Illegal Activity
none
Blackmail
none
Date
Unknown
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 between DBSI and its clients, outlining the terms and conditions related to order execution, purchase and sale of securities, and the responsibilities of both parties. It also details the relationship between DBSI and its clearing agent, Pershing, and grants DBSI a lien on the client's assets as collateral.
Metadata
- Subject
- Account Agreement (continued)
- Sender
- —
- Recipients
- —
- Document ID
- WM189778 015684.080215
- Date
- —
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 ()BSI 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").
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
- Restrictions on trading
- Restricted securities
- Compliance with Rule 144 or 145 of the Securities Act of 1933
- Lien granted to DBSI and its Affiliates
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 3
DBSIPershingDeutsche Wealth
Text Analysis
- Tone
- Professional
- Purpose
- To outline the terms and conditions of an account agreement between DBSI and its clients.
- Significance
- This document details the rules and regulations governing the purchase and sale of securities, order execution, and the responsibilities of both the client and DBSI.
File Info
- File Name
- EFTA01378947.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:13.506175
- DOJ Source
- View on DOJ