Richard Kahn and other respondents violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA, on behalf of NYSE Arca. They are permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 calendar days from the issuance of this Decision.
doj/DataSet10/EFTA01450410.pdf
{"key_people":["Richard Kahn"],"document_date":"2012-04-20","document_type":"correspondence","key_locations":["NY, UNITED STATES"],"document_subtype":"regulatory action","key_organizations":["NYSE Arca","FINRA","Regulatory DataCorp, Inc."],"reference_numbers":["12-ARCA-3"]}