EFTA01297822Dataset 10
2018-08-175p2,343w
…8/17/2018 Address: Ciiurt Ey UNITED STATES Tracking ID: KYC Reporting ID: Alerted Entity rt 1 of 2 Risk Priority: Critical Alert ID: Entity Information Entity ID: Riskid: R2451848 Entity Name: Nasdaq Execution Services, LLC Alias: • NES • BRUT. LLC Address: New York, New York, UNITED STATES Recent Event(s): • REG - Regulatory Action / ACT - Disciplinary. Regulatory Action. 04/01/2014 Nasdaq Execution Services, LLC submitted a Letter of Acceptance, Waiver and Consent in which the firm was fined 55.000…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01297822.pdf
EFTA01361292Dataset 10
2013-09-031p268w
rdc Person Name: Richard D Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 09/03/2013 Alert Date: Date of Birth: 12/06/1972 Alert 09/03/2013 Address: Count:-: United States Tracking ID: 6710214 Reporting ID: 6710214 Alert #: 1 Alert ID: 1677299.11526362.42755808 Entity Information Entity ID: 42755808 Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action ACT - Disciplinary, Regulatory Action 04/20/2012, Decision Number 12-ARCA-3 Respondents including Richard Kahn violated NYSE…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01361292.pdf
EFTA01363541Dataset 10
2016-10-121p436w
…Deutsche Bank Private Bank Batch Date: 10/12/2016 Added to Monitoring: 10/12/2016 Alert Date: Date of Birth: 01/20/1953 Alert 10/12/2016 Address: Cuunhy United States Tracking ID: Reporting ID: Alerted Entity # 2 of 3 Alert ID: Entity Information Entity ID: Riskid: R110371734 Entity Name: Jeffrey Richard Epstein Address: Bryn Mawr, Pennsylvania, UNITED STATES Recent Event(s): • REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/16/2012 Jeffrey Richard Epstein submitted a Letter of Acceptance…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363541.pdf
EFTA01299210Dataset 10
2013-09-031p254w
…. United States Tracking ID: Reporting ID: Alert #. 1 Alert ID: 1677299.11526362.42755808 Entity Information Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action ACT - Disciplinary. Regulatory Action 04/20/2012, Decision Number 12-ARCA-3 -- 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…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01299210.pdf
EFTA01364140Dataset 10
2016-10-121p441w
…Added to Monitoring: 10/12/2016 Alert Date: Date of Birth: 01/20/1953 Alert 10/12/2016 Address: Courit'y United States Tracking ID: GCIS 00000483289 Reporting ID: KYC 01651789 Alerted Entity # 2 of 3 Alert ID: 6472545.11593674.64722293 Entity Information Entity ID: 64722293 Riskid: R110371734 Entity Name: Jeffrey Richard Epstein Address: Bryn Mawr, Pennsylvania, UNITED STATES Recent Event(s): • REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/16/2012 Jeffrey Richard Epstein submitted a Letter of Acceptance…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01364140.pdf
EFTA01294869Dataset 10
2013-09-031p264w
…Alert 09/03/2013 Address: ;mint iy United States Tracking ID: 6710214 Reporting ID: 6710214 Alert #. 1 Alert ID: 1677299.11526362.42755808 Entity Information Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action ACT - Disciplinary. Regulatory Action 0420/2012, Decision Number 12-ARCA-3 -- 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…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01294869.pdf
EFTA01463915Dataset 10
2012-04-201p124w
Entity: Richard Kahn Entity Information Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action • ACT - Disciplinary, Regulatory Action 04/20/2012, Decision Number: 12-ARCA-3 -- 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…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01463915.pdf
EFTA01448854Dataset 10
2013-09-031p268w
rdc Person Name: Richard D Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 09/03/2013 Date of Birth: Alert Date: Alert 09/03/2013 Address: Count:-: United States Tracking ID: 6710214 Reporting ID: 6710214 Alert #: 1 Alert ID: 1677299.11526362.42755808 Entity Information Entity ID: 42755808 Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action ACT - Disciplinary, Regulatory Action 04/20/2012, Decision Number 12-ARCA-3 Respondents including Richard Kahn violated NYSE Arca Equities Rule…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01448854.pdf
EFTA01363454Dataset 10
2017-06-151p453w
…1953 Alert 6/15/2017 Address: Couril;y UNITED STATES Tracking ID: KYC 1790655 Reporting ID: Alerted Entity # 2 of 2 Risk Priority: Critical Alert ID: 9477691.11602729.77100584 Entity Information Entity ID: 77100584 Riskid: R110371734 Entity Name: Jeffrey Richard Epstein Address: Bryn Mawr, Pennsylvania, UNITED STATES Recent Event(s): • REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/16/2012 Jeffrey Richard Epstein submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363454.pdf
EFTA01400246Dataset 10
2012-04-201p124w
