NAME SEARCHED: Erika Kellerhals

NAME SEARCHED: Erika Kellerhals PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business. Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RDC 0.:4 No I in imui• Not Rred I. RDC Results No RDC alert (Please sec attached) Mt PCR No Hit Not Required El Hit IL PCR Results No PCR alert (Please sec attached) BIS El Yes gi No III. Negative Media There was no information found IV. Non-Negative Media There was no information found • Not Required V. Other Language Media Not Required D&B Results? M Yes • No CI Not Required VI. D&B Not Required Smartlinx Results? lEl Yes 0 No • Not Required VII. Smanlins Result Found(please see attached) Court Cases 0 Review b' Legal Mai. be Required • No Results M Search not required VIII. Court Cases Result Found(please see attached) Prepared by: Prachi Pawa Da c: 10/12/2016 Research Analyst Instructions: I. Review and confirm that all results arc 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-flubbellhttp://sww.martindak.comhip/Martindak/home.sml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. S. 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 S0NV_GM_00057180 CONFIDENTIAL — PURSUANT TO FED. Ft CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0020004 EFTA_00167748 EFTA01295845 OFAC RESULTS RDC: Date of I 11593661 NQEllitth GCIS Country :United States Birth: Found 00000483290 Erika Kellerhals 10/13/1974 i• PCR: C20161034949193 Erika Kellerhals 12013248 NCA customised Auto-Closed No-Hit 12/10/2016 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2016 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date:10/12/2016 Report processed by: DEUTSCHE BANK AGII For internal use only SDNY_GM_00057181 CONFIDENTIAL - PURSUANT TO FED_ „QC) .NEIDENTIAL DB-SDNY-0020005 EF1'A_00167749 EFTA01295846 Page 2 Full Name Address County Phone KELLERHALS, ERIKA A 242 BRYANT AVE RICHMOND (718) 667-1921 STATEN ISLAND, NY 10306.3142 RICHMOND COUNTY ADDITIONAL PERSONAL INFORMATION SSN DOB 074-72-XXXX 10/1974 (Age:41) Subject Summary Name Variations 1: KELLERHALES, ER ICKA A 2: KELLERHALLS, ERIKA A 3: KELLERHALS. E A 4: KELLERHALS. ERIKA 5: KELLERHALS. ERIKA A SSNs Summary No. SSN 1: 074-72-XXXX Gender State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: New York 1987-1988 Possible E-Mail Addresses LexID(sm) 001368644215 ERIKA©MARJORIEROBERTSPC COM EKELLAR©VT. EDU Others Using SSN - 2 records found # Full Name SSN DOB 1: KELLERHALS. ENER 074-72-XXXX 10/1974 11 YOUNG, MICHAEL S 074-72-XXXX Address Summary - 12 records found No. Address 1: 242 BRYANT AVE STATEN ISLAND. NY 10306-3142 RICHMOND COUNTY 2: 9053 ESTATE THOMAS 101 ST THOMAS, VI 00802 ST. THOMAS COUNTY 3: 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 00802-3602 ST. THOMAS COUNTY 4: 9053 ESTATE THOMAS STE 10 ST THOMAS, VI 00802 For internal use only SDNY_GM_00057182 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0020006 EFTA_00I 67750 EFTA01295847 Page 3 No. Address ST. THOMAS COUNTY 5: PO BOX 608 ST THOMAS. VI 00804-0608 ST. THOMAS COUNTY 6: PO BOX 6347 ST THOMAS, VI 00804-6347 ST. THOMAS COUNTY 7: 9100 PORT OF SALE MALL STE 2 ST THOMAS. VI 00802-3602 ST. THOMAS COUNTY 8: 184 JORALEMON ST APT 1 BROOKLYN, NY 11201-4329 KINGS COUNTY 9: 184 JORALEMON ST APT 12R BROOKLYN, NY 11201-4329 KINGS COUNTY 10: 187 JORALEMON ST APT 12R BROOKLYN, NY 11201-4306 KINGS COUNTY 11: 242 BRYSON AVE STATEN ISLAND. NY 10314-1923 RICHMOND COUNTY 12: 242 BYRNE AVE STATEN ISLAND, NY 10314-4409 RICHMOND COUNTY Address Details 1: 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 Address Dates Phone 242 BRYANT AVE 2/1994 - 10/2016 (718)667-1921 STATEN ISLAND, NY 10306-3142 RICHMOND COUNTY Census Data for Geographical Region Median Head of Household Age. 47 Median Income: $82,353 Median Home Value: $584.337 Median Education: 14 years Household Members DAHLING. MELISSA A KELLERHALS. EDWARD KELLERHALS. EDWARD A KELLERHALS. ENER KELLERHALS. KATHLEEN M Other Associates HANRATTY, THOMAS E 2: 9053 ESTATE THOMAS 101 ST THOMAS, VI 00802 Address Dates Phone 9053 ESTATE THOMAS 101 6/2016 - 8/2016 ST THOMAS, VI 00802 For internal use only SDNY_GM_00057183 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020007 EFTA_00 I 67751 EFTA01295848 Page 4 ST. THOMAS COUNTY Household Members None Listed Other Associates None Listed 3: 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 00802-3602 Address Dates Phone 9100 PORT OF SALE MALL STE 15 12/2003 - 6/2016 ST THOMAS, VI 00802-3602 ST. THOMAS COUNTY Household Members None Listed Other Associates BETZ, SHAUNA L 4: 9053 ESTATE THOMAS STE 10 ST THOMAS, VI 00802 Address Dates 9053 ESTATE THOMAS STE 10 5/2016 - 5/2016 ST THOMAS, VI 00802 ST. THOMAS COUNTY Household Members None Listed Other Associates None Listed Phone 5: PO BOX 608 ST THOMAS, VI 00804-0608 Address Dates Phone PO BOX 608 3/2004 - 11/2015 ST THOMAS, VI 00804-0608 ST. THOMAS COUNTY Household Members KELLERHALS. EDWARD A Other Associates FERGUSON. GREG J 6: PO BOX 6347 ST THOMAS, VI 00804-6347 Address Dates PO BOX 6347 3/2004 - 4/2009 ST THOMAS, VI 00804-6347 ST. THOMAS COUNTY Household Members KELLERHALS, EDWARD A Other Associates FERGUSON, GREG J 7: 9100 PORT OF SALE MALL STE 2 ST THOMAS, VI 00802-3602 Address Dates 9100 PORT OF SALE MALL STE 2 7/2003 - 6/2004 ST THOMAS, VI 00802-3602 ST. THOMAS COUNTY Household Members KELLERHALS. EDWARD A Other Associates None Listed 8: 184 JORALEMON ST APT 1 BROOKLYN, NY 11201-4329 Address For internal use only Phone Phone Dates Phone SDNY_GM_00057184 CONFIDENTIAL — PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0020008 EFTA_00I 67752 EFTA01295849 Page 5 184 JORALEMON ST APT 1 BROOKLYN, NY 11201.4329 KINGS COUNTY Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $127,273 Median Home Value: $741,587 Median Education: 18 years Household Members None Listed Other Associates None Listed 11/1997 - 11/1997 9: 184 JORALEMON ST APT 12R BROOKLYN, NY 