Entity: Richard Kahn
Entity Information
Entity ID:
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.com/wss/entity.html?-
entityld=1e4145a0738edfc25d3f3d53eb346cc4
Source Name: NY Stock Exchange Disciplinary Actions, 07/31/2012
Source URL: http://www.nyse.com/regulation/nyse/1022221394131.html
Entity URL: http://www.nyse.com/regulation/nysearca/1219704561473.html•
• http://www.nyse.com/pdfs/12-ARCA-3.pdf
Copyright 0 2013 Regulatory DataCorp, Inc. All Rights Reserved. Document
generated on 09/03/2013 16:30:47
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