Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is an appendix to an account agreement between DBSI and its client, outlining disclosures and definitions related to the account. It covers topics such as confirmations, securities lending, foreign securities, and regulatory compliance.
Metadata
- Subject
- APPENDIX TO THIS ACCOUNT AGREEMENT: DISCLOSURES AND DEFINITIONS
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0041095
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | business | Client | Account agreement |
| DBSI | business | Pershing | Securities lending |
Notable Quotes 2
Confirmations of transactions. as well as other communications will be sent to the address Client has provided, or to such other address as Client may hereafter give to DBSI in writing, and all communications so sent, whether by mail, private carrier, facsimile, messenger, electronically or otherwise, shall be deemed delivered to Client when sent, whether actually received or not.
Within the limitations imposed by Applicable Law, all Securities and Other Property now or hereafter held, carried or maintained by or in the possession of DBSI that have not been fully paid for may be lent to OBSI, to Pershing or to others, and may be pledged• repledged, hypothecated or rehypothecated without raffles to Client, either separately or in common with other Securities end Other Property of DBSI's other Clionts for any amount due in any account with DBSI in which Client has ao interest, or for any greater amount, and DBSI may do so without retaining in its possession or control for delivery a like amount of similar Securities anti Other Property.
Financial Information
Assets:
- Securities
- Other Property
Legal Compliance
- Freeriding Prohibited (Not Applicable to Margin Accounts). Paying for the purchase of securities in a cash account with the proceeds of their subsequent sale• known as freeriding, violates Regulation T of the Federal Reserve Board, is prohibited and may. among other things, result in Client's Account being restricted or closed.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
DBSIPershingSecurities and Exchange CommissionFederal Reserve Board
Locations 1
United States
Text Analysis
- Tone
- Professional
- Purpose
- To provide disclosures and definitions related to an account agreement with DBSI.
- Significance
- Outlines the terms and conditions of the account agreement, including securities lending, foreign securities, and compliance with regulations.
File Info
- File Name
- EFTA01355814.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:45.114628
- DOJ Source
- View on DOJ