11201-4329 Address Dates Phone 184 JORALEMON ST APT 12R 10/1997 - 11/1997 BROOKLYN, NY 11201-4329 KINGS COUNTY Census Data for Geographical Region Median Head of Household Age 34 Median Income: $127,273 Median Home Value: $741,587 Median Education: 18 years Household Members None Listed Other Associates None Listed 10: 187 JORALEMON ST APT 12R BROOKLYN, NY 11201-4306 Address Dates Phone 187 JORALEMON ST APT 12R 2/1994 - 10/1997 BROOKLYN, NY 11201-4306 KINGS COUNTY Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $127,273 Median Home Value: $741.587 Median Education: 18 years Household Members KELLERHALS. KATHLEEN M Other Associates None Listed 11: 242 BRYSON AVE STATEN ISLAND, NY 10314-1923 Address Dates 242 BRYSON AVE 2/1994 - 2/1994 STATEN ISLAND. NY 10314-1923 RICHMOND COUNTY Census Data for Geographical Region Median Head of Household Age 47 Median Income: $74,028 Median Home Value: $483,978 Median Education: 13 years Household Members None Listed Other Associates None Listed 12: 242 BYRNE AVE STATEN ISLAND, NY 10314-4409 Address For internal use only Phone Dates Phone SDNY_GM_00057185 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020009 EFTA_00 II 67753 EFTA01295850 Page 6 242 BYRNE AVE STATEN ISLAND, NY 10314-4409 RICHMOND COUNTY Census Data for Geographical Region Median Head of Household Age 42 Median Income: $95.399 Median Home Value: $462,729 Median Education' 13 years Household Members None Listed Other Associates None Listed Voter Registrations -1 records found 1: New York Voter Registration Registrant Information Name: KELLERHALS. ERIKA A Residential Address: 242 BRYANT AVE STATEN ISLAND. NY 10306-3142 RICHMOND COUNTY SSN: 074-72-XXXX Date of Birth: 10/1974 Gender: Female Voter Information Last Vote Date: 2002 Party Affiliation: DEMOCRAT Active Status: ACTIVE Driver Licenses - 0 records found Professional Licenses -1 records found 1: Professional License Licensee Information Name: KELLERHALS. ERIKA ANN 2/1994 - 2/1994 SSN: 074-72-XXXX Address: 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 00802-3602 County: ST. THOMAS Phone: (340) 779-2564 Gender: FEMALE License Information License Type: 105284 Issue Date: 02/10/2015 Status: OTHERS Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 0 records found Motor Vehicle Registrations - 2 records found 1: NY MVR Registrant Information Registrant: KELLERHALS, ERIKA A DOB: 10/1974 Address: 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 RICHMOND COUNTY For internal use only SDNY_GM_00057186 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0020010 EFTA_00 I 67754 EFTA01295851 Page 7 Original Registration Date: Registration Date: Registration Expiration Date: 2: NY MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: License Plate Type: License Plate Number: Plate State: Data Source: VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Name: Registration Information 1/30/2002 1/30/2002 1/29/2004 Vehicle Information WVWPD63842P 171962 PASSENGER CAR/LIGHT TRUCK 2002 Volkswagen Passat GLS Sedan 4 Door 3196 Plate Information Private AHG1059 NY Source Information GOVERNMENTAL Vehicle Information VVVWPD63B42P171962 PASSENGER CAR/LIGHT TRUCK 2002 Volkswagen Passat GLS Sedan 4 Door 3196 Owner Information KELLERHALS, ERIKA A DOB: 10/1974 Address: 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 RICHMOND COUNTY Lienholder Information Name: CHASE MANHATTAN BANKUSA NA Address: PO BOX 5210 NEW HYDE PARK. NY 11042-5210 NASSAU COUNTY Title Information Title Transfer Date: 3/6/2002 Title Issue Date: 3/6/2002 Source Information Data Source: GOVERNMENTAL Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree: 6. 2nd Degree 4 No. Full Name Address/Phone KELLERHALS, ENER 184 JORALEMON ST For internal use only SDNY_GM_00057i87 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0020011 EFTA_00I 67755 EFTA01295852 Page 8 No. Full Name 2. 3. 4. 5. SSN:074-72-XXXX DOB:10/1974 (Age: 41) KELLERHALS, EDWARD A • AKA RELLERMALS, EDWARD A • AKA KELLERNALS. EDW SSN:063-36-XXXX DOB:7/1944 (Age: 72) KELLERHALS. KATHLEEN M • AKA KELLERHAL, KATHLEEN M • AKA KELLERHALS, KATHLEEN • AKA KELLERHALS, K M • AKA KELLERHALS. KATHEEN • AKA KELLERBALS, KATHLEEN M • AKA KELLERHALS, KATHLEEN M SSN:063-3640(XX DOB:6/1949 (Age: 67) KELLERHALS, EDWARD DAHLING, ROBERT J SSN:133-60-XXXX DOB:4/1971 (Age: 45) Address/Phone BROOKLYN, NY 11201-4329 242 BRYANT AVE STATEN ISLAND. NY 10306.3142 (718) 667-1921 242 BRYANT AVE STATEN ISLAND, NY 10306.3142 (718) 667-1921 102 LINCOLN AVE STATEN ISLAND, NY 10306-2459 PO BOX 608 ST THOMAS. VI 00804-0608 PO BOX 6347 ST THOMAS. VI 00804-6347 9100 PORT OF SALE MALL STE 2 ST THOMAS, VI 00802-3602 242 BRYANT AVE STATEN ISLAND, NY 10306.3142 (718) 667-1921 256 BRYANT AVE STATEN ISLAND. NY 10306-3142 (718) 351-1242 184 JORALEMON ST STE 12R BROOKLYN, NY 11201-4329 187 JORALEMON ST APT 12R BROOKLYN, NY 11201-4306 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 (718) 667-1921 (718) 979-7823 196 RICE AVE STATEN ISLAND. NY 10314-3032 (718) 273-7338 413 HEBERTON AVE STATEN ISLAND, NY 10302-2125 PO BOX 61494 STATEN ISLAND, NY 10306-7494 46 BACHE AVE STATEN ISLAND, NY 10306-3010 (718) 351-1586 76 PRINCETON AVE STATEN ISLAND. NY 10306.2816 (718) 987-7331 (718) 987-7685 For internal use only SDNY_GM_00057188 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020012 EFTA_00 I 67756 EFTA01295853 Page 9 No. Full Name 5.A. DAHLING, ROBERT J SSN:080-34-XXXX DOB:11/1940 (Age: 75) 5.B. DAHLING, PATRICIA M • AKA DAHLING. P SSN:106-34-XXXX DOB:3/1943 (Age: 73) 5.C. DAHLING, MICHAEL A • AKA DAHLIG. MICHAEL SSN:133-60-XXXX DOB:6/1974 (Age: 42) 5.D MAYFIELD, JESSICA E 6. • AKA DAHLING. JESSICA A • AKA MAYFIELD, JESSIE • AKA MAYFIELD, JESSI • AKA MORRIS. JESSICA • AKA BUCCOLA, JESSIE SSN:605-09-XXXX DOB:11/1977 (Age: 38) DAHLING, MELISSA A Address/Phone 196 RICE AVE STATEN ISLAND, NY 10314-3032 (718) 273-7338 (718) 979-0174 46 BACHE AVE STATEN ISLAND, NY 