Illegal Activity
none
Blackmail
none
Date
2013-10-31
Document Type
email
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
Amanda Kirby from Deutsche Bank sends an email to Richard Kahn confirming that he is not the same Richard Kahn who was barred from the NYSE Arca in 2012 and clarifying his employment history. Richard Kahn responds to confirm the accuracy of her statement.
Metadata
- Subject
- Re: Compliance
- Sender
- Amanda Kirby <Mail Attachment.gif>
- Recipients
- Richard Kahn
- Document ID
- —
- Date
- 2013-10-31
Relationships 4
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Richard Kahn | Employment | HBRK Associates Inc. | Richard Kahn works at HBRK Associates Inc. |
| Amanda Kirby | Employment | Deutsche Bank Trust Company Americas | Amanda Kirby is an Associate at Deutsche Bank Trust Company Americas. |
| Richard Kahn | Regulatory | NYSE Arca | Richard Kahn clarifies he was not barred from NYSE Arca. |
| Richard Kahn | Employment | NYSG Ilc | Richard Kahn worked at NYSG Ilc (Darren entity) for 5 years prior to HBRK. |
Notable Quotes 2
your statement is correct that i have not been barred from nyse in april 2012
You have been at your company, HBRK, for 8 years and were not asked by FINRA, on behalf of NYSE Arca, to give testimony.
Raw Analysis JSON
click to expand
Themes
ComplianceEmployment/staffing
Organizations 5
Deutsche Bank Trust Company AmericasNYSE ArcaFINRAHBRK Associates Inc.NYSG Ilc
Locations 3
New YorkNew York, NY, USA575 Lexington Avenue, 4th Floor, New York, NY 10022
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Professional
- Purpose
- To confirm that Richard Kahn was not the same Richard Kahn who was barred from the NYSE Arca and to clarify his employment history.
- Significance
- This email clarifies Richard Kahn's professional standing and compliance with regulatory bodies, likely for internal compliance purposes at Deutsche Bank.
File Info
- File Name
- EFTA01400725.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:33.401449
- DOJ Source
- View on DOJ