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 a Securities Account Control Agreement outlining the rights and responsibilities of the Debtor, Secured Party, and Intermediary. It defines the conditions under which the Secured Party can exercise control over the financial assets held in primary and secondary accounts.
Metadata
- Subject
- Securities Account Control Agreement
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0095221
- Date
- —
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Debtor | legal | Secured Party | The Debtor agrees that no additional liens shall be permitted without the prior written consent of the Secured Party. |
| Intermediary | business | Debtor | The Intermediary will honor instructions from the Debtor with respect to the exercise of voting rights until Intermediary has received a written notice from Secured Party that Debtor shall no longer be entitled to exercise such voting rights. |
| Intermediary | legal | Secured Party | In the event that the Intermediary receives an Entitlement Order from the Secured Party that is inconsistent with any order and/or instructions received from the Debtor, the Intermediary shall honor the Entitlement Order of the Secured Party. |
Notable Quotes 2
The Debtor agrees that no additional liens shall be permitted without the prior written consent of the Secured Party.
If at any time the Intermediary shall receive an entitlement order (as such term is defined in the UCC) in substantially the form set forth as Exhibit A from the Secured Party directing transfer or redemption of any financial asset credited to the Securities Account or any free credit balances with respect to such Securities Account (hereinafter an "Entitlement Other"), the Intermediary shall comply with such Entitlement Order without further consent by the Debtor or any other person.
Financial Information
Assets:
- financial assets
- free credit balances
- Securities Account
Transactions:
- transfer of assets from the secondary account to the primary account for the settlement of trades
- redemption of any financial asset credited to the Securities Account
- transfer of any financial asset credited to the Securities Account
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 3
Secured PartyIntermediaryDebtor
Text Analysis
- Tone
- Formal, legal
- Purpose
- To define the rights and responsibilities of the Debtor, Secured Party, and Intermediary with respect to a Securities Account Control Agreement.
- Significance
- This document outlines the control and management of financial assets held in primary and secondary accounts, specifying the conditions under which the Secured Party can exercise control over the accounts.
File Info
- File Name
- EFTA01390660.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:57.035263
- DOJ Source
- View on DOJ