Illegal Activity
none
Blackmail
none
Date
2013-03-28
Document Type
Legal Document
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document outlines the terms and conditions of a margin account agreement between DBSI/Pershing and the Client, covering aspects such as short sales, collateral, and compliance with regulations. It details the rights and responsibilities of both parties in relation to margin trading.
Metadata
- Subject
- Margin Account Agreement
- Sender
- DBSI or Pershing
- Recipients
- Client
- Document ID
- DB-SDNY-0103589
- Date
- 2013-03-28
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | Business | Client | DBSI provides margin account services to the Client. |
| Pershing | Business | Client | Pershing provides margin account services to the Client. |
Notable Quotes 2
Client is ultimately responsible for the delivery of securities on the settlement date and for the consequences of a failure to deliver and the timely return of securities borrowed on Client's behalf including any losses incurred by DBSI or Pershing relating to such short sales.
Client will not post Restricted Securities as collateral for margin transactions without the prior approval of DBSI.
Financial Information
Amounts:10.000 shares
Assets:
- Securities
- Other Property
- Collateral
- Municipal Securities
- Restricted Securities
Transactions:
- Short sales of securities
- Margin transactions
- Hedging transactions
- Buy-in of securities
Legal Compliance
- Compliance with Federal Reserve Bank Regulation T
- Compliance with Applicable Law regarding short sales
- Compliance with FINRA regulations
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
DBSIPershingFederal Reserve BankFINRA
Locations 1
U.S.
Financial Entities 1
Internal Revenue Code
Text Analysis
- Tone
- Legal
- Purpose
- To outline the terms and conditions of a margin account agreement between DBSI/Pershing and the Client.
- Significance
- This document defines the rights and responsibilities of both parties in relation to margin trading, short sales, and collateral management.
File Info
- File Name
- EFTA01448536.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:35.815563
- DOJ Source
- View on DOJ