Agreement to Arbitrate Controversies. You agree that any and all controversies which may arise between you, Royal Alliance, Pershing LLC, SunAmerica Trust Company and/or any of Royal Alliance's employees, agents, or officers concerning any account, transaction, dispute or the construction, performance, breach, or termination of this Agreement or any other agreement, whether entered into prior to, on or subsequent to the date hereof, shall be determined and resolved by arbitration. Any arbitration under this Agreement shall be held under and pursuant to and be governed by the Federal Arbitration Act, and shall be conducted before an arbitration panel convened by the Financial Industry Regulatory Authority (“FINRA”) Dispute Resolution. You may also select any other national securities exchange's arbitration forum in which Royal Alliance is legally required to arbitrate the controversy, including, where applicable, the Municipal Securities Rulemaking Board. Any arbitration pursuant to this Agreement shall be governed by the rules of the organization convening the arbitration panel. The award of the arbitrators, or of the majority of them, shall be final, and judgment on the award rendered may be entered in any court of competent jurisdiction. A party’s ability to have a court reverse or modify an arbitration award is very limited.
Agreement to Arbitrate Controversies. This agreement contains a predispute arbitration clause. By signing an arbitration agreement the parties agree as follows: 1) 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 filed. 2) Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. 3) The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. 4) The arbitrators do not have to explain the reason(s) for their award. 5) The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. 6) 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. 7) The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. The Client agrees that any controversy arising out of or relating directly or indirectly to this Agreement, or any investment by the Client hereunder, or with respect to transactions of any kind executed by or with RBC CM or the introducing broker, their officers, directors, agents, employees, or affiliates, or with respect to this Agreement or any other agreements entered in to with RBC CM or the introducing broker relating to the Accounts with RBC CM or the breach thereof, shall be settled by arbitration pursuant to the Federal Arbitration Act and in accordance with the rules, then in effect, of the Financial Industry Regulatory Authority (“FINRA”). Notice preliminary to, in conjunction with or incident to arbitration, may be sent to the Client by mail and personal service is hereby waived. Judgment upon any award rendered by the arbitrators may be entered in any court having jurisdiction thereof. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration 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 request for class certification is denied; (ii) the class is decertified; ...
Agreement to Arbitrate Controversies. I / we agree that all controversies which may arise with Mutual of Omaha Investor Services, Inc. (MOIS) and its agents, employees and officers concerning any business transaction with MOIS, including the construction, performance or breach of this or any other agreement between us (whether entered into prior, or is subsequent to the date hereof) shall be determined by arbitration only before the Financial Industry Regulatory Authority (FINRA) according to FINRA’s Code of Arbitration Procedures. Arbitration must be commenced by service upon the other party of a written demand for arbitration or a written notice of intention to arbitrate. The law of the State of Nebraska will apply in all respects, including but not limited to determination of applicable statutes of limitation and available remedies. Nebraska law shall be applied without regard to that State’s principles of conflicts of law. The decision or award of the arbitrator or a majority of them shall be final, and judgment on the award may be entered in any state or federal court having jurisdiction.
Agreement to Arbitrate Controversies. All controversies that may arise between you, Royal Alliance, and/or any of our employees, agents or officers, and NFS (including, but not limited to, controversies concerning any account, order or transaction, or the continuation, performance, interpretation or breach of this or any other agreement between you and us, whether entered into or arising before, on, or after the date this account is opened) shall be determined by arbitration in accordance with the rules then prevailing of the Financial Industry Regulatory Authority (“FINRA”) and/or any other securities self-regulatory organization or securities exchange of which the entity against whom the claim is made is a member, as you may designate. If you do not notify us then you authorize us to make such designation on your behalf. Any arbitration pursuant to this Agreement shall be governed by the rules of the organization convening the arbitration panel. The award of the arbitrators, or of the majority of them, shall be final, and judgment on the award rendered may be entered in any court of competent jurisdiction. A party’s ability to have a court reverse or modify an arbitration award is very limited.
Agreement to Arbitrate Controversies. I agree that any and all controversies that may arise with you concerning any account(s), transaction, dispute, or the construction, performance, or breach of this Agreement or any other agreement, whether entered into prior, on or subsequent to the date hereof, shall be determined by arbitration. Any arbitration under this Agreement shall be held under and pursuant to and be governed by the Federal Arbitration Act, and shall be conducted before an arbitration panel convened by FINRA. Such arbitration shall be governed by FINRA rules. 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 of competent 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; or (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.
Agreement to Arbitrate Controversies o Arbitration is final and binding on the parties. o The parties are waiving their right to seek remedies in court, including the right to jury trial. o Pre-arbitration discovery is generally more limited than and different from court proceedings. o The arbitrators' award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of rulings by the arbitrators is strictly limited. o The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. I agree that any controversy relating to any of my accounts or any agreement that I have with you will be submitted to arbitration conducted only under the provisions of the Constitution and Rules of the New York Stock Exchange, Inc. or pursuant to the code of the Arbitration of the National Association of Securities Dealers, Inc. Arbitration must be initiated by service upon the other party of a written demand for arbitration or notice of intention to arbitrate. Judgement, upon any award rendered by the arbitrator, may be entered in any court 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; or (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.
