EFTA01463914.pdf

DB12000P - Deutsche Bank Private Bank 09/03/2013 Batch Date: Person Name: Richard D Kahn Address: Tracking ID: 6710214 Alert #: 1 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/wss/entity.html?- entityld=1e4145a0738edfc25d3f3d53eb346cc4 Source Name: NY Stock Exchange Disciplinary Actions, 08/05/2013 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 Country:United States Reporting ID: 6710214 Alert ID: 1677299.11526362.42755808 Alert Alert Date: Date of Birth: 09/03/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 1 of 1 EFTA01463914