Illegal Activity
none
Blackmail
none
Date
December 1.2018 - December 31,2018
Document Type
Financial Statement Disclosure
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is a disclosure statement from Deutsche Bank outlining the role of Pershing LLC as a clearing broker for Southern Financial LLC. It details Pershing's responsibilities, limitations, and the arbitration agreement in place.
Metadata
- Subject
- SOUTHERN FINANCIAL LLC - The Role of Pershing
- Sender
- Deutsche Bank
- Recipients
- —
- Document ID
- N4G-026181
- Date
- December 1.2018 - December 31,2018
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Pershing | Clearing Broker | SOUTHERN FINANCIAL LLC | Pershing carries the account of SOUTHERN FINANCIAL LLC as a clearing broker pursuant to a clearing agreement. |
| Pershing | Financial Institution | Deutsche Bank | Deutsche Bank uses Pershing as a clearing broker. |
Notable Quotes 2
Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them.
All parties to this agreement are giving up the right to sue each other in court, Including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
Legal Compliance
- Arbitration agreement disclosures.
Raw Analysis JSON
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Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 7
Deutsche BankSOUTHERN FINANCIAL LLCPershingSecurities Investor Protection Corporation (SIPCO)Financial Industry Regulatory AuthorityThe BIS al New Yort Melba Comeration (BNY Mellen)PCISrat LLC
Locations 2
Baltimore, MDJersey City, New Jersey
Financial Entities 1
Pershing LLC
Text Analysis
- Tone
- Informative
- Purpose
- To inform the client about the role of Pershing as a clearing broker for their financial institution.
- Significance
- This document outlines the responsibilities and limitations of Pershing LLC in relation to the client's account and financial institution.
File Info
- File Name
- EFTA01371939.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:29.308068
- DOJ Source
- View on DOJ