Illegal Activity
none
Blackmail
none
Date
2013-03-28
Document Type
agreement
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is a margin addendum to an account agreement, outlining the terms and conditions for using margin, including the risks, interest rates, and the rights of DBSI and Pershing to demand payment or liquidate assets. It also grants DBSI and Pershing a security interest in the client's securities and other property to secure any indebtedness.
Metadata
- Subject
- MARGIN ADDENDUM TO ACCOUNT AGREEMENT
- Sender
- —
- Recipients
- —
- Document ID
- 1340.NM-0196
- Date
- 2013-03-28
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Client | Financial | Pershing | Client has a margin account with Pershing. |
| Client | Financial | DBSI | Client has a margin account that may be financed by DBSI. |
| DBSI | Business | Pershing | Pershing may act on DBSI's instruction regarding collateral. |
Notable Quotes 2
Client's Margin Loan Is a Demand Loan. As such, DBSI or Pershing has the right to demand at any time the immediate payment of all or any portion of a margin balance.
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...in order to secure any and all indebtedness or any other obligation of Client to DBSI and its Affiliates or Pershing
Financial Information
Assets:
- Securities
- Other Property
- Cash
Transactions:
- Margin transactions
- Loans
- Pledging of securities
- Liquidation of securities
Legal Compliance
- Reference to Section 4975(c)(1)(8) of the Internal Revenue Code of 1986, as amended, or Section 406(a)(i)(B) of the Employee Retirement Income Security Act of 1974, as amended, indicating potential prohibited transactions.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
PershingDBSIDeutsche BankDBSI Affiliates
Locations 1
Americas
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Legal
- Purpose
- To establish the terms and conditions for a margin account.
- Significance
- This document outlines the risks and responsibilities associated with margin trading, including the right of DBSI and Pershing to liquidate assets.
File Info
- File Name
- EFTA01448556.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:51.443939
- DOJ Source
- View on DOJ