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 LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4133330. Fags 12 013 Account hum be SOLTI- ERA TRUST COMPAY INC (10 paperless •AOOr ov.r.ter itst f vizt Ev •cia or t...c. ,ent .zoci, DMSAR RAT ED COP.WIUNICATK,16 rxentrwr a„r:y •••••••e Ill& • or..,, t •••••me •..4•••••••• CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050859 CONFIDENTIAL SDNY_GM_00197043 EFTA01361648