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 a margin addendum to an account agreement, outlining the terms and conditions for a client's margin account with DBSI and Pershing. It details the mechanics, risks, financing, interest, liens, and liquidation rights associated with the margin account.
Metadata
- Subject
- MARGIN ADDENDUM TO ACCOUNT AGREEMENT
- Sender
- —
- Recipients
- —
- Document ID
- 1340.NM-0196
- Date
- —
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Client | Business | Pershing | Client has a margin account with Pershing. |
| Client | Business | DBSI | Client has a margin account with DBSI. |
| DBSI | Business | Pershing | DBSI may instruct Pershing regarding the DB Collateral. |
Notable Quotes 2
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
Client understands that while securities held for Client's Account(s) are loaned out, Client will lose voting rights attendant to such securities.
Red Flags 2
- DBSI or Pershing has the right to demand at any time the immediate payment of all or any portion of a margin balance.
- DBSI and Pershing also shall have the right to liquidate any Securities and Other Property held in the Margin Account whenever DBSI or Pershing deems it necessary for its protection.
Financial Information
Assets:
- Securities
- Other Property
- Cash
Transactions:
- Margin transactions
- Loans
- Pledges
- Repledges
- Hypothecation
- Rehypothecation
- Liquidations
Legal Compliance
- Section 4975(c)(1)(8) of the Internal Revenue Code of 1986
- Section 406(a)(i)(B) of the Employee Retirement Income Security Act of 1974
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
PershingDBSIDeutsche BankDBAB
Locations 1
Americas
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Legal
- Purpose
- To establish the terms and conditions for a client's margin account with DBSI and Pershing.
- Significance
- This document outlines the risks, responsibilities, and rights of both the client and the financial institutions involved in a margin account.
File Info
- File Name
- EFTA01357576.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:20.109143
- DOJ Source
- View on DOJ