Illegal Activity
none
Blackmail
none
Date
10/12/2016
Document Type
Alert
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is an alert from RDC to Deutsche Bank Private Bank regarding Richard Kahn. It details regulatory actions taken against him by the NY Stock Exchange and NYSE Arca for failing to provide testimony, resulting in a permanent bar from NYSE Arca membership unless he complies within a specified timeframe.
Metadata
- Subject
- Richard Kahn - Deutsche Bank Private Bank Alert
- Sender
- rdc
- Recipients
- —
- Document ID
- GCIS 00000483290, KYC 01651789, 6471205.11593658.64761053, 64761053, R110375868
- Date
- 10/12/2016
Relationships 2
| 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. |
| Richard Kahn | Regulatory Action | FINRA | Richard Kahn failed 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.
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 actions against Richard Kahn by the NY Stock Exchange and NYSE Arca.
Public Knowledge
- Context
- Disciplinary actions by regulatory bodies are often public record.
Legal Compliance
- Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA.
- Richard Kahn is permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 calendar days.
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flowCompliance issues
People 1
Organizations 6
Deutsche Bank Private BankFINRANYSE ArcaNY Stock ExchangeRiskConnectRDC
Locations 2
Gauntly United StatesNew York, UNITED STATES
Financial Entities 1
Deutsche Bank Private Bank
Text Analysis
- Tone
- Informative
- Purpose
- To alert Deutsche Bank Private Bank about regulatory actions against Richard Kahn.
- Significance
- The document highlights disciplinary actions against Richard Kahn by the NY Stock Exchange and NYSE Arca, indicating potential compliance risks.
File Info
- File Name
- EFTA01364298.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:55.070817
- DOJ Source
- View on DOJ