January 4, 2000 Mr. Irving Weiser 641 S. Westwood Drive Golden Valley, MN 55416 Dear Mr. Weiser: This letter will confirm the cancellation, by its terms, of that certain Dain Rauscher Corporation Special Executive Non-Qualified Stock Option Agreement,...Dain Rauscher Corp • March 17th, 2000 • Security brokers, dealers & flotation companies
by and amongAgreement and Plan of Merger • September 29th, 2000 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Delaware
AMENDMENT NO. 1 TO RIGHTS AGREEMENTRights Agreement • September 29th, 2000 • Dain Rauscher Corp • Security brokers, dealers & flotation companies
1 EXHIBIT 10.18 DAIN RAUSCHER CORPORATION EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT THIS AGREEMENT is made as of this 5th day of April, 1999, by and between Dain Rauscher Corporation, a Delaware corporation ("Dain Rauscher"), and Irving Weiser...Non-Qualified Stock Option Agreement • March 17th, 2000 • Dain Rauscher Corp • Security brokers, dealers & flotation companies
AmongCredit Agreement • August 14th, 1997 • Interra Financial Inc • Security brokers, dealers & flotation companies • Minnesota
Exhibit 10.1 RESTRICTED STOCK AGREEMENT THIS AGREEMENT, dated as of this 17th day of July, 1995, is made by and between Louis C. Fornetti, a resident of the State of Minnesota ("Employee"), and Inter-Regional Financial Group, Inc., a Delaware...Restricted Stock Agreement • January 27th, 1997 • Inter Regional Financial Group Inc • Security brokers, dealers & flotation companies • Delaware
EXHIBIT 4.2 EIGHTH AMENDMENT TO TERM LOAN AGREEMENT This Amendment is made as of this 16th day of April, 1997, by and between INTERRA FINANCIAL INCORPORATED, a Delaware corporation, formerly known as Inter-Regional Financial Group, Inc. (the...Term Loan Agreement • May 15th, 1997 • Interra Financial Inc • Security brokers, dealers & flotation companies
AMENDED AND RESTATED CREDIT AGREEMENT Dated as of March 20, 1998Credit Agreement • March 18th, 1999 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Minnesota
EXHIBIT 4.1 SECOND AMENDMENT TO CREDIT AGREEMENT This Amendment is made as of this 16th day of April, 1997, by and among INTERRA FINANCIAL INCORPORATED, a Delaware corporation, formerly known as Inter-Regional Financial Group, Inc. (the "Borrower"),...Credit Agreement • May 15th, 1997 • Interra Financial Inc • Security brokers, dealers & flotation companies
EXHIBIT 4.10 EMPLOYMENT AGREEMENT AGREEMENT by and between Dain Rauscher Corporation, a Delaware corporation (the "Company"), and Peter M. Grant (the "Executive") dated as of the 28th day of September, 2000. The Company has determined that it is in...Employment Agreement • November 13th, 2000 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Minnesota
EXHIBIT 1.1 DAIN RAUSCHER CORPORATION UNDERWRITING AGREEMENT INTRODUCTORY. Dain Rauscher Corporation, a corporation incorporated under the laws of the State of Delaware (the "Company"), proposes to issue and sell from time to certain of its unsecured...Terms Agreement • May 28th, 1998 • Dain Rauscher Corp • Security brokers, dealers & flotation companies
Exhibit 10.1 AGREEMENT This Agreement is made this 26th day of September, 1995, by and between Inter-Regional Financial Group, Inc., a Delaware corporation ("IFG"), and David A. Smith, a resident of Texas ("Employee"). Employee has been the President...Agreement • November 13th, 1995 • Inter Regional Financial Group Inc • Security brokers, dealers & flotation companies • Minnesota
EXHIBIT 10 EMPLOYMENT AGREEMENT THIS AGREEMENT, dated March 31, 1998, is by and between Dain Rauscher Incorporated, a Minnesota corporation (the "Company"), and Kenneth J. Wessels, an individual resident of the State of Minnesota ("Executive")....Employment Agreement • May 15th, 1998 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Minnesota
FORM T-1Dain Rauscher Corp • May 28th, 1998 • Security brokers, dealers & flotation companies
1 EXHIBIT 4.7 CREDIT AGREEMENT Dated as of November 2, 1999Credit Agreement • November 15th, 1999 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Minnesota
DAIN RAUSCHER CORPORATION ANDCommon Stock Warrant Agreement • May 28th, 1998 • Dain Rauscher Corp • Security brokers, dealers & flotation companies
RECITALS A. The Borrower, the Banks and the Agent have entered into an Amended and Restated Credit Agreement dated as of March 20, 1998 (the "Credit Agreement"). B. As of the date hereof, no Loans have been made to the Borrower under the Credit...Credit Agreement • May 17th, 1999 • Dain Rauscher Corp • Security brokers, dealers & flotation companies
EXHIBIT 4.09 EMPLOYMENT AGREEMENT AGREEMENT by and between Dain Rauscher Corporation, a Delaware corporation (the "Company"), and Irving Weiser (the "Executive") dated as of the 28th day of September, 2000. The Company has determined that it is in the...Employment Agreement • November 13th, 2000 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Minnesota
