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Document Mentions (4 shared documents)
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ign Securities in question play he urirated, and (9) such Foreign Securities are not suitable for all investors. Client authorizes ()BSI to purchase Foreign Securities (and, in the case of Foreign Securities denominated in forego cuironcies. the relevant foreign currencies) from or sell Foreign Senurities (and fore
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
2 mentions1 same-page
Page ?Same page
oreign Securities in question may be unrated, and (9) such Foreign Securities are not suitable for all investors. Client authorizes DBSI to purchase Foreign Securities (and, in the case of Foreign Securities denominated in foreign currencies, the relevant foreign currencies) from or sell Foreign Securities (and for
effect from time to time. '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. 1340914.0196 9 012145.0329,3 SDNY_GM_00038151 CONFIDENTIAL CONFI
2 mentions1 same-page
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eign Securities in question may he ticketed. and (g) such Foreign Securities are riot suitable for all investors. Client authorizes DBSI to purchase Foreign Securities (and, in the case of Foreign Securities denominated in foreigo currencies, the relevant foreign currencies) from or sell Foreign Senurities fend for
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.
Sponsored
2 mentions1 same-page
Page ?Same page
oreign Securities in question may be unrated, and (g) such Foreign Securities are not suitable for all investors. Client authorizes DBSI to purchase Foreign Securities (and, in the case of Foreign Securities denominated in foreign currencies, the relevant foreign currencies) from or sell Foreign Securities (and for
effect from time to time. '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. 13-AWM.0196 9 012145 032813 CONFIDENTIAL — PURSUANT TO FED. R. CRI
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Mutual Connections (44)
Entities connected to both Foreign Securities and the Options Clearing Corporation
Pershing
LOCATION18 w/ Foreign·99 w/ the
Securities Investor Protection Corporation
ORGANIZATION10 w/ Foreign·55 w/ the
Pershing LLC
ORGANIZATION10 w/ Foreign·51 w/ the
the State of New York
LOCATION10 w/ Foreign·50 w/ the
Deutsche Bank
ORGANIZATION5 w/ Foreign·31 w/ the
Federal Reserve
ORGANIZATION18 w/ Foreign·15 w/ the
Jeffrey Epstein
PERSON7 w/ Foreign·23 w/ the
United States
LOCATION18 w/ Foreign·9 w/ the
Deutsche Bank Securities Inc.
ORGANIZATION10 w/ Foreign·15 w/ the
FDIC
ORGANIZATION7 w/ Foreign·17 w/ the
Foreign Securities which Client
ORGANIZATION18 w/ Foreign·5 w/ the
the Securities and Exchange Commission
ORGANIZATION11 w/ Foreign·8 w/ the
DEISI
ORGANIZATION8 w/ Foreign·8 w/ the
AL
Applicable Law
PERSON8 w/ Foreign·7 w/ the
Customer Inquiries/Customer Complaints
ORGANIZATION10 w/ Foreign·5 w/ the
the Margin Account
ORGANIZATION8 w/ Foreign·6 w/ the
the Internal Revenue Service
ORGANIZATION8 w/ Foreign·5 w/ the
Southern Trust Company
ORGANIZATION3 w/ Foreign·10 w/ the
Joi Ito
PERSON2 w/ Foreign·10 w/ the
Client and Deutsche Bank Securities Inc.
ORGANIZATION6 w/ Foreign·5 w/ the