Baja Fresh Mexican Grill litigation history

The franchisor and its predecessor

Concluded (2)

• State of Maryland Determination; Case Number 2012-0073

  concluded

  Government or regulatory action · Triune, LLC (Baja Fresh franchisor until July 26, 2017; our predecessor) · filed 2012 · State of Maryland (Office of the Attorney General) · 2012-0073

  “… In February 2012, the State of Maryland alleged that during the period January 1, 2009 to November 26, 2009, Triune, LLC (“Triune”): (i) did not retain signed acknowledgements of receipt reflecting the dates that its Franchise Disclosure Document was delivered to certain Maryland residents and non-residents;”Page 32 of the 2026 FDD, Item 3

  Outcome: “pay the Office of the Attorney General the sum of $50,000 as a civil penalty; (iii) retain copies of all acknowledgments of receipt confirming dates that prospective Maryland franchisees received any Maryland Franchise Disclosure Documents;” (page 33)

• State of Virginia Determination; Case Number SEC-2012-00027

  settled

  Government or regulatory action · Triune, LLC (Baja Fresh franchisor until July 26, 2017; our predecessor) · filed 2012 · Virginia State Corporation Commission, Division of Securities and Retail Franchising · SEC-2012-00027

  “… In February 2012, the Division of Securities and Retail Franchising of the State Corporation Commission (the "Commission") alleged that during 2009 Triune, LLC (“Triune”): (i) offered or sold franchises in Virginia in 2009 that were not registered under the Virginia Retail Franchising Act (the “Virginia Act”);”Page 33 of the 2026 FDD, Item 3

  Outcome: “to pay Virginia the sum of $25,000 as a penalty and the sum of $5,000 to defray the Commission’s costs of investigation;”

Parent, affiliates, master franchisor and subfranchisor

Concluded (12)

• Pretzelsdallas1, Inc. v. Wetzel’s Pretzels, LLC

  settled

  Brought by a franchisee · Wetzel’s Pretzels, L.L.C. (affiliate) · filed 2019-09-11 · American Arbitration Association, Los Angeles, California · 01-19-0002-9326

  “… Los Angeles, California; AAA Case No.01-19- 0002-9326. On or about July 19, 2017, we entered into a franchise agreement with Pretzelsdallas1, Inc. (then known as Triple Scoops, Inc.).”Page 29 of the 2026 FDD, Item 3

  Outcome: “Respondent/Counter Claimant paid Claimant/Counter Respondent the sum of $125,000. The matter was subsequently dismissed with prejudice.”

• Desert Ribs, L.L.C., Famous Gracie, L.L.C., Famous Freddie, L.L.C., Famous George, L.L.C. and Famous Charlie, L.L.C. v. Famous Dave’s of America, Inc.

  settled

  Brought by a franchisee · Famous Dave’s of America, Inc. (affiliate) · filed 2016-03-14 · American Arbitration Association, Minneapolis, Minnesota · 01 16 0000 8549

  “… American Arbitration Association, Minneapolis, Minnesota, Case No. 01 16 0000 8549.”Page 27 of the 2026 FDD, Item 3

  Outcome: “entered into a confidential settlement agreement and mutual release (the “Settlement Agreement”), dated August 22, 2016, with Famous Dave’s. The Settlement Agreement included the following material terms: (i) the territorial rights granted to Claimants in the Franchise Agreements were modified;”

• SFF, L.L.C. v. Carmel Village Yogurt Company L.L.C.

  settled

  Brought by the franchisor · SFF, L.L.C. (successor to SweetFrog Enterprises, L.L.C.; sweetFrog brand acquired by our parent MTY USA) · filed 2016-08-29 · City of Richmond, Virginia Circuit Court · CL16-3927

  “… City of Richmond, Virginia Circuit Court; Case No. CL16-3927. On August 29, 2016, SFF, L.L.C. (“Plaintiff”) filed a lawsuit against three sweetFrog franchisee entities, Carmel Village Yogurt Company L.L.C.”Page 26 of the 2026 FDD, Item 3

  Outcome: “The case was dismissed with prejudice on December 15, 2016. Concluded Arbitration and Litigation Involving Famous Dave’s of America, Inc. Desert Ribs, L.L.C., Famous Gracie, L.L.C., Famous Freddie, L.L.C., Famous George, L.L.C. and Famous Charlie, L.L.C. v. Famous Dave’s of America, Inc., American Arbitration Association, Minneapolis, Minnesota, Case No. 01 16 0000 8549.” (page 27)

