Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
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, and compliance with regulations.
Metadata
- Subject
- APPENDIX TO THIS ACCOUNT AGREEMENT: DISCLOSURES AND DEFINITIONS
- Sender
- —
- Recipients
- —
- Document ID
- 012145.032813
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | business | Client | DBSI provides financial services to the Client. |
| DBSI | business | Pershing | DBSI may lend securities to Pershing. |
Notable Quotes 2
Client understands that while securities held for Client's Account(s) are loaned out, Client will lose voting rights attendant to such securities.
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
- Foreign Securities
- Foreign Currencies
Transactions:
- Loan or pledge of securities
- Purchase of securities
- Sale of securities
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
- Informative, legal
- Purpose
- To disclose important information and definitions related to the account agreement between DBSI and the Client.
- Significance
- This document outlines the terms and conditions of the account agreement, including risks associated with foreign securities and the handling of client assets.
File Info
- File Name
- EFTA01448553.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:32.870830
- DOJ Source
- View on DOJ