document_description: The document contains a table of financial analyst recommendations for various firms, including target prices and one-year returns. It also discusses warrants issued by a bank, their exercise price, and intrinsic value.


source: doj

document_description: The document contains financial data related to stock and warrant prices, including metrics such as last price, high, average, low, and volume. It discusses the potential impact of stock price changes on warrant values and provides details on warrant entitlements and strike prices over time.

document_type: tabular

document_subtype: financial data

key_organizations:
Deutsche Bank AG
Deutsche Asset & Wealth Management


document_description: The document contains confidentiality notices and disclaimers regarding privileged information, intended for specific recipients. It includes references to EU corporate and regulatory disclosures and privacy information. It also mentions attorney-client privilege and inside information, with instructions for handling if received in error.

document_type: other

key_locations:
EU
United Kingdom


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e). It contains identifiers such as DB-SDNY-0102246, SDNY_GM_00248430, and EFTA01447579, which may relate to a legal case or investigation in the Southern District of New York.


document_description: The document is marked as confidential and is related to legal proceedings, specifically under the Federal Rules of Criminal Procedure 6(e). It contains reference numbers that likely pertain to a case or investigation in the Southern District of New York.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case or investigation, likely within the Southern District of New York (SDNY).


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e). It contains identifiers related to a legal case or investigation, including DB-SDNY-0102253, SDNY_GM_00248437, and EFTA01447583.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case or investigation.


document_description: The document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It references federal rules of criminal procedure, indicating it may be part of a legal investigation or proceeding.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e). It contains identifiers related to a legal case or investigation, including DB-SDNY-0102259, SDNY_GM_00248443, and EFTA01447588.


document_description: Confidential communication notice regarding an email received in error, with instructions to notify and destroy the communication.

document_type: correspondence


document_description: This document contains a confidentiality notice indicating that unauthorized use, disclosure, or copying is prohibited and may be unlawful. It instructs recipients who received the communication in error to notify the sender and destroy the communication.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e). It contains identifiers such as DB-SDNY-0102267, SDNY_GM_00248451, and EFTA01447593, which suggest it is related to a legal case or investigation in the Southern District of New York.


document_description: The document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It references Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case in the Southern District of New York.


document_description: JPM US Equity stock chart data from July 16, 2013, to July 16, 2014, including last price, high, average, low, volume, and simple moving average.


document_description: The document contains historical stock price data for JPMorgan Chase & Co, including high, low, average prices, and trading volumes over a specified period. It also includes contact information for various international offices.

key_locations:
Australia
Brazil
Europe
Germany
Hong Kong
Japan
Singapore
U.S.

key_organizations:
JPMorgan Chase & Co
Bloomberg Finance L.P.


document_description: The document is a correspondence from Vahe Stepanian, an Associate at Deutsche Bank Securities Inc., discussing the potential sale of 1450 shares with a price update. It includes disclaimers about trade execution information and confidentiality.


document_description: This document contains key data points for JPM US Equity stock as reported by Bloomberg. It includes information on stock prices, volume, and averages over a specified date range.


document_description: The document is a table containing historical stock price data for JPMorgan Chase & Co. It includes information such as high and low prices, average prices, net change, and trading volumes over specific dates. The data is presented in a tabular format with columns for dates, last prices, and volumes for different periods.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e). It contains identifiers related to a legal case or investigation, including DB-SDNY-0102291, SDNY_GM_00248475, and EFTA01447609.


document_description: The document is marked as confidential and is related to legal proceedings, specifically under the Federal Rules of Criminal Procedure 6(e). It contains reference numbers that likely pertain to a case or investigation in the Southern District of New York (SDNY).


document_description: This document is a communication from Tazia Smith, Director at DB Securities Inc, part of Deutsche Asset & Wealth Management. It contains a confidentiality notice indicating that the information may be privileged, confidential, and intended only for the recipient. Unauthorized use or distribution is prohibited. The document also includes disclaimers about legal and tax advice.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e). It contains identifiers such as DB-SDNY-0102297, SDNY_GM_00248481, and EFTA01447613, which may relate to a legal case or investigation in the Southern District of New York.


document_description: The document is marked as confidential and is related to legal proceedings, specifically under the Federal Rules of Criminal Procedure 6(e). It includes reference numbers that suggest it is part of a legal case or investigation in the Southern District of New York.


document_description: The document contains a confidentiality notice and instructions for handling communication errors. It includes a request to notify the sender in case of an error and to destroy the communication and its copies. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document is a disclaimer and advisory note from Deutsche Bank regarding swap transactions. It emphasizes the importance of reviewing final swap confirmations and conducting independent investigations to determine the suitability of participating in swaps. It clarifies that Deutsche Bank is not acting as an advisor and suggests seeking independent advice on investment, financial, legal, tax, accounting, or regulatory issues. The document also notes that analyses and opinions are based on assumptions that may change, and past performance is not indicative of future results. Deutsche Bank may have proprietary positions in the discussed instruments.


document_description: The document describes a real estate opportunity in Les Bordes, France, featuring a golf course, modern architecture, and a large estate with gardens. It is intended for U.S. Key Client Partner clients only and is marked as confidential.


document_description: The document outlines an opportunity to develop an exclusive residential and country club on a 1,600-acre estate in the Loire Valley, France. The estate, known as Les Bordes, has a rich history and is home to Europe's number one golf course. The development plans include golf lodges, luxury estates, hotel-branded residences, and various facilities such as a spa, tennis academy, and equestrian center. The location is well-connected, with proximity to Paris and other major cities.


document_description: The document outlines key investment highlights for Les Bordes Golf, a premier golf course in Europe. It emphasizes the unique opportunity to develop a landmark resort with strong regional support, attractive market conditions, and a low-risk profile. The project is expected to generate significant employment and is backed by a team of experienced advisors.


document_description: The document outlines the planning and development phases for a project over a 10-year period, with strong support from regional and local authorities. It includes a timeline of permits and authorizations received, as well as detailed plans for the development of luxury homes, lodges, a golf course, hotel, and various amenities.


document_description: The document provides data on international tourism, luxury residential demand, and factors influencing second home purchases. It includes tables on the most visited countries, historic sites, growth of ultra-high-net-worth individuals (UHNWIs), average length of golf stays, and key demand factors for second homes.


document_description: The document provides a financial summary of a self-financing real estate development project in its third year. The project includes residential phased sales, resulting in limited cash flow requirements. The financial table outlines the sale price, net sales, costs, and profits for different types of properties, including luxury estates, golf lodges, and hotel-branded residences. Additional value is created from hotel and other facilities, with development costs and infrastructure costs also detailed. The total estimated profit is 2,024 million euros, with a profit on costs of 1.8x over a 10-year time horizon.


document_description: The document provides a list of advisors and their roles in a project, categorized by their expertise such as management, consultancy, operations, infrastructure, architecture, and sales & marketing. It also includes sales volume data by region for 2013 and a regional split of operations. Additional local team members have been engaged for various roles through a competitive bid process.


document_description: This document is an appendix providing additional information and is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document provides sale prices per square foot for golf/country club communities and hotel-branded residences. It includes a list of locations and their respective sale prices, with averages calculated for each category.


document_description: The document outlines a master plan for a development project that includes various luxury and recreational facilities. Key components of the project include the redesign of Le Ganay golf course, an equestrian centre, Les Bordes golf lodges, a 5-star hotel with branded residences, an existing club house, an organic farm, a sports and fitness village, and Les Bordas golf course 3. The plan also mentions a private estate, Europe's #1 golf course, a village and golf club house, a Mayr Spa, hotel branded residences, Les Bordes private estates with 150 plots for building ambassadorial estates or lodges, Chateau Bel-Air, and a hunting lodge.


document_description: The document discusses the taxation policies on holiday homes in France, focusing on French rental income for non-residents and capital gains tax. Non-residents pay a 20% tax on net rental income, with exemptions from social charges for furnished lettings. Capital gains tax for EEA residents is 19%, with additional social charges, but taper relief applies. Full exemption from capital gains tax is available after 22 years, and from social charges after 30 years, with taper relief starting from the 6th year.


document_description: The document is a line chart of JYSW10 Curncy (JPY Swap) spanning from 2004 to 2014, with values ranging from approximately 2.2 to 0.66500.


document_description: The document contains a table showing the fluctuation of currency values over different time periods from 2009 to 2014. The values fluctuate between 50 and 70 in 2009-2010, drop to around 40 in 2010-2012, rise to around 60 in 2012-2013, and decline to about 27.86 in 2013-2014.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e). It contains identifiers related to a legal case or investigation, including DB-SDNY-0102319, SDNY_GM_00248503, and EFTA01447633.


document_description: The document is marked as confidential and is related to legal proceedings, specifically under the Federal Rules of Criminal Procedure 6(e). It contains reference numbers that likely pertain to a case or investigation in the Southern District of New York.


document_description: The document is a confidential communication from Tazia Smith, Director at Key Client Partners - US, part of DB Securities Inc and Deutsche Asset & Wealth Management. It includes contact information and confidentiality notices.


document_description: The document provides financial metrics for EMN US Equity, including last price, high, average, low, volume, and a 15-day simple moving average. The data covers the period from August 2013 to August 2014.


