Deposit of Checks to Customer Accounts. Any failure to exercise due diligence in reviewing checks received from customers to ensure that same are in proper form, or in the issuance of instructions to Pershing regarding the accounts into which checks are to be deposited.
Appears in 10 contracts
Samples: www.sec.gov, Disclosed Clearing Agreement (Gleacher & Company, Inc.), Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp)
Deposit of Checks to Customer Accounts. Any failure to exercise due diligence in reviewing checks received from customers to ensure that same are in proper form, or in the issuance of instructions to Pershing Clearing Agent regarding the accounts into which checks are to be deposited.
Appears in 3 contracts
Samples: Disclosed Clearing Agreement (Cowen Group, Inc.), Disclosed Clearing Agreement (Cowen Group, Inc.), Cowen Group, Inc.
Deposit of Checks to Customer Accounts. Any failure to exercise due diligence in reviewing checks received from customers to ensure insure that same are in proper form, or in the issuance of instructions to Pershing regarding the accounts into which checks are to be deposited.
Appears in 2 contracts
Samples: Disclosed Clearing Agreement (Chapman Holdings Inc), Clearing Agreement (Echapman Com Inc)
Deposit of Checks to Customer Accounts. Any failure to exercise due -------------------------------------- diligence in reviewing checks received from customers to ensure that same are in proper form, or in the issuance of instructions to Pershing regarding the accounts into which checks are to be deposited.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Ziegler Companies Inc)
Deposit of Checks to Customer Accounts. Any failure to exercise due diligence in reviewing checks received from customers to ensure that same are in proper form, or in the issuance of instructions to Pershing RJO regarding the accounts into which checks are to be deposited.
Appears in 1 contract
Samples: Clearing Agreement (Southern Trust Securities Holding Corp)
