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 decisions unless requested. Arbitration panels may include members affiliated with the securities industry. Time limits for claims may apply, and the rules of the arbitration forum are incorporated into the agreement. 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. The document also includes sections on the use of free credit balances and tax status declaration.
documents/vol00010-efta01459367-pdf.pdf
{"key_people":["Client","DBSI","Pershing"],"document_type":"legal","key_locations":["New York, NY"],"document_subtype":"arbitration agreement","key_organizations":["FINRA","Deutsche Bank Securities Inc."],"reference_numbers":["WM134715","015684.110614","DB-SDNY-0119718","SDNY_GM_00265902","EFTA01459367"]}