EFTA Document EFTA01357665

— Forwarded by Amanda Kirby on 10/3112013 01:49 PM — Front Richard Kahn To: Amanda Kirb Cc: Paul Mord Date: 10/31/2013 01 Subject: Re: Compliance your statement is correct that i have not been barred from nyse in april 2012 i have been at hbrk since its formation 3 years ago and 5 previous years at nysg lie (darren entity) thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor, New York, New York 10022 On Oct 31, 2013, at 1:43 PM, Amanda Kirby wrote: Classification: Public Rich, Per our conversation you are not the same Richard Kahn who was barred from the NYSE Arca in April of 2012. You have been at your company, HBRK, for 8 years and were not asked by FINRA, on behalf of NYSE Arca, to give testimony. Best, Amanda Kirby <Mail Attachment.gif> Amanda Kirby Associate Deutsche Bark Trust Company Americas 345 Park Avenue. 27th Fl New York NY US 10154-0004 <Mail Attachment.gif> This communication may contain confidential and/or privileged information. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0044338 CONFIDENTIAL SDNY_GM_00190522 EFTA01357665