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 limited compared to court proceedings, and arbitrators are not required to explain their decisions unless requested. The arbitration panel will include some members affiliated with the securities industry. Time limits for claims may apply, and arbitration will be conducted under FINRA or a national securities exchange's rules. 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/EFTA01450271.pdf
{"key_people":["Client","DBSI","Pershing"],"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-0105823","SDNY_GM_00252007","EFTA01450271"]}