EFTA01384289.pdf

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 December 1, 2018 - December 31,2018 SOUTHERN FINANCIAL LLC moor; ant Information and D aclosures (continued) Important Arbitration Disclosures (continued) 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 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 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 Rate of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Raze, *Jersey City, New Jersey 07399; (201) 413-3330. Page 17 of Account Number Rated [welled MISR One* Penabos UM. • wholly .•r.td n:nt cn:2e Go paperless Every Year Since 2007 04BAR MITOCOMPAVNICA710.5 subtle:run of The Bakal New Yort Man Comer/Mon (BNY MAW Aix Atari t.tetivter EXCELLENCE PCISrat LLC. motto( AURA. NYSE SIPC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0084395 CONFIDENTIAL SDNY_GM_00230579 EFTA01384289