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ly For internal use only SDNY_GM_00061625 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024450 EFTA 00172137 EFTA01297913 Page 2 Watchlists and Blacklists August 9, 2018 info4c Watchlists and Blacklists August 9, 2018 Richard Kahn SOURCE: COUNTRY: United States of America LIST NAME
INFORMATION COUNTRY: United States of America OTHER INFORMATION LIST INFORMATION: ENTITY TYPE: I DATE OF PUBLICATION: April 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: May 23, 2018 CASE: Name on the list of Arca Disciplinary Actions; Decision number: 12-ARCA-3 (Position: ETP Holder Limited Pa
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Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP LEGAL RESULTS: Court Cases: Copyright 2017 Info4C, All Rights Reserved info4c Watchlists and Blacklists June 9, 2017 Richard Kahn SOURCE: COUNTRY: United States of America LIST NAME: NYSE Arca Enforcement AUTHORITY: New York Stock E
TIONAL INFORMATION: Decision number: 12-ARCA-3 OTHER INFORMATION LIST INFORMATION: ENTITY TYPE: I DATE OF PUBLICATION: April 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: January 23, 2017 CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) COUNTRY: United
2 mentions1 same-page
Page ?Same page
Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP LEGAL RESULTS: Court Cases: Copyright 2017 Info4C, All Rights Reserved info4c Watchlists and Blacklists June 9, 2017 Richard Kahn SOURCE: COUNTRY: United States of America LIST NAME: NYSE Arca Enforcement AUTHORITY: New York Stock E
TIONAL INFORMATION: Decision number: 12-ARCA-3 OTHER INFORMATION LIST INFORMATION: ENTITY TYPE: I DATE OF PUBLICATION: April 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: January 23, 2017 CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) COUNTRY: United
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