Illegal Activity
none
Blackmail
none
Date
2015-01-31
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is a portfolio holdings report showing asset allocation by currency, including USD and British Pounds. It also includes important disclosures regarding FDIC/SIPC protection, money market funds, IRS forms, and Pershing's impartial lottery process for partial calls of securities.
Metadata
- Subject
- Portfolio Holdings
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0050853, SDNY_GM_00197037
- Date
- 2015-01-31
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Pershing | regulatory | FINRA | Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process, pursuant to FINRA Rule 4340. |
| Pershing | financial | Depository Trust Clearing and Corporation (DTCC) | The depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). |
Notable Quotes 2
Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund.
Financial Information
Amounts:1.196.003 L S DOLLARS1.510.0001.532.1604.238.163106.9201,952.8002.059.720 GBP1,382,692 USD4,554,4151,532,1607,449,267 USD$1 per share
Assets:
- Cash
- Fixed Income
- Equities
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flow
Organizations 8
PershingFederal Deposit Insurance Corporation (FDIC)Securities Investor Protection Corporation (SIPC)DWS InvestmentsIRSFINRADepository Trust Clearing and Corporation (DTCC)SOLTI-ERA TRUSTCOAIPAAYIAC
Financial Entities 1
DWS money market funds
Text Analysis
- Tone
- Informative
- Purpose
- To provide a summary of portfolio holdings by currency and to inform the recipient about important information regarding cost basis, FDIC/SIPC protection, money market funds, IRS forms, and Pershing's impartial lottery process.
- Significance
- This document provides a snapshot of the portfolio's asset allocation and important disclosures related to financial services and tax reporting.
File Info
- File Name
- EFTA01361642.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:31.365268
- DOJ Source
- View on DOJ