: NON-GOVERNMENTAL 10: Non-Governmental Vehicle Record Vehicle Information VIM: Class: Model Year: Make: Model: Series: Body Style: PASSENGER CAR/LIGHT TRUCK 2009 Lexus L5460 AWD Sedan 4 Door Owner Information Mama: INDYKE, DARREN For internal use only For internal use only SDNY_GM_00061166 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023991 EFTA_00171678 EFTA01297736 DOB: Address: Source Date First Seen: Source Date Last Seen: ESSEX COUNTY 8/31/2009 8/12/2016 Source Information Data Source: NON-GOVERNMENTAL VIN: Vehicle Information class: PASSENGER CAR/LIGHT TRUCK Model Year: 2013 Make: Jaguar Model: XJL Series: PORTFOLIO Body style: Sedan 4 Door Owner Information Name: INf)YKF, DARREN DOB: Address: ESSEX COUNTY Source Date First Seen: 5/22/2013 Source Date Last Seen: 4/4/2014 Source Information Data Source: NON-GOVERNMENTAL Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Ma ke: Mercedes-Benz Model: ML350 Body Style: 4 Dr Wagon Sport Utility Owner Information Name: INDYKE, DARREN DOB: Address: ESSEX COUNTY For internal use only For internal use only SDNY_GM_00061167 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023992 EFTA_00171679 EFTA01297737 Source Date First Seen: 10/5/2013 Source Date Last Seen: 10/5/2013 Source Information Data Source: Hush - I records found NON-GOVERNMENTAL State: Registration Number: Registration Status: Registration Issue Date: Registration Expiration Date: Decal Number: Vessel Make: Hull Type: Use: Propulsion Type: Vessel Year: Hull Identification Number: Length (Ft-In): Date Last Seen: Florida FL2273RN ACTIVE 03/01/2018 02/19/2019 05152277 KRISTA INC OTHER PLEASURE VESSEL OUTBOARD 1988 RG151272G888 16-0 03/01/2018 Owner Information Name: Address: INDYKE, DARREN K PALM BEACH COUNTY Title Information Title Number: Title Status: Title Type: Title Issue Date: 0130256802 ORIGINAL - NEW WATER CRAFT 03/01/2018 Source Information Data Source: Aircraft - 0 records found GOVERNMENTAL Bankruptcy Information -0 records found Judzincotsticos - U records found FCC Lien.- 0 records found - Fictitious Businesses - I records found For internal use only For internal use only SDNY_GM_00061168 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0023993 EFTA_00171680 EFTA01297738 1: Fictitious Businesses Business Information Jurisdiction: NY Type: DBA Filing Number: 000113000225 Filing Date: 01/13/2000 Contact Information Name: DARREN K. INDYKE ESQ Address: Contact Type: OWNER .-INotice Of Defaults -0 records found '- Potential Relatives - 9 records found No. 1 2 3 4 For internal use only For internal use only Get Report Get Report Get Report Get Report SDNY_GM_00061169 CONFIDENTIAL — PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0023984 EFTA_0017168t EFTA01297739 S 6 7 8 For internal use only For internal use only Get Report Get Report Get rteppit cet.RePOrt SDNY_GM_0006n 70 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023995 EFTA 00171682 EFTA01297740 9 - :Business Associates - 15 records found Get Report I Name: Status: State: INDYKE, DARREN K ACTIVE NY Corporation Number: 2521524 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 10/23/2017 Filing Date: 6/15/2000 Business Report: G1/41 Rerun Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: Business Report: INDYKE, DARREN K INACTIVE NY 2521524 INACTIVE CURRENT 4/24/2018 6/15/2000 tiel Report u, uc Name: INDYKE, DARREN K Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: Business Report: ACTIVE FL L13000118646 (Alit RI," MANAGER CURRENT 12/5/2016 8/22/2013 For internal use only For internal use only SDNY_GM_00061171 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0023996 EFTA_0017 1683 EFTA01297741 Name: Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: Business Report: INDYKE, DARREN < INACTIVE FL L13000118646 INACTIVE MANAGER CURRENT 10/18/2017 1/25/2017 rid Report Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Data: INDYKE, DARREN K INACTIVE NY 1695791 INACTIVE CURRENT 4/24/2018 1/20/1993 NC. Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: INDYKE, DARREN K INACTIVE NY 2493124 I NACTIVE CURRENT 4/24/2018 7: Dia LIQUIDATING CORP. Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: INDYKE, DARREN K INACTIVE NY 1695791 INACTIVE CURRENT 4/24/2018 1/20/1993 For internal use only For internal use only SDNY_GM_00061172 CONFIDENTIAL - PURSUANT TO FED R.Q0NE IDENTIAL DB-SDNY-0023997 EFTA 00171684 EFTA01297742 Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: Business Report: INDY<L, DARKEN ACTIVE NY 3355889 ACTIVE CURRENT 4/24/2018 5/2/2006 (id Report • HARLEQUIN DANE LLC Name: Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: Business Report: INDYKE, DARREN ACTIVE FL L15000068663 ACTIVE MEMBER MANAGER CURRENT 10/18/2017 4/27/2015 !Li Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: Business Report: INDYKE, DARKEN K ACTIVE NY 3341485 ACTIVE CURRENT 4/24/2018 3/30/2006 ltiwort Name: Status: State: Corporation Number: INDYKE, DARREN K ACTIVE NY 2773652 Descriptive Status: ACTIVE For internal use only For internal use only SDNY_GM_00061173 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0023998 EFTA_00171685 EFTA01297743 Record Type: Record Date: Filing Date: Business Report: CURRENT 4/24/2018 5/31/2002 Got Report NEW YORK STRATEGY GROUP, LLC Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: Business Report: INDYKE, DARREN K INACTIVE NY 2461227 INACTIVE CURRENT 4/24/2018 1/13/2000 ;et Report Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: Business Report: INDYKE, DARREN K INACTIVE NY 1379614 INACTIVE CURRENT 4/24/2018 8/25/1989 ict Itt port Name: Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: Business Report: INDYKE, DARREN K 250 S AUSTRALIAN AVE STE 1404 WEST PALM BEACH, FL 33401-5016 INACTIVE FL F08000003048 INACTIVE DIRECTOR, VICE PRESIDENT, SECRETARY CURRENT 10/18/2017 9/23/2011 Get Report UN * N, INC. Name: I i KE, DARREN K For internal use only For internal use only SDNY_GM_00061174 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023999 EFTA_00171686 EFTA01297744 Address: 250 S AUSTRALIAN AVE STE 1400 WEST PALM BEACH, FL 33401-5016 Status: INACTIVE State: FL Corporation Number: N07000010684 Descriptive Status: INACTIVE Title: AD Record Type: CURRENT Record Date: 10/18/2017 Filing Date: 9/25/2009 Business Report: Get Retain - Person Associates - II records found Address SSN Phone C.08 Actions For internal use only For internal use only id 1yinHI n SDNY_GM_00061115 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024000 EFTA_00171687 EFTA01297745 4: 5: 6: 7: For internal use only For internal use only (jet Report Gel Report tot Report Get Report SDNY_GM_00061176 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024001 EFTA_00171688 EFTA01297746 8: 9: 10: 11: Nciahbors For internal use only For internal use only Report ca Report Repirt SDNY_GM_00061177 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024002 EFTA_00171689 EFTA01297747 -0 records round HEmploymcnt Locator - 50 records round Company Name: NINE EAST 71ST STREET CORPORATION Name: SSN: INDYKE, DARREN K Confidence: Medium Company Name: Name: SSN: NINE EAST 71ST STREET CORPORATION INDYKE, DARREN K Confidence: Medium 31 dJ Company Name: DKI GRAPHICS, INC. Name: INDYKE, DARREN K SSN: 098-54-XXXX Confidence: Medium Company Name: NEW YORK STRATEGY GROUP, LLC Name: SSN: Confidence: INDYKE, DARREN K Medium Company Name: DKI GRAPHICS, INC. Name: SSN: INDYKE, DARREN K Confidence: medium 6: Company Name: 116 EAST 65TH STREET, LLC Name: INDYKE, DARREN K SSN: Confidence: Medium Company Name: LYN AND 3O3O LLC Name: INDYKE, DARREN K SSN: Confidence: Medium For internal use only For internal use only SDNY_GM_00061118 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-OO24OO3 EFTA_00171690 EFTA01297748 Company Name: Name: SSN: E MANAGEMENT NEW YORK LLC INDYKE, DARREN K Confidence: Medium Company Name: MAX HOTEL SERVICES CORP. Name: INDYKE, DARREN K SSN: Confidence: Medium 10: Company Name: Name: HARLEQUIN DANE, LLC INDYKE, DARREN Title: MEMBER MANAGER SSN: Confidence: Medium Company Name: THE C.O.U.Q. FOUNDATION, INC. Name: INDYKE, DARREN K Title: SSN: DIRECTOR, VICE PRESIDENT, SECRETARY Confidence: Medium Company Name: THE FLORIDA SCIENCE FOUNDATION, INC. 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R.CON(F IDENTIAL DB-SDNY-0024014 EFTA_00171701 EFTA01297759 • AHigh Risk Indicator. These symbols may prompt you to investigate further. • I Moderate Risk Indicator. These symbols may prompt you to investigate further. • PI General Information Indicator. These symbols inform you that additional information is provided. • ✓The most recent telephone listing as reported by the EDA source. D&B: No Information Found LEGAL RESULTS: Court Cases: L.A.W. LIMITLESS. LLC, Petitioner. v. FR. LURSSEN WERFT (GMBH) CO.. Respondent 98 Civ. 8433 (JSR) UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK 1999 U.S. Dist LEXIS 986 February 2. 