EFTA Document EFTA01407189

NAME SEARCHED: Erika Kellerhals 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: RDC PCR Yes BIS No Hit Hit No Hit Hit Not Required Not Required No Not Required D&B Smartlinx Court Cases Results? Yes Not Required Results? be Required Yes Not Required Review by Legal May No Results Search not required Prepared by: Prachi Pawa Date: 10/12/2016 Research Analyst Instructions: 1. 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-Hubbellhttp://www.martindale.com/xp/- 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. No VII. Smartlinx VIII. Court Cases EFTA01407189 No Click here for results: I. RDC Results II. PCR Results III. Negative Media IV. Non-Negative Media Reviewer Comments (as necessary): No RDC alert (Please see attached) No PCR alert (Please see attached) There was no information found There was no information found V. Other Language Media Not Required VI. D&B Not Required Result Found(please see attached) Result Found(please see attached) For internal use only EFTA01407190 OFAC RESULTS RDC: 11593661 No Match Found GCIS 00000483290 Erika Kellerhals Country:United States Date of Birth: 10/13/1974 PCR: C20161034949193 Erika Kellerhals 12013248 NCA customised Auto-Closed No-Hit 12/10/2016 BIS RESULTS Negative Media: There was no information found 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 AGI I For internal use only EFTA01407191 Page 2 Full Name KELLERHALS, ERIKA A Address 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 RICHMOND COUNTY ADDITIONAL PERSONAL INFORMATION SSN DOB 074-72-XXXX Subject Summary Name Variations 1: KELLERHALES, ERICKA A 2: KELLERHALLS, ERIKA A 3: KELLERHALS, E A 4: KELLERHALS, ERIKA 5: KELLERHALS, ERIKA A SSNs Summary No. SSN 1: 074-72-XXXX State Iss. New York Possible E-Mail Addresses [email protected] [email protected] Others Using SSN - 2 records found Full Name 1: KELLERHALS, ENER SSN 074-72-XXXX DOB 10/1974 Date Iss. Warnings Most frequent SSN attributed to subject: 1987-1988 10/1974 (Age:41) County RICHMOND Phone (718) 667-1921 Gender LexID(sm) 001368644215 11: YOUNG, MICHAEL S EFTA01407192 074-72-XXXX Address Summary - 12 records found No. Address 1: 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 RICHMOND COUNTY 2: 3: 4: 9053 ESTATE THOMAS 101 ST THOMAS, VI 00802 ST. THOMAS COUNTY 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 00802-3602 ST. THOMAS COUNTY 9053 ESTATE THOMAS STE 10 ST THOMAS, VI 00802 For internal use only EFTA01407193 Page 3 No. Address ST. THOMAS COUNTY 5: PO BOX 608 ST THOMAS, VI 00804-0608 ST. THOMAS COUNTY 6: PO BOX 6347 ST THOMAS, VI 00804-6347 ST. THOMAS COUNTY 7: 8: 9: 9100 PORT OF SALE MALL STE 2 ST THOMAS, VI 00802-3602 ST. THOMAS COUNTY 184 JORALEMON ST APT 1 BROOKLYN, NY 11201-4329 KINGS COUNTY 184 JORALEMON ST APT 12R BROOKLYN, NY 11201-4329 KINGS COUNTY 10: 187 JORALEMON ST APT 12R BROOKLYN, NY 11201-4306 KINGS COUNTY 11: 242 BRYSON AVE STATEN ISLAND, NY 10314-1923 RICHMOND COUNTY 12: 242 BYRNE AVE STATEN ISLAND, NY 10314-4409 RICHMOND COUNTY Address Details 1: 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 Address 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 RICHMOND COUNTY Census Data for Geographical Region Median Head of Household Age: 47 Median Income: $82,353 Median Home Value: $584,337 Median Education: 14 years Household Members DAHLING, MELISSA A KELLERHALS, EDWARD KELLERHALS, EDWARD A KELLERHALS, ENER KELLERHALS, KATHLEEN M Other Associates HANRATTY, THOMAS E 2: 9053 ESTATE THOMAS 101 ST THOMAS, VI 00802 Address EFTA01407194 9053 ESTATE THOMAS 101 ST THOMAS, VI 00802 For internal use only Dates 6/2016 - 8/2016 Phone Dates Phone 2/1994 - 10/2016 (718) 667-1921 EFTA01407195 Page 4 ST. THOMAS COUNTY Household Members None Listed Other Associates None Listed 3: 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 00802-3602 Address 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 00802-3602 ST. THOMAS COUNTY Household Members None Listed Other Associates BETZ, SHAUNA L 4: 9053 ESTATE THOMAS STE 10 ST THOMAS, VI 00802 Address 9053 ESTATE THOMAS STE 10 ST THOMAS, VI 00802 ST. THOMAS COUNTY Household Members None Listed Other Associates None Listed 5: PO BOX 608 ST THOMAS, VI 00804-0608 Address PO BOX 608 ST THOMAS, VI 00804-0608 ST. THOMAS COUNTY Household Members KELLERHALS, EDWARD A Other Associates FERGUSON, GREG 3 6: PO BOX 6347 ST THOMAS, VI 00804-6347 Address PO BOX 6347 ST THOMAS, VI 00804-6347 ST. THOMAS COUNTY Household Members KELLERHALS, EDWARD A Other Associates FERGUSON, GREG 3 7: 9100 PORT OF SALE MALL STE 2 ST THOMAS, VI 00802-3602 Address 9100 PORT OF SALE MALL STE 2 ST THOMAS, VI 00802-3602 ST. THOMAS COUNTY Household Members KELLERHALS, EDWARD A Other Associates None Listed EFTA01407196 8: 184 JORALEMON ST APT 1 BROOKLYN, NY 11201-4329 Address For internal use only Dates Phone Dates 7/2003 - 6/2004 Phone Dates 3/2004 - 4/2009 Phone Dates 3/2004 - 11/2015 Phone Dates 5/2016 - 5/2016 Phone Dates 12/2003 - 6/2016 Phone EFTA01407197 Page 5 184 JORALEMON ST APT 1 BROOKLYN, NY 11201-4329 KINGS COUNTY Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $127,273 Median Home Value: $741,587 Median Education: 18 years Household Members None Listed Other Associates None Listed 9: 184 JORALEMON ST APT 12R BROOKLYN, NY 11201-4329 Address 184 JORALEMON ST APT 12R BROOKLYN, NY 11201-4329 KINGS COUNTY Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $127,273 Median Home Value: $741,587 Median Education: 18 years Household Members None Listed Other Associates None Listed 10: 187 JORALEMON ST APT 12R BROOKLYN, NY 11201-4306 Address 187 JORALEMON ST APT 12R BROOKLYN, NY 11201-4306 KINGS COUNTY Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $127,273 Median Home Value: $741,587 Median Education: 18 years Household Members KELLERHALS, KATHLEEN M Other Associates None Listed 11: 242 BRYSON AVE STATEN ISLAND, NY 10314-1923 Address 242 BRYSON AVE STATEN ISLAND, NY 10314-1923 RICHMOND COUNTY Census Data for Geographical Region Median Head of Household Age: 47 Median Income: $74,028 Median Home Value: $483,978 Median Education: 13 years EFTA01407198 Household Members None Listed Other Associates None