Customer Claims and Disputes. Except to the extent such claim or dispute relates to the negligent, reckless, dishonest, fraudulent, or criminal act or omission on the part of any of Pershing’s officers or employees or contractor agents, any claim or dispute between Broker and a customer with respect to services provided under this Agreement, including, but not limited to, any claim or dispute concerning the validity of a customer order in the form the order was transmitted to Pershing by Broker and any claim arising in connection with Pershing’s guarantee of any signature of any customer of Broker or at the request of Broker.
Appears in 3 contracts
Samples: Fully Disclosed Clearing Agreement (Gleacher & Company, Inc.), Fully Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.), Fully Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.)
Customer Claims and Disputes. Except to the extent such claim or dispute relates to the negligent, reckless, dishonest, fraudulent, or criminal act or omission on the part of any of Pershing’s officers or employees or contractor agents, any Any claim or dispute between Broker and a customer with respect to services provided under this Agreement, including, but not limited to, any claim or dispute concerning the validity of a customer order in the form the order was transmitted to Pershing by Broker and any claim arising in connection with Pershing’s guarantee of any signature of any customer of Broker or at the request of Broker.
Appears in 3 contracts
Samples: Fully Disclosed Clearing Agreement, Fully Disclosed Clearing Agreement (Summit Financial Services Group Inc), Fully Disclosed Clearing Agreement (International Assets Holding Corp)
Customer Claims and Disputes. Except to the extent such claim or dispute relates to the negligent, reckless, dishonest, fraudulent, or criminal act or omission on the part of any of Pershing’s officers or employees or contractor agents, any Any claim or dispute between Broker and a customer with respect to services provided under this Agreement, including, but not limited to, any claim or dispute concerning the validity of a customer order in the form the order was transmitted to Pershing by Broker and any claim arising in connection with Pershing’s 's guarantee of any signature of any customer of Broker or at the request of Broker.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp), Fully Disclosed Clearing Agreement (American Portfolios Holdings Inc)
Customer Claims and Disputes. Except to the extent such claim or dispute relates to the negligent, reckless, dishonest, fraudulent, or criminal act or omission on the part of any of Pershing’s officers or employees or contractor agents, any Any claim or dispute between Broker and a customer with respect to services provided under this AgreementAgreement (except where that claim or dispute results from an act or omission of Pershing), including, but not limited to, any claim or dispute concerning the validity of a customer order in the form the order was transmitted to Pershing by Broker and any claim arising in connection with Pershing’s 's guarantee of any signature of any customer of Broker or at the request of Broker.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Siebert Financial Corp)
