EFTA Document EFTA01416838

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: RDC PCR BIS Yes 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: 06/19/2017 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 EFTA01416838 No Click here for results: I. RDC Results II. PCR Results III. Negative Media IV. Non-Negative Media Reviewer Comments (as necessary): RDC alert (mail send separately) 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 EFTA01416839 OFAC RESULTS RDC: 11602748 Alerted KYC 1791049 Richard Kahn Country:UNITED STATES Date of C20170637921902 Richard Kahn 12893128 NCA customised Closed No Hit 19/06/2017 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 2017 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date: 6/16/2017 Report processed by: DEUTSCHE BANK AGI I For internal use only EFTA01416840 Page 2 Full Name Address KAHN, RICHARD DANIEL AL INFORMATION SSN Subject Summary Name Variations 1: KAHN, R 2: KAHN, RICHARD 3: KAHN, RICHARD D 4: KAHN, RICHARD DANIEL 5: KAHO, RICHARD D SSNs Summary No. SSN 1: DOBs OBs: ossi e -Mail Addresses Others Using SSN - 0 records found Address Summary - 16 records found No. Address EFTA01416841 EFTA01416842 Pa'e 3 EFTA01416843 Address For internal use only Dates Phone Dates Phone EFTA01416844 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 None Listed Other Associates None Listed 3: Address Household Members None Listed Other Associates None Listed 4: Address Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $28,140 Median Home Value: $78,195 Median Education: 12 years Household Members None Listed Other Associates None Listed 5: Address Census Data 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: EFTA01416845 Address Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $225,720 For internal use only Dates 8/1996 - 11/2002 Phone Dates 1/1997 - 3/2003 Phone Dates 8/2007 - 8/2007 Phone Dates 12/2002 - 6/2008 Phone 3/2003 - 9/2008 EFTA01416846 Page 5 Median Home Value: $1,000,000 Median Education: 18 years Household Members BLITSTEIN, CAROL RUBIN KAHN, GARY E LIPUMA, ALISSA B Other Associates RUBIN, LUCILLE L 7: Address Er Census Data for Geographical Region Median Head of Household Age: 27 Median Income: $131,641 Median Home Value: $1,000,000 Median Education: 15 years Household Members None Listed Other Associates None Listed 8: Address M -I Census Data for Geographical Region Median Head of Household Age: 45 Median Income: $156,818 Median Home Value: $896,802 Median Education: 14 years Household Members None Listed Other Associates None Listed 9: Address Mn 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 None Listed EFTA01416847 10: Address Mm• Census Data for Geographical Region For internal use only Dates 4/1995 - 2/1997 Phone Dates 5/1973 - 1/2000 Phone Dates 2/2000 - 2/2000 Phone Dates 2/2001 - 2/2001 Phone EFTA01416848 Page 6 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 11: Address Mmi Census Data for Geographical Region Median Head of Household Age: 46 Median Income: $106,250 Median Home Value: $504,854 Median Education: 13 years Household Members None Listed Other Associates None Listed 12: Address Census Data for Geographical 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 13: Address Census Data for Geographical Region Median Head of Household Age: 22 Median Income: $17,885 Median Home Value: $0 Median Education: 13 years Household Members None Listed Other Associates None Listed EFTA01416849 14: Address SP - Census Data for Geographical Region For internal use only Dates 5/1973 - 5/1973 Phone Dates 8/1991 - 12/1991 Phone Dates 8/1990 - 10/1993 Phone Dates 6/1994 - 6/1994 Phone EFTA01416850 Page 7 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 15: Address Census Data for Geographical Region 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 None Listed 16: Address ME- Census Data for Geographical Re ion Median Head of Household Age: II Median Income: $123,316 Median Home Value: $1,000,000 Median Education: 16 years Household Members None Listed Other Associates