The document outlines the role of Pershing LLC as a clearing broker, its responsibilities, and the arbitration agreement related to disputes. It emphasizes that Pershing acts as an agent for financial institutions, does not provide investment advice, and is not liable for the actions of financial institutions. The document also includes important arbitration disclosures and agreements, highlighting the limitations and conditions of arbitration proceedings.
doj/DataSet10/EFTA01383274.pdf
{"document_type":"correspondence","key_locations":["Jersey City, New Jersey"],"document_subtype":"disclosure statement","key_organizations":["Pershing LLC","The Bank of New York Mellon Corporation","Securities Investor Protection Corporation","Financial Industry Regulatory Authority"],"reference_numbers":["AD1006CSF30020"]}