ARBITRATION AND DISPUTE RESOLUTION. Any dispute or controversy, either arising in the future or in existence now, between me and you (including your officers, directors, employees or agents and the introducing broker, if applicable) will be resolved by arbitration conducted before the Financial Industry Regulatory Authority (FINRA), subject to the jurisdiction of the Securities and Exchange Commission (SEC) pursuant to the FINRA Arbitration Code, and in accordance with the Federal Arbitration Act (Title 9 of the United States Code).
Appears in 4 contracts
Samples: Ira Account Application & Agreement to Participate, Roth Ira Account Application & Agreement to Participate, Ira Account Application & Agreement to Participate