document_description: Deutsche Bank's research report on Eastman Chemical maintains a 'Buy' rating despite an 8% share price decline following Q2 results. The report highlights that the decline is unwarranted due to solid Q2 performance and reaffirmed 2014 guidance. Concerns over 2015 EPS and 2014 Fibers guidance are considered overdone. The report provides detailed financial analysis, including EPS forecasts and potential risks, and sets a target price of $100 based on Eastman's trading at 13x '15E EPS.


document_description: The document is a financial report detailing Eastman Chemical's Q2 2014 results. It includes sales, operating profit, and operating margin data across various segments such as Additives & Functional Products, Adhesives & Plasticizers, Advanced Materials, Fibers, and Specialty Fluids & Intermediates. The report also provides a comparison with Q2 2013 results, percentage changes, and comments on performance drivers and outlooks for each segment. Key financial metrics such as interest expense, other income/expense, pretax profits, taxes, tax rate, non-controlling interest, earnings from operations, and one-time items are also included.


document_description: The document provides financial data for Eastman Chemical, including reported net income, earnings per share, and cash flow items for Q2 2014. It also includes future financial guidance for FY 2014 and 2015. Additionally, there is a line chart showing the US Propane to Propylene spread over time.


document_description: Eastman Chemical reported a Q2 EPS of $1.92, surpassing consensus estimates by 4%. The increase was driven by strong performance in Adhesives & Plasticizers and Specialty Fluids & Intermediates. Sales increased by 1% with flat volumes and prices, while FX contributed an additional 1%. Despite a 3% decline in EBIT to $441 million, Eastman reaffirmed its 2014 EPS guidance. Segment performance varied, with notable growth in Adhesives & Plasticizers and Fibers, while Specialty Fluids & Intermediates faced challenges due to the Kingsport outage.


document_description: The document provides a financial outlook for Eastman Chemical's various segments in 2014, comparing them to 2013. It includes operating earnings guidance and drivers for each segment, as well as the impact of olefins spread on earnings. The report also outlines actions to offset headwinds, such as increasing the use of ethane and implementing a hedging program.


document_description: The document provides a sales analysis of Eastman Chemical for the year 2013 and the second quarter of 2014. It includes geographic sales distribution, segment sales distribution, and sales by end-market.


document_description: The document provides a valuation analysis of Eastman Chemical, setting a target price of $100 based on a 13x 2015E EPS multiple, which is a 12% discount to its peer Dow. The valuation is supported by Eastman's integration of Solutia and cost synergies, as well as a return on invested capital of 11.2% for 2013E and 2014E. Risks include increased leverage, failure to achieve acquisition synergies, raw material price increases, and lower global demand.


document_description: The document is a financial statement for Eastman Chemical, detailing the company's annual income from 2011 to 2015, including sales, cost of sales, gross profit, operating profit, and net income. It includes percentage changes and margins for each year, as well as estimates for 2014 and 2015.


document_description: The document is a financial statement detailing Eastman Chemical's quarterly income for 2013 and estimated figures for 2014. It includes data on sales, cost of sales, gross profit, operating profit, EBITDA, interest expense, pretax income, taxes, net income, and earnings per share. The statement provides percentage changes for each category and compares figures between the two years.


document_description: The document is a financial statement from Eastman Chemical, detailing the annual segment income from 2011 to 2015E. It includes data on sales, operating profit, EBITDA, interest expenses, and net income across various segments such as Additives & Functional Products, Adhesives & Plasticizers, Advanced Materials, Fibers, and Specialty Fluids & Intermediates.


document_description: The document is a financial statement detailing Eastman Chemical's quarterly segment income for the years 2013 and 2014E. It includes sales, operating profit, EBITDA, interest expense, and net income across various segments such as Additives & Functional Products, Adhesives & Plasticizers, Advanced Materials, Fibers, and Specialty Fluids & Intermediates. The data is presented in a tabular format with percentage changes and margins for each segment.


document_description: The document is a financial statement detailing Eastman Chemical's annual cash flow from 2011 to 2015, including operating, investing, and financing activities. It provides figures for net income, depreciation, capital expenditures, and changes in debt, among other financial metrics.


document_description: The document provides a detailed financial statement for Eastman Chemical, covering assets, liabilities, and shareholders' equity from 2011 to projected values for 2015. It includes specific line items such as cash and equivalents, accounts receivables, inventories, short-term and long-term debt, and retained earnings.


document_description: This document contains important disclosures related to Eastman Chemical, including financial interests and services provided by Deutsche Bank. It includes a disclosure checklist with recent stock prices and specific disclosure numbers. The document also contains an analyst certification and confidentiality notices.


document_description: The document provides historical and current recommendations and target prices for Eastman Chemical (EMN.N) as of July 29, 2014. It includes a timeline of target price changes and recommendations from September 2011 to April 2014. The document also explains the equity rating key used by Deutsche Bank Securities Inc. and provides a breakdown of companies covered by category and their banking relationships.


document_description: The document outlines various regulatory disclosures related to Deutsche Bank's equity research, including conflict disclosures, short-term trade ideas, and country-specific regulations. It provides information on how these disclosures affect different regions such as Australia, Brazil, the EU, Japan, Malaysia, Qatar, Russia, Saudi Arabia, and the UAE.


document_description: This document appears to be a confidential legal document related to Eastman Chemical and Deutsche Bank Securities Inc. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: This document is a global disclaimer from Deutsche Bank AG, outlining the reliability of information, potential conflicts of interest, and the nature of financial instruments discussed in their reports. It emphasizes that the information is for informational purposes only and not an offer to buy or sell financial instruments. The disclaimer also details the distribution and approval of the report in various international locations and the legal responsibilities involved.


document_description: The document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It includes references to federal rules of criminal procedure, indicating its relevance to a legal case or investigation.


document_description: The document is marked as confidential and is related to legal proceedings, specifically under the Federal Rules of Criminal Procedure 6(e). It contains reference numbers that likely pertain to a case or investigation in the Southern District of New York.


document_description: This document contains financial data in a tabular format, detailing metrics such as last price, change, session open, high, low, close, period high, low, average, and bid/ask values for a specific period.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e). It contains identifiers related to a legal case or investigation, likely within the Southern District of New York (SDNY).


document_description: The document is marked as confidential and is related to legal proceedings, specifically under the Federal Rules of Criminal Procedure 6(e). It contains reference numbers that likely pertain to a case or investigation in the Southern District of New York (SDNY).


document_description: This document is a confidential communication from Tazia Smith, Director at Key Client Partners - US, part of DB Securities Inc and Deutsche Asset & Wealth Management. It contains disclaimers about the confidentiality and privileged nature of the information, and instructions for handling the communication if received in error.


document_description: The document contains currency chart data for USDCNH BGN, including metrics such as last price, high, average, low, and value date.


document_description: The document provides financial data related to the USDCNH currency pair, including price statistics and trading information over a specified date range.


document_description: This document is a confidential communication from Deutsche Bank, containing a disclaimer about its confidentiality and a notice that it may contain privileged information. It advises unintended recipients to destroy the communication and not to disclose or distribute its contents. It also states that Deutsche Bank does not provide legal or tax advice.


document_description: A confidential communication from Deutsche Bank discussing potential future discussions with interested parties. The communication emphasizes confidentiality and legal disclaimers, indicating it may contain privileged information.


document_description: This document is a confidential communication that may contain privileged information. It is intended only for the use of the addressee and is the property of JEE. Unauthorized use, disclosure, or copying is strictly prohibited and may be unlawful. The document includes disclaimers about the confidentiality and legal nature of the information, and instructions for handling if received in error.


document_description: This document is a confidential communication from Deutsche Bank, emphasizing that it does not provide legal or tax advice. The communication is intended only for the addressee and may contain attorney-client privileged or inside information. Unauthorized use, disclosure, or copying is prohibited and may be unlawful. Recipients in error are instructed to notify the sender and destroy the communication.


document_description: The document is a confidential communication from Deutsche Bank, indicating that the bank does not provide legal or tax advice. It is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: This document is a confidential communication that may contain attorney-client privileged or inside information. It is intended solely for the use of the addressee and is the property of JEE. Unauthorized use, disclosure, or copying is prohibited and may be unlawful. If received in error, recipients are instructed to notify the sender and destroy the communication. Deutsche Bank clarifies that it does not provide legal or tax advice. The document is marked as confidential under federal rules.


document_description: The document presents a financial opportunity involving a put option supported by units in a luxury high-rise residential development in Miami, Florida. The building is under construction by a Brazilian developer, with 45% of units sold and completion expected by 2017. Deutsche Bank (DB) is asked to provide a $75 million Bridge Loan to the developer, secured by unsold units. DB seeks an investor to write a put option on the collateral, with DB paying an up-front premium. In case of default, DB will foreclose on the collateral and exercise the put option.


document_description: This document outlines the preliminary indicative terms and conditions for a put option agreement involving luxury real estate. The agreement is between an investor (Option Grantor) and Deutsche Bank AG, London Branch or its affiliates (Option Grantee). The put option allows the Option Grantee to require the Option Grantor to purchase units in a luxury high-rise condominium in Miami, Florida, which serve as collateral for a DB Loan Facility, at a strike price of USD 75 million. The agreement includes details on the premium, effective date, exercise date, exercise conditions, expiration date, administrative costs, and governing law.


document_description: This document outlines the process and timeline for a put option involving an investor and Deutsche Bank (DB). It details the steps from the initial agreement on key terms, through due diligence, commitment, transaction closure, and potential outcomes such as loan repayment or default. In case of default, the document describes the enforcement on loan collateral, auction process, and final ownership of the reference asset.