Listed 12: 242 BYRNE AVE STATEN ISLAND, NY 10314-4409 Address For internal use only Dates Phone Dates 2/1994 - 2/1994 Phone Dates 2/1994 - 10/1997 Phone Dates 10/1997 - 11/1997 Phone 11/1997 - 11/1997 EFTA01407199 Page 6 242 BYRNE AVE STATEN ISLAND, NY 10314-4409 RICHMOND COUNTY Census Data for Geographical Region Median Head of Household Age: 42 Median Income: $95,399 Median Home Value: $462,729 Median Education: 13 years Household Members None Listed Other Associates None Listed Voter Registrations - 1 records found 1: New York Voter Registration Registrant Information Name: KELLERHALS, ERIKA A Residential Address: 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 RICHMOND COUNTY SSN: 074-72-XXXX Date of Birth: 10/1974 Gender: Female Voter Information Last Vote Date: 2002 Party Affiliation: DEMOCRAT Active Status: ACTIVE Driver Licenses - 0 records found Professional Licenses - 1 records found 1: Professional License Licensee Information Name: KELLERHALS, ERIKA ANN SSN: 074-72-XXXX Address: 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 00802-3602 County: ST. THOMAS Phone: (340) 779-2564 Gender: FEMALE License Information License Type: 105284 Issue Date: 02/10/2015 Status: OTHERS Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 0 records found Motor Vehicle Registrations - 2 records found 1: NY MVR Registrant Information Registrant: KELLERHALS, ERIKA A DOB: 10/1974 EFTA01407200 Address: 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 RICHMOND COUNTY For internal use only 2/1994 - 2/1994 EFTA01407201 Page 7 Registration Information Original Registration Date: 1/30/2002 Registration Date: 1/30/2002 Registration Expiration Date: 1/29/2004 Vehicle Information VIN: WVWPD63B42P171962 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2002 Make: Volkswagen Model: Passat Series: GLS Body Style: Sedan 4 Door Weight: 3196 Plate Information License Plate Type: Private License Plate Number: AHG1059 Plate State: NY Source Information Data Source: GOVERNMENTAL 2: NY MVR Vehicle Information VIN: WVWPD63B42P171962 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2002 Make: Volkswagen Model: Passat Series: GLS Body Style: Sedan 4 Door Weight: 3196 Owner Information Name: KELLERHALS, ERIKA A DOB: 10/1974 Address: 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 RICHMOND COUNTY Lienholder Information Name: CHASE MANHATTAN BANKUSA NA Address: PO BOX 5210 NEW HYDE PARK, NY 11042-5210 NASSAU COUNTY Title Information Title Transfer Date: 3/6/2002 Title Issue Date: 3/6/2002 Source Information Data Source: GOVERNMENTAL Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found EFTA01407202 Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree: 6, 2nd Degree: 4 No. 1. Full Name KELLERHALS, ENER Address/Phone 184 JORALEMON ST For internal use only EFTA01407203 Page 8 No. Full Name SSN:074-72-XXXX DOB:10/1974 (Age: 41) 2. KELLERHALS, EDWARD A • AKA RELLERMALS, EDWARD A • AKA KELLERNALS, EDW SSN:063-36-XXXX DOB:7/1944 (Age: 72) Address/Phone BROOKLYN, NY 11201-4329 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 (718) 667-1921 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 (718) 667-1921 102 LINCOLN AVE STATEN ISLAND, NY 10306-2459 PO BOX 608 ST THOMAS, VI 00804-0608 PO BOX 6347 ST THOMAS, VI 00804-6347 9100 PORT OF SALE MALL STE 2 ST THOMAS, VI 00802-3602 3 KELLERHALS, KATHLEEN M • AKA KELLERHAL, KATHLEEN M • AKA KELLERHALS, KATHLEEN • AKA KELLERHALS, K M • AKA KELLERHALS, KATHEEN • AKA KELLERBALS, KATHLEEN M • AKA KELLERHALS, KATHLEEN M SSN:063-36-XXXX DOB:6/1949 (Age: 67) 4. KELLERHALS, EDWARD 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 (718) 667-1921 256 BRYANT AVE STATEN ISLAND, NY 10306-3142 (718) 351-1242 184 JORALEMON ST STE 12R BROOKLYN, NY 11201-4329 187 JORALEMON ST APT 12R EFTA01407204 BROOKLYN, NY 11201-4306 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 (718) 667-1921 (718) 979-7823 5. DAHLING, ROBERT J SSN:133-60-XXXX DOB:4/1971 (Age: 45) 196 RICE AVE STATEN ISLAND, NY 10314-3032 (718) 273-7338 413 HEBERTON AVE STATEN ISLAND, NY 10302-2125 PO BOX 61494 STATEN ISLAND, NY 10306-7494 46 BACHE AVE STATEN ISLAND, NY 10306-3010 (718) 351-1586 76 PRINCETON AVE STATEN ISLAND, NY 10306-2816 (718) 987-7331 (718) 987-7685 For internal use only EFTA01407205 Page 9 No. 5.A. Full Name DAHLING, ROBERT J SSN:080-34-XXXX DOB:11/1940 (Age: 75) Address/Phone 196 RICE AVE STATEN ISLAND, NY 10314-3032 (718) 273-7338 (718) 979-0174 46 BACHE AVE STATEN ISLAND, NY 10306-3010 (718) 351-1586 (718) 979-0174 76 PRINCETON AVE STATEN ISLAND, NY 10306-2816 (718) 987-7331 (718) 987-7685 5.B. DAHLING, PATRICIA M • AKA DAHLING, P SSN:106-34-XXXX DOB:3/1943 (Age: 73) 196 RICE AVE STATEN ISLAND, NY 10314-3032 (718) 273-7338 359 DEMOREST AVE STATEN ISLAND, NY 10314-2161 (347) 861-0330 5 BOWEN ST APT STATEN ISLAND, NY 10304-3513 5.C. DAHLING, MICHAEL A • AKA DAHLIG, MICHAEL SSN:133-60-XXXX DOB:6/1974 (Age: 42) 4926 E AMELIA AVE PHOENIX, AZ 85018-5523 15822 W PAPAGO ST GOODYEAR, AZ 85338-3340 1207 E SECRETARIAT DR TEMPE, AZ 85284-1611 5050 W IVANHOE ST CHANDLER, AZ 85226-1964 196 RICE AVE STATEN ISLAND, NY 10314-3032 EFTA01407206 (718) 273-7338 5.D. MAYFIELD, JESSICA E • AKA DAHLING, JESSICA A • AKA MAYFIELD, JESSIE • AKA MAYFIELD, JESSI • AKA MORRIS, JESSICA • AKA BUCCOLA, JESSIE SSN:605-09-XXXX DOB:11/1977 (Age: 38) 3516 E PICCADILLY RD PHOENIX, AZ 85018-5116 4926 E AMELIA AVE PHOENIX, AZ 85018-5523 300 W BEECH ST UNIT 1504 SAN DIEGO, CA 92101-8450 6945 E 2ND ST APT 4 SCOTTSDALE, AZ 85251-5339 (480) 994-7352 (760) 685-6573 2395 CARRIAGE CIR OCEANSIDE, CA 92056-3605 6 DAHLING, MELISSA A 46 BACHE AVE For internal use only EFTA01407207 Page 10 No. Full Name • AKA KELLERHALS, MELISSA A SSN:087-70-XXXX DOB:12/1971 (Age: 44) Address/Phone STATEN ISLAND, NY 10306-3010 (718) 351-1586 46 BEACH AVE STATEN ISLAND, NY 10306-1915 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 (718) 667-1921 76 PRINCETON AVE STATEN ISLAND, NY 10306-2816 (718) 987-7331 (718) 987-7685 Business Associates - 2 records found 1: KELLERHALS FERGUSON FLETCHER KROBLIN PLLC Name: KELLERHALS, ERIKA A Address: 501 E KENNEDY BLVD STE 802 TAMPA, FL 33602-5201 Status: ACTIVE State: FL