Predispute Arbitration Clause Sample Clauses

Predispute Arbitration Clause. By signing an arbitration agreement, NPB and I, (“the parties”), agree as follows: a. All parties to this agreement are giving up the right to ▇▇▇ 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; 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 reasons for their award; e. The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry; f. The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some case, a claim that is ineligible for arbitration may be brought in court; g. The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. h. The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first hearing date. All controversies that may arise between us (including controversies concerning any account, order or transaction, or the continuation, performance interpretation or breach of this or any other agreement between us) shall be determined by arbitration in accordance with the rules of the FINRA. I understand that judgment upon any arbitration award 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 predispute 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: (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.

Predispute Arbitration Clause. I agree to settle by arbitration any contro- versy between myself and Price; its parent or affiliates; and/or any such officers, directors, employees, agents, or ▇▇▇▇▇’s clearing broker, Pershing, relating to the Account Agreements, this Account and all accounts with Price, or transactions, or in any way arising from my Brokerage relationship with ▇▇▇▇▇, whether entered into prior to, on, or subsequent to this date. Such arbitration will be conducted before and according to the arbitration rules of the Financial Industry Regulatory Authority (FINRA), unless the choice of another arbitrator forum is required by applicable state law. I under- stand that this Predispute Arbitration Clause does not apply to any contro- versy or transaction involving ▇. ▇▇▇▇ Price funds unless they are held in my Brokerage Advantage Account. 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 pro- vided 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 bring- ing 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. 8. No person shall bring a putative or certified class action to arbitration, or seek to enforce any predispute 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: (i) the class certification is denied, (ii) the class is decertified, or

Predispute Arbitration Clause. Refer to paragraph 1 of the Customer Agreement.

Predispute Arbitration Clause. Refer to paragraph 1 of the Brokerage Account Agreement.

Predispute Arbitration Clause. This Margin Agreement is subject to the Customer Agreement which contains a voluntary predispute arbitration clause. By signing this agreement and opening a Margin Account, the Customer agrees to be bound by the terms of the Customer Agreement, including the voluntary arbitration agreement located in Section [6] on page [2] of the Customer Agreement.

Predispute Arbitration Clause. Refer to paragraph 1 of the Brokerage Account Agreement. NEW ACCOUNT FORM AGREEMENT FOR YOUR RECORDS. ■ I understand that if my Account has no activity in it for a period of time, TRPIS may be required to transfer it to the appropriate state under abandoned property laws. ■ I authorize TRPIS to use the cost basis method checked on this form for covered securities. I understand the tax consequences of selecting the cost basis method checked on this form and had the opportunity to consult with a tax advisor before making this selection. ■ I acknowledge that dividends on my Money Market Sweep Fund will be automatically reinvested in the same class of shares. ■ Unless I check the box below, TRPIS is required by the Securities and Exchange Commission to provide my name, address, and securities position at the request of the companies whose securities I own. ■ I understand that, for my convenience, TRPIS will automatically hold all my securities purchased, transferred, or deposited in street name. If I prefer to have my Account handled otherwise, I will provide written instructions and return them with this form. A fee will be charged to have security certificates registered and shipped to me. ■ I acknowledge that TRPIS will carry over any ACH network and/or systematic investing service from my identically registered funds being transferred into my Brokerage Advantage Account. ▇▇▇▇▇▇▇▇ will initiate ACH transactions at the discretion of myself and TRPIS. ■ I acknowledge that securities not fully paid for by me may be loaned to Pershing or loaned to others. Pershing does not lend fully paid-for securities without my written permission. Fully paid-for securities held in a cash account are not loaned.

Predispute Arbitration Clause. This Margin Agreement is subject to the Customer Agreement which contains a voluntary predispute arbitration clause. By signing this agreement and opening a Margin Account, the Customer agrees to be bound by the terms of the Customer Agreement, including the voluntary arbitration agreement located in Section [6] on page [2] of the Customer Agreement.