1999. Decided February 3. 1999, Filed DISPOSITION: I.1] LAW's petition to compel arbitration granted. CASE SUMMARY PROCEDURAL POSTURE: Before the court was petitioner's request to compel arbitration of its contractual dispute with respondent. whom it hid contracted with to build a yacht. Respondents rejected petitioner's claim regarding defects in the yacht and petitioner sought to refer the matter to arbitration pursuant to the panics' contract. Respondent argued that because petitioner failed to specify an arbitrator by a deadline, it waived its right to arbitration. OVERVIEW: Petitioner requested tliat the court compel arbitration of its contractual disputes with respondent. The contract at issue was for the construction of a yacht. Under the contract. disputes were to be referred to arbitration and an arbitrator was to be mined within 60 days of the execution of the contract. By the time the construction was completed. the parties had not designated an arbitrator. Upon its completion. petitioner complained of defects in the yacht. but respondent rejected the claim. The parties agreed to arbitration. but after no arbitrator was named, discussions ceased. Petitioner then filed his petition. Respondent argued that petitioner waived its right to arbitrate because it faded to propose an For internal use only For internal use only SDNY_GM_00061190 CONFIDENTIAL - PURSUANT TO FED R.cONE I DENTIAL DB-SDNY-0024015 EFTA_00171702 EFTA01297760 arbitrator before the deadline. The court granted the petition concluding that nothing in the agreement suggested that the panics regarded compliance with the 60day period as a necessary condition precedent to binding arbitration. The court added that the fact that the agreement provided a procedure for selection of an arbitrator if the deadline lapsed was proof that arbitration was an option even if an arbitrator was not named. OUTCOME: The court granted petitioner's request. concluding that the condition precedent requiring the appointment of an arbitrator was not material to the agreement. as evinced be the contractual terms and the panics conduct. The court further riled tint because the agreement provided a procedure for the selection of an arbitrator. it was clear that arbitration was an option even if an arbitrator was not named. CORE TERMS: arbitrator, arbitration. designate, yacht. appoint, proposing, contractual remedy, right to arbitrate. conditions precedent. contractual, deadline. lapse. letter dated, Maritime Rules. Federal Arbitration Act, arbitration provision, failure to comply, aforementioned, immaterial. mandatory•, binding. jointly. naming• dispute arising, delivery. confirm, waived LexisNexisit licadnotes Contracts Law > Contract Conditions & Provisions> Conditions Precedent Conditions precedent to otherwise obligatory arbitration requirements arc not favored and are not to be found where they arc not clearly evinced by tlx: contract. Civil Procedure > Class Actions > Derivative Actions > General Overview Contracts Law > Contract Conditions & Provisions> Arbitration Clauses Real Property Law > Construction Law > Contracts NN2 A mechanical breakdown. such as a lapse in time in naming of the arbitrator, is immaterial to the enforcement of arbitration agreements. Admiralty Law > Arbitration > Federal Arbitration Act Admiralty Law > Maritime Contracts > General Overview Civil Procedure > Alternative Dispute Resolution > Arbitrations > General Overview Section 10 of the Maritime Rules provides that if a party fails to appoint its arbitrator within the time I frame specified in the arbitration agreement, the party demanding arbitration may resort to Section 5 of the Federal Arbitration Act, 9 U.S.C.S. § I et seq. Admiralty Law > Arbitration > General Overview Civil Procedure > Alternative Dispute Resolution > Arbitrations > Federal Arbitration Act > General Overview International Trade Law > Dispute Resolution > Arbitration mom See 9 U.S.C.S. § I et seq. COUNSEL: For L.A.W. LIMITLESS. LLC. petitioner. Michael M. Gordon. Cadwalder Wickersham & Taft. New York, NY. For FR_ LURSSEN WERFT (GMBH & CO.), respondent: Glen T. °non, Healy & Baillie, New York, NY. For internal use only For internal use only SONY_GM_00061191 CONFIDENTIAL - PURSUANT TO FED R.cONE I DENTIAL DB-SDNY-0024016 EFTA_00171703 EFTA01297761 JUDGES: JED S. RAKOFF. U.S.D.J. OPINION BY: JED S. RAKOFF OPINION MEMORANDUM ORDER JED