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The following arbitration provision will apply to any controversy or claim that arises between me and [The Brokerage Firm]:
a) Arbitration is final and binding on the parties.
b) The parties are waiving their right to seek remedies in court, including the right to jury trial.
c) Pre-arbitration discovery is generally more limited than and different from court proceedings.
d) The arbitrators' award is not required to include factual findings or legal reasoning, and any party's right to appeal or seek modification of rulings by the arbitrators is strictly limited.
e) The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
f) 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 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 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. ...
99. All controversies concerning (a) any transaction, (b) the construction, performance or breach of this or any other agreement, whether entered into prior to, on or after the date of this Agreement, or (c) any other matter which may arise between [The Brokerage Firm] and me shall be determined by arbitration in accordance with the rules of the National Association of Securities Dealers, Inc.
100. Notwithstanding paragraphs 99 and 100, [The Brokerage Firm] reserves the right to pursue all legal and equitable remedies that may be available to them.
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