EFTA01299251.pdf

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rdc
Entity: Richard Kahn
Entity Information
Entity ID: 42755808
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: https://grid.rdc.com/wssientity.html?entityld=le4145a0738edfc25d3f3d53eb346cc4
Source Name: NY Stock Exchange Disciplinary Actions, 07/31/2012
Source URL• http://wwwnyse.comiregulation/nyse/1022221394131.html
Entity URL: • http://wwwnyse.conVregulation/nysearca/1219704561473.html
• http://wwwnyse.com/pdfs/12-ARCA-3.pdf
Gary:ft 0 2013 Regulatory DoteCono Inc AN Meets Reserved Decument ranted Ca 09.33O013 to 3017 SDNY_GM_00065033
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.WFIN(F DB-SDNY-0027858
EFTA_00 I 75533
EFTA01299251