The document outlines arbitration procedures under the rules of the Financial Industry Regulatory Authority (FINRA) for disputes involving predecessors, subsidiaries, affiliates, and employees. It specifies that class actions cannot be brought to arbitration unless certain conditions are met, such as denial of class certification or decertification. The document is associated with Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation.
doj/DataSet10/EFTA01454084.pdf
{"document_type":"legal","document_subtype":"arbitration agreement","key_organizations":["Pershing LLC","The Bank of New York Mellon Corporation","Financial Industry Regulatory Authority (FINRA)"],"reference_numbers":["FRM-PRMBRK-12-11","DB-SDNY-0112011","SDNY_GM_00258195","EFTA01454084"]}