EFTA01296234.pdf

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 6/16/2017 Alert Date: 6/16/2017
Added to Monitoring: 06/1612017
Person Name: Richard Kahn Date of Birth:
Address: Criuriiry UNITED STATES
Tracking ID: Reporting ID:
Alerted Entity #- 1 of 2 Risk Priority: Critical Alert ID:
Entity Information
Entity ID:
Riskid:
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..
0420/2012 New York 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. New York Stock. Exchange.D isciplinary Actions
Alert Notes
Notes: Richard Kahn, of New York. appears on NY Stock Exchange Disciplinary Actions.
Source Information
RDC URL: https://grid.rdc.conVwss/entilyhtml?entilyld=66818b2ebc904e4b5d3f3d53eb346cc4
Source Name: RiskConnect. 06/15/2017
Entity URL: • http/Avww.nyse.corn/regulation/nysearca/1219704561473.html
• http://www.nyse.com/pdfs/12-ARCA-3.pdf
Sources: New York Stock Exchange Disciplinary Actions. New York Stock Exchange Disciplinary Actions.
http://www.nyse.corn/regulationMyse/1022221394131.html
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IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SONY-0021240
EFTA_00 168976
EFTA01296234

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 6/16/2017 Alert Date: 6/16/2017
Added to Monkoring: 06/1612017
Person Name: Richard Kahn Date of Birth:
Address: Ciiuriiiy UNITED STATES
Tracking ID: Reporting ID:
Alerted Entity #: 2 of 2 Risk Priority: Critical Alert 10:
Entity Information
Entity ID:
Riskid:
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 620.000 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 html?entityld=6e6eb2a5d59448e75d3f3d53eb346cc4
Source Name: RiskConnect, 06/15/2017
Entity URL: https://realeofr.corn/DocumentsNiew.aspx?docGuid=5F712B04-5DC0-466E-A0C2-
17F813270705D&docFileName=0164-sr-5-11.pdf
Sources: US Florida Office of Financial Regulation Final Orders, US Florida Office of Financial Regulation Final
Orders,
https://real.flofr.com/ConsumerServices/SearchLegalDocuments/LDSearch.aspx#/searchlegalDocuments
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IDENTIAL
R.ctQN,E
CONFIDENTIAL - PURSUANT TO FED DB-SDNY-0021241
EFTA_00168977
EFTA01296235