Richard Kahn and other respondents violated NYSE Arca Equities Rule 1a2(d) by failing to provide testimony as requested by FINRA, resulting in a permanent bar from NYSE Arca membership unless testimony is provided within 120 days.
documents/vol00010-efta01294867-pdf.pdf
{"key_people":["Richard Kahn"],"document_date":"2012-04-20","document_type":"correspondence","key_locations":["New York, United States"],"document_subtype":"Regulatory Action","key_organizations":["NYSE Arca","FINRA","Regulatory DataCorp, Inc."],"reference_numbers":["12-ARCA-3"]}