EFTA Document EFTA01400316

Subject: Fw: Compliance [I] From: Amanda Kirby < Date: Thu, 31 Oct 2013 13:50:58 -0400 To: Jacqueline Lightbody Cc: Michael Vila Janice Franklin Classification: For internal use only Phew! The Richard Kahn associated with KYC #01133377 is not the same Richard Kahn in the alert. I will attach this to the KYC and resubmit Best, Amanda Kirby (Embedded image moved to file: pic26011.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. Fax Email (Embedded image moved to file: pic16079.gif) Forwarded by Amanda Kirby/II/dbcom on 10/31/2013 01:49 PM From: Richard Kahn Cmilliiimilimilimigilisk To: Cc: Amanda Kirby/II/dbcom8DBAMERICAS, Paul Morris/M/dbcom@DBAMERICAS Date: 10/31/2013 01:47 PM Subject: Re: Compliance your statement is correct that i have not been barred from nyse in april 2012 i have been at hbrk since its formation 3 years ago and 5 previous years at EFTA01400316 nysg llc (darren entity) thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor, New York, New York 10022 tel fax cell On Oct 31, 2013, at 1:43 PM, Amanda Kirby < Classification: Public Rich, wrote: Per our conversation you are not the same Richard Kahn who was barred from the NYSE Arca in April of 2012. You have been at your company, HBRK, for 8 years and were not asked by FINRA, on behalf of NYSE Arca, to give testimony. Best, Amanda Kirby <Mail Attachment.gif> Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. Fax Email <Mail Attachment.gif> This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01400317