EFTA01297686.pdf

Richard D Kahn
NAME SEARCHED:
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: Re% ILI% C r Comments (as neeessan )
q0 No Hit 0 Not Required ROC Alert (please see attached)
RDC I .RD(' Itesult,
r• Hit
..7.4 No Hit ID Not Required
F1RCOSOFT ii HucOSOFT Results No FIRCOSOFT Alert (please see attached)
• Hit
NN o Information Found
111. Nee.ative Media
MS 0 Yes No
SI No Information Found
IV. Non-Nc.(2.;ithe \ letha
q Not Required
No Information Found
V. Oki- I :Ii ia:.:".... \li.:(lia
Not Required
Results? 0 Yes H No
D&B VI. D&B
El Not Requited
Information Found (please see attached)
Smaftlinx Results/ n: 83 Yes 0 No
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.14 Review by Legal May be Information Found (please see attached)
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Prepared by: Vikram-D Singh Date: 5/31/2018 Research Analyst
Instructions:
1. 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 convenience:Mart indale-flubbellhttp://w ww.martindale.com/sp/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
SONY_ M_ 111
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0023841
EFTA_00171628
EFTA01297686

OFAC RESULTS
RDC:
Date of
Inquiry Id Response Type Tracking Id Name Address
Birth:
a Date of
11632113 Aler:r, . KYC 01946825 Country: UNITED STATES Birth:
Richard D Kahn
12/6/1972
ate of
Country: VIRGIN ISLANDS, Birth:
11632114 Alerted KYC 01946825 D
Richard D Kahn U.S.
12/6/1972
FIRCOSOFT:
Alert(s)
Request ID Record ID Type Name Details
ADM INT PEP SAE
12595104 INR_125951042182 Individual Kahn, Richard D No Alert No Alert No Alert False
12595105 VVR_125951052182 Individual Kahn, Richard O No Alert No Alert No Alert False
BIS RESULTS:
Negative Media:
No Information Found
Non-Negative Media:
No Information Found
Other Language Media:
No Information Found
Public Records:
For Internal use only
For internal use only
SDNY_GM_00061117
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QQNE DE-SDNY-0023942
EF1'A_00171629
EFTA01297687

FOR INFOPMATIONAL PURPOSES ONLY
Copyr oht LexisNexis
o division of Pec': P • Inc. All Rights Reserved.
Date:S/31/2018
Report processed by:
DEUTSCHE BANK AGII
County Phone
KAHN, RICHARD D NEW YORK
ADDITIONAL PERSONAL INFORMATION
SSN DOB Gender LexID(sm)
Sublecl Summary
Name Variations Vivo Ali Name Von:mous Sources
1 0 RICHARD, KAHN
: KAHN, R
KAHN, RICHARD
KAHN, RICHARD D
KAHO, RICHARD D
SSNs Summary
All
SS
N
So
Inc
SSN State !sc. Date Iss. Warnings
Most frequent SSN attributed to subject:
1: New York 1972-1973
DOBs Vice' All DOB Sources
Reported DOBs:
12/1972
12/1972
Possible E-Mall Addresses View All E:M ail Sources
`Others Using SSN - 0 records found
',Address Summon - 11 records found View All Address Variations Sauces
=NM
No. Address
For internal use only
For internal use only
SDNY_GM_00061118
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0023943
EFTA_00 I 7 I 630
EFTA01297688

1: Get Report
Vicitakal.4
2: Get Report
View Details
3: Qet.RePort
View Details
4: Get Report
MeV/ Peta
5: Get Report
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6: Get Report
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7: Get Report
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8: Get Report
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9: Get Report
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10: Get Report
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11: Get Report
View Details
Address De
Address Dates Phone Actions
2/2008 - 5/2018 (pct Report
41
Ncushbors(2)
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
For internal use only
For internal use only
SONY_GM_00061119
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SDNY-0023944
EFTA_00I7163 I
EFTA01297689

