Illegal Activity
suspicious
Blackmail
none
Date
2018-05-30
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 Richard D Kahn, highlighting his disciplinary actions by the New York Stock Exchange and NYSE Arca for failing to provide testimony. He was permanently barred from NYSE Arca membership unless testimony was provided within 120 days.
Metadata
- Subject
- Alert
- Sender
- Deutsche Bank Private Bank
- Recipients
- —
- Document ID
- 13917575.11632114.64761053
- Date
- 2018-05-30
Illegal Activity
- Severity
- suspicious
- Description
- The document references regulatory actions and disciplinary measures taken against Richard Kahn by the New York Stock Exchange and NYSE Arca, indicating potential past misconduct.
- Content Type
- court_document
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Richard Kahn | Legal | 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. |
| Richard Kahn | Legal | New York Stock Exchange | Richard Kahn is mentioned in New York Stock Exchange Disciplinary Actions. |
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 financial institutions are often of public interest.
- Media Worthy
- Yes
Legal Compliance
- Regulatory Action / Disciplinary Action against Richard Kahn
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flowAllegations/complaints
People 2
Organizations 4
Deutsche Bank Private BankFINRANYSE ArcaNew York Stock Exchange
Locations 3
VIRGIN ISLANDS. U.S.New York, UNITED STATESNew York
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative
- Purpose
- To alert about Richard D Kahn and his regulatory actions.
- Significance
- The document highlights Richard Kahn's disciplinary actions by the New York Stock Exchange and NYSE Arca.
File Info
- File Name
- EFTA01299286.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:03.782668
- DOJ Source
- View on DOJ