EFTA01357240

rdc Entity: Richard Kahn Entity Information Entity ID: Entity Name: Address: Event: Source Information Richard Kahn NY, UNITED STATES • 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. RDC URL: https://grid.rdc.conVwssientity.html?entityld=1e4145a0738edfc25d3f3d53eb346cc4 Source Name: NY Stock Exchange Disciplinary Actions, 07/31/2012 Source URL: http:/Avww. nyse. com/regu lation/nyse/1022221394131. html Entity URL: • http://www.nyse.com/regulation/nysearca/1219704561473.html • http://www.nyse.corn/pdfs/12-ARCA-3.pdf Coeynght 0 2014 Regulatory DateCons Inc Al Itches Reserved. Document ranted on 11O42014 10 04 29 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0043665 CONFIDENTIAL SONY GM_00189849 EFTA01357240