EFTA01299210.pdf

rdc Person Name: Richard D Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 09/03/2013 Date of Birth: Alert Date: Alert 09/03/2013 Address: . . United States Tracking ID: Reporting ID: Alert #. 1 Alert ID: 1677299.11526362.42755808 Entity Information Entity ID: 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: Source Name: NY Stock Exchange Disciplinary Actions. 08/05/2013 Source URL: Entity URL: Cognate...I we, the teems and conOticasol Iran ROC Sub:label Agreemet the infccmabcn centered n this dearest is Ice Yet purposes only ar4 is not lobe used to' adipose, of deternintro an oneadquatselotaity Ip any [add or any0Na FCRA penhosible mopes. osat What agrees to hold such enatenal and teorrraton in str retest ardHence. not to make use theeeot othei than to, eathonzeo automats to relate t orgy to efroloyetts requiting such inforrrabco, and rot to rasa or dectse rt to any on. party The AIM intonnatm contaned fl mes doagnont may a may rice wan t° the inci,octuai or entity referenced in you( rKpAry SDNY_GM_00064924 P.Pe Ci I CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027749 EFTA_00175424 EFTA01299210