Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is a Trading Authorization Agreement from TD Ameritrade that allows an Account Owner to authorize an agent to trade on their behalf. It outlines the responsibilities and liabilities of both the Account Owner and the Authorized Agent, as well as TD Ameritrade's role in the agreement.
Metadata
- Subject
- Trading Authorization Agreement
- Sender
- TD Ameritrade
- Recipients
- —
- Document ID
- —
- Date
- —
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Account Owner(s) | agent-principal | Authorized Agent(s) | Account Owner(s) authorize and appoint Authorized Agent(s) to purchase and sell securities and other financial instruments on their behalf. |
| TD Ameritrade | brokerage | Account Owner(s) | TD Ameritrade acts as the brokerage firm for the Account Owner(s). |
| TD Ameritrade Clearing, Inc. | clearing firm | Account Owner(s) | TD Ameritrade Clearing, Inc. acts as the clearing firm for the Account Owner(s). |
Notable Quotes 2
The Account Owner(s) understands that all such transactions conducted by the Authorized Agent(s) are at the Account Owners or Owners' own risk.
This Agreement shall remain in full force and effect until revoked by the Account Owner(s), written notice addressed to the Brokerage Firm and delivered to its offices.
Financial Information
Assets:
- securities
- financial instruments
- cash
- margin
Transactions:
- purchase and sale of securities
- trading stocks, bonds, mutual funds, options
Legal Compliance
- Authorized Agent(s) must notify TD Ameritrade if they are employed or licensed by a member of an exchange or FINRA, or are a member of the board of directors of a publicly traded company.
- Financial institutions must obtain and record information to ensure the identity of each person authorized to trade on an account to help fight the funding of terrorism and money laundering activities.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
TD AmeritradeTD Ameritrade Clearing, Inc.Financial Industry Regulatory Authority (FINRA)SIPC
Locations 1
Omaha, NE
Financial Entities 1
Ameritrade
Text Analysis
- Tone
- Formal, legal
- Purpose
- To establish a Trading Authorization Agreement between an Account Owner(s) and an Authorized Agent(s) with TD Ameritrade.
- Significance
- This document outlines the terms and conditions under which an authorized agent can trade on behalf of an account owner.
File Info
- File Name
- EFTA01268321.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:49.761116
- DOJ Source
- View on DOJ