EFTA01296234

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 Address: Criuriiry UNITED STATES Tracking ID: Date of Birth: 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. Disciplinary 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 Consastent wth the terms and condo:asof your ROC Subsoil:at Cataract. the rnIcanabcci contaned in this document is lc( Pert purposes only and is net to be used to, purposesof detranntro an in0 duef6 eirgibilira any anal 0, any aba FCRA RemsSebeiS thellosos Use, further' Oar...Oa now sum material and inkmaatga -n ginger Orintidenal na in make use maw( Olne' man *or atmetama purposes, to relate t only to employees requiting cud, inforrnatal and red to release or thickset to any other parry Tre AIM sularnetion cow:Anne n :n2 dcognont may Cr may not pecan to me incluigual a entity referenced in your nosey SDNY_GM_00058416 rin e I Ci 2 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021240 EFTA_00 168976 EFTA01296234 rdc DB12000P - Deutsche Bank Private Bank Batch Date: 6/16/2017 Added to Monkoring: 06/1612017 Alert Date: Alert 6/16/2017 Person Name: Richard Kahn Address: Ciiuriiiy UNITED STATES Tracking ID: Date of Birth: 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 pay an administrative fine of $20,000 with the submission of this Stipulation 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 pay an administrative fine of 620.000 with the submission of this Stipulation 06/21/2011. US Florida Office of Financial Regulation Final Orders Alert Notes Orders. Richard J. Kahn shall and Consent Agreement Orders. Richard J. Kahn shall and Consent Agreement 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 Cs:meter., MT the lanes and condescend your ROC Subic:ter Apreemet the edam:then contaned in this document is la stat purposes only 3.-4 is not tote used to: purposes of deaf mn,re an ondequar6 engOiRy to( any al* I Or any WIN FORA pemvSSINS pury:0606 USel further Ogren to MOW SuCh material ante intamaten N SaCteat COnhOteCe. net to make uSe thereat Oltier than ter aothatiecl surge** to relate t oNy to ittyckyyises requiring such informaton and rot to release or declose 2 to any other party Trenton intormanco contaned n me claurnalt may a may not Wan to the tndsidual a entity teleran:2d in your ivory SDNY_GM_00058417 Rape 2 Ci 2 CONFIDENTIAL - PURSUANT TO FED R.ctQN,EIDENTIAL DB-SDNY-0021241 EFTA_00168977 EFTA01296235