Address Dates Phone Actions
12/2003 - 2/2009 oci Report
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 Get Report
Other Associates
None Listed
Address Dates Phone Actions
5/2006 - 9/2008 Get Report
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
Address Dates Phone Actions
12/2002 - 6/2008 Get Report
Household Members
None Listed
Other Associates
None Listed
For internal use only
For internal use only
SDNY_GM_00061120
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SDNY-0023945
EFTA 00171632
EFTA01297690

Address Dates Phone Actions
1/1997 - 1/2005 oct Report
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 Dates Phone Actions
8/1996 - 11/2002 (let Report
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 Oct Report
KAHN, GARY E Oct Retort
Other Associates
RUBIN, LUCILLE L Oct Report
Address Dates Phone Actions
5/1973 - 1/1997 Get Report
Census Data for Geographical Region
Median Head of Household Age: 22
Median Income: $11,280
Median Home Value: $0
Median Education: 12 years
For internal use only
For internal use only
SDNY_GM_0006112i
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023946
EFTA_00171633
EFTA01297691

Household Members
None Listed
Other Associates
None Listed
Address Dates Phone Actions
4/1995 - 4/1995 (ict Report
Census Data for Geographical Region
Median Head of Household Age: 35
Median Income: $139,826
Median Home Value: 8803,571
Median Education: 15 years
Household Members
None Listed
Other Associates
None Listed
Address Dates Phone Actions
10/1993 - 10/1993 (845) 638-4564 Report
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 (ict Report
Other Associates
None Listed
10
Address Dates Phone Actions
5/1973 - 5/1973 (845) 634-1381 (let Report
Census Data for Geographical Region
For internal use only
For internal use only
SDNY_GM_00061122
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023947
EFTA_00171634
EFTA01297692

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
Address Dates Phone Actions
Oct Report
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
RUBIN, LUCILLE L (ha Report
-Voter Registrations - 9 records found View Voter Registration Sources
1: New York Voter Registration
Registrant Information
Name: KAHN, RICHARD D
Residential
Address:
Home Phone:
SSN:
Date of Birth:
Gender:Mae
Voter Information
Registration Date: 10/6/2003
Last Vote Date: 11/8/2016
Party Affiliation: INDEPENDENCE
Active Status: ACTIVE
For internal use only
For internal use only
SDNY_GM_00061123
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CONIF DB-SDNY-0023948
EFTA 00171635
EFTA01297693

2: New York Voter Registration
Registrant Information
Name:
Residential
Add ran:
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
Registrant Information
Name:
Residential
Address:
Home Phone:
SSN:
Date of Birth:
Gender: Male
Voter Information
Registration Date: 10/6/2003
Last Vote Date: 11/8/2016
Party Affiliation: INDEPENDENCE
Active Status: ACTIVE
Registrant Information
Name:
Residential
Address:
SSN:
Date of Birth:
Gender:
Voter Information
Registration Date: 10/6/2003
For internal use only
For internal use only
SDNY_GM_00061124
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.CON(F DB-SDNY-0023949
EFTA 00171636
EFTA01297694

Last Vote Date: 11/2/2010
Party Affiliation: INDEPENDENT
Active Status: ACTIVE
777719 11
Registrant Information
Name:
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
Registrant Information
Name:
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
7: New York Voter Registration
Registrant Information
Name:
Residential
Address:
SSN:
Date of Sleth:
Gender: Male
Voter Information
For internal use only
For internal use only
SDNY_Gliil_00061125
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023950
EFTA_00171637
EFTA01297695

Registration Date: 10/6/2003
Last Vote Date: 2/5/2008
Party Affiliation: INDEPENDENT
Active Status: ACTIVE
8: New York Voter Re, Istration
Registrant Information
Name:
Residential
Address:
SSN:
Date of Birth:
Gender: Male
Voter Information
Registration Date: 10/6/2003
Last Vote Date: 2/5/2008
Party Affiliation: REPUBLICAN
Registrant Information
Name:
Residential
Address:
SSN:
Date of Birth:
Gender: male
Voter Information
Registration Date: 9/6/1996
Party Affiliation: REPUBLICAN
Uri% yr Licenses - 0 records found
Professional licenses - I records found View Prole:turmoil .icesse SoUrINS
Licensee infermatcon
Name:
SSN:
Address:
County:
Gender: M
License Information
For internal use only
For internal use only
SDNY_GM_00061126
I DENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QPN( DB-SONY-0023951
EFTA_00 I 71638
EFTA01297696

