Illegal Activity
suspicious
Blackmail
none
Date
2018-08-17
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is an alert from Deutsche Bank Private Bank regarding Richard Kahn, noting a regulatory action against him by the New York Stock Exchange and NYSE Arca for failing to provide testimony. He is permanently barred from NYSE Arca membership unless he provides testimony within 120 days.
Metadata
- Subject
- Deutsche Bank Private Bank Alert - Richard Kahn
- Sender
- —
- Recipients
- —
- Document ID
- DB12000P
- Date
- 2018-08-17
Illegal Activity
- Severity
- suspicious
- Description
- Richard Kahn's failure to provide testimony as requested by FINRA and NYSE Arca constitutes a violation of regulatory rules.
- Content Type
- first_hand
Evidence:
- Violation of NYSE Arca Equities Rule 10.2(d)
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Richard Kahn | Regulatory Action | FINRA | Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA. |
| 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 on behalf of NYSE Arca. |
Notable Quotes 2
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..
Red Flags 1
- Regulatory action against Richard Kahn.
Public Knowledge
- Context
- Regulatory actions by the NYSE are often public record.
Legal Compliance
- Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by 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 calendar days from the issuance of this Decision.
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationCompliance issues
People 1
Organizations 4
Deutsche Bank Private BankFINRANYSE ArcaNew York Stock Exchange
Locations 2
UNITED STATESNew York
Text Analysis
- Tone
- Informative
- Purpose
- To alert Deutsche Bank Private Bank to a regulatory action against Richard Kahn.
- Significance
- The document highlights a disciplinary action against Richard Kahn by the New York Stock Exchange and NYSE Arca, potentially posing a compliance risk.
File Info
- File Name
- EFTA01298590.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:55.641060
- DOJ Source
- View on DOJ