S. RAKOFF. U.S.D.J. L.A.W. Limitless. LLC ("LAW") petitions the Court to compel arbitration of LAW's contractual disputes with Fr. Lurssen Waft (GMBH) Co. ("Lurssen"). On January 19, 1999. the parties were orally advised that the Court would grant the petition. This Memorandum Order will formally confirm that advice and briefly state the reasons therefor. By a writing dated June 18, 1993 (the "Construction Agreement"), Lurssen contracted with one Jeffrey Epstein to construct a luxury yacht for a corporation to be later designated (which turned out to be LAW). Section 23 of the Construction Agreement provided that any dispute "arising out of or relating to this Agreement" was to be referred to athitration. Clause 23.3 of that section stated that "The parties agree to designate and appoint a sole Arbitrator ... not later than sixty (60) days after execution I•2I of this Agreement.' The sixty-day period came and went without either party proposing an arbitrator. Nonetheless. construction of the yacht went forward. On March 27. 1997. with construction virtually complete. the relevant parties entered into a further agreement (the "Assumption Agreement") specifying LAW as the Epstein-designated corporation that would assume his responsibilities under the Construction Agreement and take delivery of the yacht. Among other things. the Assumption Agreement specifically and expressly reaffirmed Clause 23 of the Construction Agreement -- without, however. making any. reference to the parties' failure thus far to designate an arbitrator. Shortly after taking delivery of the yacht. LAW notified Lassen of alleged defects in the delivered product; but Lurssen rejected these claims. On March 25. 1998. LAW proposed arbitration of these disputes. By letter dated March 30, 1998 Lurssen responded by proposing one Robert Walsh "as sole arbitrator" "to act in line with our contract." Affidavit of Darren K. Indyke, dated November 30. 1998, Exhibit F. No specific arbitrator was agreed upon however, before the relationship between the parties grew acrimonious j•31 and the discussions ceased. By letter dated October 16, 1998. Lurssen. for the rust time, took tlx position that LAW had waived its right to arbitrate the disputes over the alleged deficiencies in the yacht because LAW had failed to propose an arbitrator within 60 days of the execution of the Construction Agreement. By letter dated November 10, 1998. Lurssen went still further and claimed that LAW was without any contractual remedy whatever for the alleged deficiencies because, having agreed (directly or through its contractual predecessor Epstein) that all contractual disputes must be submitted to arbitration, it had failed to preserve that right by proposing an arbitrator before the 60-day deadline. In response. LAW commenced this action. Quite aside from the inequity of Lurssen's position, it has no basis in law. Specifically, under New York law (which governs the contract here in issue), 0. 01Wconditions precedent to otherwise obligatory arbitration requirements arc not favored and arc not to be found where, as here, they arc not clearly evinced by the contract. Sec e.g., De Vito v. Hempstead China Shop, 38 F.3d 651.654; Irving Trust Corporation v. Nationwide Leisure Corporation, (4141 711 F. Supp. 166. 168 (S.D.N.Y. 1989); Toyomcnka Pacific Petroletun, Inc. v. Hess Oil Virgin Islands Corp., 771 F. Supp. 63. 67 (S.D.N.Y. 1991); Oppenheimer & Co. v. Oppenheitn, Appel. Dixon, & Co., 86 N.Y.2d 685, 691, 660 N.E.2d 415, 636 N.Y.S.2d 734 (Ct. App. 1995): Uniroyal. Inc. v. Heller. 65 F.R.D. 83, 93 (S.D.N.Y. 1974). Here, nothing in the plain language of Section 23 suggests that the panics regarded compliance with the 60-day selection period as a necessary condition precedent to binding arbitration failure to comply with which would waive all contractual remedies. See In re Salomon Inc. Shareholders' Derivative Litigation 68 F.3d 554, 560 (2d Cir. 1995) (.1" 21% "mechanical breakdown," such as "a lapse in time in naming of the arbitrator? is immaterial). This is in notable contrast to other sections of the Construction Agreement. such as Section 24. where the contract effectively states that failure to meet certain other deadlines is material and dispositive. Moreover. far from making a party's failure to timely designate an arbitrator a waiver of its right to arbitrate. Section 23 provides in effect a procedure for selection of an arbitrator in the event the deadline lapses. Specifically. Clause I*51 23.1 states that 'The Arbitration shall be conducted in New York City under the rules of the Society of Maritime Arbitrators ("Maritirne Rules")." and waSection 10 of the Maritime Rules provides that "if a party fails to appoint its Arbitrator within the time frame specified in the arbitration agreement, the party demanding arbitration may resort to waTSection 5 of (the Federal Arbitration Act. 9 U.S.C. a 1. et seq.)." which provides that "if a method (for selecting an arbitrator) be provided (by contract) and any party shall fail to avail himself of such method, or if for any For Internal use only For internal use only SDNY_GNI_00061192 CONFIDENTIAL - PURSUANT TO FED R.cONE I DENTIAL DB-SDNY-0024017 EFTA_00171704 EFTA01297762 other mason there shall be a lapse in the naming of an arbitrator .. . then upon the application of either party to the controversy the court shall designate and appoint an arbitrator..." Moreover, the conduct of the panics throughout the more than five years between the execution of the Construction Agreement on June 13, 1993 and Lurssen's first enuciation of its present position on October 16, 1998 evidences their view that failure to comply with the 60-day period was immaterial. For example. when entering into the Assumption Agreement on March 27, 1997 — by which time, on Lurssen's current argument. I*61 both sides, because of their mutual failure to designate an arbitrator mom than two-and-a-half years earlier. had waived forever any right either to arbitrate or to invoke any other contractual remedy — both sides, instead, expressly agreed that Section 23 Is incorporated herein by reference and shall govern any dispute arising out of or relating to this IAgreencntI " Less than one month Later, moreover, on April 21. 1997, Lurssen confirmed its belief that the arbitration remedy remained intact by providing a bank guarantee to LAW that stated, inter alit', that in the event that we receive notification from [LAW) or the Builder stating that your claim in respect of the Builder's warranty . . . has been disputed and referred to arbitration in accordance with the provisions of the Construction Agreement, this Guarantee shall be valid until thirty (30) days after the final award shall be rendered in any such arbitration . . . . Finally•. on March 30th. 1998. Lurssen sent the aforementioned letter proposing Robert Walsh "as sole arbitrator" "to act in line with our contract." These actions all confirm the parties' belief that the mandatory arbitration provision (•71 remained in full force even though the 60-day selection period had been ignored. Footnotes I It further follows that even if (contrary to the Court's conclusion) the 60-day selection period were a necessary condition precedent to enforcement of the right to arbitrate, Lurssen's aforementioned actions constitute a waiver of this condition. See e.g.. Aini v. Sun Taiyang Co.. 964 F. Supp. 762, 779 (S.D.N.Y. 1997); see also Empire National Bank v. United Penn Bank. 81 A.D.2d 904. 439 N.Y.S.2d 203 (2d Dep't 1981): Oleg Cassini. Inc. v. Couture Coordinates. Inc. 297 F. Supp. 821. 830 (S.D.N.Y. 1969). End Footnotes In short, the Court concludes that the mandatory arbitration provisions of these contracts remain binding and that LAW's petition to compel arbitration must be granted. Sec generally Frank Felix Assocs., Ltd v. Austin Drugs. Inc., It 1 F.3d 284. 286 (2d Cir. 1997). Tie panics having advised the Count that they arc unable to agree on a single arbitrator, the Court. pursuant to Section 23.1 of the Construction Is8l Agreement (as adopted by the Assumption Agreement) and pursuant thereby to the applicable provisions of the Federal Arbitration Act, 9 U.S.C. a✓; 5. 206. hereby appoints Judah Gribetz. Esq.. of the law firm of Richards & O'Neil. LLP, 885 Third Avenue. New York. NY 10022, as sole arbitrator. with his fees to be jointly paid by the parties at his ordinary hourly rate. Within no more than ten business days from the date of this Onler the parties arc directed to jointly telephone Mr. Gribetz at (212) 207-1200 to make arrangements for the prompt arbitration of their disputes. Clerk to enter judgment. SO ORDERED. JED S. RAKOFF. U.S.D.J Dated: New York, New York Fr:binary 2, 1999 For Internal use only For internal use only SONYGEL00061193 CONFIDENTIAL - PURSUANT TO FED R.Q0NE I DENTIAL DB-SDNY-0024018 EFTA_00171705 EFTA01297763