License Type: CPA
License
Number:
-'Health Care Providers - (I records found
LtIllealth Care Sanctions -11 records found
SIPilot Licenses - 0 records found
EISPort Licenses - 0 records found
(.71Real Property - I records found View Real P rw Sources
1: Assessment Record for SUFFOLK County, NY
Owner Information
Name: RICHARD KAHN
Address:
County/FIPS:
Property Information
Address:
Data Source:
Legal Information
Assessor's Parcel
Number
Recording Date: 10/27/2015
Book/Page:
Sale Information
Sale Price: $1518000
Assessment Information
Assessed Value: $1243500
Motor Vehicle Rrgist rations - 5 records found
Registrant Information
Registrant: KAHN, RICHARD D
DOB:
Address:
Registration Information
Original Registration Date: 3/17/2011
Registration Date: 3/17/2011
Registration Expiration 3/16/2013
Date:
Vehide Information
For internal use only
For internal use only
SDNY_GM_00061127
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QPN(F DB-SDNY-0023952
EFTA_00171639
EFTA01297697

VIN:
Class:
Model Year:
Make:
Model:
Series:
Body Style:
Weight:
Plate Information
License Plate Type: Private
License Plate Number:
Plate State: ■
Source Information
Data Source: GoviEity N
Vehicle Information
VIN:
Class:
Model Year:
Make:
Model:
Series:
Body Style:
Weight:
Owner Information
Name: KAHN, RICHARD D
DOB:
Address:
Title Information
Title Transfer Date: 4/7/2011
Title Issue Date: 4/7/2011
Source Information
Data Source: GOVERNMENTAL
Registrant Information
Registrant: KAHN, RICHARD O
DOB:
For internal use only
For internal use only
SDNY_GM_00061128
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QQN(F DB-SDNY-0023953
EFTA_00I71640
EFTA01297698

Address:
Registration Information
Original Registration Date: 5/22/2009
Registration Date: 5/22/2009
Registration Expiration 7/8/2011
Date:
Vehicle Information
VIN:
Class:
Model Year:
Make:
Model:
Series:
Body Style:
Weight:
Plate Information
License Plate Type: Private
Previous Plate Number:
Previous Plate State:
License Plate Number:
Plate State:
Source Information
Data Source: GOVERNMENTAL
Vehicle Information
VIN:
Class:
Model Year:
Make:
Model:
Series:
Body Style:
Weight:
Owner Information
Name: KAHN, RICHARD D
DOB:
Address:
For internal use only
For internal use only
SDNY_GM_00061129
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.CON(F DB-SDNY-0023954
EFTA_00171641
EFTA01297699

Title Information
Title Transfer Date: 8/9/2007
Title Issue Date: 8/9/2007
Source Information
Data Source: GOVERNMENTAL
S: NY MYR
Registrant Information
Registrant: KAHN, RICHARD D
DOB:
Address:
Registration Information
Original Registration Date: 12/7/2003
Registration Date: 12/7/2003
Registration Expiration 1/6/2006
Date:
Vehicle Information
VIN:
Class:
Model Year:
Make:
Model:
Series:
Body Style:
Weight:
Nate Information
License Plate Type: Pr i\,(:to
Previous Plate Number:
Previous Plate State:
License Plate Number:
Plate State:
Source Information
Data Source: GOVERNMENTAL
Boat% - II record% found
-Aircraft - 0 records found
-:Bankruolcy Information - 0 records found
Judynents/Lieris - I records found
For internal use only
For internal use only
SDNY_GM_00061130
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.CON(F DB-SONY-0023955
EFTA_00 I 71642
EFTA01297700

