Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
Account Agreement
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is an account agreement between a client and Deutsche Bank Securities Inc. (DBSI), outlining the terms and conditions for a brokerage account, including provisions for cash accounts, margin accounts, order execution, arbitration, and tax responsibilities. It also includes disclosures about risks associated with trading, particularly on margin, and the rights of DBSI to manage the account under certain circumstances.
Metadata
- Subject
- Account Agreement
- Sender
- —
- Recipients
- —
- Document ID
- 13-AWM-0196 012145.032813
- Date
- —
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Client | Contractual | Deutsche Bank Securities Inc. (DBSI) | Account Agreement between Client and DBSI |
| DBSI | Agent | Pershing LLC | DBSI delegates rights/obligations to Pershing LLC as clearing agent |
| DBSI | Subsidiary | Deutsche Bank AG | DBSI is a subsidiary of Deutsche Bank AG |
Notable Quotes 3
Client agrees to arbitrate any controversies or disputes that may arise with DBSI or Pershing
Client understands that the assets in Client's Account are subject to the risk of partial or total loss due to market fluctuations or the insolvency of the issuer(s).
You can lose more funds than you deposit in the Margin Account.
Red Flags 3
- DBSI can force the sale of securities or other assets in your account(s).
- DBSI can sell your securities or other assets without contacting you.
- DBSI can increase its "house" maintenance margin requirements at any time and is not required to provide you advance written notice.
Financial Information
Assets:
- Securities
- Cash
- Other Property
Transactions:
- Purchase and sale of securities
- Margin loan
- Cash sweep options
- Short sales
Public Knowledge
- Context
- Standard brokerage account agreement terms.
Legal Compliance
- Arbitration clause
- Disclosure of risks associated with margin trading
- Compliance with Applicable Law
- Tax election/declaration of tax status
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsCommunications/correspondence
Organizations 15
Deutsche Asset & Wealth ManagementDeutsche Bank Securities Inc.DBSIDeutsche Bank AGPershing LLCFinancial Industry Regulatory Authority, Inc. (FINRA)Internal Revenue Service (IRS)Securities and Exchange CommissionOptions Clearing CorporationSecurities Investor Protection Corporation (SIPC)Deutsche Bank Trust Company AmericasDeutsche Bank National Trust CompanyDeutsche Bank Trust Company, N.A.Deutsche Bank Trust Company DelawareFederal Reserve Board
Locations 2
New YorkUnited States
Financial Entities 1
Federal Deposit Insurance Corporation (FDIC)
Text Analysis
- Tone
- Formal, Legal
- Purpose
- To establish the terms and conditions for a brokerage account between a client and Deutsche Bank Securities Inc. (DBSI).
- Significance
- This document outlines the rights, responsibilities, and risks associated with opening and maintaining a brokerage account with DBSI, including margin trading, arbitration, and tax implications.
File Info
- File Name
- EFTA01400592.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:34.626510
- DOJ Source
- View on DOJ