EXCHANGE, INC., OR THE NASD, INC., AS I MAY
DESIGNATE.
IF I DO NOT NOTIFY YOU IN WRITING OF MY DESIGNATION WITHIN FIVE (5)
DAYS AFTER I RECEIVE FROM YOU A WRITTEN DEMAND FOR ARBITRATION, THEN I AUTHORIZE
YOU TO MAKE SUCH DESIGNATION ON MY BEHALF.
I UNDERSTAND THAT JUDGMENT UPON ANY
ARBITRATION AWARD MAY BE ENTERED IN ANY COURT OF COMPETENT JURISDICTION.
CUSTOMER COMPLAINS SHOULD BE DIRECTED TO: BROOKSTREET SECURITIES CORPORATION,
COMPLIANCE DEPARTMENT, 2361 CAMPUS DRIVE, SUITE 210, IRVINE, CA 92612.
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 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.
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___________________________________
Client Signature
Date
Client Signature
Date
_________________________________
___________________________________
Print Client Name
Print Client Name
_________________________________
___________________________________
Representative Signature
Representative Signature
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