Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is an appendix to an account agreement between DBSI and its client, outlining disclosures and definitions related to securities, transactions, and potential risks. It covers topics such as confirmations, consent to lien or pledge of securities, foreign securities, and compliance with regulations.
Metadata
- Subject
- APPENDIX TO THIS ACCOUNT AGREEMENT: DISCLOSURES AND DEFINITIONS
- Sender
- —
- Recipients
- —
- Document ID
- 012145.0321113
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | Business | Client | DBSI provides financial services to the Client. |
| DBSI | Business | Pershing | DBSI may lend securities to Pershing. |
Notable Quotes 2
Client understands that while Securtin held for Client's Account(s) are loaned out. Client will lose voting rights attendant to such securities.
Client is responsible for knowledge of and adherence to any such laws, rules and regulations and reporting or Wing requirements in Client's country or domicile of residence that might apply as a resulrof Client's Account with 0851M the United States.
Financial Information
Assets:
- Securities
- Other Property
Transactions:
- Securities lending
- Pledging of securities
- Foreign exchange
Legal Compliance
- Freeriding Prohibited (Not Applicable to Margin Accounts). Paying for the purchase of securities in a cash account with the proceeds of their soosequert sale, known as heeriding. violates Reguittion T of the Federal Reserve Board, is prohibited and may. among other things. result in Client's Account being restricted or closed.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
DBSIPershingSecurities and EXchange CommissinnFederal Reserve Board
Locations 1
United States
Text Analysis
- Tone
- Legalistic
- Purpose
- To disclose terms and conditions of an account agreement between DBSI and its client.
- Significance
- Outlines the rights and responsibilities of both DBSI and the client regarding securities, transactions, and potential risks.
File Info
- File Name
- EFTA01390400.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:44.821213
- DOJ Source
- View on DOJ