EFTA01299210.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: . . United States
Tracking ID: Reporting ID:
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
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.
Source Information
RDC URL:
Source Name: NY Stock Exchange Disciplinary Actions. 08/05/2013
Source URL:
Entity URL:
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EFTA_00 175424
EFTA01299210