EFTA01297892.pdf

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