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 LW, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page8ofS t Account Number: N46-026161 SOLD-ERN FINANCIAL LLC Go paperless AW. At/Or C OttiVtitv Rot 4 E V.Ie IN f Very Yaw tone• .},007 [NAGAR RATED COMMON ICATK,I6 rxcntn.cr lOttla,IP,./W..• •!.. • e..4••••••• CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0057317 CONFIDENTIAL SDNY_GM_00203501 EFTA01365917