EFTA01361292.pdf

rdc Person Name: Richard D Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 09/03/2013 Alert Date: Date of Birth: 12/06/1972 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 0738edfc25d3f3d53eb346cc4 Source Name: NY Stock Exchange Disciplinary Actions, 08/05/2013 Source URL: http:/Mww.nyse.conVregulation/nyse/1022221394131. html Entity URL: • http//www.nyse.corntregulation/nysearca/1219704561473.html • http.//www.nyse.com/pdfs/12-ARCA-3.pdf Conatent lath the terms and to of your RDC Subscriber Agreement the informabsn contained m this clecument is for alert purposes only and a not to be used for purposesof deterrninng an relreduals elogibldy 101 any aedt or any other FCRA permrseble purposes User lather agrees to hold such material and inkertabon m settee, confidence not to make use thereof tenet man 101 00.111100200 00100.0 0 to Soto t only to employees mewing sad. trdarnahen. and not to release or disci:Getty any other party The Alert ntermatien contained in Iles document rray or may not pertain ti the salmi:hal a entity referenced et your rooky. Page 1 of 1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050415 CONFIDENTIAL SDNY_GM_00196599 EFTA01361292