EFTA01448854.pdf

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 Conatent uth the terms and toadstools of your RDC Subscriber Agreement the informaban contained n this elecument is for alert purposes only and a not to be used fee purposesof deterrninng an 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 00100.0 0 to Soto t only to employees mewing such 'Scarab:a and not to release or disclosed to any other party The Alert olermatico contained in the document rray or may not pertain ti the inelmelual a entity referenced o your Mary. Page 1 of 1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0103986 CONFIDENTIAL SDNY_GM_00250170 EFTA01448854