Entity: Richard Kahn Entity Information Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action • ACT - Disciplinary, Regulatory Action 04/20/2012, Decision Number: 12-ARCA-3 -- 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…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01400246.pdf
EFTA01421786Dataset 10
2018-05-302p380w
DB12000P - Deutsche Bank Private Bank 5/30/2018 Batch Date: Added to Monitoring: 05/30/2018 Person Name: Richard D Kahn Address: Tracking ID: KYC 01946825 Alerted Entity #: 1 of 1 Entity Information Risk Priority: Critical Entity ID: 64761053 Riskid: R110375868 Entity Name: Richard Kahn Address: New York, UNITED STATES Recent Event(s): REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/20/2012 Decision Number: 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca Equities Rule 10.2(d…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01421786.pdf
EFTA01400245Dataset 10
2014-11-131p254w
DB12000P - Deutsche Bank Private Bank 11/13/2014 Batch Date: Person Name: Richard Kahn Address: Country:United States Tracking ID: Gcis 00000486407 Alert #: 1 Entity Information Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/20/2012 Decision Number: 12-ARCA-3 -- 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…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01400245.pdf
EFTA01421784Dataset 10
2018-05-302p381w
DB12000P - Deutsche Bank Private Bank 5/30/2018 Batch Date: Added to Monitoring: 05/30/2018 Person Name: Richard D Kahn Address: Tracking ID: KYC 01946825 Alerted Entity #: 1 of 1 Entity Information Risk Priority: Critical Entity ID: 64761053 Riskid: R110375868 Entity Name: Richard Kahn Address: New York, UNITED STATES Recent Event(s): REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/20/2012 Decision Number: 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca Equities Rule 10.2(d…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01421784.pdf
EFTA01463914Dataset 10
2013-09-031p254w
DB12000P - Deutsche Bank Private Bank 09/03/2013 Batch Date: Person Name: Richard D Kahn Address: Tracking ID: 6710214 Alert #: 1 Entity Information Entity ID: 42755808 Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action ACT - Disciplinary, Regulatory Action 04/20/2012, Decision Number: 12-ARCA-3 -- 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…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01463914.pdf
EFTA01364299Dataset 10
2016-10-121p348w
…JEFFREY KAHN Address: Florida. UNITED STATES Recent Event(s): • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 This entity appears on the Florida Office of Financial Regulation list of Final Orders. Richard J. Kahn shall pay an administrative fine of $20,000 with the submission of this Stipulation and Consent Agreement, 06/21/2011. US Florida Office of Financial Regulation Final Orders Event: • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 This…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01364299.pdf
EFTA01364141Dataset 10
2016-10-121p298w
…United States Tracking ID: GCIS 00000483289 Reporting ID: KYC 01651789 Alerted Entity ft 3 of 3 Alert ID: 6472545.11593674.64322136 Entity Information Entity ID: 64322136 Riskid: R110194221 Entity Name: Jeffrey R. Epstein Recent Event(s): • REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 01/31/1994 Decision number: 1993-003378 - Respondents shall pay to Claimant $736.00. This award is joint and several., 01/31/1994, New York - Stock Exchange Arbitration Decisions Event: • REG - Regulatory Action / ACT - Disciplinary, Regulatory Action…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01364141.pdf
EFTA01358451Dataset 10
2013-09-031p267w
rdc Person Name: Richard D Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 09/03/2013 Alert Date: Date of Birth: 12/06/1972 Alert 09/03/2013 Address: Count:-: United States Tracking ID: 6710214 Reporting ID: 6710214 Alert #: 1 Alert ID: 1677299.11526362.42755808 Entity Information Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action ACT - Disciplinary, Regulatory Action 04/20/2012, Decision Number 12-ARCA-3 Respondents including Richard Kahn violated NYSE Arca…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358451.pdf
EFTA01371321Dataset 10
2017-06-161p396w
rdc Person Name: Richard Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 6/16/2017 Added to Monitoring: 06/162017 Date of Birth: Alert Date: Alert 6/16/2017 Address: Gauntly UNITED STATES Tracking ID: KYC 1791049 Reporting ID: Alerted Entity # 1 of 2 Risk Priority: Critical Alert ID: 9480093.11602748.64761053 Entity Information Entity ID: 64761053 Riskid: R110375868 Entity Name: Richard Kahn Address: New York, UNITED STATES Recent Event(s): • REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/20…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01371321.pdf