EFTA01295991.pdf

rdc Person Name: Richard Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 10/12/2016 Added to Monitoring: 10/122016 Date of Birth: Alert Date: Alert 10/12/2016 Address: Ciiuht iy United States Tracking ID: GCIS 00000483290 Reporting ID: KYC 01651789 Alerted Entity it 1 of 4 Alert ID: Entity Information Entity ID: 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. NY 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. NY. 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.conVwss/entity.html?entityld=66818b2ebc904e4b5d3f3d53eb346cc4 Source Name: RiskConnect. 10/11/2016 Entity URL: • http://Www.nyse.corrilregulation/nysearca/1219704561473.html • http://www.nyse.com/pdfs/12-ARCA-3.pdf Sources: NY Stock Exchange Disciplinary Actions. NY Stock Exchange Disciplinary Actions. http://www.nyse.corn/regulation/nyse/1022221394131.html Ccosatent wt. the terms and concaocns of yon ROC Sutoatet Agreernet the mIcarobon contaned m this document is lot aliert purposesonly an:l is not lo be used Ice moose, ol deternintro an ondsguars &Valhi tor any mot of any other FCRA petenssINe purposes User further wen to hold such matenal and intoonabon n ketone conhOence. not to make use thereof one, than •or at.rhorael purposes, to relate [only to orroloyees tespanng SuthiciaarMaterl and rot to release or dechosert to any wee parry Tro Alen MMOTatiC0 contaned n this document May a may na pone n to no inePodttal a entity referenced in vow natary SDNY_GM_Olier16 1 CONFIDENTIAL - PURSUANT TO FED. R.QPN(E IDENTIAL DB-SDNY-0020150 EFTA_00I 67894 EFTA01295991  rdc Person Name: Richard Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 10/12/2016 Added to Monitoring: 10/1212016 Date of Birth: Alert Date: Alert 10/12/2016 Address: Ct;untiy United States Tracking ID: GCIS 00000483290 Reporting ID: KYC 01651789 Alerted Entity if: 2 of 4 Alert ID: 6471205.11593658.61546436 Entity Information Entity ID: 61546436 Riskid: R19372476 Entity Name: RICHARD JEFFREY KAHN Address: Florida, UNITED STATES Recent Event(s): • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 This entity appears on the Florida Office of Financial Regulation list of Final Orders. Richard J. Kahn shall pay an administrative fine of $20,000 with the submission of this Stipulation and Consent Agreement 06/21/2011. US Florida Office of Financial Regulation Final Orders Event: • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 This entity appears on the Florida Office of Financial Regulation list of Final Orders. Richard J. Kahn shall pay an administrative fine of $20.000 with the submission of this Stipulation and Consent Agreement 06/21/2011. US Florida Office of Financial Regulation Final Orders Alert Notes Notes: Richard Jeffrey Kahn, of Florida, appears on Florida Office of Financial Regulation list of Final Orders. Source Information RDC URL: https://gAd.rdc.com/wss/entity htmPentityld=6e6eb2a5d59448e7503f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: https://real.flofrcom/DocumentsNiew.aspx?docGuid=5F712604-5DC0-466E-A0C2- 17F8827070508docFileName=0154-sr-5-11.pdf Sources: US Florida Office of Financial Regulation Final Orders, US Florida Office of Financial Regulation Final Orders, https://real.flolr.com/ConsumerServices/SearchLegalDocuments/LDSearch.asprit/searchlegalDocuments Ccosatent MT the teem and malacca ol ycat ROC Sub:tater Apreenwet the etfccmotion contaned m this document is la alert purposes only are is na to be used fa Nippersof deteanntrd an onetstadds alittely fix any cleat of any oMer FORA pernstabto purposes 116ei twiner agrees to had such nektons, and intamatton n matey contidence net to make us. mew( cheep• man br whot eel purposes, to relate cooly to enpkayees requang such intormaton. and rd to release or dacha* R to any Caaat pany TM Med snaannit)00 COrtined n this clOtiOnfant May a may na pagan to no inchoduai a entity reterented in you( many SDNY_GM_Olittrt, CONFIDENTIAL — PURSUANT TO FED. R.QQN(E IDENTIAL DB-SONY-0020151 EFTA_00I 67895 EFTA01295992  rdc Person Name: Richard Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 10/12/2016 Added to Monitoring: 10/12/2016 Date of Birth: Alert Date: Alert 10/12/201e Address: C5iur:t iy United States Tracking ID: GCIS 00000483290 Reporting ID: KYC 01651789 Alerted Entity if: 3 of 4 Alert ID: 6471205.11593658.75766498 Entity Information Entity ID: 75766498 Riskid: R112038707 Entity Name: Richard Leroy Kann Alias: • RICHARD L KAHN • RICK KANN Address: GOLDEN. Colorado. 