1: NY Judgments and Liens Filings
Debtor Information
Name: KAHN, RICHARD
Oct Report
SSN:
Addis:
Creditor Information
Name:
Filing Information
Jurisdiction: NY
Amount: $1,783
Filing Date: 5/2/2000
Eviction y
Filing 1
Number:
Type: CIVIL NEW FILING
Agency: CIVIL COURT OF THE CITY OF NEW YORK
Agency State: NY
Agency NEW YORK
County:
-IUCC Liens - 1 records found
1: NEW YORK CITY RECORD
Debtor Information
Debtor 1
Name: KAHN, RICHARD
SSN:
Address:
Debtor 2
Name:
SSN:
Address:
Secured Party Information
Name:
Address:
Filing Information
Filing Jurisdiction: NEW YORK CITY, NEW YORK
Original Filing Number:
Original Filing Type: INITIAL COOP UCC I
For internal use only
For internal use only
SDNY_GM_00061131
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0023956
EFTA_00171643
EFTA01297701

Original Filing Date: 3/25/2016
Number:
Fictitious Businesses -0 records found
Notice Of Defaults - 0 records found
-.Potential Relatives- 10 records found
Get Report
2 Get Report
3 Get Report
4 Get Report
For Internal use only
For internal use only
S0NYGM_00061132
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.CON(F DB-SDNY-0023957
EFTA_00171644
EFTA01297702

5 Get Report
6 Get Report
7 Get Report
8 Get Report
9 Get Report
10 get..RgPPrt
For internal use only
For internal use only
SDNY_GM_00061133
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QPN(F DB-SDNY-0023958
EFTA_00171645
EFTA01297703

HEtusiness Associates - 6 records found
I: ARC HOLDING INC.
Name: KAHN, RICHARD
Status: INACTIVE
State: NY
Corporation 2558550
Number:
Descriptive Status: INACTIVE
Record Type: CURRENT
Record Date: 4/24/2018
Filing Date: 9/29/2000
Business Report: Get Report
2: ARKAY CAPITAL CORP.
Name: KAHN, RICHARD
Status: ACTIVE
State: NY
Corporation 2515783
Number:
Descriptive Status: ACTIVE
Record Type: CURRENT
Record Date: 5/8/2018
Filing Date: 5/31/2000
Business Report: Oct Rcpal
3: HBRK ASSOCIATES INC.
Name: KAHN, RICHARD
Status: ACTIVE
State: NY
Corporation 3714818
Number:
Descriptive Status: ACTIVE
Record Type: CURRENT
Record Date: 4/24/2018
Filing Date: 8/29/2008
4: I( & F CAPITAL CORP.
Name: KAHN, RICHARD
Status: INACTIVE
State: NY
For internal use only
For internal use only
SDNY_GM_00061134
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QPN(F DB-SONY-0023959
EFTA_00171646
EFTA01297704

Corporation 2516183
Number:
Descriptive Status: INACTIVE
Record Type: CURRENT
Record Date: 4/24/2018
Filing Date: 6/1/2000
Business Report: ( t F:,
Name: KAHN, RICHARD
Status: INACTIVE
State: NY
Corporation 2558561
Number:
Descriptive Status: INACTIVE
Record Type: CURRENT
Record Date: 4/24/2018
Filing Date: 9/29/2000
Business Report: Gel Report
INC.
Name: KAHN, RICHARD
Address:
Status: INACTIVE
State: FL
Corporation F08000003048
Number:
Descriptive Status: INACTIVE
Title: DIRECTOR, TREASURER
Record Type: CURRENT
Record Date: 10/18/2017
Filing Date: 9/23/2011
Business Report: (iclEalon
l'crson .Associatus - S records found
For internal use only
For internal use only
SDNY_GM_00061135
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QQN(F DB-SDNY-0023960
EFTA_00171647
EFTA01297705

2: (id
Report
3: (hi
Report
4:
Report
5: (ki
Report
Neighbors - 2 records found
Name Address Phone Actions
MOEDER, ALYSSA C
FALVO, PAULA G
-1Emolovment Locator - 24 records found
Company HBRK ASSOCIATES INC.
Name:
Name: KAHN, RICHARD
For internal use only
For internal use only
SDNY_GM_0006t136
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QPN(F DB-SONY-0023961
EFTA_OO171648
EFTA01297706

