EFTA Document EFTA01357239

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 11/13/2014 Person Name: Richard Kahn Address: Count United States Tracking ID: Gcis 00000486407 I Alert Date: Date of Birth: Reporting ID: 11/13/2014 Alert #: 1 Alert ID: 2592436.11563606.42755808 Entity Information Entity ID: Entity Name: Address: Event: Source Information 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 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. RDC URL: Source Name: Source URL: Entity URL: https://wid.rdc.conVwss/entity.html?entityld=1e4145a0738edfc25d3f3d53eb346cc4 NY Stock Exchange Disciplinary Actions, 11/06/2014 http://www. nyse. co mireg ulation/nyse/1022221394131. html • http://www.nysecom/regulation/nysearcat1219704561473.html • http://www.nyse.com/pdfs/12-ARCA-3.pdf Co-modest %eh the ten and modems d you RDC Subsarber Agreement, the irdoernaban contained n ths docurnent is for alert purposes only and not to be used la purposes of deteernrang an rrelwoluafs ebgbely la any areal or any other FCRA permissible purposes User further agrees to hold such mistral and infomvittoo in totes! ccoldence. not to matte use thereof other than la authorged purposes to relate a only to employees revering such trdarrohoo, and not to release a disclosed to any other party The Alert Somata, contained in the document nay or my not pertain to te oncli,dual a 'Key referenced et your Elquily. Perla I CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043664 CONFIDENTIAL SDNY_GM_00189848 EFTA01357239