Regulatory action alert for Richard D Kahn regarding a disciplinary action by NYSE Arca for failing to provide testimony as requested by FINRA. Richard Kahn is permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 days from the decision date.
documents/vol00010-efta01463914-pdf.pdf
{"key_people":["Richard D Kahn"],"document_date":"2013-09-03","document_type":"correspondence","key_locations":["NY, United States"],"document_subtype":"regulatory action alert","key_organizations":["Deutsche Bank Private Bank","NYSE Arca","FINRA","NY Stock Exchange"],"reference_numbers":["6710214","12-ARCA-3","1677299.11526362.42755808"]}