Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:44
Summary
This document is an account agreement between a client and DBSI, outlining the terms and conditions of the account. It includes definitions of key terms, potential conflicts of interest, and information about SIPC coverage.
Metadata
- Subject
- Account Agreement
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0094885
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | subsidiary | Deutsche Bank AG | DBSI is a subsidiary of Deutsche Bank AG. |
| DBSI | business | Pershing | DBSI participates in a program offered by Pershing, under which DBSI shares in revenue received by Pershing from mutual funds offered on the Pershing platform. |
Notable Quotes 2
Employees of DBSI shall have no obligation to recommend to Client, or inferrn Chem of, strategies being pursued by DBSI or other Clients.
Applicable Law means the consteution, rules. regnlattnns, custome and usages of tne exchange or market, and its clearing house, if any, whore a transaction is executed and applicable federal and state laws and regulations
Red Flags 1
- DBSI may recommend securities or strategies this are issued, onderwritten, implemented nr adviseditay.OBSI or one or mere of he affiliates. DEISI may receive compensation, in addition to the compensation Client pays DBSI
Financial Information
Transactions:
- DBSI shares in revenue received by Pershing from mutual funds offered on the Pershing platform.
- DBSI may receive compensation, in addition to the compensation Client pays DBSI, in the form of Rule 12b-1 fees, distribution lees, finder's fees, fees based upon fund management tees and cash or non-cash payments that are paid by mutual funds
Legal Compliance
- Possible Conflicts of Interest: Services and recommendations that DBSI provides to Client may differ from the services and recommendations provided to other Clients or by other individuals or groups at DBSI and/or affiliates of Deutsche Bank AG.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 8
DBSIDeutsche Bank AGSecurities and Exchange CommissionFederal Reserve BoardANRAOptions Clearing CorporationPershingSecurities Investor Protection Corporation (SIPC)
Locations 1
Americas
Financial Entities 2
Deutsche Bank AGPershing
Text Analysis
- Tone
- Professional
- Purpose
- To define the terms and conditions of an account agreement between a client and DBSI.
- Significance
- This document outlines the potential conflicts of interest, SIPC coverage, and other important terms related to the account agreement.
File Info
- File Name
- EFTA01390391.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:44:00.596669
- DOJ Source
- View on DOJ