Illegal Activity
none
Blackmail
none
Date
1986
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document outlines the terms and conditions for securities trading between a client and DBSI, covering aspects like purchase, sale, restrictions, and liabilities. It also details the relationship between DBSI and Pershing, the clearing agent, and grants DBSI a security interest in the client's assets.
Metadata
- Subject
- Purchase of Securities
- Sender
- —
- Recipients
- —
- Document ID
- WM134715
- Date
- 1986
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | business | Pershing | DBSI engages Pershing as a third-party clearing agent. |
| Client | business | DBSI | Client agrees to terms and conditions for trading securities with DBSI. |
Notable Quotes 2
Client understands that requests to cancel/modify en order that DBSI accepts are on a best efforts basis only.
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
Red Flags 2
- DBSI retains the right to cancel or liquidate any order accepted and/or executed without prior notice to Client, if DBSI does not receive payment by settlement date.
- DBSI has the right to prohibit or restrict Client's ability to trade Securities and Other Property, or to substitute securities in Client's Account.
Financial Information
Assets:
- Securities
- Other Property
- Collateral
Transactions:
- Purchase of Securities
- Sale of Securities
- Short Sales
- Margin Purchases
Legal Compliance
- Restricted Securities subject to Rule 144 or 145 of the Securities Act of 1933
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 5
BSIDBSIPershingInternal Revenue CodeEmployee Retirement Income Security Act
Locations 1
Americas
Text Analysis
- Tone
- Professional
- Purpose
- To outline the terms and conditions for trading securities with DBSI, including purchase, sale, restrictions, and liabilities.
- Significance
- This document defines the legal and financial responsibilities of the client and DBSI in securities trading.
File Info
- File Name
- EFTA01365692.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:55.805651
- DOJ Source
- View on DOJ