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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
DBSI has the right to decline to accept an order for these securities until the transfer and registration of such securities has been approved. 9. Order Placement and CaneellatinntMoodication Requests, When Client verbally places a trade with a Client Advisor, Client will be. bound to the oral confirmation rep
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
DBSI has the right to decline to accept an order for these securities until the transfer and registration of such securities has been approved. 9. Order Placement and Can Requests. When Client verbally places a trade with a Client Advisor. Client will be bound to the oral confirmation repeated back to Client,
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
DBSI has the right to decline to accept an order for these securities until the transfer and registration of such securities has been approved. 9. Order Placement and Canoellatinnthilocinication Requests, Whan Client verbally places a trade with a Client Advisor, Client will ba bound to the oral confirmation r
Entities connected to both Applicable Law and Order Placement
Pershing
LOCATION
Federal Reserve
ORGANIZATIONthe State of New York
LOCATION
United States
LOCATIONRestricted Securities'
ORGANIZATIONPershing LLC
ORGANIZATIONCustomer Inquiries/Customer Complaints
ORGANIZATIONForeign Securities which Client
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONDeutsche Bank Securities Inc.
ORGANIZATIONDEISI
ORGANIZATION
the Internal Revenue Service
ORGANIZATIONthe Margin Account
ORGANIZATIONForeign Securities
ORGANIZATION
FDIC
ORGANIZATIONthe Federal Arbitration Act
ORGANIZATIONClient and Deutsche Bank Securities Inc.
ORGANIZATION
Jeffrey Epstein
PERSON
Deutsche Bank
ORGANIZATIONU.S. Department of Labor
ORGANIZATION