EFTA Document EFTA01297892

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: RCN iewer Comments (as necessary): RDC 0 No Hit 0 Not Required I. RDC Results RDC Alert(please see attached) C4 I lit FIRCOSOFT 3 No Hit 0 Not Required Il. FIRCOSOFT Results No FIRCOSOFT Alert(please see attached) D flit BIS Dyes al No 0 Not Required . III Negative Media No Information Found IV. Non-Negative Media Not Required V. Other LanLanguage Media Not Required D&B VI. MB Not Required Results'? E Yes M No Not Required Smartlinx VII. Smartlinx Information Found(please see attached) Results'? Cl Yes • No 0 Not Required Court Cases Review by legal May VIII. Court Cases Information Found(please see attached) be Required • No Results 0 Search not required Prepared by: Manna choudlcuy Date: 8/17/2018 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your cons enience:Nlartindale-Hubbellhttp://www.martindale.comisp/Martindale/home.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. 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 For internal use only SDNY_GM_00061604 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0024429 EFTA 00172116 EFTA01297892 Page 2 OFAC RESULTS RDC: I r-- 11638369 Alerted FIRCOSOFT: 126 KYC 1977694 Richard Kahn Date of Country:UNITED STATES Birth: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE Kahn, Individual Richard No Alert No Alert No Alert No Alert BIS RESULTS: Negative Media: No Information Found Non-Negative Media: Not Required Other Language Media: Not Required Public Records: Date8/17/2018 Report processed by: DEUTSCHE BANK ASH 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2018 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. For internal use only For internal use only SDNY_GM_00061605 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024430 EFTA_00I72I17 EFTA01297893 Page 2 Full Name KAHN. RICHARD O 1111m1101110 ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexIDIsml Name Variations 1: D RICHARD. KAHN 2: KAHN, R 3: KAHN, RICHARD 4: KAHN, RICHARD D 5: KAHO. RICHARD O SSNs Summary No. SSN State Iss. Date Iss. Warnings o subject: 1 DOBs Reported DOBs: 12/1972 12/1972 Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary -11 records found No, Arldrpcc 1: 2 3. 4: 6: For internal use only For internal use only SDNY_GM_00061606 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0024431 EFTA_00172118 EFTA01297894 Page 3 No Address 7: 8: 9: 10: 11: Address Details 1: Acn. Census Data for Geographical Region Median Head of Household Age. 46 Median Income: $176,471 Median Home Value: $1.000,000 Median Education: 17 years Household Members None Listed Other Associates None Listed 2: Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $81.397 Median Home Value: $429,167 Median Education: 16 years Household Members MINSKY, LISA GALE Other Associates None Listed 3 • • ress ensus a a or ograp icaRegion Median Head of Household Age 39 Median Income 581.397 For internal use only For internal use only Dates Phone Dates Phone Dates Phone SDNY_GM_00061607 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0024432 EFTA_00I72I19 EFTA01297895 Page 4 Median Home Value: $429.167 Median Education: 16 years Household Members None Listed Other Associates None Listed Address Household Members None Listed Other Associates None Listed 5: Census Data for Geographical Region Median Head of Household Age. 35 Median Income: $123.611 Median Home Value: $678.697 Median Education: 16 years Household Members None Listed Other Associates None Listed 6: Address Phone Dates Phone Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $225.720 Median Home Value: $1,000:000 Median Education: 18 years Household Members KAHN. CAROL RUBIN Other Associates RUBIN. LUCILLE L 7: Census Data for Geographical Region Median Head of Household Age: 22 Median Income: $11,280 Median Home Value: $0 Median Education: 12 years Household Members None Listed Other Associates For internal use only For internal use only Phone SDNY_GM_00061608 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024433 EFTA_0CIII72 I 20 EFTA01297896 Page 5 None Listed 8: Address Dates Phone Census Data for Geographical Region Median Head of Household Age: 35 Median Income: $139.826 Median Home Value: $803.571 Median Education: 15 years Household Members None Listed Other Associates None Listed 9: ensus oats for cteograpnrcal Region Median Head of Household Age. 42 Median Income: $148.281 Median Home Value: $744.932 Median Education: 16 years Household Members KAHN. IRENE L Other Associates None Listed 10: Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $80.556 Median Home Value: $448.387 Median Education: 15 years Household Members None Listed Other Associates None Listed 11 Ad ensus ata or rap rca egion Median Head of Household Age: 38 Median Income: $208.387 Median Home Value: $965.909 Median Education: 15 years Household Members None Listed