Illegal Activity
suspicious
Blackmail
none
Date
2014-11-13
Document Type
report
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. It details a regulatory action against him by NYSE Arca for failing to provide testimony, resulting in a permanent bar from membership unless he complies within 120 days.
Metadata
- Subject
- Deutsche Bank Private Bank - Richard Kahn Alert
- Sender
- —
- Recipients
- —
- Document ID
- Gcis 00000486407
- Date
- 2014-11-13
Illegal Activity
- Severity
- suspicious
- Description
- Richard Kahn was subject to regulatory action for failing to provide testimony.
- 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, 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)
- Failure to provide testimony as requested by FINRA
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flow
People 1
Organizations 4
Deutsche Bank Private BankNYSE ArcaFINRANY Stock Exchange
Locations 2
NYUNITED STATES
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative
- Purpose
- To provide an alert regarding a regulatory action against Richard Kahn.
- Significance
- The document highlights a disciplinary action against Richard Kahn by NYSE Arca for failing to provide testimony as requested by FINRA.
File Info
- File Name
- EFTA01400245.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:37.852072
- DOJ Source
- View on DOJ