document_description: This document is a disclaimer from Deutsche Bank regarding a proposed transaction. It clarifies that the terms are indicative, subject to change, and not binding. The document is for informational purposes only and does not constitute an offer or financial advice. It emphasizes the need for independent assessment and understanding of the transaction, including tax implications.


document_description: This document is a confidential communication from Deutsche Bank, which includes a disclaimer about unauthorized copying, disclosure, or distribution. It also states that Deutsche Bank does not provide legal or tax advice.


document_description: This document is a signature card for a Deutsche Bank Trust Company Americas account held by Jeffrey Epstein. It outlines the account type, signature requirements, and includes a power of attorney specimen signature.


document_description: This document is a confidential communication that may contain privileged information. It is intended only for the use of the addressee and is the property of JEE. Unauthorized use, disclosure, or copying is prohibited and may be unlawful. The document includes disclaimers from Deutsche Bank regarding legal or tax advice.


document_description: This document is a confidential legal communication, potentially containing attorney-client privileged and inside information. It is intended solely for the addressee and is the property of JEE. Unauthorized use, disclosure, or copying is prohibited and may be unlawful. Recipients in error are instructed to notify the sender and destroy the communication.


document_description: This document is a confidential communication from Deutsche Bank, emphasizing that it does not provide legal or tax advice. It contains disclaimers about the confidentiality and privileged nature of the information, and instructions for handling the communication if received in error.


document_description: This document is a confidential communication, possibly containing attorney-client privileged or inside information, intended only for the use of the addressee. It includes disclaimers about unauthorized use, disclosure, or copying, and provides instructions for notifying the sender in case of receipt in error. The communication is associated with Deutsche Bank and mentions legal disclaimers regarding the provision of legal or tax advice.


document_description: This document is a confidential communication that may contain privileged information. It is intended only for the use of the addressee and is the property of JEE. Unauthorized use, disclosure, or copying is strictly prohibited and may be unlawful. The communication includes disclaimers about legal and tax advice from Deutsche Bank.


document_description: This document is a confidential communication, possibly from Deutsche Bank, containing disclaimers about unauthorized use, disclosure, or copying. It emphasizes the confidentiality and privileged nature of the information and advises recipients who received it in error to notify the sender and destroy the communication. It also clarifies that Deutsche Bank does not provide legal or tax advice.


document_description: President Obama expanded U.S. financial sanctions to 20 more Russian officials, businessmen, and a bank, with potential future penalties targeting sectors of the Russian economy. The sanctions aim to pressure Russian President Vladimir Putin amid the Ukraine crisis. The U.S. and EU are coordinating economic pressure, with Obama set to consult with EU leaders. The sanctions include entry bans, asset freezes, and business prohibitions with U.S. entities. A new executive order authorizes potential economic sanctions on Russian sectors like financial services and energy.


document_description: A brief message asking Todd for a good time to reach him, with multiple confidentiality disclaimers from Deutsche Bank.


document_description: The document discusses various tax proposals and changes, including a minimum tax to ensure taxpayers pay at least 30% on their AGI, restoration of 2009 transfer tax parameters, consistent basis requirements for transfer and income tax, minimum terms for Grantor Retained Annuity Trusts (GRATs), limitations on the duration of GST exemption, and coordination of income and transfer tax rules regarding grantor trusts.

title: Tax Topics

document_type: legal

key_organizations: American Taxpayer Relief Act of 2012 (ATRA)


document_description: Confidential communication with instructions for handling if received in error.


document_description: This document is a confidential communication, possibly containing attorney-client privileged or inside information, intended solely for the addressee. Unauthorized use, disclosure, or copying is prohibited. It includes disclaimers about legal and tax advice from Deutsche Bank.


document_description: Confidential communication from Paul Morris, Managing Director at Deutsche Bank Asset & Wealth Management, containing disclaimers about confidentiality, privilege, and unauthorized use. The communication is intended for a specific recipient and includes instructions for handling if received in error.

key_people:
Paul Morris
Jeffrey Epstein


document_description: Confidential communication related to Jeffrey Epstein, with instructions for handling if received in error.


document_description: Confidential communication related to Jeffrey Epstein, possibly containing attorney-client privileged or inside information. The document emphasizes the confidentiality and legal restrictions on unauthorized use, disclosure, or copying. It includes disclaimers from Deutsche Bank regarding legal or tax advice.


document_description: The document is a confidential communication that may contain attorney-client privileged information and is intended only for the use of the addressee. It warns against unauthorized use, disclosure, or copying and provides instructions for notifying the sender if received in error.


document_description: Amanda Kirby sent a voicemail and email to Lesley with dial-in information for a 1:30 call.

key_people:
Amanda Kirby
Lesley

key_organizations:
Deutsche Asset & Wealth Management
Deutsche Bank


document_description: A confidential internal meeting scheduled on May 28, 2013, from 1:30 PM to 2:00 PM, marked as busy and classified for internal use only.

document_subtype: meeting


document_description: Leon Black, Chairman/CEO of the Apollo Group, is seeking a $500MM loan as part of a $1.5BN total bank debt. The loan is to facilitate the movement of Black's Apollo interests from a Family Trust to his personal name for tax alignment. The loan will be secured by a mix of fine art and Apollo units. The document outlines the proposed structure, collateral, and covenants for the loan.

title: Leon Black: $500MM Line Request

key_people:
Leon Black
Jeffrey Epstein
Paul Morris
Jane Heller

document_type: financial

document_subtype: loan request

key_organizations:
Apollo Group
BofA
DB
JPM


document_description: This document is a pro-forma financial summary for Black, based on verbal representation with Jeffrey Epstein. It outlines Black's assets, liabilities, net worth, cash flow, and risks/mitigants related to his financial situation. The summary assumes the completion of the purchase of Apollo units by Black personally.

key_people:
Jeffrey Epstein
Black

document_subtype: financial summary

key_organizations:
Apollo
BofA
DB
JPM
US Trust
Credit Suisse


document_description: The document outlines risks and mitigants related to balance sheet and collateral concentration in fine art and Apollo shares. It includes details on the quality of fine art collateral, loan-to-value ratios, and historic performance of Apollo. A table provides data on Apollo shares, market cap, and transfer limitations. The relationship summary highlights Apollo's status as a platinum relationship in the Financial Sponsors Group and mentions a $150MM participation in a subscription finance facility.

key_people:
Leon Black
Rowan
Harris

key_organizations:
Apollo
DB
AWM
JPM
Apollo Investment Fund VII LP


document_description: A discussion memo from Deutsche Bank's Private Wealth Management regarding a potential financing opportunity for Leon Black. The memo outlines general terms and conditions for a potential credit facility, including borrower information, pledgers, lender, facility amount, type, maturity date, purpose, and collateral details. The memo emphasizes that it is not a commitment and is subject to due diligence, credit approval, and definitive documentation.

title: Discussion Memo

document_subtype: memo

key_organizations:
Deutsche Bank
Deutsche Bank Trust Company Americas
DB Structured Products Inc
DB Private Clients Corp
Apollo Global Management


document_description: This document outlines the terms and conditions for a potential credit facility offered by Deutsche Bank's Private Wealth Management. It includes details on borrowing base, mandatory payments, prepayments, interest rates, commitment fees, representations and warranties, and conditions precedent. The document specifies the limitations on collateral values, interest rate calculations, and conditions for prepayments and mandatory payments.

document_subtype: loan agreement discussion

key_organizations:
Deutsche Bank
Apollo Operating Group


document_description: A document from Deutsche Bank's Private Wealth Management discussing terms and conditions for a potential loan facility. It includes requirements for due diligence, compliance, legal opinions, financial covenants, and indemnification. The document is governed by New York law and includes a jury waiver clause.

document_subtype: loan discussion document


document_description: This document is a discussion memo prepared by Deutsche Bank for internal discussion regarding a potential financing opportunity with Leon Black. It outlines the general terms and conditions of a potential credit facility, including the borrower, pledgers, lender, facility amount, type, maturity date, purpose, and collateral details. The memo emphasizes that it is not a commitment and is subject to due diligence, credit approval, and definitive documentation.

title: Discussion Memo for Potential Financing Opportunity with Leon Black

document_subtype: discussion memo

key_organizations:
Deutsche Bank
Deutsche Bank Trust Company Americas
DB Structured Products Inc
DB Private Clients Corp
Apollo Global Management LLC


document_description: A document from Deutsche Bank's Private Wealth Management discussing terms and conditions for a potential loan facility. It outlines requirements for due diligence, compliance, legal opinions, financial covenants, and indemnification. The document specifies that it is for discussion purposes only and not a commitment.


document_description: This document outlines the terms and conditions for a potential loan facility from Deutsche Bank's Private Wealth Management. It includes requirements for due diligence, compliance with credit approval processes, legal opinions, and execution of loan documents under New York law. It also details covenants related to financial statements, compliance certificates, financial and collateral covenants, and notifications regarding pledged collateral. The borrower is responsible for reimbursing Deutsche Bank for reasonable legal fees and other expenses. The document is governed by New York law with a jury waiver clause.


document_description: This document outlines a potential credit facility proposal by Deutsche Bank's Private Wealth Management. It includes terms related to borrowing base, mandatory payments, prepayments, interest rates, commitment fees, representations and warranties, and conditions precedent. The proposal is for discussion purposes only and not a commitment.