Corporation Number: M13000002984 Descriptive Status: ACTIVE Title: MEMBER MANAGER Record Type: CURRENT Record Date: 10/28/2013 2: KELLERHALS FERGUSON FLETCHER KROBLIN PLLC Name: KELLERHALS, ERIKA A Address: 501 E KENNEDY BLVD STE 802 TAMPA, FL 33602-5201 Status: INACTIVE State: FL Corporation Number: M13000002984 Descriptive Status: INACTIVE Title: MEMBER MANAGER Record Type: CURRENT Record Date: 8/4/2016 Filing Date: 1/6/2014 Person Associates - 7 records found No. Full Name Address 1: BETZ, SHAUNA L 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 008023602 6501 EFTA01407208 RED HOOK PLZ STE 201 ST THOMAS, VI 008021373 5600 ROYAL DANE MALL STE 51 ST THOMAS, VI 008026410 148 W MAPLE AVE DENVER, CO 80223-1841 For internal use only SSN 522-69-XXXX Phone DOB 12/1981 EFTA01407209 Page 11 No. Full Name Address 1576 S JERSEY ST DENVER, CO 80224-1935 2: FERGUSON, GREG J FERGUSON, GREGORY J 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 008023602 PO BOX 12259 ST THOMAS, VI 008015259 PO BOX 608 ST THOMAS, VI 008040608 PO BOX 6347 ST THOMAS, VI 008046347 2422 W PECOS AVE MESA, AZ 85202-7821 3: HANRATTY, THOMAS E 256 BRYANT AVE H STATEN ISLAND, NY 10306-3142 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 102 LINCOLN AVE STATEN ISLAND, NY 10306-2459 4: ROBINSON, KELLY M TRAYNOR, KELLY 9100 PORT OF SALE MALL STE 22 ST THOMAS, VI 008023602 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 008023602 4600 ESTATE CHARLOTTE AMALIE ST THOMAS, VI 008022305 2369 KRONPRINDSENS GADE STE 8 ST THOMAS, VI 008026252 3219 CONTANT STE 211 ST THOMAS, VI 008026111 EFTA01407210 134-56-XXXX 7/1973 123-20-XXXX (718) 667-1921 (718) 987-5316 (718) 987-5316 1/1928 601-42-XXXX (480) 831-6166 4/1976 SSN Phone DOB For internal use only EFTA01407211 Page 12 No. Full Name 5: TRAYNOR, CARA ROBINSON, CARA Address 9100 PORT OF SALE MALL STE 22 ST THOMAS, VI 008023602 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 008023602 4600 ESTATE CHARLOTTE AMALIE ST THOMAS, VI 008022305 2369 KRONPRINDSENS GADE STE NO8 ST THOMAS, VI 008026252 3219 CONTANT STE 211 ST THOMAS, VI 008026111 6: GEARY, BRETT A A 17724 MINE RD DUMFRIES, VA 220252003 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 008023602 9100 PORT OF SALE MALL STE 22 ST THOMAS, VI 008023602 PO BOX 305259 ST THOMAS, VI 008035259 15211 STREAMSIDE CT DUMFRIES, VA 220253022 7: THOMAS, WILLIAM AVERY 10204 MAPLERIDGE DR DALLAS, TX 75238-2257 2900 CHAUTAUQUA AVE APT 255 NORMAN, OK 73072-7715 2900 CHAUTAUQUA AVE APT 2 NORMAN, OK 73072-7723 1020 W 4TH AVE APT 13 EFTA01407212 STILLWATER, OK 740743337 For internal use only 451-83-XXXX 10/1984 580-23-XXXX (703) 221-2506 (703) 445-9194 SSN 052-60-XXXX Phone DOB 7/1976 EFTA01407213 Page 13 No. Full Name Address 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 008023602 Neighbors - 10 records found 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 Name CAHILL, JAMES BRIAN CARDO, ERICA BURKE, MATTHEW J ASSENZA, CHRISTOPHER M ASSENZA, MICHAEL P CIRIGLIANO, MICHAEL EDWARD CIRIGLIANO, SUZANNE MIRO, FRANK AGUSTIN PACCIONE, PAMELA J GLAZAROV, MICHELLE J LEOKUMOVICH, BORIS KRUSE, ADAM M KRUSE, BRANDON G KRUSE, DONNA V KRUSE, JOHN J KRUSE, VICTORIA M CUSACK, C J CUSACK, MARIE E GILLIUM, MAUREEN A MCMILLAN, ROBERT M RAMIN, DENISE A Address 235 BRYANT AVE STATEN ISLAND, NY 10306-3103 235 BRYANT AVE APT 2 STATEN ISLAND, NY 10306-3103 241 BRYANT AVE STATEN ISLAND, NY 10306-3143 (718) 979-2166 Phone (718) 987-5658 SSN Phone DOB 243 BRYANT AVE STATEN ISLAND, NY 10306-3143 (718) 979-6876 245 BRYANT AVE STATEN ISLAND, NY 10306-3143 250 BRYANT AVE STATEN ISLAND, NY 10306-3142 EFTA01407214 (718) 667-1705 (718) 351-8871 251 BRYANT AVE STATEN ISLAND, NY 10306-3143 (718) 351-3510 251 BRYANT AVE APT H STATEN ISLAND, NY 10306-3143 256 BRYANT AVE STATEN ISLAND, NY 10306-3142 257 BRYANT AVE APT STATEN ISLAND, NY 10306-3136 Employment Locator - 14 records found 1: Company Name: THERAPY ASSOCIATION AND DISABILITIES ADVOCATES INC Name: KELLERHALS, ERIKA A Address: PO BOX 6016 ST THOMAS, VI 00804-6016 SSN: 074-72-XXXX Confidence: High 2: Company Name: KELLERHALS FERGUSON FLETCHER KROBLIN PLLC Name: KELLERHALS, ERIKA A For internal use only (718) 351-3510 (718) 351-1242 (347) 286-0615 EFTA01407215 Page 14 Title: MEMBER MANAGER SSN: 074-72-XXXX Confidence: Medium 3: Company Name: THE MAHOGANY RUN HOME OWNER'S ASSOCIATION Name: KELLERHALS, ERIKA A Title: VICE PRESIDENT AND DIRECTOR Address: 6501 RED HOOK PLZ STE 201 ST THOMAS, VI 00802-1373 SSN: 074-72-XXXX Phone: (340) 626-5890 Confidence: Medium 4: Company Name: PATIENT ASSIST VI Name: KELLERHALS, ERIKA A Address: 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 00802-3602 SSN: 074-72-XXXX Confidence: High 5: Company Name: VISF Name: KELLERHALS, ERIKA A Title: VICE PRESIDENT Address: PO BOX 1605 KINGSHILL, VI 00851-1605 SSN: 074-72-XXXX Phone: (304) 692-3310 Confidence: Medium 6: Company Name: KELLERHALS P.0 Name: KELLERHALS, ERIKA A Title: PARTNER Address: PO BOX 608 ST THOMAS, VI 00804-0608 SSN: 074-72-XXXX Phone: (340) 779-2564 Confidence: Medium 7: Company Name: THERAPY ASSOCIATION AND DISABILITIES ADVOCATES INC Name: KELLERHALS, ERIKA A Address: PO BOX 608 ST THOMAS, VI 00804-0608 SSN: 074-72-XXXX Confidence: High 8: Company Name: ERIKA A. KELLERHALS P.0 Name: KELLERHALS, ERIKA A Address: PO BOX 608 ST THOMAS, VI 00804-0608 SSN: 074-72-XXXX EFTA01407216 Phone: (340) 779-2564 Confidence: Medium 9: Company Name: ERIKA A. KELLERHALS P.0 Name: KELLERHALS, ERIKA For internal use only EFTA01407217 Page 15 Title: PRESIDENT Address: PO BOX 608 ST THOMAS, VI 00804-0608 SSN: 074-72-XXXX Phone: (340) 779-2564 Confidence: Medium 10: Company Name: MARJORIE RAWLS ROBERTS P.0 Name: KELLERHALS, ERIKA A Title: ATTORNEY Address: PO BOX 6347 ST THOMAS, VI 00804-6347 SSN: 074-72-XXXX Phone: (340) 776-7235 Confidence: Medium 11: Company Name: ROBERTS, MARJORIE RAWLS Name: KELLERHALS, ERIKA A Title: ASSOCIATE Address: PO BOX 6347 ST THOMAS, VI 00804-6347 SSN: 074-72-XXXX Phone: (340) 776-7235 Confidence: High 12: Company Name: THE LALTJ LIMITED PARTNERSHIP Name: KELLERHALS, ERIKA MS Title: CONTACT Address: 17 STATE ST NEW YORK, NY 10004-1501 SSN: 074-72-XXXX