Illegal Activity
suspicious
Blackmail
none
Date
04/20/2012
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is a report detailing a regulatory action against Richard Kahn for violating NYSE Arca Equities Rule 10.2(d) by failing to provide testimony. As a result, Kahn was permanently barred from NYSE Arca membership unless testimony is provided within 120 days.
Metadata
- Subject
- Entity Information: Richard Kahn - Regulatory Action
- Sender
- —
- Recipients
- —
- Document ID
- 12-ARCA-3
- Date
- 04/20/2012
Illegal Activity
- Severity
- suspicious
- Description
- Richard Kahn failed to provide testimony as requested by FINRA, on behalf of NYSE Arca, which resulted in disciplinary action.
- Content Type
- court_document
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/litigationAllegations/complaints
People 1
Organizations 4
NYSE ArcaFINRANY Stock ExchangeRegulatory DataCorp. Inc
Locations 2
NYUNITED STATES
Text Analysis
- Tone
- Formal
- Purpose
- To provide information regarding a regulatory action against Richard Kahn.
- Significance
- Details a disciplinary action against Richard Kahn for failing to provide testimony.
File Info
- File Name
- EFTA01358463.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:50.138208
- DOJ Source
- View on DOJ