document_subtype: Credit Facility Proposal


document_description: Confidential communication intended for the addressee, property of Jeffrey Epstein. Unauthorized use, disclosure, or copying is prohibited. If received in error, notify by return e-mail and destroy the communication.


document_description: Confidential communication related to Jeffrey Epstein, possibly containing attorney-client privileged or inside information. Unauthorized use, disclosure, or copying is prohibited.


document_description: Confidential communication from Deutsche Bank with a disclaimer about unauthorized copying, disclosure, or distribution. It also states that Deutsche Bank does not provide legal or tax advice.


document_description: A confidential internal request for information related to Epstein.

title: Pis send me epstein info, thx [I]


document_description: A confidential communication from Deutsche Bank, emphasizing the confidentiality and privilege of the information contained. It warns against unauthorized copying, disclosure, or distribution and clarifies that Deutsche Bank does not provide legal or tax advice.


document_description: Paul Morris, Managing Director at Deutsche Bank, requests confirmation of an email address from Harry.

key_people:
Paul Morris
Harry


document_description: Confidential communication related to Jeffrey Epstein, with instructions for handling if received in error.


document_description: The document discusses the implications of owning property in a decoupled state, such as New York, on estate taxes. It highlights the potential for state estate tax liability even if the deceased does not reside in the state but owns property there. The document uses the example of Lance and Gwen, who face New York estate tax due to their condo in the Hamptons. It also explains the concept of 'portability' in estate planning, allowing the surviving spouse to inherit the unused exclusion of the deceased spouse.

title: Decoupled States and Estate Tax Implications

key_people: Lance Gwen

key_locations:
New York
Florida
Hamptons


document_description: This document discusses the concept of portability in estate planning, using the example of a married couple, John and Abby, to illustrate how they can utilize portability to minimize estate taxes. It explains the strategy of using disclaimers and trusts to optimize tax benefits and protect their children's inheritance.

title: Portability and Estate Planning for John and Abby

key_people: John Abby


document_description: This document discusses the implications of electing QTIP treatment for a trust in the context of estate planning, particularly focusing on the potential tax consequences and the availability of portability. It examines the issues faced by John's executor in deciding whether to elect full or partial QTIP treatment for a $9 million trust left to Abby, considering both federal and New York state tax implications. The document references IRS regulations and Revenue Procedure 2001-38 to explore scenarios where portability might not be available if excess QTIP treatment is elected.

title: Analysis of QTIP Election and Portability in Estate Planning

key_locations:
New York
Florida

document_subtype: legal analysis


document_description: The document discusses the implications of the $5.25 million exclusion and GST exemption on estate planning, particularly in decoupled states like New York, New Jersey, or Connecticut. It also mentions the July 2013 applicable federal rates issued by the IRS, with the 7520 rate at 1.4%. The document includes a disclaimer from Deutsche Bank regarding the opinions expressed.

title: Tax Topics

key_locations:
New York City
New York
New Jersey
Connecticut

key_organizations:
Deutsche Asset & Wealth Management
Deutsche Bank AG
Deutsche Bank Trust Company


document_description: Amanda Kirby from Deutsche Asset & Wealth Management requests various documents and information related to company ownership and authorization for account management. The correspondence includes a request for share registry, by-laws, articles of incorporation, certificate of good standing, W-9 forms, photo IDs, social security numbers, addresses, and letters of authorization for Jeffrey Epstein, Harry Beller, and Richard Kahn.

key_people:
Amanda Kirby
Paul Morris
Erika Kellerhals
Gregory Ferguson
Brett Geary
Jeffrey Epstein
Harry Beller
Richard Kahn

key_organizations:
Deutsche Asset & Wealth Management
Financial Infomatics
Southern Financial LLC
Deutsche Bank Securities Inc.


document_description: Certificate of Existence issued by the Office of the Lieutenant Governor of the Virgin Islands for Southern Financial, LLC, confirming its organization and good standing as of June 25, 2013.

title: Certificate of Existence for Southern Financial, LLC

document_type: government

key_locations: Charlotte Amalie, St. Thomas, Virgin Islands

document_subtype: Certificate of Existence


document_description: Certification of Good Standing for Southern Trust Company, Inc., formerly Financial Informatics, Inc., confirming its incorporation and authorization to conduct business in the Virgin Islands.

key_locations:
Virgin Islands
Charlotte Amalie
Christiansted

document_subtype: Certification of Good Standing

key_organizations: Office of the Lieutenant Governor, Virgin Islands


document_description: Certification of Good Standing for Southern Trust Company, Inc., formerly known as Financial Informatics, Inc., confirming its incorporation and authorization to conduct business in the Virgin Islands.


document_description: A driving license issued to Jeffrey E. Epstein in the United States Virgin Islands, with details including class, blood type, and physical description.

key_locations:
United States Virgin Islands
St. Thomas
Little St. James

document_subtype: driving license


document_description: This document is a United States passport issued to Jeffrey Edward Epstein. It includes his personal details such as name, nationality, date of birth, place of birth, and passport number. The passport was issued on October 11, 2002, and expired on October 10, 2012. The issuing authority is the National Passport Center.

title: United States Passport

document_subtype: passport


document_description: Form W-9 for Southern Trust Company, Inc, an S Corporation, providing taxpayer identification number and certification for tax purposes.

document_subtype: Form W-9


document_description: Form W-9 for Southern Trust Company, Inc., an S Corporation, providing taxpayer identification information and certification. The form includes the business address in St. Thomas, USVI, and an employer identification number. The form is signed and dated July 2, 2013.

key_organizations:
Southern Trust Company, Inc.
Southern Financial LLC


document_description: The document is a board resolution from Southern Trust Company, Inc., a U.S. Virgin Islands Corporation, certifying the unanimous adoption of certain resolutions by the Board of Directors. The resolutions include the transfer of shares of Jeepers, Inc. to Jeffrey E. Epstein, making him the sole shareholder, and the merger of Financial Trust Company, Inc. into Southern Financial, LLC.

title: Consent of the Board of Directors of Southern Trust Company, Inc.

key_people:
Jeffrey Epstein
Darren K. Indyke
Richard Kahn

document_subtype: Board Resolution

key_organizations:
Southern Trust Company, Inc.
Financial Trust Company, Inc.
Jeepers, Inc.
Southern Financial, LLC


document_description: The document outlines resolutions related to a merger involving FTC and SF, with Jeffrey Epstein surrendering shares and receiving additional shares in the Corporation. The merger is intended to qualify as a tax-free reorganization under the Internal Revenue Code.

document_subtype: Merger Agreement Resolution

key_organizations: FTC SF Corporation


document_description: Resolution executed by the directors of Financial Trust Company, Inc.

key_people:
Jeffrey E. Epstein
Darren K. Indyke
Richard Kahn

document_subtype: board resolution


document_description: This document is a board resolution for Financial Infomatics, Inc., a corporation organized under the laws of the U.S. Virgin Islands. It certifies the unanimous adoption of resolutions by the Board of Directors on November 1, 2011. The resolutions include ratification of actions taken by incorporators, establishment of a depository for funds, and appointment of corporate officers.

title: Consent of the Board of Directors of Financial Infomatics, Inc.

key_people:
Jeffrey Epstein
Darren Indyke
Richard Kahn


document_description: This document is a corporate resolution detailing the roles and responsibilities of the officers of the Corporation, including Jeffrey Epstein as President, Darren Indyke as Vice President and Secretary, and Richard Kahn as Treasurer. It authorizes the issuance of 10,000 shares of Common Stock to Jeffrey E. Epstein and outlines the adoption of corporate records and procedures for maintaining bank accounts.

document_subtype: corporate resolution


document_description: This document outlines resolutions for the management of the Corporation's financial accounts and operations. It includes designating depositories for funds, opening and managing bank accounts, authorizing officers to handle deposits and payments, and using facsimile signatures. It also covers the fiscal year start date and authorizes officers to conduct business in various jurisdictions.

key_people:
President of the Corporation
Secretary of the Corporation


document_description: Resolution authorizing officers of Financial Infomatics, Inc. to perform necessary acts to carry out business operations.


document_description: Jeffrey E. Epstein subscribes for 10,000 shares of Common Stock of Financial Infomatics, Inc., a corporation in the United States Virgin Islands, agreeing to pay upon call of the Board of Directors. The subscription is accepted by Darren K. Indyke, Vice President, on November 18, 2011.

title: Subscription for Common Stock

key_people:
Jeffrey E. Epstein
Darren K. Indyke

document_subtype: stock subscription


document_description: Amanda Kirby from Deutsche Asset & Wealth Management requests several documents and information to approve account openings for Southern Trust Company Inc and Southern Financial LLC, as well as personal information for Jeffrey Epstein.

key_people:
Amanda Kirby
Paul Morris
Jeffrey Epstein
Erika Kellerhals
Gregory Ferguson
Brett Geary
Harry Beller
Richard Kahn

document_subtype: email

key_organizations:
Deutsche Asset & Wealth Management
Southern Trust Company Inc
Southern Financial LLC
Deutsche Bank Securities Inc


document_description: Amanda Kirby from Deutsche Bank Trust Company Americas outlines the documentation requirements for various business entities and individuals owning shares in those entities. The email specifies the necessary documents for corporations, LLCs, partnerships, and individuals with significant ownership stakes.


