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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
F EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. REASE NOTIFY PERS-ING IMMEDIATELY IN WRITING ElY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 0T399. ATTN. LEON, DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) CONFIDOMPAL4 Page '9 of Wed Exam hartYew Since ICO [AMU RAM COMUNICA
• 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; Errors and Omissions excepted. Important Arbitration Disclosures • Al part
TY OF EXECUTION PURPOSES. F ANY OF DE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. REASE NOTIFYPERS-ENG IMMEDIATELY IN WRITING8Y CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07329, ATTN' LEGAL DEPT Page 20 e120 Go paperless ** 2°°7 Account Num ber SC La d Y•.• L TH ERN r, LLC. DAR RATED COMMUNKATIONS CONFIDEN
• 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; Errors and Omissions excepted. Important Arbitration Disclosures • Al part
OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS ARO CCNOITiONS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFYPERS-MG GILEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07399. ATTE' LEGAL DEPT Page 19019 Account Nu@ Del. N4G-023804 Go paperless et* .,,r 1latecl aztacol rReA brill N SO ts THERA CHO LI.C. J
. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Callable Bonds Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy
OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CONOITONS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFY PERS-ING IMEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07399, ATTN' LEGAL DEPT Page 10019 Account Num Del. N4G-023804 pisperless rargyvtrUac*". 2007 F I DA ENT/AL„.....„ RA4lItiag C°MMISICATION
under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRB website, msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB, FIN RA, and NYSE Although a money market mutual fund seeks to preserve the v
TY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CCNINTONS ARE UNACCEPTABLE TO YOU. REASE NOTIFYPERS-MG IMMEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 0T399, ATTN. LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 9 of 9 CONFIDWITAL-11 Rated bra e% Ludy Yew Sine 20O1 DALSAR RA
Entities connected to both Pershing LLC and TOONE PERSHING PLAZA JERSEY CITY
Pershing
LOCATIONLegal Department
ORGANIZATIONthe State of New York
LOCATIONJersey City
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATION
Baltimore
LOCATIONthe Options Clearing Corporation
ORGANIZATIONClient Service Information
ORGANIZATION
Deutsche Bank
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONMoney Market Fund
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
Jeff Sessions
PERSONPie Chart
ORGANIZATION
CUSTOMS
ORGANIZATIONTAXABLE
ORGANIZATIONUSAGES
ORGANIZATIONON PERSHING'S
ORGANIZATION