EFTA Document EFTA01299250

-prdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 09/03/2013 Alert Date: 09/03/2013 Person Name: Richard D Kahn Address: Country United States Tracking ID: 6710214 Date of Birth: Reporting ID: 6710214 Alen ft. 1 Alert ID: 1677299.11526362.42755808 Entity Information Entity ID: 42755808 Entity Name: Richard Kahn Address: NY, UNITED STATES 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 FINFtA, 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. Source Information RDC URL: Source Name: NY Stock Exchange Disciplinary Actions, 08/05/2013 Source URL: htbp:/hwiw.nyse.comiregulation/nyse/1022221394131.html Entity URL: . http://www.ny_se.com/regulation/nysearca/1219704561473.html • httplAawN.nyse.comtedfs/12-ARCA-3.pdf https://grid.rdc.corntwssientity.html?entityld=1e4145a0738edfc25d3f3d53eb346cc4 Ccnsestent win dY terms and °annealsor yaar ROC Subscript/ Agreement. the onlcumabon oantanea in enstlectiment is fix alert purposes only and a not lobe used for purposes of delerrnnong an incr., rivals ergDirty la any °read or any other FORA permensble purposes Use, further copes to held such Sense end resSorrinton in niche, cCallata. not to make use thereof Other then fee enthalted purposes to rotate t Onry to employees requtnrg such irrormaton and not to wean or ncione 'rd any onwr pony. Thp Alert inlermaton oontaned n tha dowerent may or may not pertain to me indeldual entry releremed in your nquiry SDNY_Glit_00065032 Page I or CONFIDENTIAL - PURSUANT TO FED R QMIDENTIAL DB-SDNY-0027857 EFTA_00175532 EFTA01299250