SSN:
Confidence: medium
2:
Company RDK ASSET MANAGEMENT INC.
Name:
Name: KAHN, RICHARD
SSN:
Confidence: Medium
3:
Company ARC HOLDING INC.
Name:
Name: KAHN, RICHARD
SSN:
Confidence: Medium
4:
Company RDK ASSET MANAGEMENT INC.
Name:
Name: KAHN, RICHARD
SSN:
Confidence: Medium
Company K & F CAPITAL CORP.
Name:
Name: KAHN, RICHARD
SSN:
Confidence: Medium
6:
Company ARKAY CAPITAL CORP.
Name:
Name: KAHN, RICHARD
SSN:
Confidence: Medium
7:
Company THE C.O.U.Q. FOUNDATION, INC.
Name:
Name: KAHN, RICHARD
Title: DIRECTOR, TREASURER
SSN:
Confidence: Medium
Company THE C.O.U.Q. FOUNDATION, INC.
Name:
For internal use only
For internal use only
SDNY_GM_00061137
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SONY-0023962
EFTA_00171649
EFTA01297707

Name: KAHN, RICHARD
Title: DIRECTOR
SSN:
Confidence: Medium
Company HBRK ASSOCIATES INC.
Name:
Name: KAHN, RICHARD
Address: 1365 YORK AVE APT 28
NEW YORK, NY 10021-4035
SSN:
Phone: (212) 628-6639
Confidence: High
Company RDK ASSET MANAGEMENT INC.
Name:
Name: KAHN, RICHARD
Address: 1365 YORK AVE APT 28A
NEW YORK, NY 10021-4040
SSN:
Confidence: High
Company ARC HOLDING INC.
Name:
Name: KAHN, RICHARD
Address: 10 ESQUIRE RD STE 4
NEW CITY, NY 10956-3336
SSN:
Confidence: Medium
Company RDK ASSET MANAGEMENT INC.
Name:
Name: KAHN, RICHARD
Address:
SSN:
Confidence: High
Company K & F CAPITAL CORP.
Name:
Name: KAHN, RICHARD
Address:
For internal use only
For internal use only
SDNY_GM_00061138
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023963
EF1'A_00171650
EFTA01297708

SSN:
Confidence: medium
Company ARKAY CAPITAL CORP.
Name:
Name: KAHN, RICHARD
Address:
SSN:
Phone:
Confidence: Medium
15:
Company ALASKA FREEDOM FISHN
Name:
Name: KAHN, RICHARD
Title: CONTACT
Address:
SSN:
Confidence: High
16:
Company ALASKA FREEDOM FISHN
Name:
Name: KAHN, RICHARD
Title: CONTACT
Address:
SSN:
Confidence: High
17:
Company HBRK ASSOCIATES INC
Name:
Name: KAHN, RICHARD
Title: CONTACT
Address:
SSN:
Phone:
Confidence: High
Company HBRK ASSOCIATES INC
Name:
Name: KAHN, RICHARD
For internal use only
For internal use only
SDNY_GM_00061139
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023964
EFTA_00 I 7 165 I
EFTA01297709

Title: CONTACT
Address:
SSN:
Phone:
Confidence: High
Company RDK ASSET MANAGEMENT INC
Name:
Name: KAHN, RICHARD
Title: CONTACT
Address:
SSN:
Confidence: High
2fr
Company RDK ASSET MANAGEMENT INC.
Name:
Name: KAHN, RICHARD
Title: CHAIRMAN OR CHIEF EXECUTIVE OFFICER
Address:
SSN:
Confidence: High
21:
Company RDK ASSET MANAGEMENT INC.
Name:
Name: KAHN, RICHARD
Title: CHAIRMAN OR CHIEF EXECUTIVE OFFICER
Address:
SSN:
Confidence: High
Company RDK ASSET MANAGEMENT INC.
Name:
Name: KAHN, RICHARD
Title: PRINCIPAL EXECUTIVE OFFICE CONTACT
Address:
SSN:
Confidence: High
For internal use only
For internal use only
SDNY_GM_0006t140
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023965
EFTA ((117165?
EFTA01297710