Confidence: High 13: Company Name: ERIKA A. KELLERHALS, P.C. Name: KELLERHALS, ERIKA A Title: MEMBER SSN: 074-72-XXXX Phone: (340) 779-2564 Confidence: High 14: Company Name: MARJORIE RAWLS ROBERTS P.0 Name: KELLERHALS, ERIKA A Address: PO BOX 6347 ST THOMAS, VI 00804-6347 SSN: 074-72-XXXX Phone: (340) 776-7235 Confidence: Medium Criminal Filings - 0 records found Cellular & Alternate Phones - 1 records found 1: EFTA01407218 Personal Information Name: KELLERHALS, ERIKA Address: 102 LINCOLN AVE STATEN ISLAND, NY 10306-2459 Phone Number: (340) 690-0891 Phone Type: Mobile For internal use only EFTA01407219 Page 16 Carrier Information Carrier: NEW CINGULAR WRLS GA Carrier City: CHARLOTTE AMALIE (SAINT T Carrier State: VI Sources - 44 records found All Sources Corporate Affiliations Email addresses Historical Person Locator Motor Vehicle Registrations Person Locator 1 Person Locator 2 Phone PhonesPlus Records Professional Licenses Utility Locator Voter Registrations 44 Source Document(s) 2 Source Document(s) 7 Source Document(s) 7 Source Document(s) 3 Source Document(s) 11 Source Document(s) 4 Source Document(s) 4 Source Document(s) 1 Source Document(s) 1 Source Document(s) 3 Source Document(s) 1 Source Document(s) D&B: Not Required LEGAL RESULTS: Court Cases: IN RE: JEFFREY J. PROSSER, Debtor. NORTH SHORE REAL ESTATE CORPORATION, Appellant, v. JAMES P. CARROLL, CHAPTER 7 TRUSTEE, Appellee. Chapter 7, Case No. 06-30009 (JFK), Civil No. 2010-70 United States District Court for the District of the Virgin Islands, St. Thomas & St. John Division 2012 U.S. Dist. LEXIS 93633 July 6, 2012, Filed For internal use only EFTA01407220 Page 2 2012 U.S. Dist. LEXIS 93633, * PRIOR HISTORY: Carroll v. N. Shore Real Estate Corp. (In re Prosser), 2010 Bankr. LEXIS 1566 (Bankr. D.V.I., May 26, 2010) CASE SUMMARY: OVERVIEW: Appellant filed a notice of appeal from a decision of the bankruptcy court. Appellee trustee moved to dismiss the appeal for failure to prosecute under Fed. R. Bankr. P. 8001(a). Of the six Poulis factors, five weighed in favor of dismissal and one weighed against dismissal. The court took into account the possibility that appellant's counsel had some of the responsibility for its failure to follow the court's scheduling order. Nonetheless, on balance, the Poulis factors demonstrated that dismissal of the appeal was an appropriate sanction for appellant's failure to file its brief. OUTCOME: Motion to dismiss granted. CORE TERMS: summary judgment, scheduling, reconsideration, deadline, weigh, failure to prosecute, designation, discovery, failure to comply, affirming, bankruptcy proceedings, extension of time, general denials, citations omitted, genuine issue, effectiveness, reconsider, notice of appeal, failure to follow, bad faith, financial resources, deemed admitted, dilatoriness, non-moving, willful, incur, Bankruptcy Rules, matter of law, personal responsibility, clear error LexisNexis(R) Headnotes Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN1] Under Fed. R. Bankr. P. 8001(a), the district court is empowered to dismiss an appeal for failure to prosecute or otherwise follow the procedures set out in the Bankruptcy Rules. Before such a dismissal occurs, a district court must consider six factors outlined in Poulis v. State Farm Fire and Cas. Co. In Poulis, the U.S. Court of Appeals for the Third Circuit stated that a district court must balance the following factors: (1) the extent of the party's personal responsibility; (2) the prejudice to the adversary caused by the failure to meet scheduling orders and respond to discovery; (3) a history of dilatoriness; (4) whether the conduct of the party or the attorney was willful or in bad faith; (5) the effectiveness of sanctions other than dismissal, which entails an analysis of alternative sanctions; and (6) EFTA01407221 the meritoriousness of the claim or defense. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN2] An appeal from a judgment, order, or decree of a bankruptcy judge to a district court or bankruptcy appellate panel shall be taken by filing a notice of appeal with the clerk within the time allowed by Fed. R. Bankr. P. 8002. An appellant's failure to take any step other than timely filing a notice of appeal does not affect the validity of the appeal, but is ground only for such action as the district court or bankruptcy appellate panel deems appropriate, which may include dismissal of the appeal. Fed. R. Bankr. P. 8001(a) (2011). Bankruptcy Law > Practice & Proceedings > Appeals > Procedures For internal use only EFTA01407222 Page 3 2012 U.S. Dist. LEXIS 93633, * [HN3] Not all of the Poulis factors need be met for a district court to find dismissal is warranted. However, courts must consider and balance all six Poulis factors before dismissing a case with prejudice, and all doubts must be resolved in favor of an adjudication on the merits. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN4] Dismissal typically occurs in cases showing consistently dilatory conduct or the complete failure to take any steps other than the mere filing of a notice of appeal. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN5] A client's lack of responsibility for its counsel's dilatory conduct is not dispositive on a motion to dismiss for failure to prosecute, because a client cannot always avoid the consequences of the acts or omissions of its counsel. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN6] Prejudice for the purpose of the Poulis factors does not mean irremediable harm. Rather, the burden imposed by impeding the opposing party's ability to prepare a meaningful litigation strategy has been held to be sufficiently prejudicial. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN7] The third Poulis factor considers the appellant's history of dilatoriness. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN8] Either of these violations--failing to comply with the Bankruptcy Rules for filing a brief within 15 days of the docketing of his appeal or providing for the transcript of the bankruptcy court proceedings--is grounds for a dismissal under Fed. R. Bankr. P. 8001. