Agreement to Arbitrate Controversies. 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 provided 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 bringing 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. The Client agrees that any controversy arising out of or relating directly or indirectly to this Agreement, or any investment by the Client hereunder, or with respect to transactions of any kind executed by or with RBC CM or the introducing broker, their officers, directors, agents, employees, or affiliates, or with respect to this Agreement or any other agreements entered in to with RBC CM or the introducing broker relating to the Accounts with RBC CM or the breach thereof, shall be settled by arbitration pursuant to the Federal Arbitration Act and in accordance with the rules, then in effect, of the Financial Industry Regulatory Authority (“FINRA”). Notice preliminary to, in conjunction with or incident to arbitration, may be sent to the Client by mail and personal service is hereby waived. Judgment upon any award rendered by the arbitrators may be entered in any court having jurisdiction thereof. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration against any person who has initiated in court a putative class action; or 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 request for class certification is denied; (ii) the class is decertified; ...
Agreement to Arbitrate Controversies. I / we agree that all controversies which may arise with Mutual of Omaha Investor Services, Inc. (MOIS) and its agents, employees and officers concerning any business transaction with MOIS, including the construction, performance or breach of this or any other agreement between us (whether entered into prior, or is subsequent to the date hereof) shall be determined by arbitration only before the Financial Industry Regulatory Authority (FINRA) according to FINRA’s Code of Arbitration Procedures. Arbitration must be commenced by service upon the other party of a written demand for arbitration or a written notice of intention to arbitrate. The law of the State of Nebraska will apply in all respects, including but not limited to determination of applicable statutes of limitation and available remedies. Nebraska law shall be applied without regard to that State’s principles of conflicts of law. The decision or award of the arbitrator or a majority of them shall be final, and judgment on the award may be entered in any state or federal court having jurisdiction.
Agreement to Arbitrate Controversies. You agree that any and all controversies which may arise between you, Royal Alliance, Pershing LLC, SunAmerica Trust Company and/or any of Royal Alliance's employees, agents, or officers concerning any account, transaction, dispute or the construction, performance, breach, or termination of this Agreement or any other agreement, whether entered into prior to, on or subsequent to the date hereof, shall be determined and resolved by arbitration. Any arbitration under this Agreement shall be held under and pursuant to and be governed by the Federal Arbitration Act, and shall be conducted before an arbitration panel convened by the Financial Industry Regulatory Authority (“FINRA”) Dispute Resolution. You may also select any other national securities exchange's arbitration forum in which Royal Alliance is legally required to arbitrate the controversy, including, where applicable, the Municipal Securities Rulemaking Board. Any arbitration pursuant to this Agreement shall be governed by the rules of the organization convening the arbitration panel. The award of the arbitrators, or of the majority of them, shall be final, and judgment on the award rendered may be entered in any court of competent jurisdiction. A party’s ability to have a court reverse or modify an arbitration award is very limited.
Agreement to Arbitrate Controversies. It is agreed that any controversy between OFC and the Client arising out of OFC's business or this Agreement, except for those disputes between OFC and the Client arising under the Federal securities laws which are held to be non-arbitral as a matter of law, shall be submitted to arbitration conducted under the provisions of the commercial arbitration rules of the American Arbitration Association. Arbitration must be commenced by service upon the other party of a written demand for arbitration or a written notice of intention to arbitrate, therein electing the arbitrating tribunal. In the event the Client does not make such election within five (5) days of such demand or notice, then the Client authorizes OFC to do so on the Client's behalf. Judgment upon any award rendered by the arbitrators shall be final and may be entered in any court having jurisdiction thereof. This clause does not constitute a waiver of any right provided by the Investment Company Act of 1940, as amended, including the right to choose the forum, whether arbitration or adjudication, in which to seek resolution of disputes. IN WITNESS WHEREOF, the Client hereby agrees to the provisions of this Agreement. PUBLIC INFORMATION DISCLOSURE Pursuant to your request, you are hereby notified that information regarding the licensure status or disciplinary record of National Planning Corporation and/or your registered representative may be obtained from the California Department of Corporations, or from any other source that provides substantially similar information. This information would include the current license status and the year of issuance of the license of the broker-dealer and the registered representative (if registered in California). If you would like to obtain such information about your registered representative or National Planning Corporation, please contact the Department of Corporations at the following office locations and/or telephone numbers: Los Angeles: 000 Xxxx 0xx Xxxxxx, Xxxxx 000 xxx Xxxxxxx, XX 00000-0000 Phone - (000) 000-0000 Sacramento: 0000 X Xxxxxx, Xxxxx 000 Xxxxxxxxxx, XX 00000-0000 Phone - (000) 000-0000 San Francisco: Xxx Xxxxxxx Xxxxxx, Xxxxx 000 Xxx Xxxxxxxxx, XX 00000-0000 Phone - (000) 000-0000 If you would like the address and telephone number of any other state's securities administrator, please contact National Planning Corporation's Registration and Licensing Department at (000) 000-0000, ext. 71050. Client Signature Client Name (Print) Date Client...