None Listed Voter Registrations - 8 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: 2/5/2008 Party Affiliation: INDEPENDENT EFTA01416851 Active Status: ACTIVE 2: New York Voter Registration Registrant Information Name: KAHN, RICHARD D Residential Address: For internal use only Dates 2/2008 - 6/2017 Phone Dates Phone EFTA01416852 Pa e 8 SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: REPUBLICAN 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: 11/2/2010 Party Affiliation: INDEPENDENT Active Status: ACTIVE 4: 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: 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: 11/8/2016 EFTA01416853 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 6: New York Voter Registration Registrant Information For internal use only EFTA01416854 Page 9 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 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: 11/2/2004 Party Affiliation: REPUBLICAN Active Status: ACTIVE 8: New York Voter Registration Registrant Information Name: KAHN, RICHARD D Residential Address: SSN: Date of Birth: Gender: Male 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: Gender: M License Information License Type: CPA EFTA01416855 License Number: 078502 Health Care Providers - 0 records found Health Care Sanctions - 0 records found For internal use only EFTA01416856 Page 10 Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 0 records found Motor Vehicle Registrations - 5 records found 1: NY MVR Registrant Information Registrant: KAHN, RICHARD D DOB: Address: Registration Information Original Registration Date: 3/17/2011 Registration Date: 3/17/2011 Registration Expiration Date: 3/16/2013 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 Plate Information License Plate Type: Private License Plate Number: FHH6920 Plate State: NY Source Information Data Source: GOVERNMENTAL 2: NY MVR 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 Information Title Transfer Date: 4/7/2011 Title Issue Date: 4/7/2011 Source Information EFTA01416857 Data Source: GOVERNMENTAL 3: NY MVR Registrant Information Registrant: KAHN, RICHARD D DOB: For internal use only EFTA01416858 Page 11 Address: Registration Information Original Registration Date: 5/22/2009 Registration Date: 5/22/2009 Registration Expiration Date: 7/8/2011 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 Plate Information License Plate Type: Private Previous Plate Number: EAE1027 Previous Plate State: NY License Plate Number: EAE1027 Plate State: NY Source Information Data Source: GOVERNMENTAL 4: NY MVR 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 5: NY MVR Registrant Information Registrant: KAHN, RICHARD D DOB: Address: EFTA01416859 Registration Information Original Registration Date: 12/7/2003 Registration Date: 12/7/2003 Registration Expiration Date: 1/6/2006 Vehicle Information VIN: SALPM16412A466707 For internal use only EFTA01416860 Page 12 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: SIBA R E L P Filing Information Jurisdiction: NY Amount: $1,783 Filing Date: 5/2/2000 Eviction Y 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 - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree: 10 No. 1. Full Name MINSKY, LISA G • AKA KAHN, LISA G • AKA MINSKY, LISA G EFTA01416861 • AKA MINSKY, LISA GALE • AKA MINSKY, LISA G SSN: DOB: (Age: •) Address/Phone For internal use only EFTA01416862 Page 13 No. Full Name Address/Phone 2. KAHN, GARY E Deceased • AKA AHN, GARY E • AKA KHAN, G • AKA KAHAN, GARY SSN: DOB: (Age 3. BLITSTEIN, CAROL RUBIN • AKA KAHN, CAROL RUBIN • AKA RUBIN, CAROL JAYNE • AKA RUBIN, KAHN CAROL • AKA BLITSTEIN, CAROL JAYNE • AKA RUBIN, CAHN CAROL • AKA KAHN, C R • AKA RUBIN-KAHN, CAROL • AKA RUBIN, BLITSTEIN CAROL • AKA RUBIN CAHN, CAROL • AKA RUBIN KAHN, CAROL • AKA BLISTEIN, CAROL R • AKA LITSTEIN, CAROL R • AKA RUBINKAHN, CAROL SSN: DOB: ) 4. LIPUMA, ALISSA B • AKA KAHN, ALISSA B • AKA PUMA, ALISSA LI EFTA01416863 • AKA KAHNLIPUMA, ALISSA • AKA LIPUMA, AB • AKA LIPUMA, A • AKA KAHN-LIPUMA, ALISSA • AKA LI PUMA, ALISSA B • AKA KAHN, ALISSA L • AKA KHAN, ALISSA • AKA LI, ALISSA B • AKA LIPLUMA, ALISSA B • AKA LIPUMA, ALISSA P • AKA PUMA, ALISSA B LI • AKA KAHN, LIPUMA ALISSA SSN: For internal use only EFTA01416864 Page 14 No. 5. Full Name DOB: ) KAHN, IRENE L • AKA NUGENT, KAHN IRENE SSN: DOB: (Age 7. KAHN, GABRIELLE EVE SSN: 6. KAHN, IRWIN A • AKA KAHN, IRWIN A SSN: DOB: (Age: EFTA01416865 DOB: (Age: III' II . KAHN, IRWIN GRANTEE SSN: DOB: (Age For internal use only Address/Phone EFTA01416866 Page 15 No. 9. Full Name KAHN, IRWIN M • AKA KAHN, IRWIN K • AKA IRWIN, KAHN SSN:MMI DOB: (Age: MI Address/Phone 10. KAHN, FRANCINE L Deceased • AKA CAHN, FRANCINE L • AKA KAHN, FRAN • AKA LEA, KAHN • AKA KAHN, LEA SSN: DOB: (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: 4/18/2017 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: 4/18/2017 EFTA01416867 Filing Date: 5/31/2000 3: HBRK ASSOCIATES INC. Name: KAHN, RICHARD Status: ACTIVE State: NY Corporation Number: 3714818 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 4/18/2017 For internal use only EFTA01416868 Page 16 Filing Date: 8/29/2008 4: K & F CAPITAL CORP. Name: KAHN, RICHARD Status: INACTIVE State: NY Corporation Number: 2516183 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/18/2017 Filing Date: 6/1/2000 5: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Status: INACTIVE State: NY Corporation Number: 2558561 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/18/2017 Filing Date: 9/29/2000 6: THE C.O.U.Q. FOUNDATION, INC. Name: KAHN, RICHARD Status: INACTIVE State: FL Corporation Number: F08000003048 Descriptive Status: INACTIVE Title: DIRECTOR, TREASURER Record Type: CURRENT Record Date: 12/5/2016 Filing Date: 9/23/2011 Person Associates - 4 records found No. Full Name Address 1: RUBIN, LUCILLE L 2: RUBIN, ISAAC 3 EFTA01416869 RUBIN, I RUBBIN, ISAAC RUBIN, ISAAC RUBIN, JUDGE I EFTA01416870 Page 17 No. Full Name Address 3: SCHEFFLER, ADAM CRAIG SCHEFELER, ADAM C SCHEFFLER, A C SCHLEFFLER, ADAM SHEFFLER, ADAM SCHEFFER, ADAM SHEFFLER, DAM • RUBIN. LUCILLE L Nei•hbors - 9 records found Name MAURO, ANDREA F JR MAURO, CHARLES L JR NEU, CHLOE NEU, FRANCINE M NEU, ROBERT T BENDALL, B J BENDALL, PAULA A LACY, JOHN MOEDER, ALYSSA C MOEDER, CHARLES W ODELL, MRSSPETER M ABRAHAMSON, L R EFTA01416871 BARONOFF, KENNETH D Address SSN Phone DOB For internal use only EFTA01416872 Page 18 MINSKY, LISA G WESELEY, MATTHEW D HENRIPIN, DANIELLE Employment Locator - 24 records found 1: Company Name: ARKAY CAPITAL CORP. Name: KAHN, RICHARD SSN: Confidence: Medium 2: Company Name: HBRK ASSOCIATES INC. Name: KAHN, RICHARD SSN: Confidence: Medium 3: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD SSN: Confidence: Medium 4: Company Name: ARC HOLDING INC. Name: KAHN, RICHARD SSN: Confidence: Medium 5: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD SSN: Confidence: Medium 6: Company Name: K & F CAPITAL CORP. Name: KAHN, RICHARD SSN: Confidence: Medium 7: Company Name: THE C O.U.Q. FOUNDATION, INC. Name: KAHN, RICHARD Title: DIRECTOR, TREASURER SSN: Confidence: Medium 8: Company Name: THE C.O.U.Q. FOUNDATION, INC. Name: KAHN, RICHARD EFTA01416873 Title: DIRECTOR SSN: Confidence: Medium 9: Company Name: HBRK ASSOCIATES INC. For internal use only EFTA01416874 Page 19 Name: KAHN, RICHARD SSN: Phone: Confidence: High 10: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Address: SSN: Confidence: High 11: Company Name: ARC HOLDING INC. Name: KAHN, RICHARD SSN: Confidence: Medium 12: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Address: SSN: Confidence: High 13: Company Name: K & F CAPITAL CORP. Name: KAHN, RICHARD SSN: Confidence: Medium 14: Company Name: ARKAY CAPITAL CORP. Name: KAHN, RICHARD SSN: Phone: Confidence:ii•im 15: Company Name: ALASKA FREEDOM FISHN Name: KAHN, RICHARD SSN: Confidence: High EFTA01416875 16: Company Name: ALASKA FREEDOM FISHN Name: KAHN, RICHARD Title: CONTACT Address: For interns use on y EFTA01416876 Pa e 20 SSN: Confidence: High 17: Company Name: HBRK ASSOCIATES