EFTA01295991.pdf

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 10/12/2016 Alert Date: 10/12/2016
Added to Monitoring: 10/122016
Person Name: Richard Kahn Date of Birth:
Address: Ciiuht iy United States
Tracking ID: GCIS 00000483290 Reporting ID: KYC 01651789
Alerted Entity it 1 of 4 Alert ID:
Entity Information
Entity ID:
Riskid: R110375868
Entity Name: Richard Kahn
Address: New York, UNITED STATES
Recent Event(s): • REG - Regulatory Action / ACT - Disciplinary. Regulatory Action. 04/20/2012
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..
04/20/2012. NY Stock Exchange Disciplinary Actions
Event: • REG - Regulatory Action / ACT - Disciplinary. Regulatory Action, 04/20/2012
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.,
04/20/2012. NY. Stock Exchange Disciplinary. Actions
Alert Notes
Notes: Richard Kahn, of New York, appears on NY Stock Exchange Disciplinary Actions.
Source Information
RDC URL: https://grid.rdc.conVwss/entity.html?entityld=66818b2ebc904e4b5d3f3d53eb346cc4
Source Name: RiskConnect. 10/11/2016
Entity URL: • http://Www.nyse.corrilregulation/nysearca/1219704561473.html
• http://www.nyse.com/pdfs/12-ARCA-3.pdf
Sources: NY Stock Exchange Disciplinary Actions. NY Stock Exchange Disciplinary Actions.
http://www.nyse.corn/regulation/nyse/1022221394131.html
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IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QPN(E DB-SDNY-0020150
EFTA_00 I 67894
EFTA01295991

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 10/12/2016 Alert Date: 10/12/2016
Added to Monitoring: 10/1212016
Person Name: Richard Kahn Date of Birth:
Address: Ct;untiy United States
Tracking ID: GCIS 00000483290 Reporting ID: KYC 01651789
Alerted Entity if: 2 of 4 Alert ID: 6471205.11593658.61546436
Entity Information
Entity ID: 61546436
Riskid: R19372476
Entity Name: RICHARD JEFFREY KAHN
Address: Florida, UNITED STATES
Recent Event(s): • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011
This entity appears on the Florida Office of Financial Regulation list of Final Orders. Richard J. Kahn shall
pay an administrative fine of $20,000 with the submission of this Stipulation and Consent Agreement
06/21/2011. US Florida Office of Financial Regulation Final Orders
Event: • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011
This entity appears on the Florida Office of Financial Regulation list of Final Orders. Richard J. Kahn shall
pay an administrative fine of $20.000 with the submission of this Stipulation and Consent Agreement
06/21/2011. US Florida Office of Financial Regulation Final Orders
Alert Notes
Notes: Richard Jeffrey Kahn, of Florida, appears on Florida Office of Financial Regulation list of Final Orders.
Source Information
RDC URL: https://gAd.rdc.com/wss/entity htmPentityld=6e6eb2a5d59448e7503f3d53eb346cc4
Source Name: RiskConnect, 10/11/2016
Entity URL: https://real.flofrcom/DocumentsNiew.aspx?docGuid=5F712604-5DC0-466E-A0C2-
17F8827070508docFileName=0154-sr-5-11.pdf
Sources: US Florida Office of Financial Regulation Final Orders, US Florida Office of Financial Regulation Final
Orders,
https://real.flolr.com/ConsumerServices/SearchLegalDocuments/LDSearch.asprit/searchlegalDocuments
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IDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R.QQN(E DB-SONY-0020151
EFTA_00 I 67895
EFTA01295992

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 10/12/2016 Alert Date: 10/12/201e
Added to Monitoring: 10/12/2016
Person Name: Richard Kahn Date of Birth:
Address: C5iur:t iy United States
Tracking ID: GCIS 00000483290 Reporting ID: KYC 01651789
Alerted Entity if: 3 of 4 Alert ID: 6471205.11593658.75766498
Entity Information
Entity ID: 75766498
Riskid: R112038707
Entity Name: Richard Leroy Kann
Alias: • RICHARD L KAHN
• RICK KANN
Address: GOLDEN. Colorado. 80401, UNITED STATES
Recent Event(s): • SEX - Sex Offenses (Rape. Sodomy. Sexual Abuse. Pedophilia) / CVT - Convict, Conviction. 03/11/2013
SEXUAL EXPLOITATION/CHILD/ROSS MATERIAL, 03/112013, Colorado - Sex Offenders
Event: • SEX - Sex Offenses (Rape, Sodomy, Sexual Abuse, Pedophilia)/ CVT - Convict, Conviction. 03/11/2013
SEXUAL EXPLOITATION/CHILD/ROSS MATERIAL, 03/112013, Colorado - Sex Offenders
Date Of Birth: 8/14/1961
Eye Color: Brown
Hair Color: Brown
Height: 5'08"
Race: White
Scars or Marks: Missing Finger joint(s) - left hand
Sex: Male
Weight: 2201b
Image:
Alert Notes
Notes: Richard Leroy Kann aka RICHARD L KAHN. DOB: 8/14/1961. of GOLDEN, Colorado, appears on the list of
Colorado - Sex Offenders
Source Information
RDC URL: https://grid.rdc.com/wss/entity.html?entityld=7acdlce3aa8ec1f35d3f3d53eb346cc4
Source Name: RiskConnect, 10/11/2016
Entity URL: hitps://www.colorado.gov/apps/cdps/sor/search/search-detailisf?id=XX12445274
Sources: Colorado - Sex Offenders, Colorado - Sex Offenders, http://sor stateco.ushndex.cfmnORroffender.list
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IDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R.QQN(F DB-SONY-0020152
EFTA_00 167896
EFTA01295993

DB12000P - Deutsche Bank Private Bank Alert
r
Batch Date: 10/12/2016 Alert Date: 10/12/2016
Added to Monitoring: 10/12/2016
Person Name: Richard Kahn Date of Birth:
Address: Countpi United States
Tracking ID: GCIS 00000483290 Reporting ID: KYC 01651789
Alerted Entity it. 4 of 4 Alert ID: 6471205.11593658.44883229
Entity Information
Entity ID: 44883229
Riskid: R1989168
Entity Name: Richard L Kahn
Address: Havana, UNITED STATES
Recent Event(s): • DTF - Trafficking or Distribution of Drugs /VVTD - Wanted, 07/13/2001
wanted on a charge of calculated criminal drug conspiracy , 07/1312001, Peoria Journal Star
Event: • DTF - Trafficking or Distribution of Drugs I WTD - Wanted, 07/13/2001
wanted on a charge of calculated criminal drug conspiracy , 07/13/2001, Peoria Journal Star
Date Of Birth: 1962
Alert Notes
Notes: Richard L. Kahn, 1962, of Havana, Illinois, was wanted on a charge of calculated criminal drug conspiracy.
Source Information
RDC URL: https And rdc corniwss/entdy.html?entityld=fed61c75d73e92525d3f3d53eb346cc4
Source Name: RiskConnect, 10/11/2016
Sources: Peoria Journal Star, MEDIA Article.United States,Headline:Police, fire and courts,
http.//global factiva.com/en/du/anicle asp/NAPC=S&AccessionNo=prjs000020010719dx7d000pq
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IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QPN(F DB-SDNY-0020153
EFTA_00167897
EFTA01295994