EFTA01357671.pdf

rdc Entity: Richard Kahn 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: https://grid.rdc.conVwssientity.html?entityld=1e4145a0738edfc25d3f3d53eb346cc4 Source Name: NY Stock Exchange Disciplinary Actions, 07/31/2012 Source URL: httplAvveivnyse.com/regulation/nyse/1022221394131.html Entity URL: • http://www.nyse.com/regulation/nysearca/1219704561473.html • littp://www.nyse.corn/pdfs/12-ARCA-3.pdf Cepyrght O 2014 Regulatory DataCorp, Inc All Rigets Reserved Downer', generated on 11t14:2014 10 04.39 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0044348 CONFIDENTIAL SDNY_GM_00190532 EFTA01357671