Illegal Activity
suspicious
Blackmail
none
Date
2018-05-30
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is a KYC monitoring alert from Deutsche Bank regarding Richard Kahn. It highlights past regulatory actions against him by the New York Stock Exchange and NYSE Arca, including being permanently barred from NYSE Arca membership for failing to provide testimony.
Metadata
- Subject
- Deutsche Bank Private Bank - Richard D Kahn KYC Monitoring Alert
- Sender
- —
- Recipients
- —
- Document ID
- KYC 01946825
- Date
- 2018-05-30
Illegal Activity
- Severity
- suspicious
- Description
- The document details regulatory actions against Richard Kahn, including violations of NYSE Arca rules and failure to provide testimony. This raises concerns about potential compliance issues and regulatory oversight.
- Categories
- Regulatory Violations
- Content Type
- first_hand
Evidence:
- Violation of NYSE Arca Equities Rule 10.2(d)
- Failure to provide testimony as requested by FINRA
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Richard Kahn | Regulatory Action | FINRA | Richard Kahn failed to provide testimony as requested by FINRA on behalf of NYSE Arca. |
| Richard Kahn | Regulatory Action | NYSE Arca | Richard Kahn violated NYSE Arca Equities Rule 10.2(d). |
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 by the New York Stock Exchange and NYSE Arca.
Public Knowledge
- Context
- Information about disciplinary actions taken by regulatory bodies like the NYSE is often publicly available.
Legal Compliance
- Richard Kahn was permanently barred from NYSE Arca membership for failing to provide testimony as requested by FINRA.
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flowCompliance/regulatory issues
People 2
Organizations 5
Deutsche Bank Private BankFINRANYSE ArcaNew York Stock ExchangeRiskConnect
Locations 3
New YorkUNITED STATESVIRGIN ISLANDS, U.S.
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative
- Purpose
- To provide an alert regarding Richard Kahn's regulatory history as part of KYC monitoring.
- Significance
- The document highlights Richard Kahn's disciplinary actions by the New York Stock Exchange and his permanent barring from NYSE Arca membership due to failure to provide testimony.
File Info
- File Name
- EFTA01421784.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:12.695793
- DOJ Source
- View on DOJ