• Famous Dave’s of America, Inc. v. Allan Gantes; John Gantes; M Mart 1, LLC; Kurt Schneiter; Shoreline FD Investors, L.L.C.; SR El Centro FD , Inc. SR Long Beach FD, Inc.; SR Palmdale FD, Inc.; SR Restaurant Holdings Group, Inc.; SR Simi Valley FD, Inc.; SR Tracey FD, Inc.

  settled

  Brought by the franchisor · Famous Dave’s of America, Inc. (affiliate) · filed 2015-07-24 · Superior Court of the State of California, County of Los Angeles, Central Division · BC589329

  “Famous Dave’s of America, Inc. v. Allan Gantes; John Gantes; M Mart 1, LLC; Kurt Schneiter; Shoreline FD Investors, L.L.C.;”Page 27 of the 2026 FDD, Item 3

  Outcome: “On September 29, 2018, the parties agreed to enter into a confidential settlement agreement and a mutual release of claims (the “El Centro Settlement Agreement”), which contained the following material terms: (i) SR Defendants received $75,000 towards the payment of their attorney’s fees contingent” (page 28)

• KOHO, Inc. v. Kahala Franchising, L.L.C.

  settled

  Brought by a franchisee · Kahala Franchising, L.L.C. (affiliate) · filed 2015-02-17 · Superior Court of the State of California for the County of Los Angeles · BC572565

  “… Superior Court of the State of California for the County of Los Angeles; Case No.: BC572565.”Page 25 of the 2026 FDD, Item 3

  Outcome: “On June 19, 2017, the parties entered into a settlement agreement whereby Kahala repurchased Koho’s Area Developer territory for the sum of $75,000 and forgave the remaining damages owed in the amount of $130,000.” (page 26)

• Purav Enterprises, L.L.C., Balwant Bahia, and Paramjit Samra v. The Extreme Pita Franchising USA, Inc., EP Development, Inc., and Feisal Ramjee

  settled

  Brought by a franchisee · The Extreme Pita Franchising USA, Inc. (now MTY Franchising USA, Inc., our parent) · filed 2015-06-22 · Superior Court of the State of Washington for King County · 15-2-15120-7

  “Purav Enterprises, L.L.C., Balwant Bahia, and Paramjit Samra v. The Extreme Pita Franchising USA, Inc., EP Development, Inc., and Feisal Ramjee;”Page 25 of the 2026 FDD, Item 3

  Outcome: “The parties entered into a settlement agreement on March 11, 2016, in which Defendants paid Plaintiffs the sum of $20,000.”

• Rob & Bud’s Pizza, LLC v. Papa Murphy’s International, Inc. and Papa Murphy’s International, LLC

  settled

  Brought by a franchisee · Papa Murphy’s International, LLC (affiliate) · filed 2015-04-17 · United States District Court for the Western District of Washington · 5:15-cv-05090-TLB

  “… United States District Court for the Western District of Washington, Case No. 5:15-cv- 05090-TLB.”Page 30 of the 2026 FDD, Item 3

  Outcome: “The case was dismissed with prejudice as part of a settlement with plaintiff in this case and the LMP case under which Papa Murphy’s purchased plaintiff’s nine Papa Murphy’s stores at an agreed upon value of the stores’ assets plus $500,000.” (page 31)

• DTD Pizza LLC, Brian Watson, Alton Spears, LMP Enterprises LLC, et al. v. Papa Murphy’s International LLC, et al.; Mitch and Kristen Brink, Brink Holdings Inc., et al. v. Papa Murphy’s International LLC, et al.

  settled

  Brought by a franchisee · Papa Murphy’s International LLC (affiliate) and related entities and managers · filed 2014 · Washington Superior Court, Clark County · 14-2-00904-0; 14-2-01743-3

  “DTD Pizza LLC, Brian Watson, Alton Spears, LMP Enterprises LLC, Pizza Enterprises LLC, Alan and Denise Barnett, DOB Enterprises, Inc., Douglas and Lesia Billing, Rob & Bud's Pizza, Robert J. Dickerson Trust UA, Rob Dickerson, 4LM Enterprises, Inc., Jana and”Page 29 of the 2026 FDD, Item 3

  Outcome: “Each of the plaintiff groups entered into settlements with Papa Murphy’s in which they dismissed all of their claims against defendants with prejudice and the action was dismissed in June 2020.” (page 30)

