EFTA01357111

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 10/12/2016 Alert Date: 10/12/2016 Added to Monitoring: 10/1212016 Person Name: Richard Kahn Address: Gauntly United States Tracking ID: GCIS Date of Birth: Reporting ID: KYC 01651789 Alerted Entity ft 1 of 4 Alert ID: 6471205.11593658.64761053 Entity Information Entity ID: Riskid: R110375868 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., 04/20/2012. NY 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, NY 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.comfwss/entity.html?entityld=66818b2ebc904e4b5d313d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: • http://www.nyse.com/regulation/nysearca/1219704561473.htn9 • http.//www.nysecom/pdfs/12-ARCA-3.pdf Sources: NY Stock Exchange Disciplinary Actions, NY Stock Exchange Disciplinary Actions, http://www.nyse.com/regulation/nyse/1022221394131.html Co-ostent uith the terms and natation, d your RDC Sutsonber Agreement the informaban contained Si ths document rs for alert purposes only and not to be used la purposes of deterrnntng an eclweluafs avidly la any treat or any arse FCRA permissible purposes User further agrees to hold such mistral and infomvithco in sects! oonh,dence. not to matte use thereof other than la authaved purposes to Safe a Only to employees reposing such tralarrohco, and not to release a disclose n to any other party The Alert Somata, contained n the elcourrent nay or my not pertain to the onerodual a 'May referenced Si your ilquily. Page I ol CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043439 CONFIDENTIAL SDNY_GM_00189623 EFTA01357111