This document is a pre-dispute arbitration agreement between the Client, DBSI, and Pershing. It outlines the terms under which disputes will be resolved through arbitration rather than court proceedings. Key points include the finality of arbitration awards, limited discovery in arbitration, and the composition of arbitration panels. The agreement specifies that arbitration will be conducted under FINRA or a national securities exchange's rules, and it includes provisions for the selection of the arbitration forum. It also addresses the non-waiver of rights to seek equitable relief and the handling of class actions in relation to arbitration.
doj/DataSet10/EFTA01390406.pdf
{"document_type":"legal","key_locations":["New York, NY"],"document_subtype":"arbitration agreement","key_organizations":["DBSI","Pershing","FINRA","Deutsche Bank Securities Inc."],"reference_numbers":["13-A1VM-015","012145.032013","DB-SDNY-0094907","SDNY_GM_00241091","EFTA01390406"]}