INC Name: KAHN, RICHARD Title: CONTACT Address: SSN: Phone: Confidence: High 18: Company Name: HBRK ASSOCIATES INC Name: KAHN, RICHARD Title: CONTACT Address: SSN: Phone: Confidence: High 19: Company Name: RDK ASSET MANAGEMENT INC Name: KAHN, RICHARD Title: CONTACT Address: SSN: Confidence: High 20: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Title: CHAIRMAN OR CHIEF EXECUTIVE OFFICER Address: SSN: Confidence: High 21: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Title: CHAIRMAN OR CHIEF EXECUTIVE OFFICER Address: SSN: Confidence: High 22: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Title: PRINCIPAL EXECUTIVE OFFICE CONTACT Address: EFTA01416877 SSN: Confidence: High 23: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD For internal use only EFTA01416878 Page 21 Title: PRINCIPAL EXECUTIVE OFFICE CONTACT Address: SSN: Confidence: High 24: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Title: PROCESS ADDRESS CONTACT Address: SSN: Confidence: High Criminal Filings - 0 records found Cellular & Alternate Phones - 1 records found 1: Personal Information Name: KAHN, RICHARD Address: Phone Number: Phone Type: Mobile Carrier Information Carrier: VERIZON WIRELESS-NY Carrier City: NEW YORK CITY Carrier State: NY Sources - 83 records found All Sources Corporate Affiliations Email addresses Historical Person Locator Liens and Judgments Motor Vehicle Registrations Person Locator 1 Person Locator 2 Person Locator 4 Phone PhonesPlus Records Professional Licenses Voter Registrations 83 Source Document(s) 6 Source Document(s) 10 Source Document(s) 30 Source Document(s) 1 Source Document(s) 6 Source Document(s) 7 Source Document(s) 6 Source Document(s) 1 Source Document(s) 6 Source Document(s) EFTA01416879 1 Source Document(s) 1 Source Document(s) 8 Source Document(s) D&B: Not Required For internal use only EFTA01416880 Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP LEGAL RESULTS: Court Cases: Copyright 2017 Info4C, All Rights Reserved Watchlists and Blacklists June 9, 2017 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 ADDITIONAL INFORMATION: Decision number: 12-ARCA-3 * * * * * * * * * * * * * * * * OTHER INFORMATION * * * * * * * * * * * * * * * LIST INFORMATION: ENTITY TYPE: I DATE OF PUBLICATION: April 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: January 23, 2017 CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) COUNTRY: United States of America For internal use only EFTA01416881 Page 2 Watchlists and Blacklists June 9, 2017 LOAD-DATE: June 9, 2017 JOSHUA SKEEN and LAURIE FREEMAN, on behalf of themselves and all others similarly situated, Plaintiffs, v. BMW OF NORTH AMERICA, LLC, a Delaware limited liability company; BMW (U.S.) HOLDING CORP., a Delaware corporation; and BAYERISCHE MOTORENWERK AKTIENGESELLSCHAFT, a foreign corporation, Defendants. Civ. No. 2:13-cv-1531-WHW-CLW UNITED STATES DISTRICT COURT FOR THE DISTRICT OF NEW JERSEY 2016 U.S. Dist. LEXIS 97188 July 26, 2016, Decided July 26, 2016, Filed NOTICE: NOT FOR PUBLICATION PRIOR HISTORY: Skeen v. BMW of N. Am., LLC, 2014 U.S. Dist. LEXIS 9256 (D.N.J., 2014) CORE TERMS: settlement, attorneys' fees, repair, lodestar, timing chain, notice, billing rate, warranty, reimbursement, class action, settlement agreement, per hour, tensioner, class members, engine, documentation, final approval, replacement, billable, calculation, approving, paralegal, mileage, multiplier, partner, weigh, percentage-of- recovery, discovery, billed, oil COUNSEL: [*1] KUNAL A. MIRCHANDANI, Objector, Pro se, LIGHTHOUSE POINT, FL. JODY WILLIAMS, Objector, Pro se, SAN CARLOS, CA. RICHARD ELLENBOGEN, Objector, Pro se, OLD GREENWICH, CT. JERRY D. PHILLIPS, Objector, Pro se, HEALDSBURG, CA. THOMAS BRISCHLER, Objector, Pro se, MILLER PLACE, NY. ANTHONY MAZZARELLA, Objector, Pro se, MARS, PA. For internal use only EFTA01416882 Page 3 2016 U.S. Dist. LEXIS 97188, * JENEAN C. CORDON, Objector, Pro se, NORTH OAKS, MN. OONA ROBINSON, Objector, Pro se, WESTPORT, CT. GARY L. KAUFMAN, Objector, Pro