Illegal Activity
suspicious
Blackmail
none
Date
2013-09-03
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is an alert from Deutsche Bank Private Bank regarding Richard D Kahn. It details a regulatory action against him by NYSE Arca for failing to provide testimony, resulting in him being barred from membership.
Metadata
- Subject
- Deutsche Bank Private Bank Alert - Richard D Kahn
- Sender
- —
- Recipients
- —
- Document ID
- 6710214
- Date
- 2013-09-03
Illegal Activity
- Severity
- suspicious
- Description
- The document describes a regulatory action against Richard Kahn, indicating a potential compliance issue.
- 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
- Regulatory action against Richard Kahn resulting in being barred from NYSE Arca membership.
Public Knowledge
- Context
- The information is from NY Stock Exchange Disciplinary Actions.
Legal Compliance
- Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA.
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flow
People 2
Organizations 4
Deutsche Bank Private BankFINRANYSE ArcaNY Stock Exchange
Locations 2
United StatesNY, UNITED STATES
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative
- Purpose
- To alert Deutsche Bank Private Bank about a regulatory action against Richard D Kahn.
- Significance
- The document indicates that Richard Kahn was barred from NYSE Arca membership due to failing to provide testimony as requested by FINRA.
File Info
- File Name
- EFTA01358451.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:53.711036
- DOJ Source
- View on DOJ