Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is an appendix to an account agreement between DBSI and its client, outlining disclosures and definitions related to the account. It covers topics such as confirmations, loaning of securities, foreign securities risks, and compliance with regulations.
Metadata
- Subject
- APPENDIX TO THIS ACCOUNT AGREEMENT: DISCLOSURES AND DEFINITIONS
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0103584
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | business | Client | DBSI provides account services to the Client. |
| DBSI | business | Pershing | DBSI may lend securities to Pershing. |
Notable Quotes 2
Neither Pershing, nor DBSI, will lend or pledge fully paid for securities without Client's written permission.
Client is responsible for knowledge of and adherence to any such laws, rules and regulations and reporting or filing requirements in Client's country or domicile of residence that might apply as a result of Client's Account with DBSI in the United States.
Financial Information
Assets:
- Securities
- Other Property
Legal Compliance
- Freeriding violates Regulation T of the Federal Reserve Board.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
DBSIPershingSecurities and Exchange CommissionFederal Reserve Board
Locations 1
United States
Text Analysis
- Tone
- Professional
- Purpose
- To provide disclosures and definitions related to an account agreement with DBSI.
- Significance
- This document outlines the terms and conditions of an account agreement, including risks associated with foreign securities and the handling of client assets.
File Info
- File Name
- EFTA01448531.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:16.300896
- DOJ Source
- View on DOJ