EPSTEIN
page 2 / 457 . OCR, unverified
receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your
rights, including your rights under the Securities Investor Protection Act.
•
Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department,
One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
•
All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
•
Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
•
The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
•
The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
•
The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
•
The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
•
The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class w ho has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or
(III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to
the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330.
Account Number:
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
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EFTA01371970
--- SOURCE: IMAGES__0040__EFTA01371971.txt ---
METADATA_SOURCE: IMAGES0040
METADATA_FILENAME: EFTA01371971.pdf
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TERMS AND CONDITIONS
TRANSACTIONS
• ALL ORDERS AND TRANSACTIONS SHALL SE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE
SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS. CUSTOMS. USAGES. RULINGS AND
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE
THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE, OF THE FINANCIAL
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS.
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL, SHALL REMAIN
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT
DATE. WHICHEVER IS LATER.
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR
STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT.
THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS.
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES.
MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF