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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
, providing Client information outside of DBSI. 7. "Party" or "Parties' means Client(s) and DBSI, together with its affiliates, collectNely. 8. 'Restricted Securities' means securities of a corporation of which Client is a director, executive officer or 10% stockholder, or otherwise classified as a control person o
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
ns, providing Client information outside of DBSI. 7. tatty" or "Parties' means Client(s) and DBSI, together with its affiliates, collectively. 8. 'Restricted Securities' means securities of a corporation Of which Client is a director, executive officer or 10% stockholder, or otherwise classified as a control person o
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
, providing Client information outside of DBSI. 7. 'Party' or 'Parties" menns Client(s) and DBSI, together with its affiliates, collectively. 8. 'Restricted Securities' means securities of a corporation of which Client is a director, executive officer or 10% stockholder, or otherwise classified as a control person o
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
, providing Client information outside of OBSI. 7. "Party" or "Parties" means Clients) and OBSI, together with its affiliates. collectively. 8. "Restricted Securities' means securities of a corporation of which Client is a director, executive officer or 10% stockholder, or otherwise classified as a control person o
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
s, providing Client information outside of DBSI. 7. 'Party" or 'Parties' menns Clients) and DBSI, together whn its affiliates, collectively. 8. 'Restricted Securities' means securities of a corporation of which Client is a director, executive officer or 10% stockholder, or otherwise classified as a control person o
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
as a dependent for federal income tax purposes. 11. 'Party' or 'Parties' means Client(s) and 0851. together with its affiliates, collectively. 12. 'Restricted Securities' means securities of a corporation of which Client is a director, executive officer or 10% stockholder, or otherwise classified as a control person o
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
as a dependent for federal income tax purposes. 11. 'Party' or 'Parties' means Client(s) and 0851. together with its affiliates, collectively. 12. 'Restricted Securities' means securities of a corporation of which Client is a director, executive officer or 10% stockholder, or otherwise classified as a control person o
Client. DBSI may recommend securities or strategies this are issued, onderwritten, implemented nr adviseditay.OBSI or one or mere of he affiliates. DEISI may receive compensation, in addition to the compensation Client pays DBSI, in the form of Rule 12b-1 fees, distribution lees, finder's fees, fees
, providing Client information outside of DBSI. 7. "Party" or 'Parties" means Clicnt(s) and O851, together with Its affiliates, collectively. 8. "Restricted Securities' means securities of a corpointign et which Client is a director, executive officer: or 15% stockhcider. or otherwise classified as a control person
Client. DBSI may recommend securities or strategies this are issued, onderwritten, implemented nr adviseditay.OBSI or one or mere of he affiliates. DEISI may receive compensation, in addition to the compensation Client pays DBSI, in the form of Rule 12b-1 fees, distribution lees, finder's fees, fees
, providing Client information outside of DBSI. 7. "Party" or 'Parties" means Clicnt(s) and O851, together with Its affiliates, collectively. 8. "Restricted Securities' means securities of a corpointign et which Client is a director, executive officer: or 15% stockhcider. or otherwise classified as a control person
Entities connected to both DEISI and Restricted Securities'
Pershing
LOCATIONDeutsche Bank Securities Inc.
ORGANIZATION
Jeffrey Epstein
PERSON
United States
LOCATIONApplicable Law
PERSONPershing LLC
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONthe State of New York
LOCATION
Federal Reserve
ORGANIZATION
Deutsche Bank
ORGANIZATIONthe Federal Arbitration Act
ORGANIZATIONClient and Deutsche Bank Securities Inc.
ORGANIZATIONthe Margin Account
ORGANIZATIONCustomer Inquiries/Customer Complaints
ORGANIZATIONForeign Securities which Client
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATIONSecurities and Other Property
ORGANIZATIONForeign Securities
ORGANIZATIONU.S. Department of Labor
ORGANIZATION
the Internal Revenue Service
ORGANIZATION