Illegal Activity
none
Blackmail
none
Date
02/12
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document outlines the terms and conditions of an agreement between a client and Deutsche Bank Securities Inc. (DBSI), covering aspects such as indebtedness, loaning of securities, arbitration, and SIPC protection. It details the rights and responsibilities of both parties in their financial relationship.
Metadata
- Subject
- Agreement
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0098192, SDNY_GM_00244376, 008420-022212
- Date
- 02/12
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 Securities and Other Property now or hereafter held, carried, or maintained by DBSI in its possession that have not been fully paid for, may be loaned, either to DBSI or to others, pledged, and repledged by DBSI, without notice to Client.
Client agrees to arbitrate with DBSI any controversies which may arise, whether or not based on events occurring prior to the date of this agreement including any controversy arising out of or relating to any account with DBSI, to the construction, performance or breach of any agreement, or any duty arising from any agreement or other relationship with DBSI, or to transactions with or through DBSI, 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
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flowBusiness dealings
Organizations 6
BSIDBSIFinancial Industry Regulatory Authority, Inc.Deutsche Bank Securities Inc.Pershing LLCSecurities Investor Protection Corporation (SIPC)
Locations 3
New YorkNY60 Wall Street, 23rd Floor, Mail Stop NYC80-2330, New York, NY 10005-2836
Financial Entities 2
Deutsche Bank Securities Inc.Pershing LLC
Text Analysis
- Tone
- Formal
- Purpose
- To outline the terms and conditions of an agreement between a client and Deutsche Bank Securities Inc. (DBSI).
- Significance
- This document is a standard agreement outlining the rights and responsibilities of both the client and DBSI, including arbitration clauses, loan/pledge of securities, and SIPC protection.
File Info
- File Name
- EFTA01392891.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:04.657861
- DOJ Source
- View on DOJ