Accounts Carried as Clearing Broker. The Customer understands that you are carrying the accounts of the Customer as clearing broker by arrangement with the Customer's Introducing Broker through whose courtesy the account of the Customer has been introduced to you. Until receipt from the Customer of written notice to the contrary, you may accept from and rely upon the Customer’s Introducing Broker for (a) orders for the purchase or sale in said account of securities and other property, and (b) any other instructions concerning the Customer's accounts. The Customer represents that the Customer understands that you act only to clear trades introduced by the Customer's Introducing Broker and to effect other back office functions for the Customer's introducing broker. The Customer confirms to you that the Customer is relying for any advice concerning the Customer's accounts solely on the Customer's Introducing Broker. The Customer understands that all representatives, employees and other agents with whom the Customer communicates concerning the Customer's account are agents of the Introducing Broker, and not your representatives, employees or other agents and the Customer will in no way hold you liable for any trading losses that the Customer may incur. The Customer understands that you are not a principal of or partner with, and do not control in any way, the Introducing Broker or its representatives, employees or other agents. The Customer understands that you will not review the Customer's accounts and will have no responsibility for trades made in the Customer's accounts. You shall not be responsible or liable for any acts or omissions of the Introducing Broker or its representatives, employees or other agents. Notwithstanding the foregoing, in the event that the Customer initiates a claim against you in your capacity as clearing broker and does not prevail, the Customer shall be responsible for the costs and expenses associated with your defense of such claim. The Customer understands you shall be entitled to exercise and enforce directly against the Customer all rights granted to the Introducing Broker.
Accounts Carried as Clearing Broker. The undersigned understands that Apex is carrying the accounts of the undersigned as clearing broker by arrangement with the undersigned’s introducing broker through whose courtesy the account of the undersigned has been introduced to Apex Until receipt from the undersigned of written notice to the contrary, Apex mayaccept and rely upon the introducing broker for (a) orders for the purchase or sale in said account of securities andother property, and (b) any other instructions concerning the undersigned’s accounts. The undersigned represents that the undersigned understands that Apex acts only to clear trades introduced by the undersigned’s introducing broker and to effect other backoffice functions for the undersigned’s introducing broker. The undersigned confirms to Apex that the undersigned is relying for any advice concerning the undersigned’s accounts solely on the undersigned’s introducing broker. The undersigned understands that all representatives, employees and other agents with whom the undersigned communicates concerning the undersigned’s account are agents of the introducing broker, and not Apex’s representatives, employees or other agents. The undersigned understands that Apex will not review the undersigned’s accounts and will have no responsibility for trades made in the undersigned’s accounts, including but not limited to for appropriateness or suitability Apex shall not be responsible or liable for any acts or omissions of the introducing broker or its representatives, employees or other agents. The execution of any such trades shall not be deemed to be an approval of such trades. 9. AREBITATIONAGREEMENT. THISAGREEMENT CONTAINSA PREDISPUTE ARBITRATIONCLAUSE. BY SIGNINGAN ARBITRATIONAGREEMENTTHE PARTIES AGREE AS FOLLOWS:
a. 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 ARVITRATION FORM IN WHICH A CLAIM IS FILED;
b. ARBITRATION AWARDS ARE GENERALLY FINAL AND BINDING; A PARTY’S ABILITY TO HAVE A COURT REVERSE OR MODIFY AN ARBITRATION AWARD IS VERY LIMITED.
c. THE ABILITY OF THE PARTIES TO OBTAIN DOCUMENTS, WITNESS STATEMENTS AND OTHER DISCOVERY IS GENERALLY MORE LIMITED IN ARBITRATION THAN IN COURT PROCEEDINGS;
d. THE ARBITRATORS DO NOT HAVE TO EXPLAIN THE REASON(S) FOR THEIR AWARD UNLESS, IN AN ELBIGIBLE CASE, A JOINT REQUEST FOR AN EXPLAINED DECISION HAS BEEN SUBMITTED BY ALL PARTIES TO THE PANEL AT LEAST 20 DAYS PRIOR TO THE F...
Accounts Carried as Clearing Broker. The Customer understands that you are carrying the accounts of the Customer as clearing broker by arrangement with the Customer's Introducing Broker through whose courtesy the account of the Customer has been introduced to you. Until receipt from the Customer of written notice to the contrary, you may accept from and rely upon the Customer’s Introducing Broker for (a) orders for the purchase or sale in said account of securities and other property, and (b) any other instructions concerning the Customer's accounts. The Customer represents that the Customer understands that you act only to clear trades introduced by the Customer's Introducing Broker and to effect other back office functions for the Customer's introducing broker. The Customer confirms to you that the Customer is relying for any advice concerning the Customer's accounts solely on the Customer's Introducing Broker. The Customer understands that all representatives, employees and other agents with whom the Customer communicates concerning the Customer's account are agents of the Introducing Broker, and not your representatives, employees or other agents and the
Accounts Carried as Clearing Broker. You understand that FSC is carrying your accounts as clearing broker by arrangement with your Introducing Broker through whose courtesy, your account has been introduced to FSC. Until receipt from you of written notice to the contrary, FSC may accept and rely upon from such Introducing Broker and its representatives, employees and other agents, without any inquiry or investigation by FSC:
(a) orders for the purchase or sale in said account of securities and other property, and (b) any other instructions concerning your accounts. You represent that you understand that FSC acts only to clear trades introduced by your Introducing Broker and to effect other back office functions for your Introducing Broker. You confirm to FSC that you are relying solely on your Introducing Broker for any advice concerning your accounts. You understand that all representatives, employees and other agents with whom you communicate concerning your account are agents of the Introducing Broker, and not FSC’s representatives, employees or other agents. You understand that FSC is not a principal of or partner with, and does not control in any way, the Introducing Broker or its representatives, employees or other agents. You understand that FSC will not review your accounts and will have no responsibility for trades made in your accounts. FSC shall not be responsible or liable for any acts or omissions of the Introducing Broker or its representatives, employees or other agents.
