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 permanently barred from NYSE Arca membership for failing to provide testimony as requested by FINFtA.
Metadata
- Subject
- Alert regarding Richard D Kahn
- Sender
- Deutsche Bank Private Bank
- Recipients
- —
- Document ID
- 1677299.11526362.42755808
- Date
- 09/03/2013
Illegal Activity
- Severity
- suspicious
- Description
- Richard Kahn failed to provide testimony as requested by FINFtA, on behalf of NYSE Arca, leading to a regulatory action.
- Categories
- Regulatory Violation
- Content Type
- first_hand
Evidence:
- Failure to provide testimony as requested by FINFtA, on behalf of NYSE Arca.
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 FINFtA, 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 FINFtA, 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 ArcaFINFtANY Stock Exchange
Locations 2
United StatesNY, UNITED STATES
Text Analysis
- Tone
- Informative
- Purpose
- To alert about a regulatory action against Richard Kahn.
- Significance
- The document highlights a disciplinary action against Richard Kahn by the NY Stock Exchange for failing to provide testimony.
File Info
- File Name
- EFTA01299250.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:11.792325
- DOJ Source
- View on DOJ