10306-3010 (718) 351-1586 (718) 979-0174 76 PRINCETON AVE STATEN ISLAND, NY 10306-2816 (718) 987-7331 (718) 987-7685 196 RICE AVE STATEN ISLAND, NY 10314-3032 (718) 273-7338 359 DEMOREST AVE STATEN ISLAND. NY 10314-2161 (347) 861-0330 5 BOWEN ST APT STATEN ISLAND. NY 10304-3513 4926 E AMELIA AVE PHOENIX, AZ 85018-5523 15822 W PAPAGO ST GOODYEAR, AZ 85338-3340 1207 E SECRETARIAT DR TEMPE. AZ 85284-1611 5050 W IVANHOE ST CHANDLER, AZ 85226-1964 196 RICE AVE STATEN ISLAND, NY 10314-3032 (718) 273-7338 3516 E PICCADILLY RD PHOENIX, AZ 85018.5116 4926 E AMELIA AVE PHOENIX, AZ 85018.5523 300 W BEECH ST UNIT 1504 SAN DIEGO, CA 92101-8450 6945 E 2ND ST APT 4 SCOTTSDALE, AZ 85251-5339 (480) 994-7352 (760) 685-6573 2395 CARRIAGE CIR OCEANSIDE, CA 92056-3605 46 BACHE AVE For internal use only SDNY_GM_00057189 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0020013 EFTA_00 I 67757 EFTA01295854 Page 10 No. Full Name Address/Phone STATEN ISLAND, NY 10306-3010 • AKA KELLERHALS, MELISSA A (718) 351-1586 SSN:087-70-XXXX DOB:12/1971 (Age: 44) Business Associates - 2 records found 1: KELLERHALS FERGUSON FLETCHER KROBLIN PLLC Name: KELLERHALS, ERIKA A 46 BEACH AVE STATEN ISLAND. NY 10306-1915 242 BRYANT AVE STATEN ISLAND, NY 10306.3142 (718)667-1921 76 PRINCETON AVE STATEN ISLAND, NY 10306-2816 (718) 987-7331 (718) 987-7685 Address: 501 E KENNEDY BLVD STE 802 TAMPA. FL 33602-5201 Status: ACTIVE State: FL Corporation Number: M13000002984 Descriptive Status: ACTIVE Title: MEMBER MANAGER Record Type: CURRENT Record Date: 10/28/2013 2: KELLERHALS FERGUSON FLETCHER KROBLIN PLLC Name: KELLERHALS, ERIKA A Address: 501 E KENNEDY BLVD STE 802 TAMPA, FL 33602-5201 Status: INACTIVE State: FL Corporation Number: M13000002984 Descriptive Status: INACTIVE Title: MEMBER MANAGER Record Type: CURRENT Record Date: 8/4/2016 Filing Date: 1/6/2014 Person Associates - 7 records found No. Full Name Address SSN Phone DOB 1: BETZ, SHAUNA L 9100 PORT OF SALE 522-69-XXXX 12/1981 MALL STE 15 ST THOMAS, VI 00802- 3602 6501 RED HOOK PLZ STE 201 ST THOMAS, VI 00802- 1373 5600 ROYAL DANE MALL STE 51 ST THOMAS, VI 00802- 6410 148 W MAPLE AVE DENVER, CO 80223-1841 For internal use only SDNY_GM_00057190 CONFIDENTIAL - PURSUANT TO FED. R.ctON(FIDENTIAL DB-SDNY-0020014 EFTA_D0 I 67758 EFTA01295855 Page 11 No. Full Name Address SSN Phone DOB 1576 S JERSEY ST DENVER. CO 80224-1935 2: FERGUSON, GREG J 9100 PORT OF SALE FERGUSON. GREGORY J MALL STE 15 ST THOMAS, VI 00802- 3602 PO BOX 12259 ST THOMAS. VI 00801- 5259 PO BOX 608 ST THOMAS, VI 00804- 0608 PO BOX 6347 ST THOMAS, VI 00804- 6347 2422 W PECOS AVE MESA, AZ 85202-7821 601-42-XXXX (480) 8314166 4/1976 3: HANRATTY, THOMAS E 256 BRYANT AVE H 123-204000( (718) 667-1921 1/1928 STATEN ISLAND. NY (718) 987-5316 10306-3142 (718) 987-5316 242 BRYANT AVE STATEN ISLAND. NY 10306-3142 102 LINCOLN AVE STATEN ISLAND, NY 10306.2459 4: ROBINSON. KELLY M 9100 PORT OF SALE 134-564000K 7/1973 TRAYNOR, KELLY MALL STE 22 ST THOMAS, VI 00802- 3602 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 00802- 3602 4600 ESTATE CHARLOTTE AMALIE ST THOMAS, VI 00802- 2305 2369 KRONPRINDSENS GODE STE 8 ST THOMAS, VI 00802- 6252 3219 CONTANT STE 211 ST THOMAS, VI 00802- 6111 For internal use only SDNY_GM_00057191 CONFIDENTIAL — PURSUANT TO FED. R.QPN(FIDENTIAL DB-SONY-0020015 EFTA_OOI 67759 EFTA01295856 Page 12 No. Full Name Address SSN Phone DOB 5: TRAYNOR, CARA 9100 PORT OF SALE 052-604000K 7/1976 ROBINSON. CARA MALL STE 22 ST THOMAS. VI 00802- 3602 9100 PORT OF SALE MALL STE 15 ST THOMAS, VI 00802- 3602 4600 ESTATE CHARLOTTE AMALIE ST THOMAS. VI 00802- 2305 2369 KRONPRINDSENS GADE STE N08 ST THOMAS. VI 00802- 6252 3219 CONTANT STE 211 ST THOMAS. VI 00802- 6111 6: GEARY, BRETT A A 17724 MINE RD 580-23-XXXX (703) 221-2506 DUMFRIES. VA 22025- (703) 445-9194 2003 9100 PORT OF SALE MALL STE 15 ST THOMAS. VI 00802- 3602 9100 PORT OF SALE MALL STE 22 ST THOMAS. VI 00802- 3602 PO BOX 305259 ST THOMAS. VI 00803- 5259 15211 STREAMSIDE CT DUMFRIES. VA 22025- 3022 7: THOMAS. WILLIAM AVERY 10204 MAPLERIDGE DR 451-83-XXXX 10/1984 DALLAS, TX 75238-2257 2900 CHAUTAUQUA AVE APT 255 NORMAN. OK 73072-7715 2900 CHAUTAUQUA AVE APT 2 NORMAN, OK 73072-7723 1020W 4TH AVE APT 13 STILLWATER. OK 74074- 3337 For internal use only SDNY_GM_00057192 CONFIDENTIAL — PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0020016 EFTA_OOI 67760 EFTA01295857 Page 13 No. Full Name Address SSN Phone DOB 9100 PORT OF SALE MALL STE 15 ST THOMAS. VI 00802- 3602 Neighbors - 10 records found 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 Name Address Phone CAHILL, JAMES BRIAN 235 BRYANT AVE (718) 987-5658 CARDO. ERICA BURKE, MATTHEW J STATEN ISLAND. NY 10306-3103 235 BRYANT AVE APT 2 STATEN ISLAND. NY 10306-3103 ASSENZA, CHRISTOPHER M 241 BRYANT AVE (718) 979-2166 ASSENZA, MICHAEL P CIRIGLIANO. MICHAEL EDWARD CIRIGLIANO, SUZANNE STATEN ISLAND, NY 10306-3143 MIRO, FRANK AGUSTIN 243 BRYANT AVE (718) 979-6876 PACCIONE, PAMELA J STATEN ISLAND, NY 10306-3143 GLAZAROV, MICHELLE J 245 BRYANT AVE (718) 667-1705 LEOKUMOVICH, BORIS STATEN ISLAND, NY 10306.3143 KRUSE. ADAM M 250 BRYANT AVE (718) 351-8871 KRUSE, BRANDON G KRUSE, DONNA V KRUSE. JOHN J KRUSE. VICTORIA M STATEN ISLAND, NY 10306.3142 CUSACK, C J 251 BRYANT AVE (718)351.3510 STATEN ISLAND. NY 10306-3143 CUSACK, MARIE E 251 BRYANT AVE APT H (718) 351-3510 STATEN ISLAND. NY 10306-3143 GILLIUM, MAUREEN A 256 BRYANT AVE (718) 351-1242 MCMILLAN, ROBERT M STATEN ISLAND, NY 10306.3142 RAMIN, DENISE A 257 BRYANT AVE APT (347) 286-0615 STATEN ISLAND. NY 10306-3136 Employment Locator - 14 records found 1: Company Name: THERAPY ASSOCIATION AND DISABILITIES ADVOCATES INC Name: KELLERHALS, ERIKA A Address: PO BOX 6016 ST THOMAS, VI 00804-6016 SSN: 074-72-XXXX Confidence: High 2: Company Name: KELLERHALS FERGUSON FLETCHER KROBLIN PLLC Name: KELLERHALS. ERIKA A For internal use only SDNY_GM_00057193 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0020017 