Accounts Carried as Clearing Broker. If you are carrying my account as clearing broker by arrangement with another broker, dealer or investment advisor authorized by me (or through whose courtesy my account has been introduced to you) then until receipt from me of written notice to the contrary, you may accept from such other broker, without inquiry or investigation by you:-
Accounts Carried as Clearing Broker. If you are carrying the account of the undersigned as clearing broker by arrangement with another broker through whose courtesy the account of the undersigned has been introduced, then until receipt from the undersigned of written notice to the contrary, you may accept from such other broker, without inquiry or investigation by you: (i) orders for the purchase or sale in said account of securities and other property on margin or otherwise; and (ii) any other instructions concerning said account. You shall not be responsible or liable for any acts or omissions of such other broker or its employees.
Accounts Carried as Clearing Broker. The Customer understands that you are carrying the accounts of the Customer as clearing broker by arrangement with the Customer's Introducing Broker through whose courtesy the account of the Customer has been introduced to you. Until receipt from the Customer of written notice to the contrary, you may accept from and rely upon the Customer’s Introducing Broker for (a) orders for the purchase or sale in said account of securities and other property, and (b) any other instructions concerning the Customer's accounts. The Customer represents that the Customer understands that you act only to clear trades introduced by the Customer's Introducing Broker and to effect other back office functions for the Customer's introducing broker. The Customer confirms to you that the Customer is relying for any advice concerning the Customer's accounts solely on the Customer's Introducing Broker. The Customer understands that all representatives, employees and dividendos sobre essa ação ainda não recebida, poderão receber tratamento tributário menos favorável ao concedido aos dividendos. 5. Cancelamento. Você está autorizado, a seu critério, caso você, por qualquer motivo, considere necessário para sua proteção, sem aviso prévio, cancelar qualquer ordem pendente, fechar as contas do Cliente, total ou parcialmente, ou para fechar qualquer compromisso assumido em nome do Cliente.
Accounts Carried as Clearing Broker. 8.1. If you are carrying my account(s), or carrying out any transaction, as clearing broker by arrangement with another person, then until receipt from me of written notice to the contrary, you may accept from such other party without inquiry or investigation by you: (a) orders for the purchase or sale in said account of Securities on margin or otherwise; and (b) any other instructions concerning said account(s).
8.2. You shall not be responsible or liable for any acts or omissions of such party.
Accounts Carried as Clearing Broker. The following processes are applicable to customers of TBI: You understand that FSC is carrying your Account(s) as clearing broker by contractual arrangement with TBI through whose courtesy your Account(s) have been introduced to FSC. Until receipt from you of written notice to the contrary, FSC may accept and rely upon the verbal or written instructions and directions from TBI and its representatives, employees and other agents, without any inquiry or investigation by FSC, and those instructions are hereby authorized and approved by you regardless of the circumstances, with respect to (a) orders for the purchase or sale in your Account(s) of securities and other property, and (b) any other instructions concerning your Account(s), and you agree to accept all transactions initiated, effected and/or created by TBI on your behalf. You represent that you understand that FSC will act only to clear trades introduced by TBI and to affect other back office functions for TBI. You confirm to FSC that you are relying for any advice concerning your Account(s) solely on TBI. You understand that all representatives, employees and other agents with whom you communicate concerning your Account(s) are agents of TBI, and are not FSC representatives, employees or other agents. You understand that FSC is not a principal of or partner with, and does not control in any way, TBI or its representatives, employees or other agents. FSC has no responsibility to supervise or monitor the activities of TBI, and TBI is exclusively responsible for ensuring that transactions in your Account(s) comply in all respects with applicable laws, rules and regulations. The foregoing notwithstanding, FSC reserves the right to enter into additional contractual or other arrangements with TBI in the future, and should FSC elect to do so, such will not affect or modify in any respect any rights or privileges that FSC may have hereunder or any duties, obligations or responsibilities that you may have hereunder.
Accounts Carried as Clearing Broker. The Customer understands that you are carrying the accounts of the Customer as clearing broker by arrangement with the Customer's Introducing Broker through whose courtesy the account of the Customer has been introduced to you. Until receipt from the Customer of written notice to the contrary, you may accept from and rely upon
