Illegal Activity
none
Blackmail
none
Date
12/01/2014 – 12/31/2014
Document Type
statement
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is a portfolio holdings statement for Southern Financial LLC from Deutsche Asset & Wealth Management, covering the period from December 1, 2014, to December 31, 2014. It details the cash, money funds, and bank deposits held by the company, along with information about Pershing's impartial lottery process for partial calls of securities.
Metadata
- Subject
- Portfolio Holdings
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0050918
- Date
- 12/01/2014 – 12/31/2014
Relationships 1
| 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. |
Financial Information
Amounts:$233,025.17$233,030.72$3.26$41.12$0.00
Assets:
- Cash
- Money Funds
- Bank Deposits
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flow
Organizations 8
Deutsche Asset & Wealth ManagementFederal Deposit Insurance Corporation (FDIC)Securities Investor Protection Corporation.(SIPC)DWS InvestmentsPershingFINRADepository Trust Clearing and Corporation (DTCC)SOUTHERN FINANCIAL LLC
Locations 3
Baltimore, MDNew YorkNew York, NY
Financial Entities 1
DWS money market funds
Text Analysis
- Tone
- Informative
- Purpose
- To provide a statement of portfolio holdings for Southern Financial LLC for the period 12/01/2014 – 12/31/2014.
- Significance
- This document provides a snapshot of the financial holdings of Southern Financial LLC during the specified period.
File Info
- File Name
- EFTA01361693.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:52.260898
- DOJ Source
- View on DOJ