a) Arbitration Provisions.
i) 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.
ii) Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
iii) The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
iv) The arbitrators do not have to explain the reason(s) for their award.
v) The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
vi) 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.
vii) The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this Agreement.
viii) The arbitration forum shall not be selected if traveling to its location would cause undue, not ordinary, hardship or financial expense to the Client.
b) Important Arbitration Notices.
i) If Adviser seeks to compel arbitration of such claims, Adviser must agree to arbitrate all of the claims contained in the complaint if the customer so requests;
ii) 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; 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;
iii) You are entitled to keep a copy of this Agreement;
iv) You are entitled to request a copy of this Agreement at anytime; and
v) You are entitled to request the names of and information on how to contact or obtain the rules of all arbitration forums in which a claim may be filed under this Agreement.