An internal communication regarding a false positive alert for Richard D. Kahn. After further review, it was determined that the alert was incorrect as Mr. Kahn is not the same individual as the alerted party. The alert involved a Richard Kahn associated with PennMont Securities, which was banned from NYSE Arca due to deficiencies. The email chain attached to the KYC supports this conclusion.
documents/vol00010-efta01360337-pdf.pdf
{"key_people":["Richard D. Kahn","Michael Vila","Amanda Kirby","Jacqueline Ughtbody","Janice Franklin"],"document_date":"2013-11-01","document_type":"correspondence","key_locations":["Jacksonville, USA"],"key_organizations":["Deutsche Bank Securities Inc.","HBRK Associates Inc.","PennMont Securities","NASDAQ OMX PHLX","NYSE Arca"],"reference_numbers":["DB-SDNY-0048611","SDNY_GM_00194795","EFTA01360337"]}