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

BRK ASSOCIATES INC: No negative media No court cases D. RICHARD KAHN: Approved KYC *01082293 NIL Clearance attached to this KYC Not barred from NYSE Arca and he was cleared twice as seen In the attachments HARRY BELLER: Negative media: Not our client All negative media pertains to an environmental mi

A-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

-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

A-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

12 Atlee, Virginia Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 R

-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

-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

mmittee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2O12 -to be permanently barred from NYSE Arca membership unless testimony is provided within requred time frame. External Sources External Source httplAinvw.nysa.com/pdfs/12-ARCA•3 pdf Copyr

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

-- Respondents including Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINFtA, 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

-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

-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

rt has been cleared by AML Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Arca and was cleared In the previous KYCs. Attached clearances • RDC alert found • realates to violation of NYSE Arca Equities Rule - Clearance attached.

35 EFIA_000 19245 EFTA00168992 KYC Print Page 28 of 30 Rldiard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Arca and was cleared in the previous KYCs. Attached clearances - RCC alert found - Mates to violation of NYSE Are Equities Rule - Oearance attached Paul

s HBRK ASSOCIATES INC: No negative media No court cases RICHARD KAHN: Approved KYC 001082293 AML Clearance attached to bus KYC Not barred from NYSE Arca and he was cleared mace as seen in the attachments HARRY BELLER: Negative Media: Not cur client. Al negative mesa pertains to an environmental rmac

ert has been cleated by AML Compliance. Clearance attached. Richard Kiln: - No negative meda - Court case was dismissed and he was not barred from NYSE Arca and was dears in the previous KYC5. Attached clearances - RDC alert found - realates to violation of NYSE Arca Egalks Rule - Clearance attached. •.

rt has been cleared by AML Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was disrmssed and he was not barred from NYSE Arca and was cleared in the prevous KYCs. Attached clearances - RDC alert found - realates to violation of NYSE Arca Equities Rule - Oearance attached M

rt has been cleared by AML Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Arca and was cleared in the previous KYCs. Attached clearances - RDC alert found - realates to violation of NYSE Arca Equities Rule - Clearance attached

A-3 — Respondents including Richard Kahn violated NYSE Arca Equities Rule 1a2(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