An alert regarding Richard D Kahn, indicating a regulatory action and disciplinary event related to NYSE Arca Equities Rule 10.2(d) violation. Richard Kahn and other respondents are permanently barred from NYSE Arca membership unless testimony is provided within 120 days.
documents/vol00010-efta01361292-pdf.pdf
{"title":"Deutsche Bank Private Bank Alert","key_people":["Richard D Kahn"],"document_date":"2013-09-03","document_type":"correspondence","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"]}