23;
Company RDK ASSET MANAGEMENT INC.
Name:
Name: KAHN, RICHARD
Title: PRINCIPAL EXECUTIVE OFFICE CONTACT
Address:
SSN:
Confidence: High
24:
Company RDK ASSET MANAGEMENT INC.
Name:
Name: KAHN, RICHARD
Title: PROCESS ADDRESS CONTACT
Add rest:
SSN:
Confidence: High
.Criminal FilinCs - 0 records found
- Cellular & Alternate Phones - 0 records found
.iPossible Education - 2 records found
Student Information
Name: KAHN, RICHARD
SSN:
DOB:
LexID(sm):
First Reported:
Last Reported:
High School Graduation Year:
Phone:
Address:
Currently a Student? r cb
Attended High School: YES
Years Since High School 26
Graduation:
Attended College 1: YES
Collage Type 1: Private
college Description 1: Four Year College
For internal use only
For internal use only
SDNY_GM_0006114i
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023966
EFTA_00I71653
EFTA01297711

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
Student Information
Name: KAHN, RICHARD
SSN:
LexID(sm):
Tuition Range:
First Reported:
Last Reported:
Phone:
Address:
Class Rank: Senior
Currently a Student? NO
Attended High School: YES
Years Since High School 26
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
College Information
College Name: SYRACUSE UNIVERSITY
Original Name: SYRACUSE UNIVERSITY
Level: FOUR YEAR COLLEGE
Type: PRIVATE SCHOOL
school Size: 5,001 - 15,000
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LEGAL RESULTS:
Court Cases:
Adolphe A. Juviler. Individually and on Behalf of All Other Stockholders Similarly Situated. Plaintiff. v. Unitronics
Corporation. Defendant
[NO NUMBER IN ORIGINAL]
Supreme Court of New York, Special Term, New York County
8 Tvlisc. 2d 1033; 166 N.Y.S.2d 770; 1957 N.Y. Misc. LEXIS 2521
September 12, 1937
DISPOSITION: [gal] Motion denied.
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CASE SUMMARY
PROCEDURAL POSTURE: Plaintiff stockholder. in a representative stockholders' action, applied for
an injunction to restrain defendant corporation from holding a meeting and allowing the voting of shares
in favor of a proposed merger or. in the event of approval of the merger by the corporation's stockholders,
from taking any action designed to effectuate or consummate the merger.
OVERVIEW: The stockholder, a holder of 750 of the outstanding 590.96() shares of the corporation.
sought an injunction restraining the corporation, its officers, directors. agents and attorneys from voting
any shires of stock at a meeting in favor of a proposed merger. In the alternative. the stockholder wanted
to restrain the corporation from taking any action to effectuate or consummate the merger. The court
denied the motion. The court slated that it did not need to consider the tint pan of the application
inasmuch as the meeting of stockholders was not stayed. At that miming. HO percent of the outstanding
shares were voted in favor of the proposed merger, and two percent of the outstanding shares were voted
against the proposed merger. The court found that the stockholder did not make out a case which plainly
showed that the action taken was so far opposed to the true interests of the corporation itself as to lead to
the clear inference drat na one thus acting could have been influenced by any honest desire to secure such
interests. The court held that the stockholder failed to meet that test by a wide margin.
OUTCOME: The court denied the stockholder's motion.
CORE TERMS: stockholders. bolder, merger. minority stockholders, proxy. outstanding shares. outstanding. stock.
voted. shares of stock, proposed merger. voting
LexisNexisX Headnotes
Business & Corporate Law> Corporations > Shareholders > Meetings & Voting > General Overview
Business & Corporate Law> Corporations > Shareholders > Shareholder Duties & Liabilities > Controlling
Shareholders > General Overview
Mil To warrant the interposition of the court in favor of the minority stockholders in a corporation or
joint-stock association, as against the contemplated action of the majority, where such action is
within the corporate powers, a arse must be made out which plainly shows that such action is so far
opposed to the true interests of the corporation itself as to lead to the clear inference that no one thus
acting could have been influenced by any honest desire to secure such interests, but that he must have
acted with an intent to subserve some outside purpose. regardless of the consequences to the
