EFTA Document EFTA01365917

Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. 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, 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; (II) the class is decertified; or (III) the client 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. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LW, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page8ofS t Account Number: N46-026161 SOLD-ERN FINANCIAL LLC Go paperless AW. At/Or C OttiVtitv Rot 4 E V.Ie IN f Very Yaw tone• .},007 [NAGAR RATED COMMON ICATK,I6 rxcntn.cr lOttla,IP,./W..• •!.. • e..4••••••• CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0057317 CONFIDENTIAL SDNY_GM_00203501 EFTA01365917