This document is a financial alert from Deutsche Bank Private Bank regarding Richard D Kahn. It details a regulatory action and disciplinary event where Richard Kahn and others violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA. They are permanently barred from NYSE Arca membership unless testimony is provided within 120 days.
documents/vol00010-efta01294869-pdf.pdf
{"key_people":["Richard D Kahn"],"document_date":"2013-09-03","document_type":"financial","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"]}