Agreement to Arbitrate Controversies. It is agreed that any controversy between OFC and the Client arising out of OFC's business or this Agreement, except for those disputes between OFC and the Client arising under the Federal securities laws which are held to be non- arbitral as a matter of law, shall be submitted to arbitration conducted under the provisions of the commercial arbitration rules of the American Arbitration Association. Arbitration must be commenced by service upon the other party of a written demand for arbitration or a written notice of intention to arbitrate, therein electing the arbitrating tribunal. In the event the Client does not make such election within five (5) days of such demand or notice, then the Client authorizes OFC to do so on the Client's behalf. Judgment upon any award rendered by the arbitrators shall be final and may be entered in any court having jurisdiction thereof. This clause does not constitute a waiver of any right provided by the Investment Company Act of 1940, as amended, including the right to choose the forum, whether arbitration or adjudication, in which to seek resolution of disputes. IN WITNESS WHEREOF, the Client hereby agrees to the provisions of this Agreement. PUBLIC INFORMATION DISCLOSURE Pursuant to your request, you are hereby notified that information regarding the licensure status or disciplinary record of Ostrofe Financial Consultants, Inc. and/or your investment advisor representative may be obtained from the SEC Investment Advisor Public Disclosure website. Client Signature Client Name (Print) Date Client Signature Client Name (Print) XXXX XXXXXXXX Date OFC Advisory Associate Signature OFC Advisory Name (Print) Date The undersigned officer has reviewed and accepted the foregoing Agreement and approves it on behalf of OFC, Grass Valley, California, this date . OSTROFE FINANCIAL CONSULTANTS, INC. 000 Xxxxxx Xxxxxxx Xxxxx, Xxxxx 000 Xxxxx Xxxxxx, Xxxxxxxxxx 00000 530.273.4425 email: xxxxx.xxxxxxx@xxx.xxx or xxxx.xxxxxxxx@xxx.xxx By Title: PRESIDENT
Agreement to Arbitrate Controversies. Any controversy between you and us shall be submitted to arbitration before the National Association of Securities Dealers, Inc. Each of us acknowledges and agrees that the award of the arbitrators, or of the majority of them, will be final, and each of us acknowledges and agrees that judgment upon the award rendered may be entered, by either of us without notice to the other party, in any court of competent jurisdiction, state or federal. Upon your request, we shall provide you with a copy of this pre-dispute arbitration agreement, or inform you that we do not have a copy thereof, within ten business days of receipt of your request. Upon your request, we shall provide you with the names of, and information on how to contact or obtain the rules of, all arbitration forums in which a claim may be filed under this Agreement. This pre-dispute arbitration agreement does not include any condition that: • Limits or contradicts the rules of any self-regulatory organization; • Limits the ability of a party to file any claim in arbitration; • Limits the ability of a party to file any claim in court permitted to be filed in court under the rules of the forums in which a claim may be filed under this Agreement; or • Limits the ability of arbitrators to make any award. If you file a complaint in court against us that contains claims that are subject to arbitration pursuant to this pre-dispute arbitration agreement between you and us, we may seek to compel arbitration of the claims that are subject to arbitration. If we seek to compel arbitration of such claims, we must agree to arbitrate all of the claims contained in the complaint if you so request.
Agreement to Arbitrate Controversies. Any dispute relating in any way to your visit to the Website or to products you purchase through our websites(s) shall be submitted to confidential arbitration in Canada, except that, to the extent you have in any manner violated or threatened to violate “FC Academy”'s intellectual property rights, “FC Academy” may seek injunctive or other appropriate relief in any provincial or federal court in Canada, and you consent to exclusive jurisdiction and venue in such courts. Arbitration under this agreement shall be conducted under the rules then prevailing of the Canadian Arbitration Association. The arbitrator's award shall be binding and may be entered as a judgment in any court of competent jurisdiction. To the fullest extent permitted by applicable law, no arbitration under this Agreement shall be joined to an arbitration involving any other party subject to this Agreement, whether through class arbitration proceedings or otherwise.
Agreement to Arbitrate Controversies. IT IS AGREED THAT ANY CONTROVERSY BETWEEN FRSC, OR ITS AFFILIATES, AND YOU OR THE CLEARING BROKER AND YOU, ARISING OUT OF FRSC AND CLEARING BROKER’S BUSINESS OR THIS AGREEMENT, SHALL BE SUBMITTED TO ARBITRATION CONDUCTED BEFORE THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND IN ACCORDANCE WITH ITS RULES. ARBITRATION MUST BE COMMENCED BY SERVICE UPON THE OTHER PARTY OF A WRITTEN DEMAND FOR ARBITRATION OR A WRITTEN NOTICE OF INTENTION TO ARBITRATE. 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 ACTION WHO HAS NOT OPTED OUT OF THE CLASS WITH RESPECT TO ANY CLAIMS ENCOMPASSED BY THE PUTATIVE CLASS ACTION UNTIL:
