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Document Mentions (11 shared documents)
2 mentions1 same-page
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clude those funds in models and programs. In addition, OBSI may receive trail compensation in conneetion with sales of auction rate securities. 12. Securities Investor Protection Corporation (SIPC). DBSI provides SIPC coverage through Pershing and/or as e member of SIPC. For additional information on this coverage see www.SlPC.org or cel
or 10% stockholder, or otherwise classified as a control person or insider, or secunneS that are subject to any restrictions on resale (whether by Applicable Law, contrast or legendori the security), or are not traded on or through a national securities exchange, automated quotation system or other nationally
2 mentions1 same-page
Page ?Same page
ude those funds in models and programs. In addition, DBSI may receive trail compensation in eonnection with sales of euchon rate seourities. • 12. Securities Investor Protection Corporation (SIPC). OBSI provides SIPC coverage through Pershing and/or as a member of SIPC. For additional information on this coverage see www.SlPC.org or cal
r 10% stockholder, or otherwise classified as a control person or insider, or securities that are subject to any restrictions on resale (whether by Applicable Law, contract or legend on the security). or are not traded on or through a national securities exchange, automated quotation system or other nationally
2 mentions1 same-page
Page ?Same page
clude those funds in models and programs. In addition. DBSI may receive trail compensation in connection with sales of auction rate securities. 12. Securities Investor Protection Corporation (SIPC). DBSI provides SIPC coverage through Pershing and/or as a member of SIPC. For additional information on this coverage see www.SlPC.org or cal
r 10% stockholder, or otherwise classified as a control person or insider. or securities that ere subject to any restrictions on resale (whether by Applicable Law, contract or legend on the security), or are not traded on or through a national securities exchange, automated quotation system or other nationally
Sponsored
2 mentions1 same-page
Page ?Same page
clude those funds in models and programs. In addition, DBSI may receive trail compensation in connection with sales of auction rate securities. 12. Securities Investor Protection Corporation (SIPC). DBSI provides SIPC coverage through Pershing and/or as a member of SIPC. For additional information on this coverage see www.SlPC.org or cal
r 10% stockholder, or otherwise classified as a control person or Insider, or securities that are subject to any restrictions on resale (whether by Applicable Law, contract or legend on the security), or are nottraded on or through a notional securities exchange, automated quotation system or other nationally
2 mentions1 same-page
Page ?Same page
clude those funds in models and programs. In addition, DBSI may receive trail compensation in connection with selss of auction rate securities. 12. Securities Investor Protection Corporation (SIPC). DBSI provides SIPC coverage through Pershing and/or as a member of SIPC. For additional information on this coverage see www.SlPC.org or cal
r 10% stockholder, or otherwise classified as a control person or insider, or securities that are subject to any restrictions on resale (whether by Applicable Law, contract or legend on the security). or are not traded on or through a national securities exchange, automated quotation system or other nationally
2 mentions1 same-page
Page ?Same page
clude those funds in models and programs. In addition. DBSI may receive trail compensation in conneetion with sales of auction rate securities. 12. Securities Investor Protection Corporation (SIPC). DBSI provides SIPC coverage through Pershing end/or as a member of SIPC. For additional information on this coverage see www.SlPC.org or cel
r 10% stockholder, or otherwise classified as a control person or insider, or securities that are subject to any restrictions on resale (whether by Applicable Law, contrast or legend on the security). or are not traded on or through a national securities exchange, automated quotation system or other nationally
Sponsored
2 mentions1 same-page
Page ?Same page
lude those funds in models and programs. In addition, DEIS! may receive trail compensation in connection with sates of auction rate securities. 12. Securities Investor Protection Corporation (SIPC). DBS1 provides SIPC coverage through Pershing and/or as a member of SIPC. For additional information on this coverage see www.SIPC.org or cal
r 10% stockholder, or otherwise classified as a control person or insider, or securities that are subject to any restrictions on resale (whether by Applicable Law, contract or legend on the security), or are not'traded on or through a notional securities exchange, automated quotation system or other nationally
2 mentions1 same-page
Page ?Same page
lude those funds in models and programs. In addition, DBSI may receive trail compensation in connection with sales of auction rate securities. 12. Securities Investor Protection Corporation (SIPC). DBSI provides SIPC coverage through Pershing and/or as a member of SIPC. For additional information on this coverage see www.SIPC.org or c
10% stockholder, or otherwise classified as a control person or insider, or securities that are subject to any restrictions on resale (whether by Applicable Law, contract or legend on the security), or are not traded on or through a national securities exchange, automated quotation system or other nationall
2 mentions1 same-page
Page ?Same page
lude those funds in models and programs. In addition, DBSI may receive trail compensation in connection with sales of auction rate securities. 12. Securities Investor Protection Corporation (SIPC). DBSI provides SIPC coverage through Pershing and/or as a member of SIPC. For additional information on this coverage see www.SIPC.org or c
10% stockholder, or otherwise classified as a control person or insider, or securities that are subject to any restrictions on resale (whether by Applicable Law, contract or legend on the security), or are not traded on or through a national securities exchange, automated quotation system or other nationall
Sponsored
2 mentions1 same-page
Page ?Same page
lude those funds in models and programs. In addition, DBSI may receive trail compensation in connection with sales of auction rate securities. 12. Securities Investor Protection Corporation (SIPC). DBSI provides SIPC coverage through Pershing and/or as a member of SIPC. For additional information on this coverage see www.SIPC.org or c
10% stockholder, or otherwise classified as a control person or insider, or securities that are subject to any restrictions on resale (whether by Applicable Law, contract or legend on the security), or are not traded on or through a national securities exchange, automated quotation system or other nationall
Sponsored
Mutual Connections (72)
Entities connected to both Securities Investor Protection Corporation and Applicable Law
the Internal Revenue Service
ORGANIZATION494 w/ Securities·9 w/ Applicable
the State of New York
LOCATION263 w/ Securities·13 w/ Applicable
Ghislaine Maxwell
PERSON227 w/ Securities·2 w/ Applicable
FDIC
ORGANIZATION211 w/ Securities·8 w/ Applicable
Jeffrey Epstein
PERSON191 w/ Securities·6 w/ Applicable
Pershing
LOCATION157 w/ Securities·11 w/ Applicable
Federal Reserve
ORGANIZATION126 w/ Securities·14 w/ Applicable
Pershing LLC
ORGANIZATION117 w/ Securities·11 w/ Applicable
Deutsche Bank
ORGANIZATION96 w/ Securities·7 w/ Applicable
the Options Clearing Corporation
ORGANIZATION55 w/ Securities·7 w/ Applicable
Deutsche Bank Securities Inc.
ORGANIZATION41 w/ Securities·10 w/ Applicable
the Securities and Exchange Commission
ORGANIZATION39 w/ Securities·8 w/ Applicable
United States
LOCATION22 w/ Securities·13 w/ Applicable
Mao Zedong
PERSON23 w/ Securities·4 w/ Applicable
Joi Ito
PERSON22 w/ Securities·4 w/ Applicable
Customer Inquiries/Customer Complaints
ORGANIZATION15 w/ Securities·11 w/ Applicable
George W. Bush
PERSON21 w/ Securities·2 w/ Applicable
Foreign Securities which Client
ORGANIZATION13 w/ Securities·10 w/ Applicable
the Margin Account
ORGANIZATION13 w/ Securities·9 w/ Applicable
Larry Page
PERSON20 w/ Securities·2 w/ Applicable