EFTA_00I67761 EFTA01295858 Page 14 Title: MEMBER MANAGER SSN: 074-7240(XX Confidence: Medium 3: Company Name: THE MAHOGANY RUN HOME OWNER'S ASSOCIATION Name: KELLERHALS. ERIKAA Title: VICE PRESIDENT AND DIRECTOR Address: 6501 RED HOOK PLZ STE 201 ST THOMAS, VI 00802-1373 SSN: 074-72-XXXX Phone: (340) 626-5890 Confidence: Medium 4: Company Name: PATIENT ASSIST VI Name: KELLERHALS. ERIKAA Address: 9100 PORT OF SALE MALL STE 15 ST THOMAS. VI 00802-3602 SSN: 074-72-XXXX Confidence: High 5: Company Name: VISF Name: KELLERHALS. ERIKA A Title: VICE PRESIDENT Address: PO BOX 1605 KINGSHILL, VI 00851-1605 SSN: 074-72-XXXX Phone: (304) 692-3310 Confidence: Medium 6: Company Name: KELLERHALS P.0 Name: KELLERHALS. ERIKAA Title: PARTNER Address: PO BOX 608 ST THOMAS, VI 00804-0608 SSN: 074-72-XXXX Phone: (340) 779-2564 Confidence: Medium 7: Company Name: THERAPY ASSOCIATION AND DISABILITIES ADVOCATES INC Name: KELLERHALS, ERIKAA Address: PO BOX 608 ST THOMAS, VI 00804-0608 SSN: 074-72-XXXX Confidence: High 8: Company Name: ERIKA A. KELLERHALS P.0 Name: KELLERHALS, ERIKA A Address: PO BOX 608 ST THOMAS, VI 00804-0608 SSN: 074-72-XXXX Phone: (340) 779-2564 Confidence: Medium 9: Company Name: ERIKA A. KELLERHALS P.0 Name: KELLERHALS. ERIKA For internal use only CONFIDENTIAL —PURSUANT TO FED. R.CON(F IDENTIAL SDNY_GM_00057194 DB-SDNY-0020018 EFTA_00 167762 EFTA01295859 Page IS Title: PRESIDENT Address: PO BOX 608 ST THOMAS, VI 00804-0608 SSN: 074-72-XXXX Phone: (340) 779.2564 Confidence: Medium 10: Company Name: MARJORIE RAWLS ROBERTS P.0 Name: KELLERHALS. ERIKAA Title: ATTORNEY Address: PO BOX 6347 ST THOMAS, VI 00804.6347 SSN: 074-7240= Phone: (340) 776.7235 Confidence: Medium 11: Company Name: ROBERTS, MARJORIE RAWLS Name: KELLERHALS. ERIKAA Title: ASSOCIATE Address: PO BOX 6347 ST THOMAS, VI 00804-6347 SSN: 074-72-XXXX Phone: (340) 776-7235 Confidence: High 12: Company Name: THE LALTJ LIMITED PARTNERSHIP Name: KELLERHALS, ERIKA MS Title: CONTACT Address: 17 STATE ST NEW YORK. NY 10004-1501 SSN: 074-72-XXXX Confidence: High 13: Company Name: ERIKA A. KELLERHALS, P.C. Name: KELLERHALS. ERIKAA Title: MEMBER SSN: 074-72-XXXX Phone: (340) 779-2564 Confidence: High 14: Company Name: MARJORIE RAWLS ROBERTS P.0 Name: KELLERHALS. ERIKAA Address: PO BOX 6347 ST THOMAS. VI 00804-6347 SSN: 074-72-XXXX Phone: (340) 776-7235 Confidence: Medium Criminal Filings - 0 records found Cellular & Alternate Phones -1 records found 1: Personal Information Name: KELLERHALS, ERIKA Address: 102 LINCOLN AVE STATEN ISLAND, NY 10306-2459 Phone Number: (340) 690-0891 Phone Type: Mobile For internal use only SDNY_GM_00057195 CONFIDENTIAL — PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0020019 EFTA_00 I 67763 EFTA01295860 Page 16 Carrier: Carrier City: Carrier State: Sources - 44 records found All Sources Corporate Affiliations Email addresses Historical Person Locator Motor Vehicle Registrations Person Locator 1 Person Locator 2 Phone PhonesPlus Records Professional Licenses Utility Locator Voter Registrations D&B: Not Required LEGAL RESULTS: Court Cases: Carrier Information NEW CINGULAR WRLS GA CHARLOTTE AMALIE (SAINT T VI 44 Source Document(s) 2 Source Document(s) 7 Source Document(s) 7 Source Document(s) 3 Source Document(s) 11 Source Document(s) 4 Source Document(s) 4 Source Document(s) 1 Source Document(s) 1 Source Documents) 3 Source Document(s) 1 Source Document(s) IN RE: JEFFREY J. PROSSER, Debtor. NORTH SHORE REAL ESTATE CORPORATION, Appellant, v. JAMES P. CARROLL, CHAPTER 7 TRUSTEE, Appellee. Chapter 7, Case No. 06-30009 (JFK), Civil No. 2010-70 United States District Court for the District of the Virgin Islands, St. Thomas & St. John Division 2012 U.S. Dist. LEXIS 93633 July 6, 2012, Filed For internal use only SDNY_GM_00057196 CONFIDENTIAL — PURSUANT TO FED. R.QQN(FIDENTIAL DB-SONY-0020020 EFTA 00167764 EFTA01295861 Page 2 2012 U.S. Dist. LEXIS 93633, * PRIOR HISTORY: Carroll v. N. Shore Real Estate Corp. (In re Prosser), 2010 Bankr. LEXIS 1566 (Bankr. D.V.I., May 26, 2010) CASE SUMMARY: OVERVIEW: Appellant filed a notice of appeal from a decision of the bankruptcy court. Appellee trustee moved to dismiss the appeal for failure to prosecute under Fed. R. Bankr. P. 8001(a). Of the six Poulis factors. five weighed in favor of dismissal and one weighed against dismissal. The court took into account the possibility that appellants counsel had some of the responsibility for its failure to follow the court's scheduling order. Nonetheless. on balance, the Poulis factors demonstrated that dismissal of the appeal was an appropriate sanction for appellant's failure to file its brief. OUTCOME: Motion to dismiss granted. CORE TERMS: summary judgment, scheduling, reconsideration, deadline, weigh, failure to prosecute, designation, discovery, failure to comply, affirming, bankruptcy proceedings, extension of time, general denials, citations omitted, genuine issue, effectiveness, reconsider, notice of appeal, failure to follow, bad faith, financial resources, deemed admitted, dilatoriness, non-moving, willful, incur, Bankruptcy Rules, matter of law, personal responsibility, clear error LexisNexis(R) Headnotes Bankruptcy Law > Practice 8. Proceedings > Appeals > Procedures [FIN11 Under Fed. R. Bankr. P. 8001(a), the district court is empowered to dismiss an appeal for failure to prosecute or otherwise follow the procedures set out in the Bankruptcy Rules. Before such a dismissal occurs, a district court must consider six factors outlined in Poulis v. State Farm Fire and Cas. Co. In Poulis, the U.S. Court of Appeals for the Third Circuit stated that a district court must balance the following factors: (1) the extent of the party's personal responsibility; (2) the prejudice to the adversary caused by the failure to meet scheduling orders and respond to discovery; (3) a history of dilatoriness; (4) whether the conduct of the