Agreement to Arbitrate Controversies. I agree that any and all controversies that may arise with you concerning any account(s), transaction, dispute, or the construction, performance, or breach of this Agreement or any other agreement, whether entered into prior, on or subsequent to the date hereof, shall be determined by arbitration. Any arbitration under this Agreement shall be held under and pursuant to and be governed by the Federal Arbitration Act, and shall be conducted before an arbitration panel convened by FINRA. Such arbitration shall be governed by FINRA rules. The award of the arbitrators, or of the majority of them, shall be final, and judgment upon the award rendered 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 pre-dispute arbitration agreement against any person who has initiated in court a putative class action; or 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; 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.
Agreement to Arbitrate Controversies. All controversies that may arise between you, Royal Alliance, and/or any of our employees, agents or officers, and NFS (including, but not limited to, controversies concerning any account, order or transaction, or the continuation, performance, interpretation or breach of this or any other agreement between you and us, whether entered into or arising before, on, or after the date this account is opened) shall be determined by arbitration in accordance with the rules then prevailing of the Financial Industry Regulatory Authority (“FINRA”) and/or any other securities self-regulatory organization or securities exchange of which the entity against whom the claim is made is a member, as you may designate. If you do not notify us then you authorize us to make such designation on your behalf. Any arbitration pursuant to this Agreement shall be governed by the rules of the organization convening the arbitration panel. The award of the arbitrators, or of the majority of them, shall be final, and judgment on the award rendered may be entered in any court of competent jurisdiction. A party’s ability to have a court reverse or modify an arbitration award is very limited.
Agreement to Arbitrate Controversies. I agree that any and all controversies that may arise with you concerning any account(s), transaction, dispute, or the construction, performance, or breach of this Agreement or any other agreement, whether entered into prior, on or subsequent to the date hereof, shall be determined by arbitration. Any arbitration under this Agreement shall be held under and pursuant to and be governed by the Federal Arbitration Act, and shall be conducted before an arbitration panel convened by FINRA. Such arbitration shall be governed by FINRA rules. The award of the arbitrators, or of the majority of them, shall be final, and judgment upon the award rendered 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 pre-dispute arbitration agreement against any person who has initiated in court a putative class action; or 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; 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. I hereby waive, to the fullest extent permitted by applicable law, any right I may have to a trial by jury in any legal proceeding directly or indirectly arising out of or relating to this Agreement or the transactions contemplated hereby or thereby (whether based on contract, tort or any other theory). I certify that no representative, agent or attorney of HSBC Securities or any affiliate thereof has represented, expressly or otherwise, that it would not, in the event of litigation, seek to enforce the foregoing waiver. If there is more than one account holder, each is jointly and severally obligated together with all other account holders. To the extent that in any jurisdiction I may be entitled to claim for myself or my assets, immunity from legal process (suit, arbitration or otherwise), execution or attachment (before or after judgment), I hereby irrevocably waive such immunity. I agree that in any judicial, mediation or arbitration proceeding or any claim or controversy between HSBC Securities and me that may arise out of or be in any way connected with this Agreement, or the obligations evidenced hereby or related hereto, in...
Agreement to Arbitrate Controversies. Any dispute relating in any way to your visit to the Website or to products you purchase through our websites(s) shall be submitted to confidential arbitration in Canada, except that, to the extent you have in any manner violated or threatened to violate “FC Academy”'s intellectual property rights, “FC Academy” may seek injunctive or other appropriate relief in any provincial or federal court in Canada, and you consent to exclusive jurisdiction and venue in such courts. Arbitration under this agreement shall be conducted under the rules then prevailing of the Canadian Arbitration Association. The arbitrator's award shall be binding and may be entered as a judgment in any court of competent jurisdiction. To the fullest extent permitted by applicable law, no arbitration under this Agreement shall be joined to an arbitration involving any other party subject to this Agreement, whether through class arbitration proceedings or otherwise.
Agreement to Arbitrate Controversies. It is agreed that any controversy between InvestSouth and the Client arising out of InvestSouth’s business or this Agreement, shall be submitted to arbitration conducted under the provisions of the commercial arbitration rules of the American Arbitration Association. Arbitration must be commenced by service upon the other party of a written demand for the arbitration or a written notice of intention to arbitrate, therein electing the arbitration tribunal. In the event the Client does not make such election within five (5) days of such demand or notice, then the Client authorizes the Adviser to do so on the Client’s behalf. Judgment upon any award rendered by the arbitrators shall be final and may be entered in any court having jurisdiction thereof. This clause does not constitute a waiver of any right including the right to choose the forum, whether arbitration or adjudication, in which to seek resolution of disputes. Sincerely, Xxxxxx X. Xxxxx, PFS, CPA, JD ACKNOWLEDGEMENT The foregoing Advisory Agreement is approved and accepted. Client signature Date
Agreement to Arbitrate Controversies. It is agreed that any controversy between the Firm and the Client arising out of Firm business or this Agreement, shall be submitted to arbitration conducted under the provisions of the commercial arbitration rules of the American Arbitration Association. Arbitration must be commenced by service upon the other party of a written demand for arbitration or a written notice of intention to arbitrate, therein electing the arbitration tribunal. In the event the Client does not make such election within five (5) days of such demand or notice, then the Client authorizes Xxxxxx X. Xxxxxxx III, Inc., to do so on the Client’s behalf. Judgment upon any award rendered by the arbitrators shall be final and may be entered in any court having jurisdiction thereof. This clause does not constitute a waiver of any right including the right to choose the forum, whether arbitration or adjudication, in which to seek resolution of disputes.
