EFTA01416829.pdf

DB12000P - Deutsche Bank Private Bank 6/16/2017 Batch Date: Added to Monitoring: 06/16/2017 Person Name: Richard Kahn Address: Date of Birth: 12/06/1972 Country:UNITED STATES Tracking ID: KYC 1791049 Alerted Entity #: 1 of 2 Entity Information Risk Priority: Critical Entity ID: 64761053 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.html?- entityld=66818b2ebc904e4b5d3f3d53eb346cc4 Source Name: RiskConnect, 06/15/2017 Entity URL: http://www.nyse.com/regulation/nysearca/1219704561473.html• • http://www.nyse.com/pdfs/12-ARCA-3.pdf Sources: New York Stock Exchange Disciplinary Actions, New York Stock Exchange Disciplinary Actions, EFTA01416829 http://www.nyse.com/regulation/nyse/1022221394131.html Reporting ID: Alert ID: 9480093.11602748.64761053 Alert Alert Date: 6/16/2017 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 individual's 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 2 EFTA01416830 DB12000P - Deutsche Bank Private Bank 6/16/2017 Batch Date: Added to Monitoring: 06/16/2017 Person Name: Richard Kahn Address: Date of Birth: 12/06/1972 Country:UNITED STATES Tracking ID: KYC 1791049 Alerted Entity #: 2 of 2 Entity Information Risk Priority: Critical 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://grid.rdc.com/wss/entity.html?- entityld=6e6eb2a5d59448e75d3f3d53eb346cc4 Source Name: RiskConnect, 06/15/2017 Entity URL: https://real.flofr.com/Documents/View.aspx?- docGuid=5F712604-5DC0-466E-A0C217F882707D5D&docFileName=0154-sr-5-11.pdf Sources: US Florida Office of Financial Regulation Final Orders, US Florida Office of Financial Regulation Final Orders, https://real.flofr.com/ConsumerServices/SearchLegalDocuments/LDSearch.aspx#/- searchLegalDocuments Reporting ID: Alert ID: 9480093.11602748.61546436 Alert Alert Date: 6/16/2017 EFTA01416831 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 individual's 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 2 of 2 EFTA01416832