This document is an alert from Deutsche Bank Private Bank regarding Richard D Kahn. It includes information about a regulatory action and disciplinary decision involving Richard Kahn, who violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA. The respondents, including Richard Kahn, are permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 calendar days from the issuance of the decision.
doj/DataSet10/EFTA01448854.pdf
{"title":"Deutsche Bank Private Bank Alert","key_people":["Richard D Kahn"],"document_date":"2013-09-03","document_type":"financial","key_locations":["United States","NY, UNITED STATES"],"document_subtype":"Alert","key_organizations":["Deutsche Bank Private Bank","NYSE Arca","FINRA"],"reference_numbers":["6710214","1677299.11526362.42755808","12-ARCA-3"]}