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1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership
ck the Signatory or Full POA box for the 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
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
3 mentions1 same-page
Page ?Same page
eck the Signatory or Full POA box for the 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
1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership
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
3 mentions1 same-page
Page ?Same page
ck the Signatory or Full POA box for the 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
1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership
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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3 mentions1 same-page
Page ?Same page
ck the Signatory or Full POA box for the 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
1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership
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
3 mentions1 same-page
Page ?Same page
eck the Signatory or Full POA box for the 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
1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership
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
3 mentions1 same-page
Page ?Same page
ck the Signatory or Full POA box for the 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
1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership
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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3 mentions1 same-page
Page ?Same page
a Kirby ‹ > Wed, 16 Oct 2013 14:29:07 -0400 To: Classification: For internal use only Hi Janice -- Wanted to follow up on your question regarding Richard Kahn. I don't understand why we need more information on his alert when he has already been cleared by Compliance and was approved in a KYC back in Sep
d to follow up on your question regarding Richard Kahn. I don't understand why we need more information
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
3 mentions1 same-page
Page ?Same page
1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership
ck the Signatory or Full POA box for the 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
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
3 mentions1 same-page
Page ?Same page
1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membersh i
eck the Signatory or Full POA box for the 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
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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3 mentions1 same-page
Page ?Same page
eck the Signatory or Full POA box for the 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
1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membersh i
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
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Mutual Connections (12)
Entities connected to both Richard Kahn and J. Franklin
Jeffrey Epstein
PERSON32,356 w/ Richard·6 w/ J.
DI
Darren Indyke
PERSON6,511 w/ Richard·10 w/ J.
HBRK Associates
ORGANIZATION2,143 w/ Richard·10 w/ J.
AK
Amanda Kirby
PERSON476 w/ Richard·2 w/ J.
Deutsche Bank Trust Company Americas
ORGANIZATION311 w/ Richard·2 w/ J.
NYSE Arca
ORGANIZATION55 w/ Richard·8 w/ J.
New York Strategy Group
ORGANIZATION50 w/ Richard·10 w/ J.
Martindale-Hubbell
ORGANIZATION41 w/ Richard·10 w/ J.
JF
Janice Franklin
PERSON15 w/ Richard·5 w/ J.
NY Strategy Group LLC
ORGANIZATION10 w/ Richard·10 w/ J.
JT
Jeffrey E. Epstein Insurance Trust
PERSON15 w/ Richard·3 w/ J.
JA
Janice
PERSON3 w/ Richard·2 w/ J.