EFTA01298590.pdf

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 8/17/2018 Alert Date: 8/17/2018
Added to Monitoring: 08/1712018
Person Name: Richard Kahn Date of Birth: 12/06/1972
Address: UNITED STATES
Tracking ID: Reporting ID:
Alerted Entity #: 1 of 1 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.E xchange.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.corniwss/entity.html?entityld=66818b2ebc904e4b5d3f3d53eb346cc4
Source Name: RiskConnect. 08/16/2018
Entity URL: • http/Avww.nyse.com/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:/hvww.nyse.cornfregulationThyse/1022221394131.html
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EFTA_OOI 73989
EFTA01298590