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Document Mentions (8 shared documents)
2 mentions1 same-page
Page ?Same page
igners. (Resolved - J. Lightbody) Additional questions/comments: 1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership. Please add more details. 2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership of the com
company 3. For NY Strategy Group LLC, please provide us with the following: i. evidence of powers ii. ownership iii.signing authority (resolved: J. Franklin) 4. Is Mr. Indyke an accountant (per KYC) as well as a lawyer? Please correct KYC if he is not an accountant and please run Martindale-Hubbell. To
2 mentions1 same-page
Page ?Same page
signers. (Resolved J. Lightbody) Additional questions/comments: 1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership. Please add more details. 2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership of the com
company 3. For NY Strategy Group LLC, please provide us with the following: i. evidence of powers ii. ownership iii.signing authority (resolved: J. Franklin) 4. Is Mr. Indyke an accountant (per KYC) as well as a lawyer? Please correct KYC if he is not an accountant and please run Martindale-Hubbell. To
2 mentions1 same-page
Page ?Same page
igners. (Resolved - J. Lightbody) Additional questions/comments: 1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership. Please add more details. 2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership of the com
company 3. For NY Strategy Group LLC, please provide us with the following: i. evidence of powers ii. ownership iii.signing authority (resolved: J. Franklin) 4. Is Mr. Indyke an accountant (per KYC) as well as a lawyer? Please correct KYC if he is not an accountant and please run Martindale-Hubbell. To
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2 mentions1 same-page
Page ?Same page
signers. (Resolved - J. Lightbody) Additional questions/comments: 1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membersh ip. Please add more details. 2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership of the c
company 3. For NY Strategy Group LLC, please provide us with the following: i. evidence of powers ii. ownership iii.signing authority (resolved: J. Franklin) 4. Is Mr. Indyke an accountant (per KYC) as well as a lawyer? Please correct KYC if he is not an accountant and please run Martindale-Hubbell. To
2 mentions1 same-page
Page ?Same page
signers. (Resolved - J. Lightbody) Additional questions/comments: 1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membersh ip. Please add more details. 2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership of the c
eason for Rejection:Please address the following: For The 2007 Jeffrey E. Epstein Insurance Trust 43: 1. Please complete Wealth Profile (Resolved: J. Franklin) 2. Re-run searches with correct country. Should be US Virgin Islands, not United States. (Resolved - J. Lightbody) For HBRK Associates, Inc. (bot
2 mentions1 same-page
Page ?Same page
igners. (Resolved - J. Lightbody) Additional questions/comments: 1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership. Please add more details. 2. For HBRK Associates Inc, please have secretary certify schedule G of Form 1120 showing ownership of the com
company 3. For NY Strategy Group LLC, please provide us with the following: i. evidence of powers ii. ownership iii.signing authority (resolved: J. Franklin) 4. Is Mr. Indyke an accountant (per KYC) as well as a lawyer? Please correct KYC if he is not an accountant and please run Martindale-Hubbell. To
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2 mentions1 same-page
Page ?Same page
igners. (Resolved - J. Lightbody) Additional questions/comments: 1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership. Please add more details. 2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership of the com
company 3. For NY Strategy Group LLC, please provide us with the following: i. evidence of powers ii. ownership iii.signing authority (resolved: J. Franklin) 4. Is Mr. indyke an accountant (per KYC) as well as a lawyer? Please correct KYC if he is not an accountant and please run Martindale-Hubbell. TO
2 mentions1 same-page
Page ?Same page
igners. (Resolved - J. Lightbody) Additional questions/comments: 1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership. Please add more details. 2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership of the com
company 3. For NY Strategy Group LLC, please provide us with the following: i. evidence of powers ii. ownership iii.signing authority (resolved: J. Franklin) 4. Is Mr. Indyke an accountant (per KYC) as well as a lawyer? Please correct KYC if he is not an accountant and please run Martindale-Hubbell. To
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Mutual Connections (12)
Entities connected to both NYSE Arca and J. Franklin
Richard Kahn
PERSON55 w/ NYSE·10 w/ J.
DI
Darren Indyke
PERSON19 w/ NYSE·10 w/ J.
Martindale-Hubbell
ORGANIZATION18 w/ NYSE·10 w/ J.
Jeffrey Epstein
PERSON21 w/ NYSE·6 w/ J.
HBRK Associates
ORGANIZATION11 w/ NYSE·10 w/ J.
New York Strategy Group
ORGANIZATION10 w/ NYSE·10 w/ J.
NY Strategy Group LLC
ORGANIZATION8 w/ NYSE·10 w/ J.
JF
Janice Franklin
PERSON6 w/ NYSE·5 w/ J.
JT
Jeffrey E. Epstein Insurance Trust
PERSON6 w/ NYSE·3 w/ J.
Deutsche Bank Trust Company Americas
ORGANIZATION6 w/ NYSE·2 w/ J.
AK
Amanda Kirby
PERSON3 w/ NYSE·2 w/ J.
JA
Janice
PERSON2 w/ NYSE·2 w/ J.