rdc
Person Name: Richard D Kahn
DB12000P - Deutsche Bank Private Bank
Batch Date: 09/03/2013
Date of Birth:
Alert Date:
Alert
09/03/2013
Address: Count:-: United States
Tracking ID: 6710214 Reporting ID: 6710214
Alert #: 1 Alert ID: 1677299.11526362.42755808
Entity Information
Entity ID: 42755808
Entity Name: Richard Kahn
Address: NY, UNITED STATES
Event: 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.
Source Information
RDC URL: https://grid.rdc.conVwss/entity.html?entityId=1e4145a 0738edfc25d3f3d 53eb346cc4
Source Name: NY Stock Exchange Disciplinary Actions, 08/05/2013
Source URL: httplAww.nyse.conVregulation/nyse/1022221394131. html
Entity URL: • http//www.nyse.corntregulation/nysearca/1219704561473.html
• http.//www.nyse.com/pdfs/12-ARCA-3.pdf
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reckeduals ehgaildy101 any aedt or any other FCRA permeable purposes User lather agrees to hold such material and inkirtabon in settee, confidence not to make use thereof ether Van 101 00.111100200
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a entity referenced o your Mary. Page 1 of 1
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