party or the attorney was willful or in bad faith; (5) the effectiveness of sanctions other than dismissal, which entails an analysis of alternative sanctions; and (6) the meritoriousness of the claim or defense. Bankruptcy Law > Practice 8, Proceedings > Appeals > Procedures [HN2j An appeal from a judgment, order, or decree of a bankruptcy judge to a district court or bankruptcy appellate panel shall be taken by filing a notice of appeal with the clerk within the time allowed by Fed. R. Bankr. P. 8002. An appellant's failure to take any step other than timely filing a notice of appeal does not affect the validity of the appeal, but is ground only for such action as the district court or bankruptcy appellate panel deems appropriate. which may include dismissal of the appeal. Fed. R. Bankr. P. 8001(a) (2011). Bankruptcy Law > Practice & Proceedings > Appeals > Procedures For internal use only SDNY_GM_00057197 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020021 EFTA_00I 67765 EFTA01295862 Page 3 2012 U.S. Dist. LEXIS 93633, * [HN3] Not all of the Poulis factors need be met for a district court to find dismissal is warranted. However, courts must consider and balance all six Poulis factors before dismissing a case with prejudice, and all doubts must be resolved in favor of an adjudication on the merits. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN4] Dismissal typically occurs in cases showing consistently dilatory conduct or the complete failure to take any steps other than the mere filing of a notice of appeal. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN5] A client's lack of responsibility for its counsel's dilatory conduct is not dispositive on a motion to dismiss for failure to prosecute, because a client cannot always avoid the consequences of the acts or omissions of its counsel. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN6] Prejudice for the purpose of the Poulis factors does not mean irremediable harm. Rather, the burden imposed by impeding the opposing party's ability to prepare a meaningful litigation strategy has been held to be sufficiently prejudicial. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN7] The third Poulis factor considers the appellant's history of dilatoriness. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN8] Either of these violations-failing to comply with the Bankruptcy Rules for filing a brief within 15 days of the docketing of his appeal or providing for the transcript of the bankruptcy court proceedings —is grounds for a dismissal under Fed. R. Bankr. P. 8001. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN9]The fourth Poulis factor considers whether the conduct of the appellant or of the appellant's attorney was willful or in bad faith. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN10] The fifth Poulis factor assesses the effectiveness of sanctions other than dismissal. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN11] The sixth Poulis factor considers the meritoriousness of the appellant's claim. Ordinarily, a claim, or defense, will be deemed meritorious when the allegations of the motion, if established, would support recovery by plaintiff or would constitute a complete defense. Bankruptcy Law > Practice & Proceedings > Adversary Proceedings > Judgments & Remedies Bankruptcy Law > Practice & Proceedings > Appeals > Standards of Review > General Overview Civil Procedure > Summary Judgment > Standards > General Overview For internal use only SDNY_GM_00057198 CONFIDENTIAL — PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0020022 EFTA_00 I 67766 EFTA01295863 Page 4 2012 U.S. Dist. LEXIS 93633, * [HN12] In reviewing a determination of a bankruptcy court's grant of summary judgment, a reviewing court subjects the bankruptcy court's legal determinations to plenary review, reviewing its factual findings for clear error, and considering its exercise of discretion for abuse thereof. A bankruptcy court may grant summary judgment if the pleadings, the discovery and disclosure materials on file, and any affidavits show that there is no genuine issue as to any material fact and that the movant is entitled to judgment as a matter of law. Fed. R. Civ. P. 56(c). Civil Procedure > Summary Judgment > Burdens of Production & Proof > General Overview [HN13] The movant has the initial burden of showing that there is no genuine issue of material fact. Once the initial burden is met it shifts to the non-moving party to establish specific facts showing there is a genuine issue for trial. The non-moving party may not rest upon mere allegations, general denials, or vague statements. There is no issue for trial unless there is sufficient evidence favoring the non-moving party for a jury to return a verdict for that party. Civil Procedure > Summary Judgment > Evidence [HN14] At the summary judgment stage, the judge's function is not himself to weigh the evidence and determine the truth of the matter but to determine whether there is a genuine issue for trial. In making this determination, the court draws all reasonable inferences in favor of the non-moving party. Bankruptcy Law > Practice & Proceedings > Adversary Proceedings > Discovery Civil Procedure > Discovery > Methods > Admissions > General Overview [HN15] Fed. R. Bankr. P. 7036 provides that Fed. R. Civ. P. 36 applies in adversary bankruptcy proceedings. Civil Procedure > Discovery > Methods > Admissions > Responses [HN16] See Fed. R. Civ. P. 36(a)(3), (a)(4). Civil Procedure > Discovery > Methods > Admissions > Responses [HN17] Under Fed. R. Civ. P. 36, specific denials which fairly respond to the substance of the matter are required. Civil Procedure > Discovery> Methods > Admissions > General Overview Civil Procedure > Summary Judgment > Supporting Materials > Discovery Materials [HN18] The U.S. Court of Appeals for the Third Circuit has long recognized that deemed