Illegal Activity
none
Blackmail
none
Date
December 1.2018 - December 31,2018
Document Type
Financial Statement Notice
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document from Deutsche Bank outlines the role of Pershing LLC as a clearing broker and custodian for the recipient's account. It details Pershing's responsibilities, limitations, and the arbitration agreement in place.
Metadata
- Subject
- The Role of Pershing
- Sender
- Deutsche Bank
- Recipients
- —
- Document ID
- DB-SDNY-0084376, SDNY_GM_00230560
- Date
- December 1.2018 - December 31,2018
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Pershing | clearing broker | financial institution | Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. |
| Pershing | member | Securities Investor Protection Corporation (SIPCO) | Pershing is a member of the Securities Investor Protection Corporation (SIPCO). |
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 8
Deutsche BankSOUTHERN TRUST COM PA NY INCPershingSecurities Investor Protection Corporation (SIPCO)Pershing LLCFinancial Industry Regulatory AuthorityThe BIS al New Yort Menai Comeration (BNY Melon)PCISrat LLC
Locations 2
Baltimore, MDJersey City, New Jersey
Financial Entities 1
Pershing
Text Analysis
- Tone
- Informative
- Purpose
- To inform the recipient about the role of Pershing as a clearing broker and custodian of funds and securities.
- Significance
- This document outlines the responsibilities of Pershing and the financial institution in managing the recipient's account.
File Info
- File Name
- EFTA01384274.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:38.244787
- DOJ Source
- View on DOJ