Illegal Activity
suspicious
Blackmail
none
Date
09/03/2013
Document Type
Alert
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is an alert from Deutsche Bank Private Bank regarding a regulatory action against Richard Kahn. He was barred from NYSE Arca membership for failing to provide testimony to FINRA on behalf of NYSE Arca.
Metadata
- Subject
- Alert
- Sender
- Deutsche Bank Private Bank
- Recipients
- —
- Document ID
- 1677299.11526362.42755808
- Date
- 09/03/2013
Illegal Activity
- Severity
- suspicious
- Description
- The document describes a regulatory action against Richard Kahn, which could potentially indicate illegal activity, but further context is needed.
- Content Type
- first_hand
Relationships 1
| 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, 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
- Permanent bar from NYSE Arca membership unless testimony is provided.
Public Knowledge
- Context
- Regulatory actions are often public record.
Legal Compliance
- Violation of NYSE Arca Equities Rule 10.2(d)
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flow
People 2
Organizations 4
Deutsche Bank Private BankNYSE ArcaFINRANY Stock Exchange
Locations 2
United StatesNY, UNITED STATES
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative
- Purpose
- To provide an alert regarding a regulatory action against Richard Kahn.
- Significance
- The document details a disciplinary action against Richard Kahn by the NY Stock Exchange for failing to provide testimony as requested by FINRA on behalf of NYSE Arca.
File Info
- File Name
- EFTA01299210.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:28.487283
- DOJ Source
- View on DOJ