EFTA00311151Set 9
2012-04-1074p23,416w
American Arbitration Association WeeternCaselseonagamtnt Center
Dispute Resolution Services Wor
ldwide
6795 North Palm A Floor, Fresno C 7
telephone. facsando:
April 10, 2012 ;menet littplivnyw.adr.orst
VIA ELECTRONIC MAIL
Jonathan ... Rules, the Association encl
oses a list of names selected from our
which one arbitrator is to be appointed. The roster from
parties are encouraged to agree upon ... list of
not returned by the date specified, the arbitrato arbitrators is
r will be appointed as authorized in the
as many names as possible. If the neutral arbitrato Rule
https://www.justice.gov/epstein/files/DataSet%209/EFTA00311151.pdf
EFTA00726318Set 9
2010-01-2083p25,091w
Harry P Susman, Esq.
y LLP
Houston, TX 77002
Subject: FINRA Dispute Resolution Arbitration Number 09-00979
Financial Trust Company, Inc. and The C.O.U.Q. Foundation, Inc. v. Warren Spector
Dear ... Susman:
Pursuant to the Code of Arbitration Procedure, your case is ready for the appointment of
Arbitrators.
Please be advised that the Securities and Exchange Commission (SEC) has approved ... Codes
of Arbitration Procedure for Customer (Customer Code) and Industry (Industry Code) disputes.
The Customer and Industry Codes became effective on April 16, 2007 and apply to all claims filed
https://www.justice.gov/epstein/files/DataSet%209/EFTA00726318.pdf
EFTA01291791Set 10
2018-12-0194p43,908w
Department,
One Pershing Plaza, Jersey City, New Jersey 07399 Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other ... 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 ... 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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291791.pdf
EFTA01290318Set 10
2017-12-0196p44,468w
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 ... 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 ... party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain docum ants, w itn ess statements
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290318.pdf
EFTA01291114Set 10
2015-12-3164p30,841w
Legal Department,
Jersey City, New Jersey 07399; la Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other ... 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 ... party's abibty to have a court reverse or modify an arbitration award is very
• The ability of the parties to obtain documents, witness statements and other discovery is generally
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291114.pdf
EFTA01291178Set 10
2017-12-0198p46,943w
newt.,nitakftWiatat000443931
DB-SDNY-0011755
EFTA_00159540
EFTA01291184
Important Information and Disclosures (continued)
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other ... 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 ... party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain docum ants, w itness statements and other
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291178.pdf
EFTA01254095Set 9
2015-12-3193p46,127w
Pershing Plaza,
Jersey City, New Jersey 07399; (201) 4134330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other ... 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 ... party's ability to have a court reverse or modify an arbitration award is very
• The ability of the parties to obtain documents, witness statements and other discovery is generally
https://www.justice.gov/epstein/files/DataSet%209/EFTA01254095.pdf
EFTA01291697Set 10
2015-12-0194p46,447w
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 ... 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 ... party's abikty 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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291697.pdf
EFTA01291543Set 10
2016-12-0177p39,955w
Department, One Pershing Plaza,
Jersey City, New Jersey 07399; Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other ... right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is tied.
• Arbitration awards are generally final and binding ... party's abifity 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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291543.pdf
EFTA01291389Set 10
2014-12-0178p37,435w
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 ... 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 generaty final and binding ... party's abilly to have a court reverse or modify an arbitration award is very larded.
• The ability of the parties to obtain documents, witness statements and other discovery
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291389.pdf
EFTA01219726Set 9
19p9,116w
charge you for paid versions or
features of the Software, and your agreement to arbitrate any dispute that may arise between
us. We have included links to additional terms, such ... English version, the English
version controls. WE MAY MODIFY THIS AGREEMENT, INCLUDING THE CONFIDENTIAL
ARBITRATION AND DISPUTE RESOLUTION PROVISION BELOW, FROM TIME TO TIME AT OUR
SOLE DISCRETION ... MCAFEE OF THE SITE'S
CONTENT, GENERAL SUBJECT MATTER, OVERALL QUALITY, OR USEFULNESS.
9.Binding Arbitration and Class Action Waiver
Agreement to Arbitrate Disputes: Any claim, dispute or controversy ("Claim
https://www.justice.gov/epstein/files/DataSet%209/EFTA01219726.pdf
EFTA01121751Set 9
2011-01-2820p10,659w
entered into this Agreement with you In
principles of conflicts of law. Utah.
Arbitration
This Arbitration provision sets forth the or relating to your Account, this Agreement, corporate parent ... under which the Electronic Funds Transfer Services subsidaries, affiliates, any licensees,
claims may be arbitrated instead of litigated in Agreement. and any other related or prior predecessors, successors. assigns ... validity. any of the foregoing. and other persons
As used in this Arbitration provision, the term
enforceability or scope of this Arbitration referred to below in the definition of claims
https://www.justice.gov/epstein/files/DataSet%209/EFTA01121751.pdf
EFTA01290724Set 10
1999-02-09130p61,899w
Pershing Plaza,
Jersey City, New Jersey 07399; (201) 4133330. Errors and Omissions excepted.
Important Arbitration Disclosures
• AU parties to this agreement are giving up the right to sue each other ... 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 Mal and binding ... 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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290724.pdf
EFTA01254471Set 9
2016-12-01101p49,053w
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 ... 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 ... 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
https://www.justice.gov/epstein/files/DataSet%209/EFTA01254471.pdf
EFTA01254068Set 9
2014-01-0127p13,594w
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 ... tight to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Ned.
• Arbitration awards are generally final and binding ... parlys ability to have a court reverse or modify an arbitration award is very tinted.
• The ability of the parties to obtain documents, witness statements and other discovery is generally
https://www.justice.gov/epstein/files/DataSet%209/EFTA01254068.pdf
EFTA01290105Set 10
2019-05-1323p9,866w
Pershing LLC, Legal Department,
Jersey City, New Jersey 07399; . Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other ... 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 ... 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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290105.pdf
EFTA01409798Set 10
52p14,460w
condition were not contained
herein.
32. The provisions of this Account Agreement governing arbitration (Section
111), controlling law (Section 11.29) and
limitation of liability (Section 11.25) will survive the termination ... this
Account Agreement.
13-AWM-0196
012145.032813
4
III. ARBITRATION
1. This section of the Account Agreement contains the pre-dispute
arbitration agreement between Client and DBSI and
Pershing ... trial by jury, except as provided by the
EFTA01409823
rules of the arbitration forum in which a
claim is filed, or as prohibited by Applicable Law;
b. Arbitration awards
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01409798.pdf