EFTA Document EFTA01371916

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 6/16/2017 Added to Monitoring: 06/162017 Person Name: Richard Kahn Address: Gauntly UNITED STATES Tracking ID: KYC 1791049 Alert Date: Date of Birth: Reporting ID: 6/16/2017 Alerted Entity # 1 of 2 Risk Priority: Critical Alert ID: 9480093.11602748.64761053 Entity Information Entity ID: Riskid: Entity Name: Address: Recent Event(s): Event: Alert Notes 64761053 R110375868 Richard Kahn New York, 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., 04/20/2012. New York Stock Exchange Disciplinary Actions • 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 Notes: Richard Kahn. of New York, appears on NY Stock Exchange Disciplinary Actions. Source Information RDC URL: https://grid.rdc.com/wss/entrty.html?entityld=66818b2ebc904e4b5d3f3d53eb346cc4 Source Name: RiskConnect, 06/15/2017 Entity URL: • http.//www.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.//www.nyse.corn/regulationMyse/1022221394131 html Co-modest uith the terms and cardstons d your RDC Sutoonber Agreement the rricernaban contained s ths document is for alert purposes only and not to be used la purposes of deteernrang an reclreeluafs avidly la any aerie or any other FCRA permissible purposes User further agrees to hold such national and infomvaloo in totes! ccedIdence. not to matte use thereof other than la authorged purposes to fade a only to employees revering such sterrohon, and not to release a disclose n to any other party The Alert Somata, contained in the elcourrent nay or my not pertain to the incli,dual a 'May referenced et your nquiry Page I of 2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065510 CONFIDENTIAL SDNY_GM_00211694 EFTA01371916