document_description: A confidential communication from Deutsche Bank with attachments related to legal and financial documents, including certificates of existence and good standing, a W-9 form, and a board resolution and stock issuance document. The communication includes a disclaimer about unauthorized copying and the bank's position on legal and tax advice.


document_description: Amanda Kirby provides a list of necessary items to open an account for an entity, including information required for different types of entities such as corporations, LLCs, and partnerships. Additional information is required for entities or persons owning significant shares in these companies.

key_people:
Amanda Kirby
Paul
Jeanne

document_subtype: memo


document_description: This document is a communication from Deutsche Bank, which includes a confidentiality notice and a disclaimer about not providing legal or tax advice. It mentions the deletion of several attachments by Paul Morris.


document_description: Unauthorized use, disclosure or copying of this communication or any part thereof is strictly prohibited and may be unlawful. If received in error, notify by return e-mail or to jeevacation@itmail.com and destroy the communication and all copies, including attachments.


document_description: A communication from Paul Morris, Managing Director at Deutsche Bank Private Bank, inquiring about a suitable time to connect with Jeffrey the following day.

key_people:
Paul Morris
Jeffrey


document_description: A communication from Paul Morris, Managing Director at Deutsche Bank Private Bank, containing confidentiality and privilege notices. It emphasizes that Deutsche Bank does not provide legal or tax advice.


document_description: A confidential communication from Deutsche Bank Private Bank, emphasizing the confidentiality and privilege of the information contained. It advises unintended recipients to notify the sender and destroy the communication. It also states that Deutsche Bank does not provide legal or tax advice.

document_subtype: confidential communication


key_locations: 345 Park Avenue, 27th Floor, New York, NY 10154


document_description: Paul Morris, Managing Director at Deutsche Bank Private Bank, is inquiring about a suitable time to connect with Jeffrey the following day.


document_description: Confidential communication related to Jeffrey Epstein, with instructions for handling if received in error.


document_description: The document contains a list of deleted attachments related to Jeffrey Epstein's case, including authorization of inquiry capabilities, certificate of good standing, Epstein's ID and social security information, shareholder information, and W-9 forms. The attachments were deleted by Jay Lipman.

key_people:
Jay Lipman
Amanda


document_description: This document is an account authorization and indemnity form for a limited liability company (LLC) to open a securities account with Deutsche Bank Securities Inc. (DBSI). It authorizes appointed agents to manage the account, including buying and selling securities. The document outlines the responsibilities and indemnities of the LLC and its members, and the authority granted to the agents.

title: Limited Liability Company Account Authorization & Indemnity

document_subtype: Account Authorization & Indemnity

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Bank AG


document_description: This document is marked as confidential and is related to legal proceedings, specifically under Federal Rule of Criminal Procedure 6(e).


document_description: This document is an account agreement between a client and Deutsche Bank Securities Inc. (DBSI). It outlines the terms and conditions governing the client's brokerage account, including client representations, rights of DBSI, cash account classification, order execution, and adherence to applicable laws.

title: Deutsche Asset & Wealth Management Account Agreement

document_subtype: Account Agreement

key_organizations: Financial Industry Regulatory Authority, Inc.


document_description: This document outlines the terms and conditions for securities transactions between a client and DBSI. It covers the purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement and cancellation, aggregation of orders, transmission of instructions, the role of third parties like Pershing, and liens on client accounts. The document specifies the responsibilities and rights of both the client and DBSI, including the handling of unpaid balances, the aggregation of orders, and the security interest granted to DBSI.

document_subtype: contract

key_organizations: DBSI Pershing


document_description: This document outlines the terms and conditions of an account agreement between a client and DBSI. It covers various aspects such as satisfaction of indebtedness, fees, FDIC insurance, cash sweep selection, credit information, confirmations, recording conversations, and joint accounts. The agreement specifies the client's obligations, rights, and the procedures for handling joint accounts.

key_organizations: Federal Deposit Insurance Corporation (FDIC)


document_description: This document outlines the pre-dispute arbitration agreement between the Client, DBSI, and Pershing. It specifies that all parties waive the right to sue each other in court, with arbitration being the primary method for resolving disputes. The document details the limitations and rules of arbitration, including the finality of awards, limited discovery, and the composition of arbitrator panels. It also describes the process for electing an arbitration forum and the conditions under which class actions may not be arbitrated.

document_subtype: arbitration agreement

key_organizations:
DBSI
Pershing
FINRA
Deutsche Bank Securities Inc.


document_description: This document is a tax election/declaration form for clients to certify their tax status as either U.S. Persons or Non-U.S. Persons. It includes sections for U.S. citizens to provide their taxpayer identification number and certify their tax status under penalties of perjury. Non-U.S. persons are required to submit the applicable IRS Form W-8 to certify their foreign status.

document_subtype: Tax Election/Declaration

key_organizations:
OBSI
DBSI
Internal Revenue Service


document_description: This document is an account agreement acknowledgment form where the client confirms receipt, understanding, and agreement to the terms and conditions, including a pre-dispute arbitration clause. It also includes tax and compliance responsibilities for individual, joint, and entity accounts.

document_subtype: account agreement

key_organizations:
DBSI
Internal Revenue Service
U.S. Department of Labor


document_description: This document is an appendix to an account agreement, providing disclosures and definitions related to financial transactions and account management. It covers topics such as transaction confirmations, securities lending, trade report corrections, account sequestration, foreign securities risks, prohibition of freeriding, lottery allocation for callable securities, non-investment adviser capacity, and additional disclosures for non-U.S. residents.

document_subtype: account agreement appendix

key_organizations:
DBSI
Pershing
Securities and Exchange Commission
Federal Reserve Board


document_description: The document outlines terms and conditions related to client accounts managed by DBSI, including notice provisions, potential conflicts of interest, SIPC coverage, and considerations for tax-exempt entities. It also provides definitions for key terms used in the agreement.

key_organizations: Securities Investor Protection Corporation (SIPC)


document_description: This document outlines definitions related to a client's account management with DBSI, including terms like Branch Supervisor, Cash Sweep Options, DBSI Privacy Statement, Party or Parties, Restricted Securities, and Securities and Other Property.


document_description: This document is a margin disclosure provided by Deutsche Bank Securities Inc. (DBSI) to inform clients about the risks and terms associated with trading securities on margin. It outlines the potential risks, such as losing more funds than deposited, forced sale of securities, and the firm's rights to liquidate assets without prior notice. It also covers the conditions under which securities can be loaned out and the implications of short sales.

title: Margin Disclosure Document

document_subtype: Margin Disclosure

key_organizations:
Deutsche Bank Securities Inc.
Pershing


document_description: This document outlines the supplemental terms and conditions for opening a margin account, including mechanics and risks of margin, financing, interest and costs, demand loan terms, liens, consent to loan or pledge of securities, and margin maintenance. It specifies the rights of DBSI and Pershing regarding securities and other property in the margin account.

title: Margin Addendum to Account Agreement

document_subtype: Margin Addendum

key_organizations:
DBSI
Pershing
Deutsche Bank


document_description: A margin agreement document requiring client acknowledgment and signature, confirming receipt and agreement to terms, including a pre-dispute arbitration clause. It includes sections for individual, joint, and entity accounts, with fields for signatures, dates, and names left empty.

document_subtype: Margin Agreement


document_description: Consent form for electronic delivery of materials and communications from Deutsche Bank.

document_subtype: consent form


document_description: This document outlines the terms and conditions for trading securities with DBSI, including purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement, aggregation of orders, transmission of instructions, role of third parties, and liens on securities. It specifies the responsibilities and rights of the client and DBSI, including the use of a third-party clearing agent, Pershing.


document_description: This document outlines the arbitration agreement between the Client, DBSI, and Pershing. It specifies that all parties waive the right to sue in court, with arbitration being the primary method for resolving disputes. The document details the limitations and rules of arbitration, including the finality of awards, limited discovery, and the composition of arbitrators. It also specifies the procedures for electing an arbitration forum and the conditions under which class actions may be brought to arbitration.

key_people: Client DBSI Pershing

document_subtype: Arbitration Agreement


document_description: This document is an account agreement acknowledgment form where the client confirms receipt, understanding, and agreement to the terms and conditions, including a pre-dispute arbitration clause. It also includes tax and compliance responsibilities for both individual/joint accounts and entities. The document requires signatures and initials from account holders or authorized parties, which are currently left blank.


document_description: This document is an appendix to an account agreement, providing disclosures and definitions related to financial transactions and account management. It covers topics such as transaction confirmations, consent to loan or pledge securities, corrected and late trade reports, effects of account attachment, foreign securities risks, prohibition of freeriding, impartial lottery allocation, non-investment adviser capacity, and additional disclosures for non-U.S. residents.

document_subtype: Account Agreement Appendix


document_description: This document outlines definitions related to a financial agreement between a client and DBSI, including terms like 'Branch Supervisor', 'Cash Sweep Options', 'DBSI Privacy Statement', 'Party or Parties', 'Restricted Securities', and 'Securities and Other Property'.


document_description: A margin agreement document requiring client acknowledgment and signature, confirming receipt and agreement to terms, including a pre-dispute arbitration clause. It includes sections for individual, joint, and entity accounts, with fields for signatures, dates, and identification numbers left empty.


document_description: This document is a consent form for electronic delivery of materials and communications from Deutsche Asset & Wealth Management. It outlines the terms under which the client agrees to receive documents electronically, including offering documents, prospectuses, and other communications. The consent applies to all accounts held with Deutsche Asset & Wealth Management and includes provisions for notifying changes in email or facsimile contact information.