Other Associates For internal use only For internal use only Dates Phone Dates Phone SDNY_GM_00061609 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-0024434 EFTA_00172121 EFTA01297897 Page 6 RUBIN. LUCILLE L Voter Registrations - 9 records found 1: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENT Active Status: ACTIVE 2: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: SSN: Date of Birth: Gender: Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 3: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2004 Party Affiliation: REPUBLICAN Active Status: ACTIVE 4: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: Home Phone: SSN: 108-50-XXXX For internal use only For internal use only SDNY_GM_00061610 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024435 EFTA_GOI7.2 I 22 EFTA01297898 Page 7 Date of Birth: 12/1972 Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/8/2016 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 5: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: Home Phone: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 6: New York Voter Registration Registrant Information Name: KAHN, RICHARD D Residential Address: Home Phone: SSN: Date of Birth: Gender: a c Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/8/2016 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 7: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 8: New York Voter Registration Registrant Information Name: KAHN. RICHARD For internal use only For internal use only SDNY_GM_00061611 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024436 EFTA_DOI 72123 EFTA01297899 Page 8 Residential Address: SSN: ■ Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: REPUBLICAN 9: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: SSN: ■ Date of Birth: Gender: e Voter Information Registration Date: 9/6/1996 Party Affiliation: REPUBLICAN Driver Licenses - 0 records found Professional Licenses -1 records found 1: Professional License Licensee Information Name: KAHN. RICHARD SSN: Address: County: Gender: License Information License Type: CPA License Number: 078502 Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 1 records found 1: Assessment Record for SUFFOLK County, NY Owner Information Name: RICHARD KAHN Address: County/FIPS: Address: Data Source: ion Legal Information Assessor's Parcel 0900-080.00-02.00-009.014 Number: For internal use only For internal use only SDNY_GM_00061612 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024437 EFTA 00172124 EFTA01297900 Page 9 Recording Date: 10/27/2015 Book/Page: 12852/589 Sale Information $1518000 Assessment Information $1243500 Sale Price: Assessed Value: Motor Vehicle Registrations - 5 records found 1: NY MVR Registrant Information Registrant: KAHN. RICHARD D DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: 2: NY MVR 3: NY MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: License Plate Type: License Plate Number: Plate State: Data Source: Registration Information 3/17/2011 3/17/2011 3/16/2013 Vehicle Information 1GNSKKE34BR274132 PASSENGER CAR/LIGHT TRUCK 2011 Chevrolet K1500 SUBURBAN LTZ 4 Dr Wagon Sport Utility 5827 Plate Information Private FHH6920 NY Source Information GOVERNMENTAL Vehicle Information VIN: 1GNSKKE34BR274132 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Chevrolet Model: K1500 Series: SUBURBAN LTZ Body Style: 4 Dr Wagon Sport Utility Weight: 5827 Owner Information Name: KAHN, RICHARD D DOB: Address: Title Transfer Date: 4/7/2011 Title Issue Date: 4/7/2011 Source Information Data Source: GOVERNMENTAL Registrant Information For internal use only For internal use only SDNV_GM_00061613 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024438 EFTA_00 I 72 I 25 EFTA01297901 Page 10 Registrant: KAHN. RICHARD D DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: 4: NY MVR 5: NY MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: Registration Information 5/22/2009 5/22/2009 7/8/2011 Vehicle Information SALMF15407A257934 PASSENGER CAR/LIGHT TRUCK 2007 Land Rover Range ROVER HSE 4 Dr Wagon Sport Utility 5701 Plate Information Private EAE1027 NY EAE1027 NY Source Information GOVERNMENTAL Vehicle Information VIN: SALMF15407A257934 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 5701 Owner Information Name: KAHN. RICHARD D DOB: Address: Title Information Title Transfer Date: 8/9/2007 Title Issue Date: 8/9/2007 Source Information Data Source: GOVERNMENTAL Registrant Information Registrant: KAHN, RICHARD D DOB: Address: Registration Information Original Registration Date: 12/7/2003 Registration Date: 12/7/2003 Registration Expiration Date: 1/6/2006 For internal use only For internal use only SDNY_GM_00061614 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0024439 EFTA_00I72 I 26 EFTA01297902 Page 11 Vehicle Information VIN: SALPM16412A466707 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2002 