company and in a manner inconsistent with its interests.
HEADNOTES
Corporations -- representative stockholders' action --court will not intervene on behalf of minority stockholders to
restrain merger which was approved by holders of 80% of stock since action sought to be enjoined is not clearly
opposed to interests of corporation.
Plaintiff. a minority stockholder of defendant corporation. in this representative stockholders' action moves to enjoin the
officers and directors of defendant from voting any shares of stock owned or controlled by them in favor of a proposed
merger of defendant with another corporation. or from consummation of such merger if approved by the majority of
defendant's stockholders. The holders of 80% of the outstanding stock voted in favor of the merger. The motion is
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denied. A court will not oppose the will of the majority stockholders on behalf of the minority stockholders unless it is
shown that the action contemplated or taken is clearly contrary to the true interest of the corporation itself.
COUNSEL: Otis Mark Waters. Lawrence S. Timm. W. Philip Van Kirk, and Melvyn Samuels for plaintiff.
Edward C. McLean. E. Laurence Gulyassy and Richard D. Kahn for defendant.
JUDGES: William l***21 C. Hecht. Jr.. J.
OPINION BY: HECHT, JR.
OPINION
r l033I 1**771I In this representative stockholders' action plaintiff, a holder of 750 of the outstanding 590.960 shares
of defendant. Unitronics Corporation, applies for an injunction restraining the corporation, its officers, directors, agents
and attorneys, from voting any shares of stock owned or controlled by them or any proxies obtained by them from
stockholders, at the special meeting of stockholders called for September II, 1957. or any adjournment thereof, in favor
of the proposed merger of defendant with and into The Siegler Corporation or, in the alternative. in the event of
approval of such merger by the stockholders of defendant. from taking any action designed to effectuate or consummate
such merger.
The first pan of the application need not be considered inasmuch as the court did not stay the meeting of stockholders
which took place on September I I, 1957. At this meeting. of 590,963 outstanding shares of common stock of
Unitronics, the holders of which were entitled to vote on such proposal, 482,093 shares, constituting 82% of such
outstanding shares, were represented by proxy or in person at such meeting. The holders I *9 *3 I of 469,726 shares.
representing 80% of the outstanding shares voted by proxy or in person in favor of such proposal. The holders of
12,367 shares, representing 2% of the outstanding shares, voted by proxy or in person against such proposal.
1•10341
The test to be applied to an application of this nature succinctly stated by Peelcham. J.. in Gamble v.
was
Queens County Water Co. (123 N. Y. 91.99): me47."To warrant the interposition of the court in favor of the minority
stockholders in a corporation or joint-stock association, as against the contemplated action of the majority, where such
action is within the corporate powers. a case must be made out which plainly shows that such action is so far opposed to
the true interests of the corporation itself as to lead to the clear inference that no one thus acting could
have 1**7721 been influenced by any honest desire to secure such interests, but that he must have acted with an intent
to subsen•c some outside purpose. regardless of the consequences to the cotnpany and in a manner inconsistent with its
interests."
Plaintiff lo.941 has failed to meet this test by a wide margin. Motion denied.
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k"
UNITED STATES DISTRICT COURT
DISTRICT OF MASSACHUSETTS
(Boston)
Wright v. Lander et al
PLAINTIFF: Wright. Ernest
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DEFENDANT: Lander. Stephen N:
Kahn, Richard D;
Hart. Patrick M;
Dawiczyk, Jill P
DOCKET CASE NUMBER: I :04cv 11118
FILING DATE: 5/25/2004
JURISDICTION: Federal Question
JUDGE: Gonon, Nathaniel M
NATURE OF SUIT: 470 RICO
FILING TYPE: Civil
CAUSE: Racketeering (RICO) Act18 USC 1961
JURY DEMAND: None
STATUS: Cast Closed
PLAINTIFF ATTORNEY(S):
Wright, Ernest ICOR LD NTCI
43 COPELAND STREET #1 BOSTON. MA 02119 617-442-1312 PRO SE
THE COURT UPDATED THIS RECORD ON: 09/07/2005 12:00:00 AM
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