This document is an alert from Deutsche Bank Private Bank regarding Richard Kahn, who is flagged for regulatory and disciplinary actions. The alert highlights a critical risk priority due to Kahn's failure to provide testimony as requested by FINRA, resulting in a permanent bar from NYSE Arca membership unless conditions are met.
documents/vol00010-efta01371321-pdf.pdf
{"title":"Deutsche Bank Private Bank Alert for Richard Kahn","key_people":["Richard Kahn"],"document_date":"2017-06-16","document_type":"financial","key_locations":["New York, UNITED STATES"],"document_subtype":"alert","key_organizations":["Deutsche Bank Private Bank","NYSE Arca","FINRA","New York Stock Exchange"],"reference_numbers":["KYC 1791049","Alert ID: 9480093.11602748.64761053","Entity ID: 64761053","Riskid: R110375868","Decision Number: 12-ARCA-3"]}