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN9] The fourth Poulis factor considers whether the conduct of the appellant or of the appellant's attorney was willful or in bad faith. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN10] The fifth Poulis factor assesses the effectiveness of sanctions other than dismissal. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN11] The sixth Poulis factor considers the meritoriousness of the appellant's claim. Ordinarily, a claim, or defense, will be deemed meritorious when the allegations of the motion, if established, would support recovery by plaintiff or would constitute a complete defense. EFTA01407223 Bankruptcy Law > Practice & Proceedings > Adversary Proceedings > Judgments & Remedies Bankruptcy Law > Practice & Proceedings > Appeals > Standards of Review > General Overview Civil Procedure > Summary Judgment > Standards > General Overview For internal use only EFTA01407224 Page 4 2012 U.S. Dist. LEXIS 93633, * [HN12] In reviewing a determination of a bankruptcy court's grant of summary judgment, a reviewing court subjects the bankruptcy court's legal determinations to plenary review, reviewing its factual findings for clear error, and considering its exercise of discretion for abuse thereof. A bankruptcy court may grant summary judgment if the pleadings, the discovery and disclosure materials on file, and any affidavits show that there is no genuine issue as to any material fact and that the movant is entitled to judgment as a matter of law. Fed. R. Civ. P. 56(c). Civil Procedure > Summary Judgment > Burdens of Production & Proof > General Overview [HN13] The movant has the initial burden of showing that there is no genuine issue of material fact. Once the initial burden is met it shifts to the non-moving party to establish specific facts showing there is a genuine issue for trial. The non-moving party may not rest upon mere allegations, general denials, or vague statements. There is no issue for trial unless there is sufficient evidence favoring the non-moving party for a jury to return a verdict for that party. Civil Procedure > Summary Judgment > Evidence [HN14] At the summary judgment stage, the judge's function is not himself to weigh the evidence and determine the truth of the matter but to determine whether there is a genuine issue for trial. In making this determination, the court draws all reasonable inferences in favor of the non-moving party. Bankruptcy Law > Practice & Proceedings > Adversary Proceedings > Discovery Civil Procedure > Discovery > Methods > Admissions > General Overview [HN15] Fed. R. Bankr. P. 7036 provides that Fed. R. Civ. P. 36 applies in adversary bankruptcy proceedings. Civil Procedure > Discovery > Methods > Admissions > Responses [HN16] See Fed. R. Civ. P. 36(a)(3), (a)(4). Civil Procedure > Discovery > Methods > Admissions > Responses [HN17] Under Fed. R. Civ. P. 36, specific denials which fairly respond to the substance of the matter are required. Civil Procedure > Discovery > Methods > Admissions > General Overview Civil Procedure > Summary Judgment > Supporting Materials > Discovery Materials [HN18] The U.S. Court of Appeals for the Third Circuit has long recognized EFTA01407225 that deemed admissions are sufficient to support orders of summary judgment. Bankruptcy Law > Case Administration > Examiners, Officers & Trustees > Preferential Transfers > Elements > General Overview [HN19] To establish a claim for avoidance of a preferential transfer pursuant to 11 U.S.C.S. § 547, a party must establish that the transfer was: 1. to or for the benefit of a creditor; 2. for or on account of an antecedent debt owed by the debtor before such transfer was made; 3. made while the debtor was insolvent; 4. made -- on or within 90 For internal use only EFTA01407226 Page 5 2012 U.S. Dist. LEXIS 93633, * days before the date of the filing of the petition; 5. that enables such creditor to receive more than such creditor would receive if -- a. the case were a case under Chapter 7 of this title; b. the transfer had not been made; and c. such creditor received payment of such debt to the extent provided by the provisions 547(b). Bankruptcy Law > Case Administration > Examiners, Fraudulent Transfers > Elements [HN20] To establish a claim for avoidance to 11 U.S.C.S. 548(a)(1)(B), a party date, the debtor received less than transfer or obligation, and: 1. was such obligation was incurred, obligation; 2. was engaged in business a transaction, for which any property capital; 3. intended to incur, or believed be beyond the debtor's ability to pay as or for the benefit of an insider, or incurred insider, under an employment contract and not in the ordinary course of business. Bankruptcy Law > Case Administration > Examiners, Officers & Trustees Fraudulent Transfers > General Overview [HN21] To establish a claim for the avoidance pursuant to 11 U.S.C.S. § 548(a)(1)(A), a party mush petition date, the debtor made such transfer or incurred delay, or defraud any entity to which the debtor that such transfer was made or such obligation Bankruptcy Law > Case Administration Postpetition Transactions [HN22] To establish a claim for the recovery pursuant to 11 U.S.C.S. § 549, the appropriate property occurred; (2) whether the property transferred was property of the estate; (3) whether the of this title. 