EFTA01299286.pdf

-prdc Person Name: Richard D Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 5/30/2018 Added to Monitoring: 05/30/2018 Date of Birth: Alert Date: Alert 5/3=018 Address: Country VIRGIN ISLANDS. U.S. Tracking ID: KYC 01946825 Reporting ID: Alerted Entity U 1 of 1 Risk Priority: Critical Alert ID: 13917575.11632114.64761053 Entity Information Entity a Riskid: R110375868 Entity Name: Richard Kahn Address: New York, UNITED STATES 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 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., 04/20/2012, New York Stock Exchange 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 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., 04/20/2012. New York Stock Exchange Disciplinary Actions Alert Notes Notes: Richard Kahn, of New York. appears on NY Stock Exchange Disciplinary Actions. Source Information RDC URL: https://grid.rdc.com/wss/entity.html7entityld 6818b2ebc904e4b5d3f3d53eb346cc4 Source Name: RiskConnect 05/30/2018 Entity URL: • http://www.nyse.comirequlationhivsearca/1219704561473.html • http:/Nnwtnyse.com/pdfs/12•ARCA•3.pdf Sources: New York Stock Exchange Disciplinary Actions, New York Stock Exchange Disciplinary Actions, htly/Neww.nyse.com/regulation/nyse/1022221394131.html Ccnsestent wth the teems and condition of yew ROC Suteater Agreement the enIccrhabcn centered in this &anent is Ice alert purposesonly an:Isnot to be used tor purposes of determining en mosques eigebelty toe any Create Shy Clue PCRA pernefetele purposes thee tomer agrees m hcid such mitemie/ and leonveillon in WOW COnfidence. not to make trim thereof pier than IOC SultaX4410 PuePOsets to relate t one tO•frfebyeei reµnng such rearnateco, and nat to re me or mime: to any cdwr party. The Alert item:don Contained el theS CICOarnent rfeyarrey not perign lo to indmidtal entely reteeenced en your equity SDNY_GM_00085129 Page"( l CONFIDENTIAL - PURSUANT TO FED. R.QQAI(f IDENTIAL DB-SDNY-0027954 EFTA_00175629 EFTA01299286