se, LENEXA, KS. LATONYA CURTIS, Objector, Pro se, UPPER MARLBORO, MA. JAMYE C. BROWN, Objector, Pro se, ACWORTH, GA. JAMES M. WARD, Objector, Pro se, MARYSVILLE, OH. GREGORY MUNRO, Objector, Pro se, MISSOULA, MT. JOHN NEMELKA, Objector, Pro se, PROVO, UT. JAMES JONES, Objector, Pro se, HONOLULU, HI. SHIRLEY STIPE-ZENDLE, Objector, Pro se, SALEM, NC. JULIE ANNE CLIFFORD, Objector, Pro se, LAKE HAVASU CITY, AZ. DONALD MANN, Objector, Pro se, PITTSBURGH, PA. ROBIN MACKEY, Objector, Pro se, SAN FRANCISCO, CA. For JOSHUA SKEEN, LAURIE FREEMAN, on behalf of themselves and all others similarly situated, Plaintiffs: JEFFREY ALAN KONCIUS, LEAD ATTORNEY, Kiesel Law LLP, Beverly Hills, CA; WILLIAM J. PINILIS, LEAD ATTORNEY, PINILIS HALPERN, MORRISTOWN, NJ. For Scott Lamb, [*2] Gina Romaggi, Emmanuel Nomikos, Plaintiffs: WILLIAM J. PINILIS, LEAD ATTORNEY, PINILIS HALPERN, MORRISTOWN, NJ. For PATRICIA CURRAN, Plaintiff Consolidated: BRYAN L. CLOBES, LEAD ATTORNEY, CAFFERTY CLOBES MERIWETHER & SPRENGEL LLP, PHILADELPHIA, PA; WILLIAM J. PINILIS, LEAD ATTORNEY, PINILIS HALPERN, MORRISTOWN, NJ. For BMW OF NORTH AMERICA, LLC, a Delaware limited liability company, BAYERISCHE MOTOREN WERKE AKTIENGESELLSCHAFT, a foreign corporation, Defendant: CHRISTOPHER J. DALTON, ROSEMARY JOAN BRUNO, LEAD ATTORNEYS, BUCHANAN, INGERSOLL & ROONEY, PC, NEWARK, NJ; DANIEL ZEV RIVLIN, BUCHANAN INGERSOLL & ROONEY PC, NEW YORK, NY. For internal use only EFTA01416883 Page 4 2016 U.S. Dist. LEXIS 97188, * For BMW (US) HOLDING CORP., a Delaware corporation: CHRISTOPHER J. DALTON, ROSEMARY JOAN BRUNO, LEAD ATTORNEYS, BUCHANAN, INGERSOLL & ROONEY, PC, NEWARK, NJ. JUDGES: William H. Walls, Senior United States District Judge. OPINION BY: William H. Walls OPINION Walls, Senior District Judge In this class action arising from alleged defects in the MINI Cooper, a line of vehicles produced by Defendants BMW of North America, LLC, BMW (U.S.) Holding Corp., and Bayerische Motorenwerk Aktiengesellschaft, Plaintiffs move for final approval of the settlement between Defendants and a nationwide class of vehicle [*3] owners and an award of attorneys' fees and expenses. Defendants do not oppose the motion for final settlement approval but oppose, in part, the motion for attorneys' fees. After conducting a fairness hearing on July 14, 2016, the Court grants final certification of the settlement class, approves the settlement, and grants in part Plaintiffs' motion for attorneys' fees and expenses. FACTUAL AND PROCEDURAL HISTORY I. The second amended complaint A full factual and procedural background of this case is detailed in this Court's January 6, 2016 opinion and order granting preliminary approval of the settlement and is incorporated here. ECF No. 71. This case arises from claims regarding the MINI Cooper, a line of vehicles produced by Defendants. Plaintiffs are owners or lessees of MINI Coopers who allege that, at the time of purchase, their vehicles contained a latent defect in a part of the engine known as the "timing chain tensioner" which causes the part to fail prematurely, eventually requiring replacement of that part or even the entire engine. Second Amended Complaint, ECF No. 53 ¶¶ 6-7, 61. The cars at issue are "second generation" MINI Coopers with an N12 or N14 engine: the MINI Cooper [*4] R56 (Cooper Hardtop), 20072010 model years; the MINI Cooper R55 (MINI Clubman), 2008-2010 model years; and the MINI Cooper R57 (MINI Cooper Convertible), 2009-2010 model years. Id. at 2, ¶¶ 5152. Plaintiffs allege that Defendants made various misrepresentations and omissions in EFTA01416884 relation to the sales and marketing of the vehicles. Id. ¶¶ 49-50, 57, 64-66. Named Plaintiffs in this case include individuals from Georgia, Illinois, New Jersey, Minnesota, Arizona, Pennsylvania, Florida, New York, Texas, Tennessee, and Arkansas who purchased their vehicles between June 2007 and December 2011. Id. ¶¶ 15-41. In the second amended complaint, filed after this action was consolidated with another case dealing with similar subject matter, Curran