Illegal Activity
suspicious
Blackmail
none
Date
2017-06-16
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 Richard Kahn. It highlights regulatory actions taken against him by NYSE Arca for failing to provide testimony as requested by FINRA, resulting in a permanent bar from NYSE Arca membership unless testimony is provided.
Metadata
- Subject
- Alert
- Sender
- —
- Recipients
- —
- Document ID
- KYC 1791049
- Date
- 2017-06-16
Illegal Activity
- Severity
- suspicious
- Description
- Richard Kahn's violation of NYSE Arca Equities Rule 10.2(d) could be considered suspicious activity.
- 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. |
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 action against Richard Kahn.
Public Knowledge
- Context
- Regulatory actions are often public record.
Legal Compliance
- Richard Kahn violated NYSE Arca Equities Rule 10.2(d).
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flow
People 1
Organizations 4
Deutsche Bank Private BankFINRANYSE ArcaNew York Stock Exchange
Locations 2
Gauntly UNITED STATESNew York, UNITED STATES
Text Analysis
- Tone
- Informative
- Purpose
- To alert about Richard Kahn's regulatory actions.
- Significance
- Richard Kahn was subject to regulatory action by NYSE Arca for failing to provide testimony as requested by FINRA.
File Info
- File Name
- EFTA01371321.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:10.479051
- DOJ Source
- View on DOJ