Illegal Activity
none
Blackmail
none
Date
1933
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is an account agreement outlining the terms and conditions between a client and DBSI, covering aspects such as security sales, trading restrictions, fees, and the role of third parties like Pershing. It also details the client's responsibilities and grants DBSI a security interest in the client's assets.
Metadata
- Subject
- Account Agreement
- Sender
- —
- Recipients
- —
- Document ID
- 12-PWM-0573
- Date
- 1933
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | business | Pershing | DBSI engages Pershing as a third-party steering agent and custodian of client's assets. |
| Client | business | DBSI | Client agrees to terms and conditions of account agreement with DBSI |
Notable Quotes 2
Client agrees that in a cash account: (i) Client will not sell any Security before it is paid for: (ii) Client will own each security sold at the time of sale:
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
Financial Information
Assets:
- Securities
- Other Property
- Collateral
Transactions:
- Sale of Securities
- Short Sales
- Margin Purchases
- Interest charges
- Annual Account Fee
- Service fees
- Processing fees
- Commissions
Legal Compliance
- Restricted Securities subject to Rule 144 or 145 of the Securities Act of 1933
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
DBSIPershingInternal Revenue CodeEmployee Retirement Income Security Act
Text Analysis
- Tone
- Professional
- Purpose
- To outline the terms and conditions of an account agreement between a client and DBSI.
- Significance
- This document outlines the legal and financial responsibilities of both the client and DBSI in managing the client's account.
File Info
- File Name
- EFTA01390386.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:47.144704
- DOJ Source
- View on DOJ