Case Filesd-10-EFTA01294867Dept. of JusticeEFTA Document EFTA01294867
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Case File
sd-10-EFTA01294867Dept. of JusticeEFTA Document EFTA01294867
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rdc Entity: Richard Kahn Entity Information Entity ID: Entity Name: Address: Event: Source Information 42755808 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 1a2(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 sc
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Dept. of Justice
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sd-10-EFTA01294867
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