EFTA Document EFTA01298590

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 8/17/2018 Alert Date: 8/17/2018 Added to Monitoring: 08/1712018 Person Name: Richard Kahn Address: UNITED STATES Tracking ID: Date of Birth: 12/06/1972 Reporting ID: Alerted Entity #: 1 of 1 Risk Priority: Critical Alert ID: 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.. 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.corniwss/entity.html?entityld=66818b2ebc904e4b5d3f3d53eb346cc4 Source Name: RiskConnect. 08/16/2018 Entity URL: • http/Avww.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:/hvww.nyse.cornfregulationThyse/1022221394131.html Consotent PM the teems and condocnsol year ROC Sul:saber Apreemert. the rloenobcn oantaned in this &camel is b start purposes only and is not to be used for purposesof deternntrd an ondsduafs erpitrilly tot any mei of any one FCRA peronstale purposes User twiner woes to hold such maternal and informaten P Pretest confidence net to mase use thereof me. man 'or knives." purposes, to televisor* to employees 'equines, such reform:Pon and rot to release or drsciase 2 to any other pony T re Alen peanuts contanna n :64 decurront fray a may not per an to ma indispuai a entely reterersd in your tKpAry SDNY_GM_00063481 rin e I el 1 CONFIDENTIAL - PURSUANT TO FED. R.QQN(E IDENTIAL DB-SDNY-0026306 EFTA_OOI 73989 EFTA01298590