Illegal Activity
none
Blackmail
none
Date
2012-04-20
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document details a regulatory action against Richard Kahn for violating NYSE Arca Equities Rule 10.2(d) by failing to provide testimony. As a result, he is permanently barred from NYSE Arca membership unless he provides the requested testimony within 120 days.
Metadata
- Subject
- Entity Information: Richard Kahn - Regulatory Action
- Sender
- —
- Recipients
- —
- Document ID
- 12-ARCA-3
- Date
- 2012-04-20
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Richard Kahn | Regulatory Action | FINRA | Richard Kahn failed to provide testimony as requested by FINRA on behalf of NYSE Arca. |
| Richard Kahn | Membership | NYSE Arca | Richard Kahn is permanently barred from NYSE Arca membership unless testimony is provided. |
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.
Legal Compliance
- Violation of NYSE Arca Equities Rule 10.2(d)
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationAllegations/complaints
People 1
Organizations 4
FINRANYSE ArcaNY Stock ExchangeRegulatory DataCorp, Inc
Locations 2
NYUNITED STATES
Text Analysis
- Tone
- Formal
- Purpose
- To provide information about a regulatory action against Richard Kahn.
- Significance
- Details a disciplinary action against Richard Kahn for failing to provide testimony.
File Info
- File Name
- EFTA01357671.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:48.371673
- DOJ Source
- View on DOJ