title: Consent to Electronic Delivery of Materials and Communications

key_organizations:
Deutsche Asset & Wealth Management
Deutsche Bank AG
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas
Deutsche Bank National Trust Company
Deutsche Bank Trust Company, N.A.
Deutsche Bank Trust Company Delaware


document_description: This document is an officer's certificate for a corporate account authorization at Deutsche Bank Securities Inc. It includes resolutions adopted by the Board of Directors authorizing designated persons to manage brokerage accounts, including buying and selling securities, and executing necessary documents. The document also outlines the requirement for written certification of any changes in authority.

title: Corporate Account Authorization and Terms and Conditions

document_subtype: Corporate Account Authorization

key_organizations:
Deutsche Bank
Deutsche Bank Securities Inc.


document_description: This document is a corporate resolution certifying the powers and actions of a corporation. It includes a pre-dispute arbitration clause and requires signatures from certifying officers. It also notes that if the client is incorporated outside the U.S., a Form W-8 must be completed and returned.

document_subtype: corporate resolution


document_description: This document outlines the terms and conditions for corporate accounts with Deutsche Bank Securities Inc. (DBSI). It covers topics such as confirmations and transmission of instructions, cash account requirements, short and long orders, liens, authority to borrow, interest charges, and credit information and investigation. The document specifies the responsibilities and obligations of the client and DBSI, including the handling of securities and other property, and the application of New York State and U.S. laws.

title: Terms and Conditions Corporate Accounts

document_subtype: Terms and Conditions

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Bank AG
Pershing LLC


document_description: This document outlines the terms and conditions of an agreement between a client and Deutsche Bank Securities Inc. (DBSI). It covers topics such as satisfaction of indebtedness, loan or pledge of securities, aggregation of orders, arbitration, and important disclosures regarding account protection and payment for order flow.

key_locations: 60 Wall Street, 23rd Floor, Mail Stop NYC60-2330, New York, NY 10005-2836

document_subtype: Agreement

key_organizations: Securities Investor Protection Corporation


document_description: The document outlines Deutsche Asset & Wealth Management's compliance with federal laws to combat terrorism funding and money laundering. It details the requirements for customer identification and verification, including the collection of personal and institutional information.

title: Customer Identification Program Notice

document_subtype: notice

key_organizations:
Deutsche Asset & Wealth Management
Deutsche Bank Securities Inc.
Deutsche Bank AG
FINRA
NYSE
SIPC


document_description: This document is an account authorization and indemnity form for a securities account at Deutsche Bank Securities Inc. for Southern Financial, LLC. Jeffrey Epstein is identified as the managing member of the LLC. The document authorizes agents to manage the account and indemnifies DBSI from liabilities arising from disputes among LLC members.

document_subtype: Account Authorization & Indemnity

key_organizations:
Deutsche Bank Securities Inc.
Southern Financial, LLC


document_description: This document is an account agreement between Southern Financial LLC and Deutsche Bank Securities Inc. It outlines the terms and conditions governing the brokerage account, including client representations, rights of DBSI, cash account classification, order execution, and compliance with applicable laws.

key_locations: 6100 Red Hook Quarter B3 St Thomas 00802

document_subtype: Account Agreement


document_description: This document outlines the terms and conditions for securities transactions between a client and DBSI. It covers the purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement and cancellation, aggregation of orders, transmission of instructions, the role of third parties like Pershing, and liens on client accounts. The document specifies the responsibilities and rights of both the client and DBSI, including the handling of unpaid balances, interest charges, and the security interest granted to DBSI.

document_subtype: contract


document_description: This document outlines the terms and conditions of an account agreement between a client and DBSI. It covers various aspects such as satisfaction of indebtedness, fees, FDIC insurance, cash sweep selection, credit information, confirmations, recording conversations, and joint accounts. The agreement specifies the client's obligations, rights, and the procedures for handling joint accounts.


document_description: This document outlines the terms and conditions of an account agreement with Deutsche Bank Securities Inc. (DBSI). It covers various aspects such as the procedure in the event of an account owner's death, non-disclosure of confidential information, third-party authorizations, limitations of liability, customer inquiries, and the right to terminate or amend the agreement. It also specifies that the agreement is governed by the laws of the State of New York.


document_description: This document outlines the arbitration agreement between the Client, DBSI, and Pershing. It specifies that all parties waive the right to sue in court, except as allowed by arbitration forum rules or applicable law. Arbitration awards are final and binding, with limited court modification. Discovery is limited compared to court proceedings. Arbitrators are not required to explain their awards unless requested. Arbitration may be conducted by FINRA or a securities exchange of which DBSI is a member. The agreement is governed by the Federal Arbitration Act and New York law. Class actions are excluded from arbitration until certain conditions are met.

document_subtype: arbitration agreement

key_organizations:
FINRA
Deutsche Bank Securities Inc.


document_description: This document is a tax election/declaration form for account agreements, applicable to both U.S. and Non-U.S. persons. It includes sections for U.S. citizens or resident aliens to provide a W9 form and certify their taxpayer identification number, and for Non-U.S. persons to submit a W-8 form to certify foreign status. The document outlines the certification process and requirements for both categories.

document_subtype: Tax Election/Declaration


document_description: This document is an account agreement acknowledgment form for clients, including terms and conditions, arbitration clause, and tax compliance responsibilities. It includes sections for individual or joint accounts and corporate entities, with specific instructions for ERISA employee benefit plan clients.

key_organizations:
DBSI
Southern Financial LLC


document_description: This document is an appendix to an account agreement, providing disclosures and definitions related to financial transactions and securities. It covers topics such as transaction confirmations, consent to loan or pledge securities, corrected and late trade reports, effects of account sequestration, foreign securities risks, prohibition of freeriding, impartial lottery allocation, non-investment adviser capacity, and additional disclosures for non-U.S. residents.


document_description: The document outlines the terms and conditions of an account agreement between a client and DBSI, including notices, conflicts of interest, SIPC coverage, and tax implications for tax-exempt entities. It also provides definitions for terms used in the agreement.

document_subtype: account agreement

key_organizations:
DBSI
Deutsche Bank AG
Pershing
SIPC


document_description: This document outlines definitions related to a client's account management with DBSI, including terms like Branch Supervisor, Cash Sweep Options, DBSI Privacy Statement, Party, Restricted Securities, and Securities and Other Property.


document_description: This document is a margin disclosure provided by Deutsche Bank Securities Inc. (DBSI) to inform clients about the risks and terms associated with trading securities on margin. It outlines the potential risks, such as losing more funds than deposited, forced sale of securities, and the firm's rights to liquidate assets without prior notice. It also covers the conditions under which DBSI can change margin requirements and the implications of short sales and securities lending.

title: Margin Disclosure Document

document_subtype: Margin Disclosure


document_description: This document is a Margin Addendum to an Account Agreement, outlining the terms and conditions for opening a margin account. It includes details on the mechanics and risks of margin, financing, interest and costs, demand loans, liens, consent to loan or pledge of securities, and margin maintenance. The document specifies the rights of DBSI and Pershing regarding collateral and securities.

document_subtype: Margin Account Agreement


document_description: This document outlines the rights and obligations of DBSI and Pershing in relation to securities and margin accounts. It includes provisions for buying securities, short sales, Reg T extensions, mandatory close-out of short sales, tax treatment of earnings, rehypothecation, and additional risks associated with margin trading. It also addresses the handling of restricted securities and collection remedies.

key_organizations: DBSI Pershing


document_description: A margin agreement document for Southern Financial LLC, acknowledging receipt and agreement to terms, including a pre-dispute arbitration clause. The document includes sections for individual or joint accounts and corporate entities, with a confirmation of authority to borrow for non-natural persons' accounts.

document_subtype: Margin Agreement


document_description: This document is an agreement between Deutsche Bank Trust Company Americas and the undersigned customer for the DB InSight service. The customer agrees to the terms and conditions of the service and acknowledges the investment risks involved.

title: DB InSight Agreement

document_subtype: agreement

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank Group
Southern Financial LLC


document_description: Authorization for additional custody accounts to be available through the DB InSight service, with details of account holders and signatures left empty.

document_subtype: custody account authorization


document_description: Application for opening various types of deposit accounts under Deutsche Asset & Wealth Management's Private Wealth Premium™ Elite Personal and Business Accounts. Includes options for checking, money market, and certificate of deposit accounts, as well as internet banking services and client relationship types.

title: DBTCA Deposit Account Opening Application

document_subtype: Deposit Account Opening Application

key_organizations:
Deutsche Asset & Wealth Management
DBTCA
DB AG NY


document_description: This document is an account application for Southern Financial LLC with Deutsche Bank Trust Company Americas (DBTCA). It includes information about the account title, joint applicant, and customer identification policy. It outlines the responsibilities and liabilities related to verbal instructions and joint account disclosures.

title: Account Title and Joint Application Information

document_subtype: Account Application


document_description: This is a form for setting up a DB InSight account. It requires completion of four sections: Client Information, Computer Information, and submission to the DB InSight Help Desk. The form includes fields for client and user details, computer specifications, and internet connection information.

title: DB InSight Account Set Up Form

document_subtype: form

key_organizations:
DB InSight
Southern Financial LLC


document_description: A financial agreement document involving Southern Financial LLC and Deutsche Bank Trust Company Americas, with placeholders for signatures and dates.

