EFTA01299251.pdf

rdc Entity: Richard Kahn 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.com/wssientity.html?entityld=le4145a0738edfc25d3f3d53eb346cc4 Source Name: NY Stock Exchange Disciplinary Actions, 07/31/2012 Source URL• http://wwwnyse.comiregulation/nyse/1022221394131.html Entity URL: • http://wwwnyse.conVregulation/nysearca/1219704561473.html • http://wwwnyse.com/pdfs/12-ARCA-3.pdf Gary:ft 0 2013 Regulatory DoteCono Inc AN Meets Reserved Decument ranted Ca 09.33O013 to 3017 SDNY_GM_00065033 CONFIDENTIAL - PURSUANT TO FED. R.WFIN(F IDENTIAL DB-SDNY-0027858 EFTA_00I 75533 EFTA01299251