AmongCredit Agreement • August 13th, 1999 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Minnesota
NORWEST BANK MINNESOTA, NATIONAL ASSOCIATION, TRUSTEEDain Rauscher Corp • May 28th, 1998 • Security brokers, dealers & flotation companies • Minnesota
SENIOR SECURITIES INDENTURE DATED AS OF MAY 15, 1998Indenture • May 28th, 1998 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Minnesota
EXHIBIT 4.8 FIRST AMENDMENT TO CREDIT AGREEMENT This Amendment, dated as of March 16, 2000, is made by and among DAIN RAUSCHER CORPORATION, a Delaware corporation (the "Borrower"), the banks or financial institutions listed on the signature pages...Credit Agreement • May 10th, 2000 • Dain Rauscher Corp • Security brokers, dealers & flotation companies
EXHIBIT 4.2 FIRST AMENDMENT TO CREDIT AGREEMENT This Amendment is made as of this 14th day of March, 1996, by and among INTER-REGIONAL FINANCIAL GROUP, INC., a Delaware corporation (the "Borrower"), the financial institutions that have executed this...Credit Agreement • March 28th, 1996 • Inter Regional Financial Group Inc • Security brokers, dealers & flotation companies
1 EXHIBIT 10.19 DAIN RAUSCHER CORPORATION SECTION 280G CHANGE IN CONTROL GROSS- UP AGREEMENT THIS AGREEMENT is made as of this day of July, 1999, by and between Dain Rauscher Corporation, a Delaware corporation ("Dain Rauscher"), and Irving Weiser...Agreement • March 17th, 2000 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Delaware
JOINT FILING AGREEMENTJoint Filing Agreement • June 5th, 2017 • RBC Capital Markets, LLC • Security brokers, dealers & flotation companies
Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. This agreement shall remain in full force and effect until revoked by any party hereto in a signed writing provided to each other party hereto, and then only with respect to such revoking party.
DEBT SECURITIES WARRANT AGREEMENTDebt Securities Warrant Agreement • May 28th, 1998 • Dain Rauscher Corp • Security brokers, dealers & flotation companies
JOINT FILING AGREEMENTJoint Filing Agreement • February 16th, 2021 • RBC Capital Markets, LLC • Security brokers, dealers & flotation companies
This Joint Filing Agreement may be signed in counterparts with the same effect as if the signature on each counterpart were upon the same instrument.
March 4, 1999 Mr. Kenneth J. Wessels Senior Executive Vice President Dain Rauscher Incorporated Dain Rauscher Plaza, 18C9 60 South Sixth Street Minneapolis, MN 55402 Re: Amendment of Employment Agreement Dear Ken: This is to confirm the terms under...Dain Rauscher Corp • March 18th, 1999 • Security brokers, dealers & flotation companies
This is to confirm the terms under which your Employment Agreement with Dain Rauscher Incorporated, dated March 31, 1998, has been amended. Specifically, you have agreed to accept $875,000, rather than $1,125,000, as guaranteed total cash compensation for 1998.
1 EXHIBIT 10.17 DAIN RAUSCHER CORPORATION SPECIAL EXECUTIVE NON-QUALIFIED STOCK OPTION AGREEMENT THIS AGREEMENT is made as of this 5th day of April, 1999, by and between Dain Rauscher Corporation, a Delaware corporation ("Dain Rauscher"), and Irving...Non-Qualified Stock Option Agreement • March 17th, 2000 • Dain Rauscher Corp • Security brokers, dealers & flotation companies
Exhibit 4.3 FIRST AMENDMENT TO CREDIT AGREEMENT This Amendment is made as of this 22nd day of December, 1997, by and among INTERRA FINANCIAL INCORPORATED, a Delaware corporation (the "Borrower"), the banks or financial institutions listed on the...Credit Agreement • March 18th, 1998 • Dain Rauscher Corp • Security brokers, dealers & flotation companies
AMENDED AND RESTATED CREDIT AGREEMENT Dated as of March 20, 1998 Among DAIN RAUSCHER CORPORATION, U.S. BANK NATIONAL ASSOCIATION, as a Bank and as Agent, and NORWEST BANK MINNESOTA, NATIONAL ASSOCIATION and THE CHASE MANHATTAN BANK, as Banks and...Credit Agreement • May 27th, 1998 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Minnesota
EXHIBIT 4.10 SEVENTH AMENDMENT TO TERM LOAN AGREEMENT This Amendment is made as of this 15th day of March, 1996, by and between INTER-REGIONAL FINANCIAL GROUP, INC., a Delaware corporation (the "Borrower") and NORWEST BANK MINNESOTA, NATIONAL...Term Loan Agreement • March 28th, 1996 • Inter Regional Financial Group Inc • Security brokers, dealers & flotation companies
andRights Agreement • May 1st, 1997 • Interra Financial Inc • Security brokers, dealers & flotation companies • Delaware
1 EXHIBIT 10.21 DAIN RAUSCHER CORPORATION EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT THIS AGREEMENT is made as of this 4th day of January, 2000, by and between Dain Rauscher Corporation, a Delaware corporation ("Dain Rauscher"), and Irving Weiser,...Non-Qualified Stock Option Agreement • March 17th, 2000 • Dain Rauscher Corp • Security brokers, dealers & flotation companies
AMONGAgreement and Plan of Merger • April 15th, 1998 • Dain Rauscher Corp • Security brokers, dealers & flotation companies • Delaware
