EFTA01461117.pdf

7. Credit Information and Investigation Client authorizes DBSI and Pershing to obtain reports concerning Client's credit standing end business conduct at their discretion without notifying Client. Client also authorizes DBSI to share among service providers (es set forth herein) and DBSI Affiliates such credit-related and learners conduct Informatkm and any other confidential information DBSI, Deutsche Sank AG and such Affiitate(s) may have about Client and Client's Account, in accordance with DBSI's Privacy Policy and Applicable Law. DBSI end Pershing will provide Client with a copy of each of their Privacy Pekin shortly after execution by Client of this Agreement. Client may request a copy of Client's Credit report, and upon request, 0951 will identify the name and address of the consumer reporting agency that furnished it. 8. Satisfaction of Indebtedness Client agrees to satisfy, upon demand, any indebtedness, including any interest end commission charges and to pay the reasonable costs and expenses of collection of any amount Client owes to DBSI, including reasonable attorneys' fees end court costs. Client agrees that 0851 or Pershing may execute or assign to each other or any third party any rights or obligations Client granted under this Account Agreement, including but not limited to the right to collect any Obligations, or liquidate any Securities and Other Properly held In Account(s). 9. Consent to Loan or Pledge of Securities and Other Property Within the limitations imposed by Applicable Lew, all Securities end Other Property now or hereafter held, carried, or maintained by or In the possession of DBSI that have not been fully paid for, or ere held in a margin account as collateral fore margin loan, may be lent to DBSI, to Pershing or to others, pledged, and repledgod. hypothecated or rehypothecated by DESSI. without notice to lent, either separately or in common with other Securities and Other Property of 0851's other Clients for any amount due In any account with DB51 in which Client has an interest, or for any greater amount, and DriSI may do so without retaining in in possession or oonuol for delivery a like amount of similar Securities and Other Property. Client understands that while securities held for Client's Accounts) are loaned out. Client will lose voting rights attendant to such securities. 10. Aggregation of Orders end Average Prices Client authorizes DBSI, at its discretion, to aggregate orders for the Account with other customer orders. Clent recognizes that in so doing. Client may receive en average price for its orders that may be different from the pricers) it might have received had its orders not been aggregated. Client understands that this practice may else result in its orders being only partially completed. 11. Arbitration This section of the Agreement contains the predispute arbitration agreement between us. By signing this Agreement, we egret as follows: 01 NI ponies to this Agreement ere giving up the right to sue each other in court, Including the right to • trial by jury, except es provided by the rules of the arbitration forum In which a claim i filed; O) Arbitration awards ere generally final end binding. A party's ability to have a court reverse or modify en arbitration award I. very €roped; Pi The ability of the parties to obtain documents, witness statements and other discovery is generePy embed in effettelion as compered to noun proceedings: NI The orb/tenon do not have to explain the mascots) for their awed, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least twenty (20) days prior to the first hearing date; Iv) The panel of arbitrators win typically include a minority of arbitrators who were or are affiliate] with the securities indusby; Ml The rules of borne arbitration forum• may impose time emits for bringing a claim In arbitration. In some oases, a claim the is ineligible for arbitration may be brought in Mort end vll) The rules of the arbitration forum in which the dim is filed, and any amendments thereto, shell be incorporated Into this Agreement Subject to the preceding disclosure, Client agrees to arbitrate any controversies or disputes that may arise with DBSI or Pershing, whether based on events occurring prior to, on or subsequent to the date of this Account Agreement, end including any controversy arising out of or relating to any Account with MI, the construction. performance or breech of any agreement, or any duty arising from any agreement or other relationship with 0951, to transactions with or through DBSI, or any controversy es to whether any issue is arbiUsble. Any arbitration under this Account Agreement shall be determined only before an arbitration panel set up by the Financial Industry Regulatory Authority CTINRA, in accordance with its arbitration procedures or an exchange of which DBSI is a member in accordance with the rules of that particular regulatory agency then in effect. Client may elect in the first instance whether arbitration shall be by FINRA or a specific national securities exchange of which CIBSI is a member, but failure to make such election by registered letter to Deutsche Bank Securities Inc., Compliance Department - Attention: Director of Compliance, 60 Well Street, 25th Floor. Mail Stop NYC60-2536, New York, NY 10005.2836 within (5) five days after receipt of a written request from OBSI for such election, gives DB51 the right to elect the arbnration forum that will have jurisdiction over the dispute. Judgment upon arbitration awards may be entered in any court stale or federal, having junefietion. Any arbitration under this Account Agreement will be conducted pursuant to the Federal Arbitration Act and the Laws of the State of New York. Neither DBSI, Pershing, nor Clones) waive any right to seek equitable relief pending erbiustion. No person shall bring a putative or certified class action to arbitration. nor seek to enforce one Per-diniute arbitration agreement against any person who has initiated in court a putative class action; or who is a member of a putative clan who has not opted out of the class with respect to any deems encompassed by the putative class action until (i) the class cerlificatitin Is denied; or lei the class is decertified or (its) the customer is excluded from the class by the coin. 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. 13.AWM.C279 006420 031214 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0122956 CONFIDENTIAL SONY GM_00269140 EFTA01461117