Illegal Activity
suspicious
Blackmail
none
Date
2017-06-16
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is a KYC alert from Deutsche Bank Private Bank regarding Richard Kahn and Richard Jeffrey Kahn. It highlights regulatory actions and disciplinary measures taken against them by NYSE Arca and the Florida Office of Financial Regulation, respectively, indicating potential compliance risks.
Metadata
- Subject
- Deutsche Bank Private Bank - Richard Kahn KYC Alert
- Sender
- —
- Recipients
- —
- Document ID
- KYC 1791049
- Date
- 2017-06-16
Illegal Activity
- Severity
- suspicious
- Description
- The document details regulatory actions and fines against Richard Kahn and Richard Jeffrey Kahn, indicating potential compliance issues and regulatory violations.
- Categories
- Regulatory Violations
- Content Type
- first_hand
Evidence:
- Failure to provide testimony to FINRA
- Violation of NYSE Arca Equities Rule 10.2(d)
- Administrative fine of $20,000 by Florida Office of Financial Regulation
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. |
| RICHARD JEFFREY KAHN | Regulatory Action/Fine | Florida Office of Financial Regulation | Richard J. Kahn shall pay an administrative fine of $20,000 with the submission of this Stipulation and Consent Agreement. |
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.
Richard J. Kahn shall pay an administrative fine of $20,000 with the submission of this Stipulation and Consent Agreement
Red Flags 2
- Regulatory actions against Richard Kahn and Richard Jeffrey Kahn.
- Critical risk priority assigned to both entities.
Financial Information
Amounts:$20,000
Transactions:
- Administrative fine of $20,000 to be paid by Richard J. Kahn to the Florida Office of Financial Regulation
Public Knowledge
- Context
- The information is derived from regulatory bodies and may be publicly accessible through their websites.
Legal Compliance
- Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony.
- Richard J. Kahn was fined $20,000 by the Florida Office of Financial Regulation.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationCompliance/regulatory issues
People 2
Organizations 6
Deutsche Bank Private BankFINRANYSE ArcaNew York Stock ExchangeFlorida Office of Financial RegulationRiskConnect
Locations 2
New York, UNITED STATESFlorida, UNITED STATES
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative, factual
- Purpose
- To provide an alert regarding Richard Kahn and Richard Jeffrey Kahn due to regulatory actions and disciplinary actions.
- Significance
- The document highlights regulatory actions against Richard Kahn and Richard Jeffrey Kahn, which could be relevant for KYC (Know Your Customer) and risk assessment purposes.
File Info
- File Name
- EFTA01416829.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:33.996413
- DOJ Source
- View on DOJ