document_subtype: financial agreement

key_organizations:
Southern Financial LLC
Deutsche Bank Trust Company Americas


document_description: This document is an account opening application for Southern Financial LLC with Deutsche Asset & Wealth Management. It includes client information, account services selection, and terms related to ACH and wire transfer limits. The document is marked confidential and is intended for internal use.

title: DB Private Wealth Online Plus Account Opening Application

key_people:
Primary Officer
Secondary Officer
Wealth Advisor

key_locations: 6100 Red Hook Quarter B3, St Thomas, 00802

document_subtype: Account Opening Application

key_organizations:
Deutsche Asset & Wealth Management
Southern Financial LLC


document_description: This document is a certificate of resolutions for Southern Financial LLC, authorizing Deutsche Bank Trust Company Americas as a depositary, custodian, or investment advisor. It outlines the authority of the company's managers, members, officers, employees, and agents to manage accounts with the bank, including opening, maintaining, and closing accounts, and executing related agreements. The document also includes indemnification clauses for the bank and provisions for delegating authority.

document_subtype: Certificate of Limited Liability Company Resolutions

key_organizations:
Deutsche Bank Trust Company Americas
Southern Financial LLC


document_description: This document outlines the authorized signers for an LLC, including Jeffrey Epstein. It specifies the conditions under which the authorized signers can act individually or jointly, and the powers they may grant to agents. The document also states that the bank can rely on the instructions of the authorized signers unless notified otherwise. It confirms that no one other than the company has an interest in the accounts maintained in the company's name. The document requires confirmation by another manager or officer if the authorized signer is also a manager or member.

document_subtype: LLC Resolutions


document_description: This document is a signature card for a Deutsche Bank Trust Company Americas account. It indicates the account type as an individual account for Southern Financial. The document is largely incomplete with empty fields for signatures, print names, approval, and dates. It also references a Power of Attorney with no details filled in.

title: Deutsche Bank Trust Company Americas Signature Card

document_subtype: Signature Card

key_organizations:
Deutsche Bank Trust Company Americas
Southern Financial


document_description: This document is an account agreement between Southern Trust Company, Inc. and Deutsche Bank Securities Inc. It outlines the terms and conditions governing the brokerage account, including client representations, rights of DBSI, cash account classification, order execution, and compliance with applicable laws.

key_locations: 6100 Red Hood Quarter B3 St Thomas 00802

document_subtype: Account Agreement

key_organizations: Financial Industry Regulatory Authority, Inc.


document_description: This document outlines the terms and conditions for securities transactions between a client and DBSI. It covers the purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement and cancellation, aggregation of orders, transmission of instructions, the role of third parties like Pershing, and liens on client accounts. The document specifies the responsibilities and rights of both the client and DBSI, including the handling of unpaid balances, interest charges, and the security interest granted to DBSI over client assets.

document_subtype: contract


document_description: This document outlines the terms and conditions of an account agreement between a client and DBSI. It covers various aspects such as satisfaction of indebtedness, fees, FDIC insurance, cash sweep selection, credit information, confirmations, recording conversations, and joint accounts. The agreement specifies the client's obligations, rights, and the procedures for handling disputes and account management.

key_organizations:
DBSI
Pershing
Deutsche Bank AG
FDIC


document_description: This document outlines the pre-dispute arbitration agreement between the Client, DBSI, and Pershing. It specifies that all parties waive the right to sue each other in court, with arbitration being the primary method for resolving disputes. The document details the arbitration process, including the limitations on discovery, the composition of the arbitration panel, and the rules governing arbitration. It also addresses the conditions under which class actions may be brought to arbitration.

document_subtype: arbitration agreement

key_organizations:
DBSI
Pershing
FINRA
Deutsche Bank Securities Inc.


document_description: This document is an account agreement acknowledgment form for clients, including terms and conditions, arbitration clause, tax and compliance responsibilities, and options for joint account ownership. It includes sections for individual or joint accounts and corporate entities, with spaces for signatures and personal information.

key_organizations:
Southern Trust Company Inc
DBSI


document_description: This document is an appendix to an account agreement, providing disclosures and definitions related to financial transactions and account management with DBSI. It covers topics such as transaction confirmations, securities lending, trade report corrections, account sequestration, foreign securities risks, prohibition of freeriding, lottery allocation for callable securities, non-investment adviser capacity, and additional disclosures for non-U.S. residents.

document_subtype: Account Agreement Appendix

key_organizations:
DBSI
Pershing
Securities and Exchange Commission
Federal Reserve Board


document_description: This document outlines definitions related to a client's account management with DBSI, including terms like Branch Supervisor, Cash Sweep Options, DBSI Privacy Statement, Party or Parties, Restricted Securities, and Securities and Other Property.


document_description: This document is a margin disclosure provided by Deutsche Bank Securities Inc. (DBSI) to inform clients about the risks and terms associated with trading securities on margin. It outlines the potential risks, including the possibility of losing more funds than deposited, forced sale of securities, and changes in maintenance margin requirements. It also covers the rights of DBSI to sell securities without prior notice and the conditions under which securities may be loaned.

title: Margin Disclosure

document_subtype: disclosure document

key_organizations:
Deutsche Bank Securities Inc.
Pershing


document_description: This document is a Margin Addendum to an Account Agreement, outlining the terms and conditions for opening a margin account. It includes details on the mechanics and risks of margin, financing, interest and costs, demand loans, liens, consent to loan or pledge of securities, and margin maintenance. The addendum specifies the rights of DBSI and Pershing regarding securities and other property in the margin account.

title: Margin Addendum to Account Agreement

document_subtype: Margin Addendum

key_organizations:
DBSI
Pershing
Deutsche Bank


document_description: This document outlines the rights and obligations of DBSI and Pershing in relation to securities and margin accounts. It includes provisions for buying securities, short sales, Reg T extensions, mandatory close-out of short sales, tax treatment of earnings, rehypothecation, and additional risks associated with margin trading. It also covers the handling of restricted securities and collection remedies.


document_description: A margin agreement document for Southern Trust Company, Inc, requiring signatures and confirmation of authority to borrow. The document includes sections for individual or joint accounts and corporate entities, with specific mention of Jeffrey Epstein as a signatory for Southern Trust Company, Inc.

document_subtype: Margin Agreement


document_description: Consent form for electronic delivery of materials and communications from Deutsche Bank. Optional and revocable at any time.

document_subtype: consent form


document_description: This document is a consent form for electronic delivery of materials and communications from Deutsche Asset & Wealth Management. It outlines the terms under which Deutsche Bank AG and its affiliates can send offering documents, prospectuses, and other communications electronically to the client. The consent applies to all accounts held with Deutsche Asset & Wealth Management and includes provisions for notifying changes in email or facsimile details.

key_organizations:
Deutsche Asset & Wealth Management
Deutsche Bank AG
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas
Deutsche Bank National Trust Company
Deutsche Bank Trust Company, N.A.
Deutsche Bank Trust Company Delaware


document_description: This document is an officer's certificate from Southern Trust Company, Inc. authorizing certain individuals to open and maintain brokerage accounts with Deutsche Bank Securities Inc. It includes resolutions adopted by the Board of Directors, detailing the powers granted to designated persons, such as opening accounts, transferring funds, and buying or selling securities.

document_subtype: Corporate Account Authorization

key_organizations:
Southern Trust Company, Inc
Deutsche Bank Securities Inc
Deutsche Bank AG


document_description: This document is a corporate resolution certifying the powers and actions of a corporation. It includes a pre-dispute arbitration clause and requires signatures from certifying officers. It also notes that if the client is incorporated outside the U.S., a Form W-8 must be completed and returned.

document_subtype: corporate resolution


document_description: This document outlines the terms of satisfaction of indebtedness, loan or pledge of securities, aggregation of orders, and arbitration agreement between the client and Deutsche Bank Securities Inc. (DBSI). It includes clauses on the client's obligation to satisfy debts, the bank's rights to loan or pledge securities, the aggregation of orders, and the arbitration process for disputes. It also provides important disclosures regarding SIPC protection and payment for order flow.

title: Satisfaction of Indebtedness and Arbitration Agreement

document_subtype: agreement

key_organizations: Securities Investor Protection Corporation


document_description: Application for opening various types of deposit accounts under Deutsche Asset & Wealth Management's Private Wealth Premium™ services. Includes options for personal and business accounts, internet banking services, and client relationship types.

document_subtype: Deposit Account Opening Application


document_description: This document is an account application for Southern Trust Company with Deutsche Bank Trust Company Americas (DBTCA). It includes information about customer identification policies, joint account disclosures, and instructions for verbal communication. The document outlines the responsibilities and liabilities of account holders and the bank regarding verbal instructions and joint account management.

document_subtype: Account Application

key_organizations:
Southern Trust Company
Deutsche Bank Trust Company Americas


document_description: This document is an execution of an instrument by Southern Trust Company, Inc and Deutsche Bank Trust Company Americas, with spaces for business and other users to fill in their details.

key_organizations:
Southern Trust Company, Inc
Deutsche Bank Trust Company Americas


document_description: This document is a certificate of corporate resolutions for Southern Trust Company, Inc., authorizing Deutsche Bank Trust Company Americas as a depositary, custodian, or investment advisor. It outlines the authority of designated signers to manage accounts and indemnifies the bank from claims related to actions by these signers.

