EFTA01364298.pdf

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 10/12/2016 Address: Gauntly United States Tracking ID: GCIS 00000483290 Reporting ID: KYC 01651789 Alerted Entity # 1 of 4 Alert ID: 6471205.11593658.64761053 Entity Information 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. 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.com/wss/entity.html?entityld=66818b2ebc904e4b5d313d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: • http://www.nysecom/regulation/nysearca/1219704561473.html • http.//www.nysecom/pdfs/12-ARCA-3.pdf Sources: NY Stock Exchange Disciplinary Actions, NY Stock Exchange Disciplinary Actions. http://www.nyse.com/regulation/nyse/1022221394131.html Co-modest uith the terms and modems d your RDC Sutsonber Agreement the informaban contained s ths document Is for alert purposes only and not to be used la purposes of deteernntng an reclreoluafs avidly la any aerie or any other FCRA permissible purposes User further agrees to hold such matenal and intonation in totes! ccedIdence. not to matte use thereof other than la aumaged purposes to relate a only to employees rogueing such sterrohon, and not to release a disclose n to any other party The Alert Somata, contained in the cicourrent nay or my not pertain to the onclrnclual a 'May referenced et your ilquily. Page I of CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054824 CONFIDENTIAL SDNY_GM_00201008 EFTA01364298