v. BMW of North America, LLC, 2:13-cv-4625, see Order of Consolidation, ECF No. 36; and after the Court dismissed several federal and state law claims, see ECF No. 9; the named Plaintiffs bring claims on behalf of themselves and a nationwide class of individuals who leased or purchased the cars at issue. ECF No. For internal use only EFTA01416885 Page 5 2016 U.S. Dist. LEXIS 97188, * 53 at 1. Alternatively, the Plaintiffs bring claims on behalf of themselves and twelve statewide classes of individuals who leased or purchased the cars [*5] at issue in Arizona, Arkansas, California, Florida, Georgia, Illinois, Minnesota, New Jersey, New York, Pennsylvania, Texas, and Tennessee. Id. Plaintiffs bring a total of eighteen causes of action, including claims for breach of express warranty, id. ¶¶ 98-105, breach of implied warranty, id. ¶¶ 106-119, and violation of the Magnuson-Moss Warranty Act, 15 U.S.C. § 2301 et seq., id. ¶¶ 132-38, on behalf of themselves and the entire nationwide class. Plaintiffs also bring state law claims on behalf of the twelve statewide classes. Id. ¶¶ 120337. On April 17, 2014, Plaintiff Richard Kahn filed a putative class action against Defendants in the United States District Court for the Eastern District of New York dealing with similar subject matter. Kahn v. BMW of North America, LLC, 2:14-cv-02463-ADS-ARL. Plaintiff Kahn's action has not yet been consolidated with this one. II. The N14 Class settlement agreement On November 30, 2015, Plaintiffs filed an unopposed motion for preliminary approval of class settlement with respect to owners and lessees of vehicles with an N14 engine only (the "N14 Class"). ECF No. 70. On January 6, 2016, the Court granted preliminary approval, certifying the settling Class for purposes [*6] of settlement only and issuing instructions to begin notifying Class members. ECF No. 72. On July 14, 2016, the Court presided over a fairness hearing as required by Federal Rule of Civil Procedure 23(e). In the interim, 5,310 Class members submitted claims under the settlement, 23 class members objected to the settlement, and 123 opted out. P. Mot. Final Approval Settlement Agreement, Supp. Decl. Matthew J. McDermott in Support Supp. Mot. Approve Settlement ("Supp. McDermott Decl."), ECF No. 107-1 ¶¶ 13-18. No objections were raised at the fairness hearing. A. The N14 Class The settlement agreement defines the "N14 Class" and "N14 Vehicles" as: [a]ll persons or entities in the United States, the District of Columbia, EFTA01416886 and Puerto Rico who currently own or lease, or previously owned or leased, a model-year 2007 through 2009 MINI Cooper 'S' Hardtop (R56), a model-year 2008 through 2009 MINI Cooper 'S' Clubman (R55), or a model-year 2009 through 2010 MINI Cooper 'S' Convertible (R57) vehicle, manufactured at any time from start of production in November 2006 through July 2010. Declaration Raymond P. Boucher, ECF No. 69-3 Ex. 1, Settlement Agreement and Release at 4 (the "N14 Class Vehicles" and the "N14 Class"). Named Plaintiffs who [*7] purchased only vehicles containing N12 engines are not included in the N14 Class. Id. at 2 n.l. Also excluded from the N14 Class are: Defendants, as well as Defendants' affiliates, employees, officers and directors, attorneys, agents, insurers, their-party providers of extended warranty/service contracts, franchised dealers, independent repair/service facilities, fleet owners and operators, rental companies and vehicles, the attorneys representing Defendants in this case, the Judges and Mediator to whom this case is assigned and their immediate family members, all persons who request exclusion from (opt-out of) the Settlement, vehicles deemed a total loss (other than vehicles whose engines failed or were damaged due to timing-chain tensioner and/or timing chain failure), vehicles whose true mileage is unknown, all persons who previously released any claims encompassed in this Settlement, and vehicles transported outside the United States. Id. at 4-5. For internal use only EFTA01416887