admissions are sufficient to support orders of summary judgment. Bankruptcy Law > Case Administration > Examiners, Officers & Trustees > Preferential Transfers > Elements > General Overview [HN19] To establish a claim for avoidance of a preferential transfer pursuant to 11 U.S.C.S. § 547, a party must establish that the transfer was: 1. to or for the benefit of a creditor; 2. for or on account of an antecedent debt owed by the debtor before such transfer was made; 3. made while the debtor was insolvent; 4. made — on or within 90 For internal use only SDNY_GM_00057199 CONFIDENTIAL — PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0020023 EFTA_00 I 67767 EFTA01295864 Page 5 2012 U.S. Dist. LEXIS 93633, * days before the date of the filing of the petition; 5. that enables such creditor to receive more than such creditor would receive if — a. the case were a case under Chapter 7 of this title; b. the transfer had not been made; and c. such creditor received payment of such debt to the extent provided by the provisions of this title. 11 U.S.C.S. § 547(b). Bankruptcy Law > Case Administration > Examiners, Officers & Trustees > Fraudulent Transfers > Elements [HN20] To establish a claim for avoidance of a fraudulent transfer pursuant to 11 U.S.C.S. § 548(a)(1)(B), a party must show that within two (2) years of the petition date, the debtor received less than a reasonably equivalent value in exchange for such transfer or obligation, and: 1. was insolvent on the date that such transfer was made or such obligation was incurred, or became insolvent as result of such transfer or obligation; 2. was engaged in business or a transaction, or was about to engage in business or a transaction, for which any property remaining with the debtor was an unreasonably small capital; 3. intended to incur, or believed that the debtor would incur, debts that would be beyond the debtors ability to pay as such debts matured; or 4. made such transfer to or for the benefit of an insider, or incurred such obligation to or for the benefit of an insider, under an employment contract and not in the ordinary course of business. Bankruptcy Law > Case Administration > Examiners, Officers & Trustees > Fraudulent Transfers > General Overview [HN21] To establish a claim for the avoidance of a fraudulent transfer pursuant to 11 U.S.C.S. § 548(a)(1)(A), a party mush show that within two years of the petition date, the debtor made such transfer or incurred such obligation with intent to hinder, delay, or defraud any entity to which the debtor was or became, on or after the date that such transfer was made or such obligation was incurred, indebted. Bankruptcy Law > Case Administration > Examiners, Officers & Trustees > Postpetition Transactions [HN22] To establish a claim for the recovery of a post-petition transfer pursuant to 11 U.S.C.S. § 549, the appropriate inquiry is: (1) whether a transfer of property occurred; (2) whether the property transferred was property of the estate; (3) whether the transfer occurred after commencement of the bankruptcy case; and (4) whether the transfer was authorized by the Bankruptcy Code. Civil Procedure > Summary Judgment > Burdens of Production & Proof > Nonmovants [HN23] See Fed. R. Civ. P. 56(e). Bankruptcy Law > Practice & Proceedings > Appeals > Standards of Review > General Overview Civil Procedure > Judgments > Relief From Judgment > Motions to Alter & Amend [HN24] A bankruptcy court's denial of an appellant's motion for reconsideration is generally reviewed for abuse of discretion. However, to the extent that the denial of reconsideration is predicated on an issue of law, such an award is reviewed de novo; to the extent that the For internal use only SDNY_GM_00057200 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020024 EFTA_001 67768 EFTA01295865 Page 6 2012 U.S. Dist. LEXIS 93633, * trial court's disposition of the reconsideration motion is based upon a factual finding, it is reviewed for clear error. Civil Procedure > Judgments > Relief From Judgment > Motions to Alter & Amend [HN25] See D.V.I., R. 7.3. Civil Procedure > Judgments > Relief From Judgment > Motions to Alter & Amend [HN26] The purpose of a motion for reconsideration is to correct manifest errors of law or fact or to present newly discovered evidence. Such motions are not substitutes for appeals, and are not to be used as a vehicle for registering disagreement with the courts initial decision, for rearguing matters already addressed by the court, or for raising arguments that could have been raised before but were not. Civil Procedure > Judgments > Relief From Judgment > Motions to Alter & Amend [HN27] A motion for reconsideration cannot be used to relitigate old matters, raise argument or present evidence that could have been raised prior to the entry of judgment. Bankruptcy Law > Practice & Proceedings > Appeals > Procedures [HN28] A claim will be deemed meritorious when the allegations, if established, would support recovery by the claimant. COUNSEL: rii Jeffrey B. C. Moorhead, Esq., Jeffrey B. C. Moorhead, P.C., St. Croix, USVI, For North Shore Real Estate Corp. Christopher A. Kroblin, Esq., Erika Kellerhals, P.C., St. Thomas, USVI, For North Shore Real Estate Corp. Bernard C. Pattie, Esq., Law Offices of Barnard Pattie, P.C., St. Croix, USVI, For James P. Carroll. Fred Stevens, Esq., Fox Rothschild LP, New York, NY, For James P. Carroll. JUDGES: GOMEZ, Chief Justice. OPINION BY: Curtis V. Gomez OPINION MEMORANDUM OPPUGN IJUly IL 2012) Before the Court is the motion by James P. Carroll to dismiss this appeal for lack of prosecution. I FACTUAL AND PROCEDURAL BACKGROUND For internal use only SDNY_GM_00057201 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020025 EFTA_00I 67769 EFTA01295866 Page 7 2012 U.S. Dist. LEXIS 93633, * On June 30, 2010, North Shore Real Estate Corporation ("North Shore") filed a notice of appeal from the