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, 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
effect frem time to time. :Applicable Lae, shall also include the rules of any national securities association, registered securities exchange or of the Options Clearing Corporation or other clearing organization applicable to the trading of option contracts. 13-AWM.0196 $ CONFIDENTIAL 013145032813 SDNY_GM_00037910 CONFIDE
, providing Client information outside of D8S1. 7. 'Party' or 'Parties' means Clients) and OBSI, together witfr 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
affect from time to tare. 'Applicable Law" shall also include the rules of any national securities association, registered securities exchange or of the Options Clearing Corporation or other clearing organization applicable to the trading of option contracts. is-AwM-D196 9 012145=813 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P
, 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
effect frem time to time. 'Applicable Law' shill also include the rules of any national securities association, registered securities exchange or of the Options Clearing Corporation or other clearing organization applicable to the trading of option contracts. 13-AWM.0196 9 012149032813 CONFIDENTIAL - PURSUANT TO FED. R GRIM.
Entities connected to both Restricted Securities' and the Options Clearing Corporation
Pershing
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONPershing LLC
ORGANIZATIONthe State of New York
LOCATION
Deutsche Bank
ORGANIZATION
Jeffrey Epstein
PERSON
FDIC
ORGANIZATION
Federal Reserve
ORGANIZATIONDeutsche Bank Securities Inc.
ORGANIZATIONApplicable Law
PERSONDEISI
ORGANIZATION
United States
LOCATIONSouthern Trust Company
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
Joi Ito
PERSONthe Federal Arbitration Act
ORGANIZATIONClient and Deutsche Bank Securities Inc.
ORGANIZATIONCustomer Inquiries/Customer Complaints
ORGANIZATIONthe Margin Account
ORGANIZATIONForeign Securities which Client
ORGANIZATION