Illegal Activity
none
Blackmail
none
Date
1986
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is a continuation of an account agreement outlining the terms and conditions for trading securities through DBSI. It covers order execution, rules and regulations, purchase and sale of securities, restrictions on trading, and the role of third parties like Pershing.
Metadata
- Subject
- Account agreement (continued)
- Sender
- —
- Recipients
- —
- Document ID
- WM189778 015684.080'218
- Date
- 1986
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | business | Pershing | Pershing is a third-party clearing agent engaged by DBSI. |
| Client | business | DBSI | Client has an account agreement with DBSI. |
Notable Quotes 2
Client agrees that in a cash account: (a) Client will not sell any Security before it is paid for, (b) Client will own each security sold at the time of sale, (c) unless such security is already held in the Account, Client will promptly deliver such security thereto on or before settlement date, (d) Client will promptly make full cash payment of any amount which may become due in order to meet necessary requests for additional deposits and (e) with respect to any Securities and Other Property sold, Client will satisfy any mark to the market deficiencies.
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 (held individually, jointly or otherwise) (collectively all such Securities and Other Property are referred to herein as "Collateral") in order to secure any and all indebtedness or any other obligation of Client to DBSI and its Affiliates or Pershing (collectively, all such obligations are referred to herein as the "Obligations").
Financial Information
Assets:
- Securities
- Other Property
- Cash accounts
Transactions:
- Purchase of securities
- Sale of securities
- Short sales
- Margin purchases
Legal Compliance
- Restrictions on trading
- Restricted securities
- Compliance with Rule 144 or 145 of the Securities Act of 1933
- Section 4975(cX1)(B) of the Internal Revenue Code of 1986
- Section 406(a) (IRS) of the Employee Retirement Income Security Act of 1974
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
DBSIPershingInternal Revenue CodeEmployee Retirement Income Security Act
Locations 1
Americas
Text Analysis
- Tone
- Professional
- Purpose
- To outline the terms and conditions of an account agreement between a client and DBSI.
- Significance
- This document details the rules and regulations governing the client's trading activities and the relationship between DBSI and its clearing agent, Pershing.
File Info
- File Name
- EFTA01377838.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:58.112970
- DOJ Source
- View on DOJ