May 26, 2010, judgment of the United States Bankruptcy Court for the District of the Virgin Islands (the "Bankruptcy Division"), and the June 9, 2010, order of the Bankruptcy Division denying North Shore's motion for reconsideration. On July 9, 2010, the Court entered an Order stating that: Appellant shall, not later than 10 days after the date of this Order, file and serve on the other parties the designation of record and statement of the issues to be presented, fli fading with the Appeal may be dismissed for failure to prosecute Appellant's brief shall be filed and served within 30 days of the date of this Order, or if the designated record includes a transcript, within 15 days after the transcript is Ned. whichever canes later .... (Order 1-2, July 9, 2010, ECF No. 2). North Shore did not file a designation of record nor a statement of the issues within the time provided in the July 9, 2010, order. North Shore did not file its brief within the time provided in the order. On March 9, 2011, North Shore filed a motion for leave to file an untimely designation of record, statement of issues, and brief. North Shore attached to its motion a designation of record and statement of issues. North Shore did not attach a brief. Subsequently, James P. Carroll, Chapter 7 Trustee ("Carroll"), filed a motion to dismiss this matter for lack of prosecution. North Shore did not file an opposition. On March 28, 2012, this Court entered an order stating that: . North Shore shall, not later than April 2. 2012. file and serve on James P. Carroll the designation of record and a statement of issues to be presented, failing which this appeal may be dismissed nj for failure to prosecute... North Shore's brief shaft not later than April 10. 2012. be filed and served on James P. Carroll, failing which this appeal may be dismissed for failure to prosecute... (March 28, 2012, Order 3-4, ECF No. 8). The Court found as moot the motions filed by North Shore and Carroll. North Shore did not file a designation of record nor a statement of the issues within the time provided in the March 28, 2012, order. North Shore did not file its brief within the time provided in the order. Carroll now moves again for dismissal of this appeal for lack of prosecution. North Shore has not filed an opposition. II. DISCUSSION II-IN1] "Under Rule 8001(a) of the Federal Rules of Bankruptcy Procedure, the District Court is empowered to dismiss an appeal for failure to prosecute or otherwise follow the procedures set out in the Bankruptcy Rules." In re Richardson Industrial Contractors, Inc., 189 Fed. Appx. 93, at *96 (3d Cir. 2006). Before such a dismissal occurs, however, a district court must consider six factors outlined in Poulis v. State Farm Fire and Cas. Co., For internal use only SDNY_GM_00057202 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0020026 EFTA_00I 67770 EFTA01295867 Page 8 2012 U.S. Dist. LEXIS 93633, * 747 F.2d 863, 868 (3d Cir. 1984) [hereinafter Poulis]. In Poulis, the Third Circuit stated that a district court [*4] must balance the following factors: 1) the extent of the partys personal responsibility (2) the prejudice to the adversary caused by the failure to meet scheduling orders and respond to discovery. (3)a history of dilatoriness: (4) whether the conduct of the party or the attorney was willful or in bad faith; (5) the effectiveness of sanctions other than dismissal, which ertails an analysis of alternative sanctions: and (6) the meritoriousness of the claim or defense. Id. (explaining that "dismissal is a drastic sanction and should be reserved for those cases where there is a clear record of delay or contumacious conduct by the plaintiff')(alteration in original); see also In re E Toys Inc., 263 Fed. Appx. 235, 237 (3d Cir. 2008) (affirming the district court's dismissal of a bankruptcy appeal for failure to prosecute upon consideration of the Poulis factors). 1 IFIN2j 'fin appeal from a judgment, order, or decree of a barkruptcy judge to a district court or bankruptcy appellate panel ... shall be taken by Ming a notice of appeal with the clerk within the time allowed by Rule 8002. An appellant's failure to take any step other than timely filing a nonce of appeal [•6j does not affect the validity of the appeal. but is grand only for such action as the district court a bankruptcy appellate panel deems appropriate. which may include dismissal of the appeal...." FED. R. BANKR. P. 8001(a) (2011). [HN3] "Not all of the[] Poulis factors need be met for a district court to find dismissal is warranted." Hicks v. Feeney, 850 F.2d 152, 156 (3d Cir. 1988). However, courts must consider and balance all six Poulis factors before dismissing a case with prejudice, and all doubts must be resolved in favor of an adjudication on the merits. See $8,221,877.16 in U.S. Currency, 330 F.3d 141, 161 (3d Cir. 2003) ("[W]e have always required consideration and balancing of all six of the factors, and have recommended the resolution of any doubts in favor of adjudication on the merits."); see also Bjorgung, 197 Fed. Appx. at 125-26 ("Although '[n]ot all of the Poulis factors need be satisfied in order to dismiss a complaint' they must all be considered") (quoting Mindek v. Rigatti, 964 F.2d 1369, 1373 (3d Cir. 1992)). III. ANALYSIS In In re Richardson Industrial Contractors, Inc., 189 Fed. Appx. 93 (3d Cir. 2006), the United States Court of Appeals for the Third Circuit addressed [*6] the relevant factors that a district court must consider before dismissing a bankruptcy appeal for failure to prosecute. In that case, the district court dismissed a creditors appeal with prejudice for failure to comply with the mandates of the Federal Rules of Bankruptcy Procedure. In so doing, the district court considered only two of the six Pocks factors: the creditor's bad faith in requesting a second extension of time in which to file his brief and the