Illegal Activity
none
Blackmail
none
Date
1986
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:40
Summary
This document is an investor questionnaire from Southern Financial LLC designed to determine if the investor is using retirement plan assets and to ensure compliance with ERISA and the Internal Revenue Code. It seeks to identify potential conflicts of interest or regulatory issues related to the investment.
Metadata
- Subject
- Investor Questionnaire - Retirement Plan Assets
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0055449
- Date
- 1986
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Investor | Investment | Partnership | Investor investing assets in the Partnership |
| Partnership | Management | General Partner | General Partner responsible for investment and operation of Partnership's assets |
Financial Information
Assets:
- Retirement plan assets
- Employee benefit plan assets
- IRA
- Keogh plan
Transactions:
- Investment of retirement plan assets
Legal Compliance
- Compliance with Section 4975 of the United States Internal Revenue Code of 1986, as amended.
- Compliance with the United States Employee Retirement Income Security Act of 1974, as amended (ERISA).
Raw Analysis JSON
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Themes
Financial transactions/money flowLegal matters/litigationCompliance/regulatory
Organizations 3
SOUTHERN FINANCIAL LLCPartnershipGeneral Partner
Locations 1
United States
Financial Entities 1
insurance company
Text Analysis
- Tone
- Formal, legal
- Purpose
- To determine if the Investor is investing assets from a retirement plan or similar agreement subject to Section 4975 of the United States Internal Revenue Code of 1986, as amended.
- Significance
- This document is important for ensuring compliance with ERISA and the Internal Revenue Code regarding investments from retirement plans.
File Info
- File Name
- EFTA01364900.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:40:59.014606
- DOJ Source
- View on DOJ