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AL
Applicable Law
Person
31
Total Mentions
31
Documents
233
Connected Entities
Person referenced in documents
Document Mentions (20 of 31)
EFTA01280014.pdf
1 mentionEFTA01280014
on 15) of such alleged breach and afforded the other party hereto a reasonable period after the giving of such notice to take corrective action. If Applicable Law provides a time period which must elapse before certain action can be taken, that time period will be deemed to be reasonable for purposes of this p
EFTA01279994.pdf
1 mentionEFTA01279994
on 15) of such alleged breach and afforded the other party hereto a reasonable period after the giving of such notice to take corrective action. If Applicable Law provides a time period which must elapse before certain action can be taken, that time period will be deemed to be reasonable for purposes of this p
EFTA01282416.pdf
1 mentionEFTA01282416
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
Sponsored
EFTA01282660.pdf
1 mentionEFTA01282660
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
EFTA01282593.pdf
1 mentionEFTA01282593
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
EFTA01282854.pdf
1 mentionEFTA01282854
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
Sponsored
EFTA00165782.pdf
1 mentionEFTA00165782
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
EFTA00169332.pdf
1 mentionEFTA00169332
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
EFTA00169810.pdf
1 mentionEFTA00169810
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
Sponsored
EFTA01353380.pdf
1 mentionEFTA01353380
r 10% stockholder, or otherwise classified as a contro€ 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
EFTA01355695.pdf
1 mentionEFTA01355695
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
EFTA00794332.pdf
1 mentionEFTA00794332
on 15) of such alleged breach and afforded the other party hereto a reasonable period after the giving of such notice to take corrective action. If Applicable Law provides a lime period which must elapse before caftan action can be taken, that lime period will be deemed to be reasonable for purposes of this pa
Sponsored
EFTA00612460.pdf
1 mentionEFTA00612460
on 15) of such alleged breach and afforded the other party hereto a reasonable period after the giving of such notice to take corrective action. If Applicable Law provides a lime period which must elapse before caftan action can be taken, that lime period will be deemed to be reasonable for purposes of this pa
EFTA01357574.pdf
1 mentionEFTA01357574
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
EFTA01365778.pdf
1 mentionEFTA01365778
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
Sponsored
EFTA01377846.pdf
1 mentionEFTA01377846
r 10% stockholder, or otherwise classified as a contro€ 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
EFTA01378955.pdf
1 mentionEFTA01378955
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
EFTA01390341.pdf
1 mentionEFTA01390341
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
Sponsored
EFTA01390366.pdf
1 mentionEFTA01390366
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
EFTA01390374.pdf
1 mentionEFTA01390374
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
Sponsored
Connected Entities(20 of 233)
Federal Reserve
OrganizationFederal Reserve System, central banking system of the United States
14 docs14 co-mentions
the State of New York
LocationState in the northeastern United States
13 docs13 co-mentions
United States
LocationCountry located primarily in North America
13 docs13 co-mentions
Restricted Securities'
OrganizationOrganization referenced in documents
13 docs13 co-mentions
Pershing
LocationFinancial district location, likely Pershing Square or Pershing LLC
11 docs11 co-mentions
Customer Inquiries/Customer Complaints
OrganizationOrganization referenced in documents
11 docs11 co-mentions
Securities Investor Protection Corporation
OrganizationFederally chartered corporation protecting investors in failed brokerages
11 docs11 co-mentions
Pershing LLC
OrganizationBNY Mellon subsidiary providing clearing and settlement services
11 docs11 co-mentions
Foreign Securities which Client
OrganizationOrganization referenced in documents
10 docs10 co-mentions
Deutsche Bank Securities Inc.
OrganizationDeutsche Bank Securities Inc., US broker-dealer subsidiary of Deutsche Bank AG
10 docs10 co-mentions
the Margin Account
OrganizationOrganization referenced in documents
9 docs9 co-mentions
the Internal Revenue Service
OrganizationInternal Revenue Service (IRS), US government agency responsible for tax collection and enforcement
9 docs9 co-mentions
Foreign Securities
OrganizationOrganization referenced in documents
8 docs8 co-mentions
FDIC
OrganizationUS government agency providing deposit insurance
8 docs8 co-mentions
DEISI
OrganizationOrganization referenced in documents
8 docs8 co-mentions
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission
8 docs8 co-mentions
the Options Clearing Corporation
OrganizationOptions Clearing Corporation
7 docs7 co-mentions
Deutsche Bank
OrganizationGerman global banking and financial services company
7 docs7 co-mentions
the Federal Arbitration Act
OrganizationOrganization referenced in documents
7 docs7 co-mentions
Client and Deutsche Bank Securities Inc.
OrganizationOrganization referenced in documents
7 docs7 co-mentions