80401, UNITED STATES Recent Event(s): • SEX - Sex Offenses (Rape. Sodomy. Sexual Abuse. Pedophilia) / CVT - Convict, Conviction. 03/11/2013 SEXUAL EXPLOITATION/CHILD/ROSS MATERIAL, 03/112013, Colorado - Sex Offenders Event: • SEX - Sex Offenses (Rape, Sodomy, Sexual Abuse, Pedophilia)/ CVT - Convict, Conviction. 03/11/2013 SEXUAL EXPLOITATION/CHILD/ROSS MATERIAL, 03/112013, Colorado - Sex Offenders Date Of Birth: 8/14/1961 Eye Color: Brown Hair Color: Brown Height: 5'08" Race: White Scars or Marks: Missing Finger joint(s) - left hand Sex: Male Weight: 2201b Image: Alert Notes Notes: Richard Leroy Kann aka RICHARD L KAHN. DOB: 8/14/1961. of GOLDEN, Colorado, appears on the list of Colorado - Sex Offenders Source Information RDC URL: https://grid.rdc.com/wss/entity.html?entityld=7acdlce3aa8ec1f35d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: hitps://www.colorado.gov/apps/cdps/sor/search/search-detailisf?id=XX12445274 Sources: Colorado - Sex Offenders, Colorado - Sex Offenders, http://sor stateco.ushndex.cfmnORroffender.list Ccosstent war the terms and con:cons of yam ROC Subscrber Agnomert the ,trnston contaned nSus dozacintnIcn aka purposes only ar4 is not lobe used for palaces of deteanntrc an incarduars &awfully tot any ate, ot any ante FCRA pamirsabbe purposes User fats agrees to had such matenal and inhymanon in cramt <cadence na to make tat...Marc, mar man 'or atimagel purposes, to relate t only to employees requiting such informaton. and rd 10 0010410 Or Malmo it to any Other pony Tr* Aka inlormatron corned sl CICCuMfara May a May not perta n to no llama...al a entity referenced in your many SDNY_GM_Odtrin%Yel CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0020152 EFTA_00167896 EFTA01295993  DB12000P - Deutsche Bank Private Bank Alert r Batch Date: 10/12/2016 Added to Monitoring: 10/12/2016 Alert Date: 10/12/2016 Person Name: Richard Kahn Date of Birth: Address: Countpi United States Tracking ID: GCIS 00000483290 Reporting ID: KYC 01651789 Alerted Entity it. 4 of 4 Alert ID: 6471205.11593658.44883229 Entity Information Entity ID: 44883229 Riskid: R1989168 Entity Name: Richard L Kahn Address: Havana, UNITED STATES Recent Event(s): • DTF - Trafficking or Distribution of Drugs /VVTD - Wanted, 07/13/2001 wanted on a charge of calculated criminal drug conspiracy, 07/1312001, Peoria Journal Star Event: • DTF - Trafficking or Distribution of Drugs I WTD - Wanted, 07/13/2001 wanted on a charge of calculated criminal drug conspiracy, 07/13/2001, Peoria Journal Star Date Of Birth: 1962 Alert Notes Notes: Richard L. Kahn, 1962, of Havana, Illinois, was wanted on a charge of calculated criminal drug conspiracy. Source Information RDC URL: https And rdc corniwss/entdy.html?entityld=fed61c75d73e92525d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Sources: Peoria Journal Star, MEDIA Article.United States,Headline:Police, fire and courts, http.//global factiva.com/en/du/anicle asp/NAPC=S&AccessionNo=prjs000020010719dx7d000pq Ccosastent we, the terms and conatreets of year ROC Subsaber Agteemat. the rnfccmaton oantanee in this document is Ice sat purposesonly are is not lobe used for potatoes ol determinmg an in0jdt t6 arrarbrItYta any ate , Or any FCRA nemaSabetr arrnaras Ael lora agrea to how such material and information rer Meant Cenntltnee not to make use thereof ws Men lot SterOCICEI purposes, to relate t only to mokayees requong soon informataa and rot to release or thickset 10 any other parry Tr* AIM intormanta contaned n to tiodurnant rray a may nec portonto me encloiclual a entity relererced ar your rotary SDNY_Ght0atterati l CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0020153 EFTA_00167897 EFTA01295994