ineffectiveness of alternative sanctions. The creditor appealed the district court's decision. On appeal, the Third Circuit found that, in addition to not considering all six Pouts factors, the district court's discussion of two factors was limited and did not set out the basis for its conclusions in such a way to permit meaningful review of its decision. In reviewing similar cases in other circuits, the Richardson court noted that [HN4] " '[d]ismissal typically occurs in cases showing consistently dilatory conduct or the complete failure to take any steps other than the mere filing of a notice of appeal.' " Richardson, 189 For internal use only SDNY_GM_00057203 CONFIDENTIAL — PURSUANT TO FED. R.QQN(FIDENTIAL DB-SDNY-0020027 EFTA_00I6777 I EFTA01295868 Page 9 2012 U.S. Dist. LEXIS 93633, * Fed. Appx. 93, at *97 (quoting In re Beverly Mfg. Corp., 778 F.2d 666, 667 (11th Cir. 1985)); see also Nielsen v. Price, 17 F.3d 1276, 1277 (10th Cir. 1994) ['7] (upholding dismissal of bankruptcy appeal for failure to follow Bankruptcy Rules or timely file appeal brief where plaintiffs provided no explanation or excuse for noncompliance); In re Champion, 895 F.2d 490, 492 (8th Cir. 1990) (finding no abuse of discretion in dismissing appeal where appellant had not filed designation of record or statement of issues required by Bankruptcy Rule 8006); In m Tampa Chain Co., 835 F.2d 54, 56 (2d Cir. 1987) (affirming dismissal of bankruptcy appeal for failure to file a brief for seven months after the due date or provide any explanation for the failure, even after the court's inquiry into delinquency). Given that backdrop, the Court will now assess whether the Poulis factors favor or disfavor dismissal. 1. Extent of North Shore's Personal ROsponsidIrly The first Poulis factor assesses the extent of the appellant's personal responsibility. 747 F.2d at 868. North Shore has suggested that its counsel is responsible for its failure to follow the Court's scheduling order. North Shore averred that, Defendant. Chapter 7 Debtor Jeffrey J. Prosser (Case No. 06-30009), and his farndy. including Dawn Prosser. the owner of North Store. are overwrought and under NI assault with numerous and often duplicate suits replete with continuous motions and actions... (Appellant's Mem. Supp. Mot. Leave to File Untimely Resp. 2, ECF No. 4). North Shore also contended that it is "without the financial resources to employ an adequate number of counsel that have the time availability to meet the relentless and continuous assault and actions..." Id. North Shore went on to aver that it has "mounted a defense with far too small group [sic] of counsel and others which have committed what time they can and what effort they can, when possible, for little, or in most cases, for no compensation." Id. Indeed, North Shore referred generally to the commotion of the bankruptcy proceedings in explaining its failure to comply with the original scheduling order in this matter. North Shore also pointed to the limited size of its legal team and financial resources. Because it seems that North Shore's counsel was at least somewhat responsible for North Shore's failure to comply with the Court's original scheduling order, the first Poulis factor does not necessarily weigh in favor of dismissal. However, [HN5] North Shore's "lack of responsibility for [its] counsel's dilatory conduct [a 9] is not dispositive, because a client cannot always avoid the consequences of the acts or omissions of its counsel." See Poulis, 747 F.2d at 868; see also Ware v. Rodale Press, Inc., 322 F.3d 218, 222 (3d Cir. 2003)("[E]ven assuming that WCI does not bear responsibility for its counsel's conduct, consideration of the remaining factors still compels affirming the District Court's decision to sanction WCI and dismiss the breach of contract claim."); cf. Lee v. Sunrise Senior Living, 455 Fed. Appx. 199, 201-202 (3d Cir. 2011) (finding that the pro se plaintiff was "fully responsible for her conduct.") The Court also notes that North Shore has not offered any explanation for its failure to comply with the March 28, 2012, scheduling order. For internal use only SDNY_GM_00057204 CONFIDENTIAL — PURSUANT TO FED. R.cON(FIDENTIAL DB-SONY-0020028 EFTA_00 I 67772 EFTA01295869 Page 10 2012 U.S. Dist. LEXIS 93633, * 2 PrehjUdICO 10 Carroll The second Poulis factor considers prejudice to the appellee caused by the appellant's failure to meet scheduling orders and respond to discovery. 747 F.2d at 868. [HN6] Prejudice for the purpose of the Poulis factors "does not mean 'irremediable harm."' See Ware, 322 F.3d at 222; see also Curtis T. Bedwell and Sons, Inc. v. Intl Fidelity Ins. Co., 843 F.2d 683, 693-94 (3d Cir. 1988) (rejecting the argument that "the district rioi court should not have dismissed its claim ... unless the harm to the other parties amounted to 'irremediable prejudice"'). Rather, the burden imposed by impeding the opposing party's ability to prepare a meaningful litigation strategy has been held to be sufficiently prejudicial. See Ware, 322 F.3d at 222. Carroll argues that he has "incurred costs and fees of bringing the underlying adversary proceeding and opposing North Shore's late filings." (Carroll's Opp'n Mot. Leave to File Untimely Resp. 5, ECF No. 5). Carroll also argues that he "should not be made to incur the additional costs to oppose an appeal that North Shore failed to address for several months, particularly when North Shore's current default merely continues its dilatory performance in the underlying bankruptcy proceeding." Id. Additional costs and fees do not necessarily amount to prejudice. However, it is clear that North Shore's conduct has prejudiced Carroll by hampering his ability to resolve the underlying bankruptcy matter. See Lee, 455 Fed. Appx. at 201-202 (finding that the plaintiffs conduct prejudiced the defendants by "impeding their efforts to resolve [the] case, causing