EFTA Document EFTA01375514

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 5/30/2018 Added to Monitoring: 05/30/2018 Person Name: Richard D Kahn Address: Couril;y UNITED STATES Tracking ID: KY. Alert Date: Date of Birth: Reporting ID: 5/30/2018 Alerted Entity # 1 of 1 Risk Priority: Critical Alert ID: 13917575.11632113.64761053 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., 04/20/2012. 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 - ROC URL: https://gridsdc.comrwss/entrty.html?entityld=66818b2ebc904e4b5d313d53eb346cc4 Source Name: RiskConnect, 05/30/2018 Entity URL: • http7/www.nyse.com/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.coriVregulation/nyse/1022221394131 html Co-modest uith the terms and modems d your RDC Sutsonber Agreement the informaban contained s ths dcournent is for alert purposes only and not to be used la purposes of deteernntng an reclreeluafs avidly la any aerie or any other FCRA permissible purposes User further agrees to hold such malaise and information in totes! ccedIdence. not to matte use thereof other than la aumaged purposes to relate a only to employees rogueing such sterrohen, and not to release a disclose n to any other party The Alert Somata, contained in the cicourrent nay or my not pertain to the pm:twelve] a 'May referenced et your ilquily. Page I of I CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0071017 CONFIDENTIAL SDNY_GM_00217201 EFTA01375514