Illegal Activity
none
Blackmail
none
Date
2012-02-22
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is a client agreement between Deutsche Bank Securities Inc. (DBSI) and its client, outlining terms related to indebtedness, securities lending, order aggregation, and arbitration. It also includes disclosures regarding SIPC protection and payment for order flow.
Metadata
- Subject
- Agreement
- Sender
- Deutsche Bank Securities Inc. (DBSI)
- Recipients
- Client
- Document ID
- DB-SDNY-0103626
- Date
- 2012-02-22
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Client | Contractual | DBSI | Client agrees to arbitrate with DBSI any controversies which may arise. |
| DBSI | Clearing Broker | Pershing LLC | Pershing LLC is the clearing broker for DBSI. |
Notable Quotes 2
Client agrees to satisfy, upon demand, any indebtedness, including any interest and commission charges.
Client agrees to arbitrate with DBSI any controversies which may arise, whether or not based on events occurring prior to the date of this agreement,including any controversy arising out of or relating to any account with DBSI, to the construction, performance or breach of any agreement, or any duty arising from any agreement or other relationship with ()BSI, or to transactions with or through DBSI, only before the Financial Industry Regulatory Authority, Inc., or any exchange of which DBSI is a member, at Client's election.
Red Flags 1
- DBSI can lend, pledge, and repledge client securities without notice.
Financial Information
Amounts:S500,0005100.000
Assets:
- Securities
- Other Property
Legal Compliance
- Arbitration agreement: Client agrees to arbitrate with DBSI any controversies which may arise.
- Loan or Pledge of Securities and Other Property: Securities and Other Property may be lent, pledged, and repledged by DBSI, without notice to Client.
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flowBusiness dealings
Organizations 6
Deutsche Bank Securities Inc. (DBSI)Financial Industry Regulatory Authority, Inc.Securities Investor Protection Corporation (SIPC)Pershing LLCDeutsche BankDEMI
Locations 2
New York60 Wall Street, 23rd Floor, Mail Stop NYC60-2330, New York, NY 10005-2836
Financial Entities 2
Deutsche Bank Securities Inc.Pershing LLC
Text Analysis
- Tone
- Formal
- Purpose
- To outline the terms and conditions of an agreement between DBSI and its client, including arbitration, satisfaction of indebtedness, and loan or pledge of securities.
- Significance
- This document is a standard client agreement outlining the rights and responsibilities of both the client and the brokerage firm.
File Info
- File Name
- EFTA01448563.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:55.225482
- DOJ Source
- View on DOJ