RICHARD ALAN KAHN is currently employed as a Broker and/or Investment Adviser at KEDEM CAPITAL CORPORATION located at 52 BEAUMONT DRIVE, MELVILLE, NY, 11747-2502.
RICHARD ALAN KAHN has worked at KEDEM CAPITAL CORPORATION since June 30, 2014
Disclosure History
RICHARD ALAN KAHN has 2 Disclosure Event(s).
Date: February 04, 2000 Category: Regulatory Initiated By: THE NATIONAL ASSOCIATION OF SECURITIES DEALERS Allegations: 02/15/00GS: NASD RULE 2110 AND SEC RULE 15C3-1 - RESPONDENT MEMBER, ACTING THROUGH RESPONDENT KAHN, FAILED TO MAINTAIN SUFFICIENT NET CAPITAL WHILE CONDUCTING A SECURITIES BUSINESS. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $2,000.00 Sanction Details: FINED $2,000, JOINTLY AND SEVERALLY WITH RESPONDENT MEMBER. Broker Comment: THIS MATTER IS BEING REPORTED BECAUSE THE NOTIFICATION SENT BY THE STAFF SUPERVISOR OF NASD REGULATION, INC., DISTRICT 10, CHARACTERIZED IT AS A "WELLS NOTICE".
Date: December 20, 1991 Category: Regulatory Initiated By: SECURITIES AND EXCHANGE COMMISSION Resolution: Consent SanctionDetails: Sanctions: Suspension Broker Comment: NOT PROVIDED
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