11 U.S.C.S. Officers & Trustees of a fraudulent transfer must show that within two (2) years of the > pursuant petition a reasonably equivalent value in exchange for such insolvent on the date that such transfer was made or or became insolvent as result of such transfer or or a transaction, remaining with that or was about to engage in business or the the debtor was debtor would an unreasonably small incur, debts that would such debts matured; or 4. made such transfer such obligation to or for the benefit of an show of a fraudulent that within two transfer years of the to such obligation with intent to hinder, was or became, on or after the date was incurred, indebted. > Examiners, Officers & Trustees > of a post-petition transfer inquiry is: (1) whether a transfer of EFTA01407227 transfer occurred after commencement of the bankruptcy case; and (4) whether the transfer was authorized by the Bankruptcy Code. Civil Procedure > Summary Judgment > Burdens of Production & Proof > Nonmovants [HN23] See Fed. R. Civ. P. 56(e). Bankruptcy Law > Practice & Proceedings > Appeals > Standards of Review > General Overview Civil Procedure > Judgments > Relief From Judgment > Motions to Alter & Amend [HN24] A bankruptcy court's denial of an appellant's motion for reconsideration is generally reviewed for abuse of discretion. However, to the extent that the denial of reconsideration is predicated on an issue of law, such an award is reviewed de novo; to the extent that the For internal use only EFTA01407228 Page 6 2012 U.S. Dist. LEXIS 93633, * trial court's disposition of the reconsideration motion is based upon a factual finding, it is reviewed for clear error. Civil Procedure > Judgments > Relief From Judgment > Motions to Alter & Amend [HN25] See D.V.I., R. 7.3. Civil Procedure > Judgments > Relief From Judgment > Motions to Alter & Amend [HN26] The purpose of a motion for reconsideration is to correct manifest errors of law or fact or to present newly discovered evidence. Such motions are not substitutes for appeals, and are not to be used as a vehicle for registering disagreement with the court's initial decision, for rearguing matters already addressed by the court, or for raising arguments that could have been raised before but were not. Civil Procedure > Judgments > Relief From Judgment > Motions to Alter & Amend [HN27] A motion for reconsideration cannot be used to relitigate old matters, raise argument or present evidence that could have been raised prior to the entry of judgment. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN28] A claim will be deemed meritorious when the allegations, if established, would support recovery by the claimant. COUNSEL: [*1] Jeffrey B. C. Moorhead, Esq., Jeffrey B. C. Moorhead, P.C., St. Croix, USVI, For North Shore Real Estate Corp. Christopher A. Kroblin, Esq., Erika Kellerhals, P.C., St. Thomas, USVI, For North Shore Real Estate Corp. Bernard C. Pattie, Esq., Law Offices of Barnard Pattie, P.C., St. Croix, USVI, For James P. Carroll. Fred Stevens, Esq., Fox Rothschild LP, New York, NY, For James P. Carroll. JUDGES: GOMEZ, Chief Justice. OPINION BY: Curtis V. Gomez OPINION MEMORANDUM OPINION (July 6, 2012) Before the Court is the motion by James P. Carroll to dismiss this appeal for lack of prosecution. I. FACTUAL AND PROCEDURAL BACKGROUND For internal use only EFTA01407229 Page 7 2012 U.S. Dist. LEXIS 93633, * On June 30, 2010, North Shore Real Estate a notice of appeal from the May 26, 2010, judgment of for the District of the Virgin Islands (the "Bankruptcy 2010, order of the Bankruptcy Division denying North Shore's July 9, 2010, the Court entered an Order stating Appellant shall, not later than 10 and serve on the other parties the record and statement of the issues Appeal may be dismissed for failure to prosecute ... . • 6 0 Appellant's brief shall be filed and served within 30 days of the date of this Order, or if the designated record includes a transcript, within 15 days after the transcript is filed, whichever comes later (Order 1-2, July 9, 2010, ECF No. 2). North Shore did not file a designation of record nor a statement of the issues within the time provided in the July 9, 2010, order. North Shore did not file its brief within the time provided in the order. On March 9, 2011, North Shore filed a motion for leave to file an untimely designation of record, statement of issues, and brief. North Shore attached to its motion a designation of record and statement of issues. North Shore did not attach a brief. Subsequently, James P. Carroll, Chapter 7 Trustee ("Carroll"), filed a motion to dismiss this matter for lack of prosecution. North Shore did not file an opposition. On March 28, 2012, this Court entered an order stating that: • North Shore shall, not later than April 2, 2012, file and serve on James P. Carroll the designation of record and a statement of issues to be presented, failing which this appeal may be dismissed [*3] for failure to prosecute... • North Shore's brief shall, not later than April 10, 2012, be filed and served on James P. Carroll, failing which this appeal may be dismissed for failure to prosecute... (March 28, 2012, Order 3-4, ECF No. 8). The Court found as moot the motions filed by North Shore and Carroll. North Shore did not file a designation of record nor a statement of the issues within the time provided in the March 28, 2012, order. North Shore did not file its brief within the time provided in the order. Carroll now moves again for dismissal of this appeal for lack of Corporation ("North Shore") filed the United States Bankruptcy Court motion Division"), for and the June reconsideration. On 9, that: days after the date of this Order, file designation of to be presented, [*2] failing which the EFTA01407230 prosecution. North Shore has not filed an opposition. II. DISCUSSION [HN1] "Under Rule 8001(a) 1 of the Federal Rules of Bankruptcy Procedure, the District dismiss an appeal for failure to prosecute or Court is empowered to otherwise follow the procedures set out in Contractors, Inc., 189 Fed. Appx. 93, at however, a district court must Fire and Cas. Co., For internal use only the Bankruptcy Rules." In re Richardson Industrial *96 (3d Cir. 2006). Before such a dismissal occurs, consider six factors outlined in Poulis v. State Farm EFTA01407231 Page 8 2012 U.S. Dist. LEXIS 93633, * 747 F.2d 863, 868 (3d Cir. 1984) [hereinafter Poulis]. In Poulis, the Third Circuit stated that a district court [*4] must balance the following factors: 1) the extent of the party's personal responsibility; (2) the prejudice to the adversary caused by the failure to meet scheduling orders and respond to discovery; (3) a history of dilatoriness; (4) whether the conduct of the party or the attorney was willful or in bad faith; (5) the effectiveness of sanctions other than dismissal, which entails an analysis of alternative sanctions; and (6) the meritoriousness of the claim or defense. Id. (explaining that "dismissal is a drastic sanction and should be reserved for those cases where there is a clear record of delay or contumacious conduct by the plaintiff")(alteration in original); see also In re E Toys Inc., 263 Fed. Appx. 235, 237 (3d Cir. 2008) (affirming the district court's dismissal of a bankruptcy appeal for failure to prosecute upon consideration of the Poulis factors). 1 [HN2] "An appeal from a judgment, order, or decree of a bankruptcy judge to a district court or bankruptcy appellate panel ... shall be taken by filing a notice of appeal with the clerk within the time allowed by Rule 8002. An appellant's failure to take any step other than timely filing a notice of appeal [*5] does not affect the validity of the appeal, but is ground only for such action as the district court or bankruptcy appellate panel deems appropriate, which may include dismissal of the appeal... ." FED. R. BANKR. P. 8001(a) (2011). [HN3] "Not all of the[] Poulis factors need be met for a district court to find dismissal is warranted." Hicks v. Feeney, 850 F.2d 152, 156 (3d Cir. 1988). However, courts must consider and balance all six Poulis factors before dismissing a case with prejudice, and all doubts must be resolved in favor of an adjudication on the merits. See $8,221,877.16 in U.S. Currency, 330 F.3d 141, 161 (3d Cir. 2003) ("[W]e have always required consideration and balancing of all six of the factors, and have recommended the resolution of any doubts in favor of adjudication on the merits."); see also Bjorgung, 197 Fed. Appx. at 125-26 ("Although '[n]ot all of the Poulis factors need be satisfied in order to dismiss a complaint' they must all be considered") (quoting Mindek v. Rigatti, 964 F.- 2d 1369, 1373 (3d Cir. 1992)). III. ANALYSIS In In re Richardson Industrial Contractors, Inc., 189 Fed. Appx. 93 (3d Cir. 2006), the EFTA01407232 United States Court of Appeals for the Third Circuit addressed [*6] the relevant factors that a district court must consider before dismissing a bankruptcy appeal for failure to prosecute. In that case, the district court dismissed a creditor's appeal with prejudice for failure to comply with the mandates of the Federal Rules of Bankruptcy Procedure. In so doing, the district court considered only two of the six Poulis factors: the creditor's bad faith in requesting a second extension of time in which to file his brief and the ineffectiveness of alternative sanctions. The creditor appealed the district court's decision. On appeal, the Third Circuit found that, in addition to not considering all six Poulis factors, the district court's discussion of two factors was limited and did not set out the basis for its conclusions in such a way to permit meaningful review of its decision. In reviewing similar cases in other circuits, the Richardson court noted that [HN4] " '[d]ismissal typically occurs in cases showing consistently dilatory conduct or the complete failure to take any steps other than the mere filing of a notice of appeal.' " Richardson, 189 For internal use only EFTA01407233 Page 9 2012 U.S. Dist. LEXIS 93633, * Fed. Appx. 93, at *97 (quoting In re Beverly Mfg. Corp., 778 F.2d 666, 667 (11th Cir. 1985)); see also Nielsen v. Price, 17 F.3d 1276, 1277 (10th Cir. 1994) [*7] (upholding dismissal of bankruptcy appeal for failure to follow Bankruptcy Rules or timely file appeal brief where plaintiffs provided no explanation or excuse for noncompliance); In re Champion, 895 F.2d 490, 492 (8th Cir. 1990) (finding no abuse of discretion in dismissing appeal where appellant had not filed designation of record or statement of issues required by Bankruptcy Rule 8006); In re Tampa Chain Co., 835 F.2d 54, 56 (2d Cir. 1987) (affirming dismissal of bankruptcy appeal for failure to file a brief for seven months after the due date or provide any explanation for the failure, even after the court's inquiry into delinquency). Given that backdrop, the Court will now assess whether the Poulis factors favor or disfavor dismissal. 1. Extent of North Shore's Personal Responsibility The first Poulis factor assesses the extent of the appellant's personal responsibility. 747 F.2d at 868. North Shore has suggested that its counsel is responsible for its failure to follow the Court's scheduling order. North Shore averred that, Defendant, Chapter 7 Debtor Jeffrey J. Prosser (Case No. 06-30009), and his family, including Dawn Prosser, the owner of North Shore, are overwrought and under [*8] assault with numerous and often duplicate suits replete with continuous motions and actions... (Appellant's Mem. Supp. Mot. Leave to File Untimely Resp. 2, ECF No. 4). North Shore also contended that it is "without adequate number of counsel that have the time continuous assault and actions..." Id. North Shore with far too small group [sic] of counsel and others and what effort they can, when possible, for little, or Id. Indeed, North Shore referred generally to the commotion of the bankruptcy proceedings in explaining its failure to comply with the original scheduling order in this matter. North Shore the financial resources to employ an availability to meet the relentless and went on to aver that it has which have "mounted a defense committed what time they can in most cases, for no compensation." EFTA01407234 also pointed to the limited size of its legal team and financial resources. Because it seems that North Shore's counsel was at least somewhat responsible for North Shore's failure to comply with the Court's original scheduling order, the first Poulis factor does not necessarily weigh in favor of dismissal. However, [HN5] North Shore's "lack of responsibility for [its] counsel's dilatory conduct [*9] is not dispositive, because a client cannot always avoid the consequences of the acts or omissions of its counsel." See Poulis, 747 F.2d at 868; see also Ware v. Rodale Press, Inc., 322 F.3d 218, 222 (3d Cir. 2003)("[E]ven assuming that WCI does not bear responsibility for its counsel's conduct, consideration of the remaining factors still compels affirming the District Court's decision to sanction WCI and dismiss the breach of contract claim."); cf. Lee v. Sunrise Senior Living, 455 Fed. Appx. 199, 201-202 (3d Cir. 2011) (finding that the pro se plaintiff was "fully responsible for her conduct.") The Court also notes that North Shore has not offered any explanation for its failure to comply with the March 28, 2012, scheduling order. For internal use only EFTA01407235 Page 10 2012 U.S. Dist. LEXIS 93633, * 2. Prejudice to Carroll The second Poulis factor considers prejudice to the appellee caused by the appellant's failure to meet scheduling orders and respond to discovery. 