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 4960 Plate Information License Plate Type: Private Previous Plate Number: BEV5149 Previous Plate State: NY License Plate Number: BEV5149 Plate State: NY Source Information Data Source: GOVERNMENTAL Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 1 records found 1: NY Judgments and Liens Filings Debtor Information Name: KAHN RICHARD SSN: Address: Creditor information Name: SIBARELP Filing Information Jurisdiction: NY Amount: $1,783 Filing Date: 5/2/2000 Eviction Filing 1 Number: 20000072311 Type: CIVIL NEW FILING Agency: CIVIL COURT OF THE CITY OF NEW YORK Agency State: NY Agency County: NEW YORK UCC Liens -1 records found 1: NEW YORK CITY RECORD Debtor Information Debtor 1 Name: KAHN. RICHARD Name: SSN: Address: uermor Name: KAHN. LISA SSN: Address: urea Tarty rnro FIRST REPUBLIC BANK Address: 111 PINE ST For internal use only For internal use only SDNY_GM_00061615 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024440 EFTA 00172127 EFTA01297903 Page 12 SAN FRANCISCO. CA US 94111-5602 Filing Information Filing Jurisdiction: NEW YORK CITY, NEW YORK Original Filing Number: 2016000105048 Original Filing Type: INITIAL COOP UCC1 Original Filing Date: Number: Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree 10 No. Full Name 1 MINSKY, LISA GALE • AKA KAHN. LISA G SSNE M DOB: (Age: 2. KAHN, GARY E A Deceased • AKA AHN. GARY E • AKA KAHAN. GARY S8" DOB (Age 3. KAHN, CAROL RUBIN • AKA BLITSTEIN, CAROL RUBIN • AKA RUBIN. CAROL JAYNE • AKA RUBIN, KAHN CAROL • AKA RUBIN, CAHN CAROL • AKA RUBIN-KAHN. CAROL • AKA KAHN, C R • AKA RUBIN CAHN, CAROL • AKA RUBIN KAHN. CAROL • AKA LITSTEIN, CAROL R • AKA RUBIN. BLITSTEIN CAROL • AKA RUBIN KAHN. C • AKA RUB, CAROL SSN:054-44-XXXX Address/Phone For internal use only For internal use only SDNY_GM_00061616 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024441 EFTA 00172128 EFTA01297904 Page 13 No. Full (Age: 4. LIPUMA, ALISSA B • AKA KAHN, ALISSA B • AKA, KAHNLIPUMA. ALISSA • AKA LIPUMA. A • AKA LI PUMA. ALISSA B • AKA LIPUMA. ALISSA P • AKA LI, ALISSA B • AKA LIPLUMA, ALISSA B • AKA PUMA. ALISSA B LI • AKA LIPUMA, ALLISSA • AKA KAHN, LIPUMA ALISSA SS DO (Ag 5. KAHN. IRENE L SSN DO (Age 6. KAHN. IRWIN A A DI SSN. DOB: (Age: KAHN. GABRIELLE EVE DOB: (Age: 8. KAHN, IRWIN GRANTEE Address/Phone For internal use only For internal use only SDNY_GM_00061617 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0024442 EFTA 00172129 EFTA01297905 Page 14 No. Full Name SS DO (Ag 9. KAHN, IRWIN M • AKA IRWIN, KAHN SSN DOB (Age 10. KAHN, FRANCINE L A Deceased • AKA CAHN, FRANCINE L • AKA KAHN, FRAN SS DO (Ag Business Associates - 6 records found 1: ARC HOLDING INC. Name: KAHN. RICHARD Status: INACTIVE State: NY Corporation Number: 2558550 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 9/29/2000 2: ARKAY CAPITAL CORP. Name: KAHN. RICHARD Status: ACTIVE State: NY Corporation Number: 2515783 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 5/31/2000 3: HBRK ASSOCIATES INC. Name: KAHN. RICHARD Status: ACTIVE State: NY Corporation Number: 3714818 Descriptive Status: ACTIVE For internal use only For internal use only SDNY_GM_00061618 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024443 EFTA 00172130 EFTA01297906 Page 15 Record Type: Record Date: Filing Date: 4: K 8 F CAPITAL CORP. Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: 5: RDK ASSET MANAGEMENT INC. Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: 6: THE C.O.U.O. FOUNDATION, INC. Name: Address: Status: State: Corporation Number: F08000003048 Descriptive Status: INACTIVE Title: DIRECTOR, TREASURER Record Type: CURRENT Record Date: 10/18/2017 Filing Date: 9/23/2011 Person Associates - 4 records found No. Full Name Address CURRENT 7/24/2018 8/29/2008 KAHN. RICHARD INACTIVE NY 2516183 INACTIVE CURRENT 7/24/2018 6/1/2000 KAHN. RICHARD INACTIVE NY 2558561 INACTIVE CURRENT 7/24/2018 9/29/2000 KM-IN pirmaan 1: RUBIN, LUCILLE L 2: RUBIN, ISAAC J RUBIN. I RUBIN, JUDGE I SSN Phone DOB For internal use only For internal use only SDNY_GM_00061619 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024444 EFTA_00172131 EFTA01297907 Page 16 No. Full Name 3: SCHEFFLER. ADAM CRAIG SCHEFFLER. A C SCHEFELER, ADAM C SCHLEFFLER. ADAM SCHEFFER. ADAM SHEFFLER, ADAM 4: RUBIN, LUCILLE Neighbors -1 records fo Name MOEDER. ALYSSA C Employment Locator - 27 records found 1: Company Name: ARKAY CAPITAL CORP. Name: KAHN, RICHARD 2: 3: 4: 5: SSN: Confidence:Medium Company Name: HBRK ASSOCIATES INC. Name: KAHN. RICHARD SSN: Confidence: Medium Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD SSN: Confidence: Company Name: ARC HOLDING INC. Name: KAHN, RICHARD SSN: Confidence: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD SSN: Confidence: For internal use only For internal use only Phone SDNY_GM_00061620 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024445 EFTA 00172132 EFTA01297908 Page 17 6: Company Name: K & F CAPITAL CORP. Name: KAHN. RICHARD 7: 8: 9: 10: 11: 12: 13: 14: SSNI Confidence: Company Name: Name: Title: SSN: Confidence: Company Name: Name: Title: SSN: Confidence: Company Name: Name: Address: Medium THE C.O U.Q FOUNDATION, INC. KAHN, RICHARD illidd iEASURER Medium THE C.O.U.Q. FOUNDATION, INC. KAHN. RICHARD SSE Medium HBRK ASSOCIATES INC. KAHN. RICHARD SSN: Phone: Confidence: nign Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Address: SSN: Confidence: rugn Company Name: ARC HOLDING INC. Name: KAHN, RICHARD Address: SSN: Confidence: Company Name: Name: Address: Medium RDK ASSET MANAGEMENT INC. KAHN, RICHARD SSN: Confidence: High Company Name: K & F CAPITAL CORP. Name: KAHN. RICHARD Address: SSN: Confidence: Meaium Company Name: ARKAY CAPITAL CORP. For internal use only For internal use only SDNY_GM_00061621 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024446 EFTA 00172133 EFTA01297909 Page 18 Name: KAHN RICHARD Address: SSN: Phone: Confidence: re.ium 15: Company Name: ALASKA FREEDOM FISHN Name: KAHN. RICHARD Title: Address: SSN: Confidence: High 16: Company Name: ALASKA FREEDOM FISHN Name: KAHN. RICHARD Title: Address: SSN: Confidence: ig 17: Company Name: HBRK ASSOCIATES INC Name: KAHN, RICHARD Title: Address: SSN: Phone: Confidence: High 18: Company Name: HBRK ASSOCIATES INC Name: KAHN. RICHARD 19: 20: Title: Address: SSN: Phone: Confidence: 9 Company Name: BROOKLYN TOFU Name: KAHN. RICHARD Title: Address: SSN: Confidence: High Company Name: F&J RESTAURANT GROUP LLC Name: KAHN. RICHARD Title: Address: SSN: Confidence: 9 For internal use only For internal use only SDNY_GM_00061622 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024447 EFTA 00172134 EFTA01297910 Page 19 21: Company Name: WEST COAST WATER SPECIALISTS INC Name: KAHN. RICHARD Title: CONTACT Address: SSN: Phone: Confidence: High 22: Company Name: RDK ASSET MANAGEMENT INC Name: KAHN. RICHARD Title: CONTACT 23: 24: 25: 26: 27: Address: SSN: Confidence: High Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Title: CHAIRMAN OR CHIFF FXFCIITIVE OFFICER Address: SSN: Confidence: High Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Title: Address: SSN: Confidence: Company Name: Name: Title: Address: SSN: Confidence: Company Name: Name: Title: Address: SSN: Confidence: Company Name: Name: Title• Address: SSN: TIVE OFFICER g RDK ASSET MANAGEMENT INC. KAHN. RICHARD PRINCIPAL EXECUTIVE OFFICE CONTACT High RDK ASSET MANAGEMENT INC. KAHN. RICHARD Pitarnsei )(Fri ITIVF E CONTACT High RDK ASSET MANAGEMENT INC. KAHN. RICHARD PROCFSS AD0RFSA CONTACT For internal use only For internal use only SDNY_GM_00061623 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024448 EFTA 00172135 EFTA01297911 Page 20 Confidence: High Criminal Filings - 0 records found Cellular & Alternate Phones - 0 records found Possible Education - 2 records found 1: Student Information Name: KAHN. RICHARD SSN: DOB: LexID(sm): First Reported: 08/24/2016 Last Reported: 08/09/2018 High School Graduation Year: 1991 Phone: Nnne I Mini Address: Currently a Student? YES Attended High School: YES Years Since High School 27 Graduation: Attended College 1: YES College Type 1: Private College Description 1: Four Year College College Education Program Tier 1: 3 Attended College 2: YES College Type 2: Private College Description 2: Four Year College College Education Program Tier 2: 3 2: SYRACUSE UNIVERSITY Student Information Name: KAHN. RICHARD SSN: LexID(sm): Tuition Range: First Reported: Last Reported: Phone: Address: Class Rank: Currently a Student? Attended High School: Years Since High School Graduation: Attended College 1: College Type 1: College Description 1: College Education Program Tier 1: Attended College 2: College Type 2: College Description 2: College Education Program Tier 2: College Name: Original Name: Level: Type: School Size: Sources - 72 records found All Sources Senior NO YES 27 YES Private Four Year College 3 YES Private Four Year College 3 College Information SYRACUSE UNIVERSITY SYRACUSE UNIVERSITY FOUR YEAR COLLEGE PRIVATE SCHOOL 5,001 - 15,000 For internal use only For internal use only 72 Source Document(s) SDNY_GM_00061624 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024449 EFTA 00172136 EFTA01297912 Page 21 Corporate Affiliations 6 Source Document(s) Deed Transfers 1 Source Document(s) Email addresses 4 Source Document(s) Historical Person Locator 28 Source Document(s) Liens and Judgments 1 Source Document(s) Motor Vehicle Registrations 6 Source Document(s) Person Locator 2 6 Source Document(s) Person Locator 4 1 Source Document(s) Phone 6 Source Document(s) Professional Licenses 1 Source Document(s) Tax Assessor Records 2 Source Document(s) UCC Lien Filings 1 Source Document(s) Voter Registrations 9 Source Document(s) Key AHigh Risk Indicator. These symbols may prompt you to investigate further. i Moderate Risk Indicator. These symbols may prompt you to investigate further. (General Information Indicator. These symbols inform you that additional information is provided. VThe most recent telephone listing as reported by the EDA source. Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2018 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. D&B: Not Required LEGAL RESULTS: Court Cases: Copyright 2018 Info4C, All Rights Reserved For internal use only For internal use only SDNY_GM_00061625 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024450 EFTA 00172137 EFTA01297913 Page 2 Watchlists and Blacklists August 9, 2018 info4c Watchlists and Blacklists August 9, 2018 Richard Kahn SOURCE: COUNTRY: United States of America LIST NAME: NYSE Arca Enforcement AUTHORITY: New York Stock Exchange PERSONAL INFORMATION COUNTRY: United States of America OTHER INFORMATION LIST INFORMATION: ENTITY TYPE: I DATE OF PUBLICATION: April 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: May 23, 2018 CASE: Name on the list of Arca Disciplinary Actions; Decision number: 12-ARCA-3 (Position: ETP Holder Limited Partner) COUNTRY: United States of America LOAD-DATE: August 10, 2018 RICHARD KAHN, Plaintiff, v. VISADOR HOLDING CORPORATION, Defendant. CIVIL ACTION FILE NO. 2:07-CV-73 UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF GEORGIA, GAINESVILLE DIVISION For internal use only For internal use only SDNY_GM_00061626 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024451 EFTA 00172138 EFTA01297914 Page 2 2008 U.S. Dist. LEXIS 129842, * 2008 U.S. Dist. LEXIS 129842 March 18, 2008, Decided March 18, 2008, Filed CORE TERMS: personal jurisdiction, distributor, dealer, employment agreement, choice of law, authorized dealers, non-resident, consumers, website, site, exercise of jurisdiction, minimum contacts, stream of commerce, nonresident, construe, long-arm, resident, customers, relocate, employment contract, sales manager, regional, sales representatives, prima facie case, assertion of jurisdiction, forum state, sufficient to support, provision contained, foreign jurisdiction, middle ground COUNSEL: rli For Richard Kahn, Plaintiff: Deirdre M. Stephens-Johnson, LEAD ATTORNEY, Crowther Law Firm, Atlanta, GA USA. For Visador Holding Corporation, a Foreign Corporation, Defendant: J. Douglas Stewart, Sr., LEAD ATTORNEY, Stewart Melvin & Frost, LLP, Gainesville, GA USA. JUDGES: WILLIAM C. O'KELLEY, Senior United States District Judge. OPINION BY: WILLIAM C. O'KELLEY OPINION ORDER The captioned case is before the court for consideration of defendant's motion to dismiss for lack of personal jurisdiction [4-11. I. Background This is a breach of contract claim arising out of an employment agreement between plaintiff and defendant. Defendant, a Delaware corporation with its principal place of business in Virginia, manufactures parts for chairs and architectural columns through its two subsidiaries, Coffman Stairs and Crown Columns. Defendant hired plaintiff as a regional sales manager for Coffman Stairs in 2005 to increase sales in the southeast. (Ex. A to Pl.'s Resp. 1). At all times during his employment, plaintiff resided in Georgia. On November 16, 2006, defendant terminated plaintiffs employment due to company downsizing. Plaintiff asserts that he is owed a substantial severance package under the employment agreement. After 2] defendant contested the validity of the agreement, plaintiff brought this breach of contract claim, which defendant moved to dismiss on September 7, 2007 for lack of personal jurisdiction [4-1). II. Motion to Dismiss For internal use only For internal use only SDNY_GM_00061627 CONFIDENTIAL - PURSUANT TO FED. R.QQA1(f IDENTIAL DB-SDNY-0024452 EFTA 00172139 EFTA01297915 Page 3 2008 U.S. Dist. LEXIS 129842, * The plaintiff has the initial burden of establishing a prima facie case of personal jurisdiction over a nonresident defendant. Meier v. Sun Intern, Hotels, Ltd., 288 F.3d 1264, 1268.69 (11th Cir. 2002). "A prima fade case is established if the plaintiff presents enough evidence to withstand a motion for directed verdict." Id. at 1269 (quoting Madara v. Hall, 916 F.2d 1510, 1514 (11th Cir. 1990)). If the defendant challenges the facts alleged in the complaint and submits affidavits to the contrary, the burden traditionally shifts back to the plaintiff to produce evidence supporting jurisdiction. Meier, 288 F.3d at 1269; Posner v. Essex Ins. Co., Ltd., 178 F.3d 1209, 1215 (11th Cir. 1999). If the plaintiffs complaint and supporting evidence conflict with the defendant's affidavits, the court must construe all reasonable inferences in favor of the plaintiff. Meier, 288 F.3d at 1269; Madara, 916 F.2d at 1514. A federal court must have both statutory and constitutional authority to assert jurisdiction over a nonresident defendant. See McGee v. International Life Ins. Co., 355 U.S. 220. 