title: Certificate of Corporate Resolutions in favor of Deutsche Bank Trust Company Americas

document_subtype: Certificate of Corporate Resolutions

key_organizations:
Deutsche Bank Trust Company Americas
Southern Trust Company, Inc.


document_description: This document is a signature card for an account at Deutsche Bank Trust Company Americas, associated with Southern Trust Company, Inc. It includes options for account types and signature requirements, but no signatures or names are filled in.


document_description: The document outlines the requirements for customer identification as part of anti-money laundering and anti-terrorism efforts. It explains the need for financial institutions to verify and record information about individuals and entities establishing accounts or business relationships. It also details the obligations of clients to provide updated information if there are changes.

title: Customer Identification Program Notice

document_subtype: notice

key_organizations:
Deutsche Asset & Wealth Management
Deutsche Bank Securities Inc.
Deutsche Bank AG
FINRA
NYSE
SIPC


document_description: This document is an agreement between Deutsche Bank Trust Company Americas and Southern Financial LLC for the DB InSight service. It confirms the customer's acceptance of the terms and conditions and acknowledges the investment risks associated with securities.

title: DB InSight Agreement


document_description: This document is an account application for Southern Financial LLC with Deutsche Bank Trust Company Americas (DBTCA). It includes customer identification policy information, joint account disclosure, and terms for verbal instructions. The document outlines the bank's obligations under anti-money laundering laws and the responsibilities of account holders in providing accurate information.


document_description: This is a form for setting up a DB InSight account, requiring user and computer information. It must be submitted to the DB InSight Help Desk for access.

title: DB InSight Account Set Up Form

key_locations:
Mall Stop JCY03-0799
6100 Red Hook Quarter B3, St Thomas

document_subtype: form

key_organizations:
DB InSight
Southern Financial LLC


document_description: The document contains a table for account linkage with placeholders for account details and a section for user entitlements to be completed by an internal requestor.

document_subtype: Account Linkage and User Entitlements


document_description: This document is an account opening application for Southern Financial LLC with Deutsche Asset & Wealth Management. It includes client information, account services, and terms related to ACH and wire transfer limits.

document_subtype: Account Opening Application

key_organizations:
Deutsche Asset & Wealth Management
Southern Financial LLC


document_description: This document is a certificate of resolutions for Southern Financial LLC, authorizing Deutsche Bank Trust Company Americas as a depositary, custodian, or investment advisor. It outlines the powers and responsibilities of authorized signers to manage accounts with the bank, including opening, maintaining, and closing accounts, and executing related agreements. The document also includes indemnification clauses for the bank and provisions for delegating authority.

document_subtype: Certificate of Limited Liability Company Resolutions

key_organizations:
Deutsche Bank Trust Company Americas
Southern Financial LLC


document_description: This document outlines the authorized signers for an LLC, including Jeffrey Epstein. It specifies the conditions under which the authorized signers can act individually or jointly, and the powers they may grant to agents. The document also states that the bank can rely on the instructions of the authorized signers unless notified otherwise. It confirms that no one other than the company has an interest in the accounts maintained in the company's name. The document requires confirmation by another manager, member, or officer if the authorized signer is also a manager, member, or officer.

document_subtype: LLC Resolutions


document_description: A signature card for Southern Financial LLC's account at Deutsche Bank Trust Company Americas, detailing account holder title and signature requirements.

document_subtype: Signature Card


document_description: This document is a signature card for a Deutsche Bank Trust Company Americas account. It indicates the account type as a Limited Liability Corporation and lists Southern Financial as the account holder. The document is marked confidential and includes placeholders for signatures and print names, but they are currently empty.

document_subtype: bank document

key_organizations:
Deutsche Bank Trust Company Americas
Southern Financial


document_description: The document outlines Deutsche Asset & Wealth Management's compliance with Federal law and EU regulations to combat terrorism financing and money laundering. It details the requirements for customer identification and verification, including the collection of personal and institutional information and documentation.

title: Customer Identification Program Notice


document_description: This document contains account title and joint application information for Southern Trust Company, including customer identification policy and joint account disclosure. It outlines the requirements for customer identification to combat terrorism and money laundering, and the terms for verbal instructions and joint account management with Deutsche Bank Trust Company Americas (DBTCA).

document_subtype: Account Information and Policy Notice


document_description: This document is an execution page for a legal instrument involving Southern Trust Company, Inc and Deutsche Bank Trust Company Americas. It includes placeholders for business and other users to sign and date the document.

document_subtype: contract


document_description: This document is an account opening application for Southern Trust Company, Inc. with Deutsche Asset & Wealth Management. It includes client information, account services options, and terms related to ACH and wire transfer limits. The document also mentions the requirement for a separate Internet Banking Services Agreement for accessing online services.

key_organizations:
Southern Trust Company, Inc.
Deutsche Asset & Wealth Management


document_description: This document is a certificate of corporate resolutions for Southern Trust Company, Inc., authorizing Deutsche Bank Trust Company Americas as a depositary, custodian, or investment advisor. It outlines the powers and responsibilities of authorized signers to manage accounts with the bank, including opening, maintaining, and closing accounts, and executing agreements. The document also includes indemnification clauses for the bank and ratifies previous actions taken by the board or authorized signers.


document_description: A document outlining the authorization of signers for a corporation's bank account, specifying that the bank may rely on the instructions of the authorized signers unless notified otherwise. It also states that no one other than the corporation has an interest in the accounts and revokes previous authorities granted to any unauthorized signers.

document_subtype: Corporate Resolutions


document_description: A signature card for the account held by Southern Trust Company, Inc. at Deutsche Bank Trust Company Americas. The document outlines the account type and signature requirements, but lacks completed signatures and approval details.


document_description: This document is an account authorization and indemnity agreement for Southern Financial, LLC, authorizing Deutsche Bank Securities Inc. to open a securities account for the LLC. It appoints agents to manage the account and outlines the terms and conditions of the account management, including indemnity clauses and the responsibilities of the LLC and its members.

document_subtype: Account Authorization & Indemnity

key_organizations:
Deutsche Bank
Southern Financial, LLC
Deutsche Bank Securities Inc.


document_description: This document is an account agreement between Southern Financial LLC and Deutsche Bank Securities Inc. It outlines the terms and conditions governing the brokerage account, including client representations, rights of DBSI, cash account classification, order execution, and compliance with applicable laws.

document_subtype: Account Agreement

key_organizations: Financial Industry Regulatory Authority, Inc.


document_description: This document outlines the terms and conditions for securities transactions between a client and DBSI. It covers the purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement and cancellation, aggregation of orders, transmission of instructions, the role of third parties like Pershing, and liens on securities and other property. The document specifies the responsibilities and rights of both the client and DBSI, including the handling of unpaid balances, interest charges, and the security interest granted to DBSI.

key_organizations: DBSI Pershing


document_description: This document outlines the terms and conditions of an account agreement between a client and DBSI. It covers various aspects such as satisfaction of indebtedness, fees, FDIC insurance, cash sweep selection, credit information, confirmations, recording conversations, and joint accounts. The client agrees to satisfy any indebtedness, pay fees, and acknowledges the risks associated with the account. The document also details the handling of joint accounts and the authority of account owners.

key_organizations: Federal Deposit Insurance Corporation (FDIC)


document_description: This document outlines the terms and conditions of an account agreement with Deutsche Bank Securities Inc. (DBSI). It covers various aspects such as the procedure in the event of an account owner's death, non-disclosure of confidential information, third-party authorizations, limitations of liability, customer inquiries, and the right to terminate or amend the agreement. It also specifies that the agreement is governed by the laws of the State of New York.


document_description: This document outlines the pre-dispute arbitration agreement between the Client, DBSI, and Pershing. It specifies that all parties waive the right to sue each other in court, except as allowed by arbitration forum rules or applicable law. Arbitration awards are final and binding, with limited court intervention. Discovery is more limited in arbitration than in court. Arbitrators are not required to explain their decisions unless requested. Arbitration panels may include members affiliated with the securities industry. Time limits may apply to arbitration claims. The Client agrees to arbitrate disputes with DBSI or Pershing, with arbitration conducted by FINRA or a securities exchange. The agreement is governed by the Federal Arbitration Act and New York law. Class actions are excluded from arbitration until certain conditions are met.

document_subtype: arbitration agreement

key_organizations:
DBSI
Pershing
FINRA
Deutsche Bank Securities Inc.


document_description: This document is an account agreement acknowledgment form for clients, including terms and conditions, arbitration clause, and tax compliance responsibilities. It includes sections for individual or joint accounts and corporate entities, with specific instructions for ERISA employee benefit plan clients.

key_organizations:
DBSI
Southern Financial LLC


document_description: This document is an appendix to an account agreement, providing disclosures and definitions related to financial transactions and account management. It covers topics such as transaction confirmations, consent to loan or pledge securities, corrected and late trade reports, effects of account sequestration, foreign securities risks, prohibition of freeriding, impartial lottery allocation system, non-investment adviser capacity, and additional disclosures for non-U.S. residents.

document_subtype: Account Agreement Appendix

key_organizations:
DBSI
Pershing
Securities and Exchange Commission
Federal Reserve Board


document_description: This document outlines the terms and conditions of the Account Agreement between the client and DBSI, including notices, possible conflicts of interest, SIPC coverage, and considerations for tax-exempt entities. It also provides definitions for key terms used in the agreement.

key_organizations: Securities Investor Protection Corporation (SIPC)