EFTA Document EFTA01294869

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 09/03/2013 Alert Date: 09/03/2013 Person Name: Richard D Kahn Date of Birth: Address: ;mint iy United States Tracking ID: 6710214 Reporting ID: 6710214 Alert #. 1 Entity Information Alert ID: 1677299.11526362.42755808 Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action ACT - Disciplinary. Regulatory Action 0420/2012, Decision Number 12-ARCA-3 -- Respondents including Richa