This document outlines the pre-dispute arbitration agreement between the Client, DBSI, and Pershing. It specifies that all parties waive the right to sue each other in court, except as allowed by arbitration forum rules or applicable law. Arbitration awards are final and binding, with limited court intervention. Discovery is more limited in arbitration than in court. Arbitrators are not required to explain their decisions unless requested. Arbitration panels may include members affiliated with the securities industry. Time limits may apply to arbitration claims. 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.
doj/DataSet10/EFTA01448593.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-AWM-0196","012145.032813","DB-SDNY-0103668","SDNY_GM_00249852","EFTA01448593"]}