747 F.2d at 868. [HN6] Prejudice for the purpose of the Poulis factors "does not mean 'irremediable harm.'" See Ware, 322 F.3d at 222; see also Curtis T. Bedwell and Sons, Inc. v. Int'l Fidelity Ins. Co., 843 F.2d 683, 693-94 (3d Cir. 1988) (rejecting the argument that "the district [*10] court should not have dismissed its claim unless the harm to the other parties amounted to 'irremediable prejudice'"). Rather, the burden imposed by impeding the opposing party's ability to prepare a meaningful litigation strategy has been held to be sufficiently prejudicial. See Ware, 322 F.3d at 222. Carroll argues that he has "incurred costs and fees of bringing the underlying adversary proceeding and opposing North Shore's late filings." (Carroll's Opp'n Mot. Leave to File Untimely Resp. 5, ECF No. 5). Carroll also argues that he "should not be made to incur the additional costs to oppose an appeal that North Shore failed to address for several months, particularly when North Shore's current default merely continues its dilatory performance in the underlying bankruptcy proceeding." Id. Additional costs and fees do not necessarily amount to prejudice. However, it is clear that North Shore's conduct has prejudiced Carroll by hampering his ability to resolve the underlying bankruptcy matter. See Lee, 455 Fed. Appx. at 201-202 (finding that the plaintiff's conduct prejudiced the defendants by "impeding their efforts to resolve [the] case, causing them to file unnecessary [*11] motions, and requiring them to incur extra expenses.") The Court also notes that the Bankruptcy Division has stayed execution as to the bank account involved in the underlying matter, pending resolution of this appeal. Consequently, North Shore's lengthy delay has had an impact on the Bankruptcy Division's proceedings. Thus, the Court finds that the second Poulis factor weighs in favor of dismissal. 3. History of Dilatoriness EFTA01407236 [HN7] The third Poulis factor considers the appellant's history of dilatoriness. 747 F.2d at 868. North Shore did not file its brief within the original time period set by the Court. North Shore also failed to move for an extension of time within which to file its brief until more than six months after the Court's deadline. Additionally, North Shore did not file its brief within the extended time period set by the Court. Indeed, rather than trying to make up for lost time in the more than seven months since its brief was originally due, North Shore has elected not to file even a brief in compliance with the Court's extended time period. Similarly, North Shore did not file oppositions to Carroll's motions to dismiss this appeal. The Court also notes the history leading [*12] up to this appeal. As the Bankruptcy Court noted in its May 26, 2010, judgment, As established by the record of the entire Adversary and the docket, North Shore has set upon a pattern and practice of filing pleadings after the deadlines have passed: (1) North Shore's initial opposition to the first Motion for Summary Judgment was due on November 2, 2008, but was actually filed on November 30, 2009, more than a year after the due date. (2) North Shore obtained leave of court to file a late opposition to Trustee's motion for entry of default and default judgment, having missed that deadline. (3) North Shore filed a late response to the renewed Motion for Summary For internal use only EFTA01407237 Page 11 2012 U.S. Dist. LEXIS 93633, * Judgment, without seeking leave of court. (4) North Shore has never complied with the discovery deadlines. North Shore apparently views court-imposed deadlines as suggestions rather than as Orders compelling timely performance. (May 26, 2010, Bankr. Summ. J. 7, ECF No. 1, Ex. 3). North Shore has a sufficient history of dilatoriness in this matter such that the third Poulis factor weighs in favor of dismissal. See, e.g., Buccolo, 308 Fed. Appx. 574, at *575 (affirming district court's dismissal of the bankruptcy appeal for failure [*13] to prosecute where appellant "did not comply with the Bankruptcy Rules for filing a brief within 15 days of the docketing of his appeal Bankruptcy Court proceedings..." noting that [HN8] "[e]ither of these violations is grounds for dismissal under Bankruptcy Rule 8001"). 4. Willfulness and Bad Faith [HN9] The fourth Poulis factor considers whether the conduct of the appellant or of the appellant's attorney was willful or in bad faith. 747 F.2d at 868. North Shore failed to comply with the Court's original scheduling order, failed to move for an extension of time within which to file its brief until filing deadline, and has failed to comply with the Court's its failure to follow the Court's original scheduling order, hustle and bustle of the bankruptcy proceedings. of its legal team and financial resources. North Shore's explanations for file an appellant's brief or timely move for an extension Shore has demonstrated a willful [*14] for the appellate process in general See, e.g., In re Toys Inc., 263 Fed. Appx. 238 (finding that "the record provides a basis to conclude that [the appellant's] conduct showed willful disregard for the appellate process" because "[h]e ignored the deadlines issued by the District Court") The fourth Poulis factor therefore weighs in favor of dismissal. 5. Effectiveness of Alternative Sanctions • • • more than six months after the original new scheduling order. In explaining North Shore referred generally to the North Shore also pointed to the size its delays are unpersuasive. By failing to of time within which to do so, North disregard for the Court's scheduling orders or for providing for the transcript of the and at EFTA01407238