• In the Matter of Maui Wowi Franchising, Inc., Before the Securities Commissioner of Maryland, Case No. 2007-0194

  concluded

  Government or regulatory action · Maui Wowi Franchising, Inc. (predecessor to affiliate Kahala Franchising, L.L.C.) · filed 2007-09-12 · Securities Commissioner of Maryland · 2007-0194

  “… On September 12, 2007, “MWF” entered into a Consent Order with the Maryland Commissioner resulting from MWF inadvertently entering into two”Page 32 of the 2026 FDD, Item 3

• In the Matter of Maui Wowi Franchising, Inc., Before the Securities Commissioner of Maryland, Case No. 2005-0651

  concluded

  Government or regulatory action · Maui Wowi Franchising, Inc. (predecessor to affiliate Kahala Franchising, L.L.C.) · filed 2005-11-11 · Securities Commissioner of Maryland · 2005-0651

  “… On November 11, 2005, Maui Wowi Franchising, Inc., the predecessor franchisor of the Maui Wowi brand (“MWF”), entered into a Consent Order with”Page 31 of the 2026 FDD, Item 3

• Matter with no printed caption

  judgment

  Government or regulatory action · Blimpie Associates, Ltd. (predecessor of a sister MTY brand) and Joseph Dornbush · filed 1992 · New York Department of Law

  “In May 1992, Blimpie Associates, Ltd. (“Blimpie”) and Joseph Dornbush (formerly the President of Blimpie) (collectively “Respondents”) responded to a claim by the New York Department of Law that it had sold franchises during a period of time when Blimpie’s prospectus had not been updated by amendment.”Page 31 of the 2026 FDD, Item 3

  Outcome: “to pay the sum of $18,000 to the State of New York as an additional allowance. Respondents paid the $18,000 in May 1992 and executed the consent judgment on August 25, 1992.”

• In the Matter of SweetFrog Enterprises, L.L.C. f.k.a. Imagination Enterprises, Inc., d/b/a Sweet Frog

  concluded

  Government or regulatory action · SweetFrog Enterprises, L.L.C. (predecessor of SFF, L.L.C.; sweetFrog brand now franchised by our parent MTY USA) · Securities Commissioner of Maryland · 2012-0055

  “… Administrative Proceeding Before the Securities Commissioner of Maryland, Case No. 2012-0055.”Page 31 of the 2026 FDD, Item 3

Status not stated in the filing (3)

• Kahala Franchising, L.L.C. v. Byron Washington and Bram Berg

  Brought by the franchisor · Kahala Franchising, L.L.C. (affiliate) · United States District Court for the Southern District of New York · 1:25-cv-06392

  “… United States District Court for the Southern District of New York;”Page 34 of the 2026 FDD, Item 3

• Kahala Franchising, L.L.C. v. Golden Enterprises, Inc.; DBH Associates, LP, Deseret Sales, Inc., Randy Herzog, Laurie Herzog, Amy Wilson, Rob Wilson, Clare Hunter, Deobrah Hunter

  Brought by the franchisor · Kahala Franchising, L.L.C. (affiliate) · United States District Court in and for the Eastern District of Washington · 2:25-cv-00426

  “Kahala Franchising, L.L.C. v. Golden Enterprises, Inc.; DBH Associates, LP, Deseret Sales, Inc., Randy Herzog, Laurie Herzog, Amy Wilson, Rob Wilson, Clare Hunter, Deobrah Hunter;”Page 33 of the 2026 FDD, Item 3

• Kahala Franchising, L.L.C. v. Mid Valley Foods, Inc., Candyce Dilbeck, Steve Hopkins, Gegory M. Hopkins

  Brought by the franchisor · Kahala Franchising, L.L.C. (affiliate) · United States District Court in and for the District of Arizona · 2:25-cv-04166-KML

  “… United States District Court in and for the District of Arizona;”Page 33 of the 2026 FDD, Item 3

Officers and directors (individuals, not the company)

Concluded (1)

• In re: Restaurants Acquisition I, LLC (Giuliano vs. W. Craig Barber et. al.

  settled

  Brought by a third party · W. Craig Barber and Robert Langford (described as 'our' CEO and Chief Concept Officer) · filed 2017-12-01 · United States Bankruptcy Court for the District of Delaware · 15-12406 (KG)

  “… United States Bankruptcy Court for the District of Delaware on December 2, 2015 (Case No. 15-12406 (KG)).”Page 28 of the 2026 FDD, Item 3

  Outcome: “Langford each settled with the Chapter 7 trustee by each agreeing to pay to the trustee and estate separate payments totaling $150,000 each over a three-year period.” (page 29)