DS9 Document EFTA01255362

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 7/20/2017 Alert Date: 7/20/2017 Added to Monitoring: 07/20/2017 Person Name: Richard Kahn Address: ,„ UNITED STATES Tracking ID: Date of Birth: Reporting ID: Alerted Entity 1 of 1 Entity Information Risk Priority: Critical Alert ID: 9613879.11605421.64761053 Entity ID: 64761053 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.. 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.com/wss/entity.html?entityld=66818b2ebc904e4b5d3f3d53eb346cc4 Source Name: RiskConnect. 07/19/2017 Entity URL: • http/Avww.nyse.contegulation/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.cornIregulationThyse/1022221394131.html Consistent wift the teems and condocets ol yo.n ROC Subsoil:et Apreemert the .rfccrrobon contaned in this dearest is lit alert purposes only and is nee to be used lo, Nip:mosof dote rrsntrd an PhOVritzert . 020 MY &X any ate! or arty MN. FORA ROmsSAbee OsePaSes In.' turthor *Plea* hold soca matenal and infonriabon n grttert confidence nct to make use OW txtt otne• Man 'Or where." purposes, to relate e only to employees 'among SuthIcharnetrah ache hat to WOOL Or disclose 2 to any Other pony T re Alert snformanon con:Anne n :Oh OCarnent May or may nIX paten to the incoortuai or entely relererwed n your eXpAry SDNY_GM_00060416 Fin e I af 1 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023240 EFTA_00I70954 EFTA01255362