EFTA Document EFTA01448854

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 09/03/2013 Alert Date: 09/03/2013 Person Name: Richard D Kahn Address: Count:-: United States Tracking ID: 6710214 Date of Birth: Reporting ID: 6710214 Alert #: 1 Alert ID: 1677299.11526362.42755808 Entity Information Entity ID: Entity Name: Address: Event: Source Information 42755808 Richard Kahn NY, UNITED STATES REG - Regulatory Action ACT - Disciplinary, Regulatory Action 04/20/2012, Decision Number 12-ARCA-3 Respondents including Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA, on behalf of NYSE Arca. Respondents are permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 calendar days from the issuance of this Decision in accordance with the terms of this decision. RDC URL: Source Name: Source URL: Entity URL: https://g rid. rdc.conVwss/entity. html?entity Id =1e4145a 0738edfc25d3f3d 53eb346cc4 NY Stock Exchange Disciplinary Actions, 08/05/2013 httplAww.nyse.conVregulation/nyse/1022221394131. html • http//www.nyse.corntregulation/nysearca/1219704561473.html • http.//www.nyse.com/pdfs/12-ARCA-3.pdf Conatent uth the terms and toadstools of your RDC Subscriber Agreement the informaban contained n this elecument is for alert purposes only and a not to be used fee purposesof deterrninng an reckeduals ehgaildy101 any aedt or any other FCRA permeable purposes User lather agrees to hold such material and inkirtabon in settee, confidence not to make use thereof ether Van 101 00.111100200 00100.00 to Soto t only to employees mewing such 'Scarab:a and not to release or disclosed to any other party The Alert olermatico contained in the document rray or may not pertain ti the inelmelual a entity referenced o your Mary. Page 1 of 1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL SDNY_GM_00250170 DB-SDNY-0103986 EFTA01448854