EFTA01355702.pdf

8. Satisfaction of Indebtedness Client agrees to satisfy, upon demand, any indebtedness, including any interest and commission charges. Client further agrees to pay the reasonable costs and expenses of collection of any amount it owes ()BSI. including reasonable attorney's fees and court costs. Client agrees that DBSI and its clearing broker have the right to collect any debit balance or other obligations owing in Client's Account, and that such rights may be assigned to each other 9. loan or Pledge of Securities and Other Property Within the limitations imposed by applicable law, all Securities and Other Property now or hereafter held, tarried, or maintained by DBSI in its possession thet have not gate fully paid for, may be loot, either to DBSI or to others. pledged,.and rooiedged by DBSI. without notice to Ghent. Client understands that while securities held for its Account are loaned out. Client will lose voting rights attendant to such securities. 10. Aggregation of Orders and Average Prices Client authofizen DB% at its oiscretion, to eggregate orders for the Account with other customer orders. Client recognizes that in so doing. it may receive an average price for its orders that may be different from the price(s) it might have received had its orders not been aggregated. Client understands that this practice may also result in its oroers being only partially completed. 11. Arbitration - This secdoc of the Acrenment contains the credit pctte arbitration agreement between us. By signing this Agreement. we agree as follows: Ii) an parties to this Agreement are giving up the right to sue each other in court, Including the right to a trial by pay, except as provided by the rule of the arbitration forum In which a claim Is filed; (a) Arbitration awards ere generally final sod biecihe A play's ability to have u cowl reeetse or modify an arbitnnioe anent in very limited, kin The ability of the parties to obtain documents, witness *taunter te end other dlecowry is gene/ear limited in arliitnnion its compnied to court prooeedngs; OA The arbitrators do not have to explain the reagents) for their award. unless, In an eligible case, a joint calmest for an explained decision has been submitted by ell parties to the panel at least twenty (20) days prior to the first hearing date; (v) The panel of Mittel tors will typically Include a minority of arbitiytors who were or are affiliated with the securfties industry; (ell The miss of some arbitration formes may impose time limits for bringing a claim In arNtratIon. In some cases, a claim that is ineligible for arbitration ratty be brought in sow b end Will The rules of die sebltration fans,, in which the charm is filed, and any amendments thereto, shell be Incorporated Into this Agreement - Ctent agrees to arbitrate with DBSI any controversies which may arise, whether or not based on events occurring prior to the date of this agreementincluding any controversy arising out of or relating to any account with DBSI, to the construction, performance or breach of any agreement. or any duty arising from any agreement or othor relationship with DBSI. or to transactions with or through ()BSI, only before the Financial Industry Regulatory Authority, Inc., or any exchange of which DBSI is a member, at Client's election. Client agrees that Client shall make Clent's election by registered mail to Deutsche Bank Securities Inc.. Compliance Department - Attention: Director of Compliance, 60 Wall Street, 23rd Floor, Mail Stop NYC80-2330, New York, NY 10005-2836. If Client's election is not received by 13851 within ten (101 calendar days of receipt of a written request from DM that Client make an election, then OBSI may elect the forum Defers which the arbitration shat be held. - Neither OBSI nor Client waive any nght to soak equitealemifiel pending arbitration. No person shad bring a putative or certified pees action to arbitration, nor seek is enforce any pre-dispute arbitration agreement against any person who hes initiated in court a putative doss action: or who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until (i) the doss certkication is denied: or (ii) the class is decertitied; or (iii) the customer is excluded from the class by the court. Siren forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. Important Disclosures for Your Records Deutsche Bank Securities into. "DBSI" is furnishing this document to you to item yci toiinipprlapt matters regarding your account. Securities Investor Protection Corporation SIPC") Securities held by our clearing broker, Pershing LLC, for your account ere protected up to the total net equity hold in the account. Of this total, SIPC provides $500,000 of coverage. including $100,000 for claims for cash awaiting reinvestment. The rendiolug coverage is provided by Pershing through a commercial insurer. SIPC protection applies when the SIPC member firm through which you hold your investments fails financially and is unable to meet its obligations to securities clients, but SIPC protection does not protect against losses attributable to the rise end fall in the market value of investments A small number of client accounts are not carried on Pershing's books due to specific account factors. These accounts are covered under 0651 a SIPC membership. DBSI does not provide coverage in excess el StPC coverage. Certain investments, such as commodity futures contracts and currency, are ineligible for SIPC protection. For additional information on SIPC, see www.SlPC.org or call the SIPC public information number. (202) 371-8300. Payment for order Flow DBA8 receives payment when its minas for execution certain orders in certain securities. Tne determination as to where to mote ordets is based on several factors, consistent with DBSrs obligation to provide best execution for all client orders. Because several factors are considered with respect to such determinations, 0051 could potentially secure price improvements on such orders by routing thorn in a different manner and all such orders potentially could be executed at prices superior to the best aid or best offer. Payment is received by DBSI in the form of rebates, or credits against exchange fees, and specialist fees. Details will be furnished upon written request 09'P M'0180 Corp Acct Auto 8 TeX (02/12) CORP 008420-022212 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0040958 CONFIDENTIAL SDNY_GM_00187142 EFTA01355702