Illegal Activity
suspicious
Blackmail
none
Date
09/03/2013
Document Type
Alert
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is an alert from Deutsche Bank Private Bank regarding a regulatory action against Richard D Kahn. Kahn was permanently barred from NYSE Arca membership for failing to provide testimony as requested by FINRA.
Metadata
- Subject
- Richard D Kahn - Regulatory Action
- Sender
- Deutsche Bank Private Bank
- Recipients
- —
- Document ID
- 6710214
- Date
- 09/03/2013
Illegal Activity
- Severity
- suspicious
- Description
- Richard Kahn's failure to provide testimony as requested by FINRA, on behalf of NYSE Arca, leading to a permanent bar from NYSE Arca membership unless testimony is provided, raises concerns about potential obstruction or non-compliance.
- Content Type
- first_hand
Relationships 1
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Richard D 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.
Public Knowledge
- Context
- Regulatory actions by financial institutions are often of public interest.
- Media Worthy
- Yes
Legal Compliance
- Violation of NYSE Arca Equities Rule 10.2(d)
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flowCompliance issues
People 1
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 about a regulatory action against Richard D Kahn.
- Significance
- The document details a disciplinary action against Richard Kahn, resulting in a permanent bar from NYSE Arca membership unless testimony is provided.
File Info
- File Name
- EFTA01361292.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:54.358128
- DOJ Source
- View on DOJ