EFTA01594878.pdf

JR Morgan Over The Counter Derivatives Approval Form for Equity Options and Structured Products A. Derivatives Approval Level Level 1; Covered virlting/Structured Products Level 2: Buying 00:Ions/Structured Products Level 3: Spreads/Structured Products Level 5: Uncovered Writing/Structured Products Level 6: Cambinations/Straddles/Stnlctured Products OTC Options Please check all that apply; el Equity Options Structured Products B. ARBITRATION; CONSENT TO JURISDICTION; SERVICE OF PROCESS. THIS AGREEMENT CONTAINS A PREDISPUTE ARBITRATION CLAUSE. BY SIGNING AN ARBITRATION AGREEMENT, THE PARTIES AGREE AS FOLLOWS: • ALL PARTIES TO THIS AGREEMENT ARE GIVING UP THE RIGHT TO SUE EACH OTHER IN COURT, INCLUDING THE RIGHT TO A TRIAL BY JURY, EXCEPT AS PROVIDED BY THE RULES OF THE ARBITRATION FORUM IN WHICH A CLAIM IS HUD. • ARBITRATION AWARDS ARE GENERALLY FINAL AND BINDING; A PARTY'S ABILITY TO HAVE A COURT REVERSE OR MODIF' AN ARBITRATION AWARD IS VERY LIMITED. • THE ABILITY OF THE PARTIES TO OBTAIN DOCUMENTS, WITNESS STATEMENTS AND OTHER DISCOVERY IS GENEMILLT MORE LIMITED IN ARBITRATION THAN IN COURT PROCEEDINGS. • THE ARBITRATORS DO NOT HAVE TO EXPLAIN THE REASON(S) FOR THEIR AWARD UNLESS, IN AN ELIGIBLE CASE, A 30INT REQUEST FOR AN EXPLAINED DECISION HAS BEEN SUBMITTED BY ALL PARTIES TO THE PANEL AT LEAST 20 DAYS PRIOR TO THE FIRST SCHEDULED HEARING DATE. • THE PANEL OF ARBITRATORS MAY INCLUDE A MINORITY OF ARBITRATORS WHO WERE OR ARE AFFILIATED WITH THESECURITTES 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. • 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 PUTAITVE 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: (ii) (ill) THE CLASS CERTIFICATION IS DENIED; EFTA01594878 THE CLASS IS DECERTIFIED; OR THE CUSTOMER IS EXCLUDED FROM THE CLASS BY THE COURT. SUCH FORBEARANCE TO ENFORCE AN AGREEMENT SHALL NOT CONSTITUTE A WAIVER OF ANY RIGHTS UNDER THIS AGREEMENT EXCEPT TO THE EXTENT STATED HEREIN. • BY SIGNING THIS AGREEMENT, /P. MORGAN AND I AGREE 'THAT CONTROVERSIES ARISING UNDER, OR RELATING TO, THIS AGREEMENT OR ANY ACTIVITY BETWEEN ME AND 3.P. MORGAN, ITS PREDECESSORS, AND ANY OF THEIR RESPECTIVE SUCCESSORS, ASSIGNS, AND ANY OF THEIR, DIRECTORS, EMPLOYEES, AND ANY OTHER CONTROL PERSONS AND ANY OF THEIR AGENTS, WHETHER ARISING PRIOR TO, ON OR SUBSEQUENT TO THE DATE HEREOF, SHALL BE DETERMINED BY ARBITRATION PANEL APPOINTED BY FINRA IN ACCORDANCE WITH ITS RULES, AND SUCH HEARING OR HEARINGS SHALL BE CONDUCTED IN A LOCALE SELECTED BY FINRA. THE AWARD OF THE ARBITRATORS, OR OF THE MAJORITY OF THEM, SHALL BE FINAL, AND JUDGMENT UPON THE AWARD RENDERED HAY BE ENTERED IN ANY COURT, STATE OR FEDERAL, worms JURISDICTION. ■ THIS AGREEMENT, AND ANY CLAIM, CONTROVERSY OR DISPUTE ARISING UNDER OR RELATED TO THIS AGREEMENT, THE RELATIONSHIP OF THE PARTIES, AND/OR THE INTERPRETATION AND ENFORCEMENT OF THE RIGHTS AND DUTIES OF THE PARTIES, WILL BE GOVERNED BY THE LAWS OF THE STATE OF NEW YORK WITHOUT REGARD TO ANY CONFLICTS OF LAW PRINCIPLES. • I HEREBY AGREE TO RECEIVE SERVICE OF PROCESS IN CONNECTION WITH ANY LEGAL MATTERS, ACTIONS OR PROCEEDINGS BASED UPON, ARISING OUT OF, OR RELATING IN ANY WAY TO, THIS AGREEMENT BY CONFIRMED, RETURN -RECEIPT REQUESTED MAIL, AND THAT DELIVERY SHALL BE PRESUMED IF SUCH SERVICE IS MAILED TO THE ADDRESS MAINTAINED BY 1.P. MORGAN IN ITS RECORDS. 3.P. Morgan Use Only Title Page 1. of 2 Banker/Investor SPN CAS 6/13 US1074 Over The Counter Derivatives Approval Form for Equity Options and Structured Products JR Morgan B. ARBITRATION; CONSENT TO JURISDICTION; SERVICE DP PROCESS (cont.) I AGREE THAT THE TERMS OF ANY SETTLEMENT, OR ANY AWARD DETERMINED BY ARBITRATION, SHALL BE CONFIDENTIAL AND SHALL NOT BE DISCLOSED BY 3F145 OR ANY OTHER J.P. MORGAN AFFILIATE UNDER ANY CIRCUMSTANCES, UNLESS REQUIRED BY APPLICABLE LAW, JUDICIAL PROCEEDING OR SRO RULE. C. Pre -Dispute Arbitration and Acknowledgement By signing this Agreement, I acknowledge that: (1) 1 requested the options approval level as indicated above, (2) I shall promptly advise JP. Morgan Securities LLC, in writing, of any material changes in my EFTA01594879 financial circumstances and options Investment objectives, and (3) in accordance withth above, I am agreeing in advance to arbitrate any controversies that may arise in connection with me vxriCiy ii.durits with J.P. Morgan Securities LLC. 0. Signature"! account opeer_Ls. jus-reqUrred to sign below) ('/Id/F5 JEFFREY E. EPSTEIN L Signature Date Name l:Print) f EI Signature Date Name (Print) Signature Date Name (Print) Signature Date Name (Print) LP, Morgan Use Only Approvals; I have reviewed the above information concerning the client's suitability, including: investment objectives, Investment experience, and financial condition JPM RR Signature ••(/r Date JPM ROSH, Signature Date • 31;11 S-ROSFP Signature neje" Date • (Structured Products and Equity Options Levels 5 & 6) 3.P, Morgan Use Only Title SPN CAS Page 2 of 2 Banker/Investor 6/13 U51074 EFTA01594880