Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
agreement
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is a margin addendum to an account agreement between a client and DBSI/Pershing. It outlines the terms and conditions for using margin, including the risks, financing, interest, liens, and the right to liquidate assets.
Metadata
- Subject
- MARGIN ADDENDUM TO ACCOUNT AGREEMENT
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0094821, SDNY_GM_00241005
- Date
- —
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Client | business | Pershing | Client has a margin account with Pershing. |
| Client | business | DBSI | Client has a margin account with DBSI. |
| DBSI | business | Pershing | Margin transactions in the Account may be financed by Pershing or DBSI. |
Notable Quotes 2
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
Client understands that while securities held for Client's Accounts) ace loaned out, Client will lose voting rights attendant to soch scouririns.
Financial Information
Assets:
- Securities
- Other Property
- Margin Collateral
- DB Collateral
Transactions:
- Margin transactions
- Loan or Pledge of Securities and Other-Property
- Liquidations and Covering Short Positions
Legal Compliance
- Section 4975(c)(1)(B) of the Internal Revenue Code of 1986
- Section 406(e)(i)(B) of the Employee Retirement Income Security Act of 1974
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 5
AMCPershingDBSIDeutsche BankAlex Brown
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Legal
- Purpose
- To establish the terms and conditions for a client's margin account with DBSI and Pershing.
- Significance
- This document outlines the mechanics, risks, and legal obligations associated with margin trading, including the granting of liens and the potential for liquidation of assets.
File Info
- File Name
- EFTA01390343.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:16.488297
- DOJ Source
- View on DOJ