Illegal Activity
suspicious
Blackmail
none
Date
2018-05-30
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 D Kahn. It highlights regulatory actions against him by NYSE Arca and the New York Stock Exchange due to his failure to provide testimony as requested by FINRA.
Metadata
- Subject
- Alert
- Sender
- —
- Recipients
- —
- Document ID
- KYC 01946825
- Date
- 2018-05-30
Illegal Activity
- Severity
- suspicious
- Description
- Richard Kahn's failure to provide testimony as requested by FINRA could be considered obstruction.
- Content Type
- first_hand
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 | New York Stock Exchange | Richard Kahn appears on NY Stock Exchange Disciplinary Actions. |
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.
Public Knowledge
- Context
- Regulatory actions 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.
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flow
People 2
Organizations 4
Deutsche Bank Private BankFINRANYSE ArcaNew York Stock Exchange
Locations 3
VIRGIN ISLANDS, U.S.New York, UNITED STATESNew York
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative
- Purpose
- To alert Deutsche Bank Private Bank about Richard D Kahn's regulatory actions.
- Significance
- The document highlights Richard Kahn's disciplinary actions by NYSE Arca and New York Stock Exchange, which could be relevant for risk assessment.
File Info
- File Name
- EFTA01375513.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:27.023625
- DOJ Source
- View on DOJ