Illegal Activity
none
Blackmail
none
Date
032813
Document Type
agreement
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is a Margin Addendum to an Account Agreement, outlining the terms and conditions for a client's margin account with DBSI and Pershing. It details the mechanics, risks, financing, interest, liens, and liquidation rights associated with the account.
Metadata
- Subject
- MARGIN ADDENDUM TO ACCOUNT AGREEMENT
- Sender
- —
- Recipients
- —
- Document ID
- 1340.NM-0196
- Date
- 032813
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Client | Financial | DBSI | Client agrees to be bound by the terms and conditions in this Margin Addendum as well as those terms and conditions contained in the Account Agreement. |
| Client | Financial | Pershing | Client agrees to be bound by the terms and conditions in this Margin Addendum as well as those terms and conditions contained in the Account Agreement. |
Notable Quotes 2
Client hereby grants to DBSI and its Affiliates a security interest in and lien upon all Securities and Other Property in the possession or control of DBSI, any of its Affiliates or Pershing, in which Client has an interest (held individually, jointly or otherwise) (collectively all such Securities and Other Properly are referred to herein as "DB Collateral") in order to secure any and all indebtedness or any other obligation of Client to DBSI and its Affiliates or Pershing (collectively, all such obligations are referred to herein as the 'DB Obligations").
Client understands that the margin transactions in the Account may be financed by Pershing or DBSI.
Red Flags 2
- The document grants DBSI and Pershing broad rights to liquidate assets in the Margin Account under various circumstances.
- Client loses voting rights attendant to securities loaned out.
Financial Information
Assets:
- Securities
- Other Property
- Cash
Transactions:
- Margin transactions
- Loan or Pledge of Securities and Other Property
- Liquidations and Covering Short Positions
Legal Compliance
- Section 4975(c)(1)(8) of the Internal Revenue Code of 1986, as amended
- Section 406(a)(i)(B) of the Employee Retirement Income Security Act of 1974, as amended
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
PershingDBSIDeutsche BankAlex Brown
Locations 1
Americas
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Professional
- Purpose
- To establish the terms and conditions for a margin account.
- Significance
- This document outlines the risks, responsibilities, and rights of both the client and the financial institutions (DBSI and Pershing) involved in a margin account agreement.
File Info
- File Name
- EFTA01448501.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:34.521317
- DOJ Source
- View on DOJ