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 u

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 u

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 u

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 u

tner with PennMont Securities. [IDENTIFICATION] To be detemened. [REPORTS] Jan 2O12 - found by the Business Conduct Committee 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 wit

• 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 u

tner with PennMont Securities. [IDENTIFICATION) To be determined. [REPORTS) Jan 2O12 -found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided w

EG - 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 u

EG - 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 u

tner with PennMont Securities. [IDENTIFICATION) To be determined. [REPORTS) Jan 2O12 -found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided w

EG - 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 u

EG - 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 u

EG - 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 u

EG - 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 u

EG - 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 u

- 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

ner with PennMont Securities. [IDENTIFICATION] To be determined. [REPORTS] Jan 2012 - found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided