EFTA01299207.txt Text dataset_10 View on DOJ

Illegal Activity

suspicious

Blackmail

none

Date

13/11/2014

Document Type

report

Model

gemini-2.0-flash-001

Processed

2026-02-07T18:43

Summary

This document is a World Check report detailing information about Richard Kahn, a limited partner with PennMont Securities. It highlights that Kahn was found to be in violation of NYSE Arca Equities Rule for failing to provide testimony to FINRA and was potentially facing a permanent bar from NYSE Arca membership.

Metadata

Subject: World Check Details
Sender: —
Recipients: —
Document ID: A141120234116
Date: 13/11/2014

Illegal Activity

Severity: suspicious
Description: Richard Kahn's failure to provide testimony to FINRA raises concerns about potential obstruction or concealment of information.
Content Type: first_hand

Evidence:

Violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA.

Relationships 1

Entity 1	Relationship	Entity 2	Description
Richard Kahn	employment	PENNMONT SECURITIES	Limited partner with PennMont Securities.

Notable Quotes 3

Limited partner with PennMont Securities.

Jan 2O12 - found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA.

Apr 2O12 -to be permanently barred from NYSE Arca membership unless testimony is provided within requred time frame.

Red Flags 1

Regulatory violations by Richard Kahn

Public Knowledge

Context: Regulatory actions against financial professionals are often of interest to the media.
Media Worthy: Yes

Legal Compliance

Richard Kahn was found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA.
Richard Kahn to be permanently barred from NYSE Arca membership unless testimony is provided within required time frame.

Raw Analysis JSON click to expand

Themes

Financial transactions/money flowLegal matters/litigationBusiness dealings

People 19

Richard Kahn Keke KAHN David MILLER Virginia ATLEE Joann DELPIZZO MILLER William JOHNSTON George SNYDER Judith BUSCH Elizabeth ATLEE CARAPICO Cealia CORAZA Elaine ENGLISH James ENGLISH CORAZA George REEF Amy BECCONE Mary CORAZA Anthony MONTALBANO Arland FRIEND Judith FRIEND Constance ATLEE JOHNSTON

Organizations 8

NorkomWorld CheckCustomer_NCA_webPENNMONT SECURITIESWorld Check AssociationFINRANYSE ArcaBusiness Conduct Committee

Locations 2

United StatesUSA

Financial Entities 1

PENNMONT SECURITIES

Text Analysis

Tone: Informative
Purpose: To provide details about Richard Kahn from the World Check database.
Significance: The document highlights potential regulatory issues involving Richard Kahn and his association with PennMont Securities.

File Info

File Name: EFTA01299207.txt
Dataset: dataset_10
Type: Text
Model: gemini-2.0-flash-001
Processed: 2026-02-07T18:43:20.960773
DOJ Source: View on DOJ