EFTA01294869

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: ;mint iy United States Tracking ID: 6710214 Reporting ID: 6710214 Alert #. 1 Entity Information Alert ID: 1677299.11526362.42755808 Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action ACT - Disciplinary. Regulatory Action 0420/2012, 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: Source URL: Entity URL: htips://g rid. rdc.corn/wss/entrty. html?entityld=1e4145a0738edfc25d3f3d53eb346cc4 NY Stock Exchange Disciplinary Actions, 08/05/2013 http:Mvww.nyse.corn/regulabordnyse/1022221394131. html • http/Nervw.nyse.comfregulation/nysearca/1219704561473.html • http: /Notvw. nyse. co m/pd fs/12-ARCA-3.pdf Censatent we. the terms and tandoori; ol yew ROC Subsetbar Agreement the intecrrobon contend m this document is for alert purposes only ar4 is not lobe used fed outpostsof delermntro an inelsguatseloblity SY any credit of any *Mot FCRA pennoslble purposes User Niter agrees to hold Such fontanel and enamor on in strictest confidence. not to mate use thereof other MG, to' avthonzeo ;organ to relate tonly to employees requiting such intontaben, and rot to rekoase or declass rt to any other parry Tr* Alen sntormanon cortaned n this do:ument nay or may not porta n to me inciroduai ar eredy tele rented in yOtil inquiry SDNY_GMfiele€511V CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-00 16320 EFTA_00I 64077 EFTA01294869