EFTA Document EFTA01465610

Subject: Re: Compliance From: Richard Kahn cc > Date: Thu, 31 Oct 2013 13:47:30 -0400 To: Amanda Kirby. ). Cc: Paul Morris your statement is correct that i have not been barred from nyse in april 2012i have been at hbrk since its formation 3 years ago and 5 previous years at nysg llc (darren entity) thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor, New York, New York 10022te1 212-971-1306 fax cell On Oct 31, 2013, at 1:43 PM, Amanda Kirby .c ). 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 Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. EFTA01465610 Fax • Email <Mail Attachment.gif> This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01465611