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 reversal options. Discovery is more limited in arbitration than in court. Arbitrators are not required to explain their awards unless requested. Arbitration will be conducted by FINRA or an exchange of which DBSI is a member. The agreement is governed by the Federal Arbitration Act and New York law. Class actions are not subject to arbitration until certain conditions are met.
doj/DataSet10/EFTA01390372.pdf
{"key_people":["Client","DBSI","Pershing"],"document_type":"legal","key_locations":["60 Wall Street, New York, NY 10006-2836"],"document_subtype":"Arbitration Agreement","key_organizations":["DBSI","Pershing","FINRA","Deutsche Bank Securities Inc."],"reference_numbers":["13-AWM-0196","012145.032813","DB-SDNY-0094858","SDNY_GM_00241042","EFTA01390372"]}