EFTA01294869.pdf

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 09/03/2013 Alert Date: 09/03/2013
Person Name: Richard D Kahn Date of Birth:
Address: ;mint iy United States
Tracking ID: 6710214 Reporting ID: 6710214
Alert #. 1 Alert ID: 1677299.11526362.42755808
Entity Information
Entity ID:
Entity Name: Richard Kahn
Address: NY, UNITED STATES
Event: REG - Regulatory Action
ACT - Disciplinary. Regulatory Action
0420/2012, Decision Number 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca
Equities Rule 10.2(d) by failing to provide testimony as requested by-FINRA, on behalf of NYSE Arca.
Respondents are permanently barred from NYSE Arca membership unless testimony is scheduled and
provided within 120 calendar days from the issuance of this Decision in accordance with the terms of this
decision.
Source Information
RDC URL: htips://gr id. rdc.corn/wss/entrty. html?entityld=1e4145a0738edfc25d3f3d53eb346cc4
Source Name: NY Stock Exchange Disciplinary Actions, 08/05/2013
Source URL: http:Mvww.nyse.corn/regulabordnyse/1022221394131. html
Entity URL: • http/Nervw.nyse.comfregulation/nysearca/1219704561473.html
• http: /Notvw.n yse. com /pd fs/12-ARCA-3.pdf
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EFTA_00I 64077
EFTA01294869