EFTA01454084.pdf

predecessors, subsidiaries and affiliates and all respective successors, assigns and employees, whether arising prior to, on or subsequent to the date hereof, shall be determined by arbitration. Any arbitration under this Agreement shall be conducted in accordance with the rules then in effect of the Financial Industry Regulatory Authority ("FINRA") and are incorporated into this Agreement by reference. The award of the arbitrators, or of the majority of them, shall be final, and judgment upon the award rendered may be entered in any court, state or federal, having jurisdiction. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration agreement against any person who has initiated in court a putative class 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 class certification is denied; (ii) the class is decertified; or (iii) the customer 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. O2011 Pershing LLC. Pershing LLC. member FINRA. NYSE. SIPC. is a subsidiary of The Sank of New York Mellon Corporation. Page Tor 10 Trademark(s) belong to their respective owners. FRIA-PRMEIRK-12-11 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-WW-0112011 CONFIDENTIAL SDNY GM_00258195 EFTA01454084