Illegal Activity
suspicious
Blackmail
none
Date
2017-06-16
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is an alert from Deutsche Bank Private Bank regarding Richard Kahn and RICHARD JEFFREY KAHN, highlighting regulatory actions against them by NYSE Arca and the Florida Office of Financial Regulation. These actions include violations of rules, failure to provide testimony, and administrative fines.
Metadata
- Subject
- Alert
- Sender
- —
- Recipients
- —
- Document ID
- DB12000P
- Date
- 2017-06-16
Illegal Activity
- Severity
- suspicious
- Description
- The document details regulatory actions against Richard Kahn and Richard Jeffrey Kahn, including violations of NYSE Arca rules and fines from the Florida Office of Financial Regulation. This suggests potential compliance issues and regulatory scrutiny.
- Categories
- Regulatory Violations
- Content Type
- first_hand
Evidence:
- Violation of NYSE Arca Equities Rule 10.2(d)
- Failure to provide testimony as requested by FINRA
- Administrative fine of $20,000 by Florida Office of Financial Regulation
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Richard Kahn | Regulatory Action | NYSE Arca | Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA. |
| RICHARD JEFFREY KAHN | Regulatory Action | Florida Office of Financial Regulation | Richard J. Kahn appears on the Florida Office of Financial Regulation list of Final Orders and shall pay an administrative fine of $20,000. |
Notable Quotes 2
Respondents including Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA.
Richard J. Kahn shall pay an administrative fine of $20,000 with the submission of this Stipulation and Consent Agreement
Red Flags 1
- Regulatory actions against Richard Kahn and RICHARD JEFFREY KAHN
Financial Information
Amounts:20000 USD
Transactions:
- Administrative fine of $20,000 to Florida Office of Financial Regulation
Public Knowledge
- Context
- Information about regulatory actions is often publicly available.
Legal Compliance
- Violation of NYSE Arca Equities Rule 10.2(d)
- Failure to provide testimony as requested by FINRA
- Administrative fine of $20,000 by Florida Office of Financial Regulation
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flowCompliance/regulatory issues
People 2
Organizations 6
Deutsche Bank Private BankNYSE ArcaFINRANew York Stock ExchangeFlorida Office of Financial RegulationRiskConnect
Locations 3
UNITED STATESNew YorkFlorida
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative, factual
- Purpose
- To provide an alert regarding Richard Kahn and RICHARD JEFFREY KAHN due to regulatory actions.
- Significance
- The document highlights regulatory actions against Richard Kahn and RICHARD JEFFREY KAHN, including being barred from NYSE Arca membership and being fined by the Florida Office of Financial Regulation.
File Info
- File Name
- EFTA01296234.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:50.436382
- DOJ Source
- View on DOJ