EFTA01297328Set 10
2017-07-2154p10,587w
IDENTIAL DB-SDNY-0023218
EFTA_00I 70932
EFTA01297360
Page 2
SANCTN
CASE NUMBER: 12-ARCA-3
JURISDICTION: NYSE Arca, Inc.
SOURCE: NYSE Arca, Inc. Administrative Document(s)
DATE: 4/20/2012
Atlee ... Securities LLP
Action: Permanent Debarment
Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC
determined that the following sanctions are reasonable and appropriate in light ... findings: each of the remaining 19 Respondents will be permanently barred from NYSE
Arca membership unless they provide OTR testimony no later than 120 calendar days
from the date
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01297328.pdf
EFTA01299286Set 10
2018-05-301p381w
Recent Event(s): • 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 ... 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 ... Disciplinary Actions
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01299286.pdf
EFTA01357111Set 10
2016-10-121p383w
Recent Event(s): • 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 ... 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 ... Disciplinary Actions
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01357111.pdf
EFTA01421784Set 10
2018-05-302p381w
Recent Event(s): 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 ... 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 ... Disciplinary Actions
•
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01421784.pdf
EFTA01364298Set 10
2016-10-121p385w
Recent Event(s): • 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 ... 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 ... Disciplinary Actions
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01364298.pdf
EFTA01409221Set 10
2016-10-128p1,294w
Recent Event(s): 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 ... 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 ... Disciplinary Actions
•
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01409221.pdf
EFTA01375514Set 10
2018-05-301p393w
Recent Event(s): • 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 ... 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 ... Disciplinary Actions
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01375514.pdf
EFTA01371321Set 10
2017-06-161p396w
Recent Event(s): • 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 ... 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 ... Disciplinary Actions
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01371321.pdf
EFTA01371916Set 10
2017-06-161p397w
Recent Event(s): • 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 ... 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 ... Disciplinary Actions
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01371916.pdf
EFTA01375513Set 10
2018-05-301p395w
Recent Event(s): • 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 ... 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 ... Disciplinary Actions
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01375513.pdf
EFTA01416829Set 10
2017-06-164p721w
Recent Event(s): 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 ... 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 ... Disciplinary Actions
•
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01416829.pdf
EFTA01421786Set 10
2018-05-302p380w
Recent Event(s): 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 ... 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 ... Disciplinary Actions
•
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01421786.pdf
EFTA01465606Set 10
2013-10-311p132w
Morris
Classification: For internal use only
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 ... 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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01465606.pdf