EFTA01400729.txt Text dataset_10 View on DOJ

Illegal Activity

suspicious

Blackmail

none

Date

2014-11-14

Document Type

report

Model

gemini-2.0-flash-001

Processed

2026-02-07T18:43

Summary

This document is a World Check report detailing information about Richard Kahn, a limited partner with PennMont Securities. It highlights his violation of NYSE Arca Equities Rule for failing to provide testimony to FINRA, potentially leading to a permanent bar from NYSE Arca membership.

Metadata

Subject: World Check Details
Sender: —
Recipients: —
Document ID: A141120234116
Date: 2014-11-14

Illegal Activity

Severity: suspicious
Description: Richard Kahn's violation of NYSE Arca Equities Rule and potential permanent bar from membership could indicate suspicious activity.
Content Type: first_hand

Relationships 19

Entity 1	Relationship	Entity 2	Description
Richard Kahn	business	PENNMONT SECURITIES	Limited partner with PennMont Securities.
Richard Kahn	linked_to	Keke KAHN	Linked To
Richard Kahn	linked_to	David MILLER	Linked To
Richard Kahn	linked_to	Virginia ATLEE	Linked To
Richard Kahn	linked_to	Joann DELPIZZO MILLER	Linked To
Richard Kahn	linked_to	William JOHNSTON	Linked To
Richard Kahn	linked_to	George SNYDER	Linked To
Richard Kahn	linked_to	Judith BUSCH	Linked To
Richard Kahn	linked_to	Elizabeth ATLEE CARAPICO	Linked To
Richard Kahn	linked_to	Cecilia CORAZA	Linked To
Richard Kahn	linked_to	Elaine ENGLISH	Linked To
Richard Kahn	linked_to	James ENGLISH CORAZA	Linked To
Richard Kahn	linked_to	George REIFF	Linked To
Richard Kahn	linked_to	Amy BECCONE	Linked To
Richard Kahn	linked_to	Mary CORAZA	Linked To
Richard Kahn	linked_to	Anthony MONTALBANO	Linked To
Richard Kahn	linked_to	Arland FRIEND	Linked To
Richard Kahn	linked_to	Judith FRIEND	Linked To
Richard Kahn	linked_to	Constance ATLEE JOHNSTON	Linked To

Notable Quotes 2

Jan 2012 - found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA.

Apr 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided within required time frame.

Red Flags 1

Richard Kahn's violation of NYSE Arca Equities Rule and potential permanent bar from membership.

Public Knowledge

Context: The violation of NYSE Arca Equities Rule and potential bar from membership could be of interest to the media.
Media Worthy: Yes

Legal Compliance

Violation of NYSE Arca Equities Rule
Failure to provide testimony as requested by FINRA
Potential permanent bar from NYSE Arca membership

Raw Analysis JSON click to expand

Themes

Financial transactions/money flowLegal matters/litigationBusiness dealingsCommunications/correspondence

People 19

Richard Kahn Keke KAHN David MILLER Virginia ATLEE Joann DELPIZZO MILLER William JOHNSTON George SNYDER Judith BUSCH Elizabeth ATLEE CARAPICO Cecilia CORAZA Elaine ENGLISH James ENGLISH CORAZA George REIFF Amy BECCONE Mary CORAZA Anthony MONTALBANO Arland FRIEND Judith FRIEND Constance ATLEE JOHNSTON

Organizations 5

Norkom Technologies Ltd.PENNMONT SECURITIESNYSE ArcaFINRABusiness Conduct Committee

Locations 3

USAUnited StatesState of Pennsylvania, USA

Text Analysis

Tone: Informative
Purpose: To provide details from World Check regarding Richard Kahn.
Significance: The document highlights Richard Kahn's association with PennMont Securities and a violation of NYSE Arca Equities Rule, leading to a potential permanent bar from membership.

File Info

File Name: EFTA01400729.txt
Dataset: dataset_10
Type: Text
Model: gemini-2.0-flash-001
Processed: 2026-02-07T18:43:39.619413
DOJ Source: View on DOJ