223, 78 S. Ct. 199, 2 L. Ed. 2d 223 (1957). In analyzing whether personal jurisdiction exists, the court must first determine whether a defendant is subject to jurisdiction under Georgia's long-arm statute. If so, the court must then determine if an assertion [*3] of jurisdiction would be constitutional. See Madara, 916 F.2d at 1514. The Georgia Long-Arm Statute provides, in relevant part: A court of this state may exercise personal jurisdiction over any nonresident or his executor or administrator as to a cause of action arising from any of the acts, omissions, ownership, use, or possession enumerated in this Code section. in the same manner as if he were a resident of the state. if in person or through an agent, he: (1) Transacts any business withn this state: O.C.G.A. § 9-10-91 (2007). The long-arm statute confers personal jurisdiction to the full extent permitted by the Due Process Clause. Innovative Clinical & Consulting Servs., LLC v. First Nat'l Bank, 279 Ga. 672, 620 S.E.2d 352, 355 (Ga. 2005) (construing the first and second sections of the statute as reaching to the maximum extent permitted by procedural due process). The court, therefore, may bypass statutory analysis and proceed directly to an evaluation of whether exercising personal jurisdiction over defendant is consistent with the Due Process Clause. See Datacom Warranty Corp. v. The Phone Connection of Kansas, Inc., No.06-1835, 2006 U.S. Dist. LEXIS 76622, at *5 (N.D. Ga. Oct. 20, 2006) ("[I]t is permissible for courts to pass over an analysis of the long arm statute and exercise personal jurisdiction if the constitutional requirements are satisfied."). See also Peridyne Technology Solutions, LLC v. Matheson Fast Freight, Inc., 117 F. Supp. 2d 1366, 1369 (N.D. Ga. 2000). "The Due Process Clause protects an individual's liberty interest in not being subject to the binding judgments of a forum with which he has established N] no meaningful 'contacts, ties, or relations."' Burger King Corp. v. Rudzewicz, 471 U.S. 462, 471-72, 105 S. Ct. 2174, 85 L. Ed. 2d 528 (1985) (quoting International Shoe Co. v. Washington, 326 U.S. 310, 319, 66 S. Ct. 154, 90 L. Ed. 95 (1945)). Due process contemplates two types of personal jurisdiction: general jurisdiction and specific jurisdiction. Helicopteros Nacionales de Colombia, S.A. v. Hall, 466 U.S. 408, 414, 104 S. Ct. 1868, 80 L. Ed. 2d 404 (1984). For general jurisdiction, a non-resident defendant's contacts with the forum must be For internal use only For internal use only SDNY_GM_00061628 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024453 EFTA 00172140 EFTA01297916 Page 4 2008 U.S. Dist. LEXIS 129842, * substantial, showing continuous and systematic contacts between the defendant and the forum state. Meier, 288 F.3d at 1274 (11th Cir. 2002). Specific jurisdiction exists when defendant's contacts with the forum: (1) are related to the cause of action; (2) involve some act by which the defendant purposefully availed itself of the benefits of the forum; and (3) are such that the defendant should reasonably anticipate being sued in the forum state. Francosteel Corp. v. MN Charm, 19 F.3d 624, 627 (11th Cir. 2007). "The availability of specific jurisdiction depends on the relationship among the defendant, the forum, and the litigation." Borg-Warner Acceptance Corp. v. Lovett & Tharpe, Inc., 786 F.2d 1055, 1057 (11th Cir. 1986). Defendant contends it lacks sufficient minimum contacts to warrant personal jurisdiction in the state of Georgia. Defendant is not registered to do business in Georgia and does not maintain an office, telephone listing, mailing address, or business location in Georgia. (Def.'s Mot. Dismiss 2). Defendant sells its products only to authorized dealers and distributors, who then sell the products to consumers. r5] (Id. at 3). Though it concedes some of those dealers and distributors are located in Georgia, defendant maintains that its sale to those agents merely places their products into the stream of commerce. (Id. at 14). Moreover, defendant argues that, even if valid, the employment contract with plaintiff is insufficient to establish specific jurisdiction. The court finds that defendant established minimum contacts with Georgia sufficient to support specific personal jurisdiction. This claim arises out of a breach of an employment contract allegedly entered into between the parties. The contract provides that plaintiff serve as defendant's regional sales manager, and plaintiff states that the purpose of his employment was to increase defendant's sales in Georgia and other southeastern states.' (Ex. A to Pl.'s Resp. 1). The contract, therefore, was to be performed, at least in part, within Georgia. At all times during his employment, plaintiff resided in Georgia. (Id.) As regional sales manager, plaintiff contacted defendant's customers, and defendant paid plaintiffs salary for the performance of his duties. (Ex. B to Def.'s Mot. Dismiss 3). Nonetheless, defendant now argues that it did not "voluntarily accept [" 6] the . . . employment contract." (Def.'s Mot. Dismiss 19). Given the almost two-year professional relationship between the parties, the court finds defendant's attempts to distance itself from the contract unpersuasive. 