Illegal Activity
none
Blackmail
none
Date
02/12
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document outlines the terms and conditions of a client agreement with Deutsche Bank Securities Inc. (DBSI), covering topics such as arbitration, indebtedness, securities loans, and SIPC protection. It details the client's responsibilities and rights, as well as DBSI's policies and procedures.
Metadata
- Subject
- Satisfaction of Indebtedness, Loan or Pledge of Securities and Other Property, Aggregation of Orders and Average Prices, Arbitration, Important Disclosures for Your Records, Securities Investor Protection Corporation SIPC, Payment for order Flow
- Sender
- Deutsche Bank Securities Inc. (DBSI)
- Recipients
- —
- Document ID
- 008420-022212
- Date
- 02/12
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Client | Business | DBSI | Client agrees to arbitrate with DBSI any controversies which may arise. |
| DBSI | Business | Pershing LLC | Securities held by Pershing LLC for DBSI's client account are protected by SIPC. |
Notable Quotes 2
All parties to this Agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rule of the arbitration forum in which a claim is filed;
Client agrees to arbitrate with DBSI any controversies which may arise, whether or not based on events occurring prior to the date of this agreementincluding any controversy arising out of or relating to any account with DBSI, to the construction, performance or breach of any agreement, or any duty arising from any agreement or other relationship with DBSI, or to transactions with or through ()BSI, only before the Financial Industry Regulatory Authority, Inc., or any exchange of which DBSI is a member, at Client's election.
Financial Information
Amounts:$500,000$100,000
Assets:
- Securities
- Other Property
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 6
DBSIDeutsche Bank Securities Inc.Financial Industry Regulatory Authority, Inc.Pershing LLCSecurities Investor Protection Corporation (SIPC)Deutsche Bank
Locations 2
New York, NY60 Wall Street, 23rd Floor, Mail Stop NYC80-2330, New York, NY 10005-2836
Financial Entities 1
Pershing LLC
Text Analysis
- Tone
- Formal
- Purpose
- To outline the terms and conditions of the client agreement with Deutsche Bank Securities Inc. (DBSI), including arbitration, satisfaction of indebtedness, loan of securities, and SIPC protection.
- Significance
- This document is a standard client agreement outlining the terms and conditions for engaging in financial transactions with DBSI.
File Info
- File Name
- EFTA01355702.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:09.204672
- DOJ Source
- View on DOJ