Illegal Activity
suspicious
Blackmail
none
Date
2013-01-03
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 by NYSE Arca for failing to provide testimony as requested by FINRA. As a result, Kahn is permanently barred from NYSE Arca membership unless testimony is provided within 120 days.
Metadata
- Subject
- Entity Information: Richard Kahn
- Sender
- —
- Recipients
- —
- Document ID
- 12-ARCA-3
- Date
- 2013-01-03
Illegal Activity
- Severity
- suspicious
- Description
- Richard Kahn failed to provide testimony as requested by FINRA, leading to a regulatory action.
- Categories
- Regulatory Violation
- Content Type
- first_hand
Evidence:
- Failure to provide testimony as requested by FINRA
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.
Legal Compliance
- Violation of NYSE Arca Equities Rule 10.2(d)
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flow
People 1
Organizations 4
NYSE ArcaFINRANY Stock ExchangeRegulatory DataCorp
Locations 2
NYUNITED STATES
Text Analysis
- Tone
- Informative
- Purpose
- To provide information about a regulatory action against Richard Kahn.
- Significance
- The document details a disciplinary action against Richard Kahn by NYSE Arca for failing to provide testimony as requested by FINRA.
File Info
- File Name
- EFTA01361293.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:32.879974
- DOJ Source
- View on DOJ