Rich Kahn [I (Amanda Kirby, 31 Oct 2013)

Subject: Rich Kahn [I] From: Amanda Kirby < Date: Thu, 31 Oct 2013 11:22:16 -0400 To: Paul Morris Classification: For internal use only 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 ca