rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 8/17/2018 Alert Date: 8/17/2018 Added to Monitoring: 08/1712018 Person Name: Richard Kahn Address: UNITED STATES Tracking ID: Date of Birth: 12/06/1972 Reporting ID: Alerted Entity #: 1 of 1 Risk Priority: Critical Alert ID: Entity Information Entity ID: Riskid: 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.. 0420/2012. 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.corniwss/entity.html?entityld=66818b2ebc904e4b5d3f3d53eb346cc4 Source Name: RiskConnect. 08/16/2018 Entity URL: • http/Avww.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, http:/hvww.nyse.cornfregulationTh