EFTA00022366.pdf

258 KB

Extraction Summary

3
People
3
Organizations
1
Locations
1
Events
2
Relationships
3
Quotes

Document Information

Type: Financial legal document (ubs client relationship agreement signature page)
File Size: 258 KB
Summary

This document is a UBS Signature Page signed by Ghislaine Maxwell on February 18, 2014. It certifies the opening or maintenance of ten specific domestic accounts (Y1 23568 through Y1 23569), provides an address of record at 116 E 65th Street, New York, and designates 'gmax1@ellmax.com' as the email for electronic document delivery. The document includes a W-9 certification and margin agreement, with financial advisors Scott Stackman and Lyle Casriel listed as contacts.

People (3)

Name Role Context
Ghislaine Maxwell Sole Owner/Client
Signatory for multiple UBS RMA Domestic accounts; lists address and email.
Scott Stackman Financial Advisor
UBS contact listed for the account.
Lyle Casriel Financial Advisor
UBS contact listed for the account.

Organizations (3)

Name Type Context
UBS
Bank/Brokerage holding the accounts.
Internal Revenue Service (IRS)
Mentioned in W-9 tax certification section.
Ellmax
Email domain for Ghislaine Maxwell (ellmax.com).

Timeline (1 events)

2014-02-18
Ghislaine Maxwell signed UBS Client Relationship Agreement and W-9 Certification for 10 domestic accounts.
New York, NY (implied by address of record)

Locations (1)

Location Context
Address of Record for Ghislaine Maxwell

Relationships (2)

Ghislaine Maxwell Client-Advisor Scott Stackman
Stackman listed as Financial Advisor on Maxwell's UBS account document.
Ghislaine Maxwell Client-Advisor Lyle Casriel
Casriel listed as Financial Advisor on Maxwell's UBS account document.

Key Quotes (3)

"The Client Relationship Agreement contains a pre-dispute arbitration clause located in the final section under the title 'Arbitration.'"
Source
EFTA00022366.pdf
Quote #1
"I acknowledge that when I use margin privileges, UBS will hold the securities in my Account as collateral against the amounts I borrow."
Source
EFTA00022366.pdf
Quote #2
"gmax1@ellmax.com, which we consider to be the e-mail address of record for all owners of these accounts."
Source
EFTA00022366.pdf
Quote #3

Full Extracted Text

Complete text extracted from the document (3,549 characters)

Signature Page
SIGN AND RETURN TO UBS
By signing below and depositing cash or securities in my accounts, I acknowledge that I have read, understand and agree with the enclosed UBS Client Relationship Agreement, as well as the terms, conditions and disclosures in the enclosed Agreements and Disclosures booklet.
Margin Agreement
I acknowledge that when I use margin privileges, UBS will hold the securities in my Account as collateral against the amounts I borrow. I agree to keep sufficient positions and margin in my Account to meet any margin calls UBS may be required to issue. By signing below, I agree that the Margin Agreement in my Client Relationship Agreement applies to all of my accounts, including any accounts that I may open in the future.
Note: UBS does not extend margin for certain types of accounts (e.g., IRA and ERISA Plan accounts, Coverdell Education Savings Accounts, 403(b)(7) Accounts, UGMA/UTMA, Estate or 529 Plan Accounts).
Likewise, I acknowledge and agree that certain securities in my account, including any account I may open in the future, may be loaned to UBS or to other persons or entities as described in the Margin Agreement.
Electronic Delivery Consent
As you requested, we have sent your agreements and disclosure booklet and other account-related documents electronically to gmax1@ellmax.com, which we consider to be the e-mail address of record for all owners of these accounts. The information is also available at www.ubs.com/accountdisclosures or by request to your Financial Advisor, Scott Stackman | Lyle Casriel at 1-212-821-7000.
W-9 Form Certification
Under penalties of perjury, I certify that: (1) the number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and (2) I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest and dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and (3) I am a U.S. citizen or other U.S. person (defined in the instructions).
Certification instructions: You must cross out item (2) above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return.
The Internal Revenue Service does not require your consent to any provision of this document other than the certifications required to avoid backup withholding.
The Client Relationship Agreement contains a pre-dispute arbitration clause located in the final section under the title "Arbitration."
Ghislaine Maxwell
For Accounts:
Y1 23568 RMA Domestic - Sole Owner
Y1 23567 RMA Domestic - Sole Owner
Y1 23576 RMA Domestic - Sole Owner
Y1 23575 RMA Domestic - Sole Owner
Y1 23574 RMA Domestic - Sole Owner
Y1 23573 RMA Domestic - Sole Owner
Y1 23572 RMA Domestic - Sole Owner
Y1 23571 RMA Domestic - Sole Owner
Y1 23570 RMA Domestic - Sole Owner
Y1 23569 RMA Domestic - Sole Owner
Enter your Tax ID Number:
[REDACTED BLACK BOX]
ENTER SSN HERE
[Checkbox] Check here if you have been notified by the IRS that you are subject to backup withholding, and therefore have crossed out item (2) above.
X [Signature]
Ghislaine Maxwell
X 2/18/14
Date
SIGN AND DATE HERE
Address of Record
116 E 65th Street
New York, NY 10065-7007
Email Address of Record
gmax1@ellmax.com
0093830959
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EFTA00022366

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