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 client agreement between a client and Deutsche Bank Securities Inc. (DBSI), outlining terms related to indebtedness, loan of securities, order aggregation, arbitration, and SIPC protection. It details the rights and responsibilities of both parties and includes an arbitration clause where the client waives their right to sue in court.
Metadata
- Subject
- Client Agreement
- Sender
- —
- Recipients
- —
- Document ID
- 09-PWM-0186 Corp Acct Auth 6, T6C 102/12
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Client | contractual | DBSI | Client agrees to terms and conditions set forth by DBSI |
| DBSI | clearing broker | Pershing LLC | Pershing LLC acts as the clearing broker for DBSI |
Notable Quotes 2
All parties to this Agreement are giving up the right to sue each other in court, including the right to a trial by jury.
Client agrees to arbitrate with DBSI any controversies which may arise... only before the Financial Industry Regulatory Authority, Inc., or any exchange of which DBSI is a member, at Client's election.
Financial Information
Amounts:$500.000$100,000
Assets:
- Securities
- Other Property
Legal Compliance
- Arbitration agreement requires clients to waive their right to sue in court.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 7
DBSIDeutsche Bank Securities Inc.Financial Industry Regulatory AuthorityPershing LLCSecurities Investor Protection CorporationSIPCMISI
Locations 3
New YorkNY60 Wall Street 23rd Floor, Mail Stop NYC60.2330, New York, NY 10005-21336
Financial Entities 1
Deutsche Bank Securities Inc.
Text Analysis
- Tone
- Formal, legal
- Purpose
- To outline the terms and conditions of a client agreement with Deutsche Bank Securities Inc. (DBSI).
- Significance
- This document is a standard client agreement outlining the rights and responsibilities of both the client and DBSI, including arbitration clauses, loan of securities, and SIPC protection.
File Info
- File Name
- EFTA01390425.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:13.766175
- DOJ Source
- View on DOJ