EFTA Document EFTA01375513

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 5/30/2018 Added to Monitoring: 05/30/2018 Alert Date: 5/30/2018 Person Name: Richard D Kahn Address: County VIRGIN ISLANDS. U.S. Tracking ID: KYC 01946825 Date of Birth: 12/06/1972 Reporting ID: Alerted Entity # 1 of 1 Risk Priority: Critical Alert ID: Entity Information Entity ID: Riskid: Entity Name: Address: Recent Event(s): Event: Alert Notes 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: Source Name: Entity URL: Sources: https://grid.rdc.com/wss/entity.html?entityld=66818b2ebc904e4b5d313d53eb346cc4 RiskConnect, 05/30/2018 • http7/www.nyse.com/regulation/nysearca/1219704561473.html • http //www.nyse com/pdfs/12-ARCA-3.pdf New York Stock Exchange Disciplinary Actions, New York Stock Exchange Disciplinary Actions, http.//www.nyse.coriVregulation/nyse/1022221394131 html Co-modest uith the terms and modems d your RDC Sutsonber Agreement the informaban contained n ths dcournent is for alert purposes only and not to be used la purposes of deteernntng an reolreeluafs avidly la any aerie or any other FCRA permissible purposes User further agrees to hold such malaise and information in totes! ccedIdence. not to matte use thereof other than la aumaged purposes to relate a only to employees rogueing such sterrohen, and not to release a disclose n to any other party The Alert Somata, contained in the cicourrent nay or my not pertain to the pm:twelve] a 'May referenced et your ilquily. Page I of I CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0071016 CONFIDENTIAL SDNY_GM_00217200 EFTA01375513