1 The court notes that the parties hotly contest the validity of the employment agreement. In evaluating defendant's motion to dismiss, however, the court must construe all inferences in favor of plaintiff. Meier, 286 F.3d at 1269; Madara. 916 F.2d at 1514. Defendant maintains it could not have anticipated plaintiffs Georgia residence because the employment agreement required him to relocate to Virginia. Under a section entitled "Compensation and Benefits," the employment agreement provides that defendant "shall reimburse [plaintiff] for the reasonable costs and expense . . . incurred . . in relocating to the location of [defendant's] headquarters." (Ex. A to Pl.'s Compl. 2). No other language in the contract, however, mandates that plaintiff move to Marion, Virginia, and plaintiff states defendant never asked him to relocate. (Ex. A to Pl.'s Resp. 2). The court finds that this ambiguous contractual provision does not mitigate defendant's contacts with Georgia. For internal use only For internal use only SDNY_GM_00061629 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0024454 EFTA_00I72I41 EFTA01297917 Page 5 2008 U.S. Dist. LEXIS 129842, * Defendant also argues that the choice of law provision contained in the employment agreement indicates that defendant did not purposely avail itself of Georgia jurisdiction. "While by no means dispositive, a choice of law provision in a contract between the litigants rn is a factor in deciding . . . whether the parties intended to invoke the benefits and protections of a particular state." Allegiant Physicians Servs. v. Sturdy Mem'l Hosp., 926 F. Supp. 1106, 1116 (N.D. Ga. 1996). In its arguments, defendant repeatedly emphasizes its ties to Virginia and even construes the employment agreement as requiring that plaintiff relocate to its headquarters in Marion, Virginia. The choice of law provision contained in the contract, however, provides that North Carolina law governs the terms of the contract. The court finds that the choice of law provision weighs against plaintiff but, especially considering this agreement, does not preclude a finding of specific jurisdiction. Although a contract with a non-resident alone is not always sufficient to support personal jurisdiction, Burger King, 471 U.S. at 478-79, the employment agreement, itself, is evidence that defendant participates in the Georgia marketplace. Defendant hired plaintiff to increase sales with, among others, the Georgia dealers and distributors with whom it conducts business. Defendant manufactures, markets, and sells its products to dealers and distributors. The authorized dealers and distributors then sell defendant's products to builders and other consumers without defendant's further knowledge or participation. Ns] (Ex. A to Def.'s Mot. Dismiss 3).' Defendant, therefore, characterizes these transactions as merely placing goods into the stream of commerce and insufficient to establish minimum contacts. The court disagrees. 2 Defendant admits that it occasionally learns the name of the budder purchasing its product from a dealer or distributor but states that such information is not usually available to it. (Id). Unlike where a non-resident defendant ships a product to an independent distributor who then controls its ultimate destination, defendant sells products to authorized Georgia distributors and dealers who maintain store locations throughout the state. See Gold Kist, Inc. v. Baskin-Robbins Ice Cream Co., 623 F.2d 375, 382 n. 5 (5th Cir. 1980) (stating that business is transacted when defendant's obligations or business operations have a realistic impact on Georgia commerce). Though defendant employs independent sales representatives, it exclusively negotiates the contracts and orders solicited by those agents and then ships the products directly to the dealer or distributor in Georgia. (Ex. A to Def.'s Mot. Dismiss 2). Cf. Bond v. Octagon Process, Inc.,745 F. Supp. 710, 712 (M.D. Ga. 1990) (finding no personal jurisdiction where defendant shipped products to various government depots, after which the government sent them where needed). Defendant derives two percent of its total gross sales from these Georgia transactions. Defendant also sends trainers and sales representatives to Georgia to train its dealers and distributors about [' 9] its products and their installation. (Ex. A to Pl.'s Resp. 2) Defendant's active solicitation, authorization, and facilitation of relationships with Georgia merchants constitute action purposefully directed toward Georgia, and defendant should have reasonably anticipated being haled into court here as a result of those contacts. For