Illegal Activity
suspicious
Blackmail
none
Date
2018-05-30
Document Type
alert
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is an alert from Deutsche Bank Private Bank regarding Richard Kahn, noting regulatory actions taken against him by NYSE Arca for failing to provide testimony requested by FINRA. He was permanently barred from NYSE Arca membership unless he provided testimony within 120 days.
Metadata
- Subject
- Richard D Kahn
- Sender
- Deutsche Bank Private Bank
- Recipients
- —
- Document ID
- 13917575.11632113.64761053
- Date
- 2018-05-30
Illegal Activity
- Severity
- suspicious
- Description
- Richard Kahn failed to provide testimony as requested by FINRA, leading to regulatory action.
- Content Type
- first_hand
Evidence:
- Failure to provide testimony as requested by FINRA.
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 on behalf of NYSE Arca. |
| FINRA | Regulatory | NYSE Arca | FINRA requested testimony 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
- Regulatory action against Richard Kahn.
Public Knowledge
- Context
- Regulatory actions are often public record.
Legal Compliance
- Richard Kahn was permanently barred from NYSE Arca membership unless testimony was scheduled and provided within 120 calendar days from the issuance of the decision.
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 2
Couril;y UNITED STATESNew York, UNITED STATES
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative
- Purpose
- To alert about regulatory actions against Richard Kahn.
- Significance
- The document highlights regulatory issues involving Richard Kahn, which could be relevant for risk assessment.
File Info
- File Name
- EFTA01375514.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:25.488042
- DOJ Source
- View on DOJ