Illegal Activity
none
Blackmail
none
Date
1986
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is a continuation of an account agreement between a client and DBSI, outlining the terms and conditions related to order execution, purchase and sale of securities, and the role of Pershing as a third-party clearing agent. It also details the client's responsibilities and the rights of DBSI regarding the client's account.
Metadata
- Subject
- Account agreement (continued)
- Sender
- —
- Recipients
- —
- Document ID
- WM189778 015684.080'218
- Date
- 1986
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | business | Pershing | Pershing is a third-party clearing agent for DBSI. |
| Client | business | DBSI | Client has an account with DBSI. |
Notable Quotes 2
Client agrees that in a cash account: (a) Client will not sell any Security before it is paid for, (b) Client will own each security sold at the time of sale, (c) unless such security is already held in the Account, Client will promptly deliver such security thereto on or before settlement date, (d) Client will promptly make full cash payment of any amount which may become due in order to meet necessary requests for additional deposits and (e) with respect to any Securities and Other Property sold, Client will satisfy any mark to the market deficiencies.
Client hereby grants to DBSI and its Affiliates a security interest in and lien upon all Securities and Other Property in the possession or control of DBSI, any of its Affiliates or Pershing, in which Client has an interest (held individually, jointly or otherwise) (collectively all such Securities and Other Property are referred to herein as "Collateral") in order to secure any and all indebtedness or any other obligation of Client to DBSI and its Affiliates or Pershing (collectively, all such obligations are referred to herein as the "Obligations").
Financial Information
Assets:
- Securities
- Other Property
- Collateral
Transactions:
- Purchase or sale of assets
- Short Sales
- Margin purchases
Legal Compliance
- Restricted Securities subject to Rule 144 or 145 of the Securities Act of 1933
- Section 4975(cX1)(B) of the Internal Revenue Code of 1986
- Section 406(a) (IRS) of the Employee Retirement Income Security Act of 1974
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 3
DBSIPershingAffiliates
Locations 1
Americas
Text Analysis
- Tone
- Professional
- Purpose
- To outline the terms and conditions of an account agreement between a client and DBSI.
- Significance
- This document details the rules and regulations governing the client's trading activities, including order execution, purchase and sale of securities, and the role of third-party clearing agents.
File Info
- File Name
- EFTA01353374.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:20.781611
- DOJ Source
- View on DOJ