internal use only For internal use only SDNY_GM_00061630 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024455 EFTA_001172 I 42 EFTA01297918 Page 6 2008 U.S. Dist. LEXIS 129842, * Additionally, defendant's website, while not sufficiently interactive to establish general personal jurisdiction, does suggest that defendant intended to transact business in specific state markets. As first enunciated in Zippo Mfg. Co. v. Zippo Dot Corn, (tjhe likelihood that personal jurisdiction can be constitutionally exercised is directly proportionate to the nature and quality of the commercial activity that an entity con do:is over the Internet. This skiing scale is consistent with well developed personal jurisdiction principles. At one end of the spectrum are situations where a defendant clearly does business over the Internet. If the defendant enters into contracts with residents of a foreign jurisdiction that involve the knowing and repeated transmission of computer files over the Internet. personal jurisdiction is proper. At the opposite end are situations r10] where a defendant has simply posted information on an Internet Web site which is accessible to users of foreign jurisdictions. A passive Web site that does little more than make information available to those who are interested in it is not grounds for the exercise of personal jurisdiction. The middle ground is occupied by interactive Web sites where a user can exchange information with the host computer. In these cases the exercise of jurisdiction is determined by examining the level of interactivity and commercial nature of the exchange of information that occurs on the Web site. 952 F. Supp. 1119, 1124 (W.D. Penn. 1997). Defendant's website falls within the "middle ground" because although consumers cannot order its products over the website, they are able to browse defendant's product selection, "find out more" about the company through a request form, and locate nearby authorized dealers and distributors. See Barton Southern Co. v. Manhole Barrier Systems, 318 F. Supp. 2d 1174, 1177 (N.D. Ga. 2004). Through its "Dealer Locator Program," defendant promises dealers that it will "bring potential local Coffman customers to [their] door" by allowing consumers to enter their zip codes on the website and access a list of authorized dealers in the area. See Coffman Stairs - Dealer Programs, http://www.coffmanstairs.com/dealer/dealer2.htm. rig Rather than merely placing its products into the stream of commerce, defendant directs customers, including those residing in Georgia, to its authorized local dealers and distributors. Finally, the exercise of jurisdiction over defendant comports with traditional notions of fair play and substantial justice. In assessing the reasonableness of a forum's assertion of jurisdiction over a non-resident defendant, the court considers: (1) the burden on defendant in litigating the lawsuit. (2) the forum state's interest in adjudicating the dispute; (3) the plaintiff's interest in obtaining convenient and effective relief. (4) the interstate judicial system's interest in obtaining the most efficient resolution of controversies: and (5) the shared interest of the states in furthering fundamental social policies. World-Wide Volkswagen Corp. v. Woodson, 444 U.S. 286, 292, 100 S. Ct. 559, 62 L. Ed. 2d 490 (1980). Georgia is the most convenient forum for plaintiff, who resided in Georgia during his employment with defendant and remains a resident of this state. Georgia also has an interest in protecting against and adjudicating contract disputes that involve, at least partially, transactions with Georgia companies and that occur within the state. "[O]ften the interests of the plaintiff and the ri2] forum in the exercise of jurisdiction will justify even the serious burdens placed on the alien defendant." Asahi Metal Industry Co. v. Superior Court of California, 480 U.S. 102, 114, 107 S. Ct. 1026, 94 L. Ed. 2d 92 (1987). Plaintiff has agreed to conduct depositions in Virginia or North Carolina to diminish the inconvenience to defendant. The court, therefore, finds that defendant will not be seriously burdened by defending this lawsuit in Georgia. Accordingly, defendant's motion to dismiss for lack of personal jurisdiction [4-1] is hereby DENIED. IT IS SO ORDERED, this 18th day of March, 2008. For internal use only For internal use only SDNY_GM_00061631 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0024456 EFTA 00172143 EFTA01297919 Page 7 2008 U.S. Dist. LEXIS 129842, * Is/ William C. O'Kelley WILLIAM C. O'KELLEY Senior United States District Judge For internal use only For internal use only SDNY_GM_00061632 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0024457 EFTA 00172144 EFTA01297920 Page 1 For internal use only For internal use only SDNY_GM_00061633 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0024458 EFTA 00172145 EFTA01297921