8
Shared Docs
8
Same-Page
8 / 8
Mentions
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
et mutual funds or deposit products that are unaffiliated with DBSI if Clenta Account is an individual rentement account or an ERISA account, or if DEISI is acting as Chant's investment adviser. Client understands that any funds Client has on deposit with the banks participating in MP will be allocate
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
rvice providers (es set forth horeiol end DBSI Affiliates such credit•related and business conduct information and any other confidentialinformation DEISI, Deutsche Bank AG and such Affibetels) may have about Clint and Client's Account, in accordance with DI3S1's Privacy Policy and Applicable Law. DBSI
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
uciary certain information In connection with the services that DBSI provides to a plan, to assist the fiduciary In evaluating the reasonableness of DEISI's services and related compensation. The disclosure Is available online, at http/Mvewpwm.db.comiernericasfeiVerisa_disdosure_pcs.html. By signing be
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
rty, or to substitute securities in Client's Account. 8. Restricted Seothitiee. fl ed will not buy, sell or pledge any Restricted Securities without DEISI's prior written approval. Prior to placing any order for Restricted Securities subject to Rule 144 or 145 of the Securities Act of 1933. Client mus
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
each Joint Accountholder to 0851 and its Affiliates or Pershing. With respect to the lien granted to DBSI and its Affiliates, DBSI (or Pershing, at DEISI's instruction) may. at any time and without prior notice, sell, transfer, release, exchange, settle or otherwise dispose in or deal witn any or all
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
otice to Cliot If DBSI does bot reteive payment by sethoment dote. Alternatively, upon Client's failure to pay for purchased and settled securities. DEISI has the right to sell Securities and Other Property held in any of Client's Account(s), and charge to Client any loss resulting therefrom. 6. Sale
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
vested cash balances in eligible Account(s) will be deposited automatically each day into interest-bearing, FDIC-insured depository accounts through DEISI's IDP or into en available money market mutual fund until Client invests these balances or balances are otherwise needed to satisfy obligations ari
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
vested cash balances in eligible Account(s) will be deposited automatically each day into interest-bearing, FDIC-insured depository accounts through DEISI's IDP or into en available money market mutual fund until Client invests these balances or balances are otherwise needed to satisfy obligations ari
Entities connected to both Applicable Law and DEISI
Pershing
LOCATIONDeutsche Bank Securities Inc.
ORGANIZATION
United States
LOCATION
Jeffrey Epstein
PERSON
Federal Reserve
ORGANIZATIONthe State of New York
LOCATIONPershing LLC
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATION
Deutsche Bank
ORGANIZATIONRestricted Securities'
ORGANIZATIONCustomer Inquiries/Customer Complaints
ORGANIZATIONthe Margin Account
ORGANIZATIONForeign Securities which Client
ORGANIZATIONthe Federal Arbitration Act
ORGANIZATIONClient and Deutsche Bank Securities Inc.
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATIONForeign Securities
ORGANIZATION
the Internal Revenue Service
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONSecurities and Other Property
ORGANIZATION