Regulatory alert regarding Richard Kahn's disciplinary action by NYSE Arca for failing to provide testimony as requested by FINRA. Richard Kahn is permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 days from the decision date.
doj/DataSet10/EFTA01400245.pdf
{"key_people":["Richard Kahn"],"document_date":"2014-11-13","document_type":"correspondence","key_locations":["NY, United States"],"document_subtype":"regulatory alert","key_organizations":["Deutsche Bank Private Bank","NYSE Arca","FINRA","NY Stock Exchange"],"reference_numbers":["12-ARCA-3","EFTA01400245"]}