Illegal Activity
none
Blackmail
none
Date
February 1,2019 - February 28,2019
Document Type
statement
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is a statement from Deutsche Bank to Southern Financial LLC regarding electronic delivery preferences and disclosures about Pershing's role as a clearing broker. It outlines the responsibilities of the financial institution and Pershing, as well as important information about account security and reporting discrepancies.
Metadata
- Subject
- Account communications
- Sender
- Deutsche Bank
- Recipients
- —
- Document ID
- DB-SDNY-0083192, SDNY_GM_00229376
- Date
- February 1,2019 - February 28,2019
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 | subsidiary | The Bank of New York Mellon Corporation (BNY Mellon) | Pershing LLC. is a wholly owned subsidiary of The Bank of New York Mellon Corporation (BNY Mellon) |
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.
This statement will be deemed conclusive You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowCommunications/correspondence
Organizations 6
Deutsche BankSOUTHERN FINANCIAL LLCPershingSecurities Investor Protection Corporation (SIPC)Pershing LLCThe Bank of New York Mellon Corporation (BNY Mellon)
Locations 1
P.O. Box 1776, Baltimore, MD 21203
Financial Entities 2
Deutsche BankPershing
Text Analysis
- Tone
- Informative
- Purpose
- To inform Southern Financial LLC about their electronic delivery selections for account communications and to provide important information and disclosures regarding the role of Pershing.
- Significance
- This document outlines the relationship between Pershing and the financial institution, as well as important disclosures regarding account security and responsibilities.
File Info
- File Name
- EFTA01383484.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:10.564897
- DOJ Source
- View on DOJ