EFTA Document EFTA01358451

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 09/03/2013 Alert Date: 09/03/2013 Person Name: Richard D Kahn Address: Count:-: United States Tracking ID: 6710214 Date of Birth: Reporting ID: 12/06/1972 6710214 Alert #: 1 Alert ID: 1677299.11526362.42755808 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://g rid. rdc.conVwss/entity. html?entity Id =1e4145a 0738edfc25d3f3d 53eb346cc4 NY Stock Exchange Disciplinary Actions, 08/05/2013 http:/Mww.nyse.conVregulation/nyse/1022221394131. html • http//www.nyse.corntregulation/nysearca/1219704561473.html • http.//www.nyse.com/pdfs/12-ARCA-3.pdf Conatent lath the terms and to of your RDC Subscriber Agreement the informabsn contained m this decument is for alert purposes only and a not to be used for purposesof deterrninng an relreduals elogibldy 101 any aedt or any other FCRA permrseble purposes User lather agrees to hold such material and inkertabon m settee, confidence not to make use thereof tenet man 101 00.111100200 00100.00 to Soto t only to employees mewing sad. trdarnahen. and not to release or disci:Getty any other party The Alert ntermatien contained in Iles document rray or may not pertain ti the salmi:hal a entity referenced et your rooky. Page 1 of 1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046193 CONFIDENTIAL SDNY_GM_00192377 EFTA01358451