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e under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRBwebsite, msrborg. Pershing LLC is registered with the Securities and Exchange Commission (SEC). M SRB. FINRA. and NYSE Although a money market mutual fund seeks to preserve the va
Since 2007 OMAR RA1ED CONVOCATIONS EXCIAL CNC( Owing tlwonsh Peaking PIC a wholly owned subsidiary el Ille Sank of New York Mellon CAnnatim (MY Mellen) Pe,,tw, 11e...tertee filiFlateaat 00047696 DB-SDNY-0010520 EFTA_00158305 EFTA01290333 Important Information and Disclosures (continued) Import
under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRBwebsite, msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB. F1NRA, and NYSE Although a money market mutual fund seeks to preserve the va
y Y.)), Soma 200, DALBAR RATED COMMUNICATIONS ExCUAINCE Cleats Into MIS. LI.C.• Sally sad subwhary of the Sank of New York Mellon Corporatim (MY Mellen) Pent.* tic samba, numiagmenk4-00048983 DB-SDNY-0011807 EFTA_00159592 EFTA01291236 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio
otection Act. • Your financial organization's contact information can be • t page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All p
ng through Peale% LLC. aulayievnted Every Year Since 2007 sateldiery of nit leek et New York Mellon DIallAR RATED COAiMutlICATIONS Cenceettan (MY Mellen) VICILLINCI ittelhne 11C. trerlatt Fieata.61VVELGM-00046568 DI3-SDNY-0009392 EFrA_00157177 EFTA01289540
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosu
Year Since 2007 OMAR MITOCOMPAVNICA71075 EXCELLENCE MISR I rough Penabos UM. • wholly *ad subsifurey of The Bakal Ni. Yort Mellon Comeration OM Mellen) PCISrat LLC. motto( AURA. NYSE SIPC DB-SDNY-0083000 SDNY_GM_00229184 EFTA01383305
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosu
Year Since 2007 OMAR MITOCOMPAVNICA71075 EXCELLENCE MISR through Penabos UM. • wholly *ad subsifurey of The Bakal Ni. Yort Mellon Comeration OM Mellen) PCISrat LLC. motto( AURA. NYSE SIPC DB-SDNY-0065574 SDNY_GM_00211758 EFTA01371978
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosu
ery Year Since 2007 OMAR MITOCOMPAVNICA71075 EXCELLENCE MISR through Penabos UM. • wholly ~id subsifurey of The Bakal Ni. Yort Maw Comeration OM Mellen) PCISrat LLC. motto( AURA. NYSE SIPC DB-SDNY-0065677 SDNY_GM_00211861 EFTA01372077
im is filed, and any amendments thereto, shall be incorporated into this agreement. 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
Year Since 2007 04BAR MITOCOMPAVNICA710.5 EXCELLENCE MISR through Penabos UM. • wholly awed sbtle:run of The Bakal Ni. Yet Macs Comeration (E 1Y Mellen) PCISrat LLC. motto( AURA. NYSE SIPC DB-SDNY-0083135 SDNY GM_00229319 EFTA01383427
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosu
y Year Since 2007 OMAR MITOCOMPAVNICA71075 EXCELLENCE MISR through Penabos UM. • wholly ~id subsifurey of The Bakal Ni. Yort Melba Comeration OM Mellen) PCISrat LLC. motto( AURA. NYSE SIPC DB-SDNY-0083177 SDNY_GM_00229361 EFTA01383469
im is filed, and any amendments thereto, shall be incorporated into this agreement. 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
Year Since 2007 OMAR MITOCOMPAVNICA71075 EXCELLENCE MISR through Penabos UM. • wholly awed subsifurey of The Bakal Ni. Yort Melee Comeration OM Mellen) PCISrat LLC. motto( AURA. NYSE SIPC DB-SDNY-0083193 SDNY_GM_00229377 EFTA01383485
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosu
y Year Since 2007 OMAR MITOCOMPAVNICA71075 EXCELLENCE MISR through Penabos UM. • wholly *ad subsifurey of The Bakal Ni. Yort Mato. Comeration OM Mellen) PCISrat LLC. motto( AURA. NYSE SIPC DB-SDNY-0084308 SDNY_GM_00230492 EFTA01384226
Entities connected to both Pershing LLC and Mellen
Pershing
LOCATIONLegal Department
ORGANIZATIONthe State of New York
LOCATIONJersey City
LOCATIONSecurities Investor Protection Corporation
ORGANIZATION
Jeffrey Epstein
PERSONthe Pershing Customer Service Department
ORGANIZATION
Baltimore
LOCATIONPCISrat LLC
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONClient Service Information
ORGANIZATION
Deutsche Bank
ORGANIZATIONMoney Market Fund
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
Jeff Sessions
PERSON
Ghislaine Maxwell
PERSONPie Chart
ORGANIZATION
CUSTOMS
ORGANIZATION