Illegal Activity
none
Blackmail
none
Date
2018-12-01 - 2018-12-31
Document Type
Financial Statement
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:44
Summary
This document is a financial statement from Deutsche Bank for Southern Financial LLC, outlining the role of Pershing as a clearing broker and custodian. It also includes important arbitration disclosures and agreements.
Metadata
- Subject
- SOUTHERN FINANCIAL LLC
- Sender
- Deutsche Bank
- Recipients
- —
- Document ID
- N4G-026181
- Date
- 2018-12-01 - 2018-12-31
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Pershing | clearing broker | financial institution | Pershing carries the account as clearing broker pursuant to a clearing agreement with the financial institution. |
| Pershing | custodian | SOUTHERN FINANCIAL LLC | Pershing acts as custodian for funds and securities. |
Notable Quotes 2
Pershing provides no investment advice nor does it assess the suitability of any transaction or order.
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 and disclosures.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigation
Organizations 7
Deutsche BankSOUTHERN FINANCIAL LLCPershingSecurities Investor Protection Corporation (SIPCO)Financial Industry Regulatory AuthorityThe BIS al New Yort Medan Comeration (BNY Mellen)PCISrat LLC
Locations 2
Baltimore, MDJersey City, New Jersey
Financial Entities 1
Pershing LLC
Text Analysis
- Tone
- Informative
- Purpose
- To provide information about the role of Pershing as a clearing broker and custodian for funds and securities.
- Significance
- This document outlines the responsibilities and limitations of Pershing in relation to the account holder and their financial institution.
File Info
- File Name
- EFTA01383266.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:44:00.943898
- DOJ Source
- View on DOJ