Investment Banking Agreement Sample Contracts

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Dynatronics Corporation – Investment Banking Agreement (July 29th, 2015)

We are pleased to confirm our mutual understanding regarding the retention of Ladenburg Thalmann & Co. Inc. ("Ladenburg") by Dynatronics Corp. and its subsidiaries, affiliates, beneficiaries, successors and assigns (collectively, the "Company"), subject to the terms and conditions of this agreement (the "Agreement").

Lilis Energy, Inc. – Formal Termination of Investment Banking Agreement (June 17th, 2014)

This letter agreement (this "Letter Agreement") sets forth the mutual desire of the Parties to terminate the Investment Banking Agreement. Now, therefor, in consideration of the mutual covenants contained in this Letter Agreement and other good and valuable consideration, the receipt and sufficiency of which the Parties acknowledge, the Parties agree as follows:

Lilis Energy, Inc. – Investment Banking Agreement (June 11th, 2014)

THIS AGREEMENT (the "Agreement") is entered into as of this day of May, 2013 (the "Effective Date") by and between RECOVERY ENERGY, INC., a Nevada corporation, with its principal address at 1900 Grant Street, Suite 720, Denver, CO 80202 (hereafter the "Client") and T.R. WINSTON & COMPANY, LLC., a Delaware limited liability company, with its principal address at 376 Main Street, P.O. Box 74, Bedminster, NJ 07921 (the "Banker").

Cardax, Inc. – Exclusive Investment Banking Agreement (February 10th, 2014)

THIS AGREEMENT (the "Agreement") is entered into as of this 12th day of March 2013 (the "Effective Date") by and between CARDAX PHARMACEUTICALS, INC. (hereafter the "Client") and AGINCOURT LTD, with its principal address at 10 South Riverside Plaza, #1800, Chicago, IL 60606 USA (the "Banker").

CytRx – Steven Kriegsman, CEO CytRx Corp. 11726 San Vicente Blvd Los Angeles, CA 90049 Phone: 310-826-5648 Fax: 310-826-6139 Re: Investment Banking Agreement With Legend Securities, Inc. Dear Mr. Kriegsman, (August 6th, 2013)

This letter (the "Agreement") shall confirm the engagement of Legend Securities, Inc., ("Legend") by CytRx Corporation (the "Company" and collectively the "Parties" ) for purposes of providing, on a non-exclusive basis, investor awareness and business advisory services as set forth below in consideration for the fees and compensation described hereinafter:

SANUWAVE Health, Inc. – Amendment No. 2 to Exclusive Investment Banking Agreement (July 1st, 2013)

This Amendment No. 2 to Exclusive Investment Banking Agreement (this "Amendment"), dated as of June 24, 2013, is entered into by and among SANUWAVE Health, Inc., a Nevada corporation (the "Client"), and CIM Securities, LLC, a Colorado limited liability company (the "Banker")

SANUWAVE Health, Inc. – Amendment No.1 to Exclusive Investment Banking Agreement (May 31st, 2013)

This Amendment No. 1 to Exclusive Investment Banking Agreement (this "Amendment"), dated as of May 30, 2013, is entered into by and among SANUWAVE Health, Inc., a Nevada corporation (the "Client"), and CIM Securities, LLC, a Colorado limited liability company (the "Banker")

Livingventures Inc. – Hampson Equities Ltd. (February 19th, 2013)

This Letter Agreement (this Agreement) will confirm that LivingVentures, Inc. (referred to as the "Company) hereby engages Hampson Equities, Ltd. ("HEL") to act in the capacity of a management consultant and financial advisor on a non-exclusive basis to provide certain Services (as defined below) to the Company in accordance with the terms and conditions set forth herein; and HEL hereby agrees to provide such Services on a best-efforts basis to the Company in accordance with such terms and conditions.

Rangeford Resources, Inc. – Finra / Sipc Member (November 21st, 2012)

This Placement Agent / Investment Banking Agreement (this Agreement) will confirm that, Rangeford Resources, Inc. engages Delaney Equity Group, LLC. ("Delaney"), to act alone or with other firms on a best efforts basis as its non-exclusive placement agent, on a commercially reasonable basis using its best efforts to provide certain Services (as defined below) to the Company in accordance with the terms and conditions set forth herein; and Delaney hereby agrees to provide such Services on a commercially reasonable best-efforts basis to the Company in accordance with such terms and conditions. Delaney makes no assurances that the provision of the Services hereunder will be successful.

Investment Banking Agreement (November 8th, 2012)

We are pleased to confirm our mutual understanding regarding the retention of Ladenburg Thalmann & Co. Inc. (Ladenburg) by Spherix Incorporated and its subsidiaries, affiliates, beneficiaries, successors and assigns (collectively, the Company), subject to the terms and conditions of this agreement (the Agreement).

Z-Trim Holdings, Inc. – Steven Cohen, CEO Z Trim Holdings, Inc. 1011 Campus Drive Mundelein, IL 60060 Phone: 847-549-6002 Fax: 847-549-6028 Re: Investment Banking Agreement With Legend Securities, Inc. Dear Mr.Cohen, (February 24th, 2012)

This letter (the "Agreement") shall confirm the engagement of Legend Securities, Inc., ("Legend") by Z Trim Holdings, Inc. (the "Company" and collectively the "Parties" ) for purposes of providing, on a non-exclusive basis, investor awareness and business advisory services as set forth below in consideration for the fees and compensation described hereinafter:

Nugen Holdings, Inc. – Investment Banking Agreement (November 22nd, 2011)

We are pleased to confirm our mutual understanding regarding the retention of John Carris Investments, LLC ("JCI") by Nugen Mobility, Inc., its affiliates and assigns (collectively, the "Company"), subject to the terms and conditions of this agreement (the "Agreement").

Smtp Inc – Investment Banking Agreement (November 22nd, 2011)

We are pleased to reconfirm our mutual understanding regarding the retention of Littlebanc Advisors, LLC (Littlebanc), securities offered through Wilmington Capital Securities, LLC, by SMTP, Inc. together with its subsidiaries, successors and assigns (collectively, the Company), subject to the terms and conditions of this agreement (the Agreement).

Investment Banking Agreement (September 9th, 2011)

under such circumstances. No fee payable to any other financial advisor, finder or other person by the Company or any other company in connection with the subject matter of this engagement shall reduce or otherwise affect any fee payable hereunder to Ladenburg. All fees due to Ladenburg hereunder shall have no offsets, are non-refundable and non-cancelable.

Isolagen – Investment Banking Agreement Execution Copy (February 9th, 2011)

This letter agreement (this Agreement) confirms Fibrocell Science Inc.s (the Company) engagement of John Carris Investments LLC, a New York limited liability company (John Carris) and Viriathus Holdings LLC, Viriathus Capital LLC Series only and not the LLC generally or any other series of the LLC therein, a Delaware series limited liability company (Viriathus), collectively (the Agents) as investment bankers, financial advisors and consultants of the Company and sets forth the terms and conditions pursuant to which the Agents shall perform in said capacity.

Liberator Medical Holdings, Inc. – Investment Banking Agreement (March 11th, 2010)

We are pleased to reconfirm our mutual understanding regarding the retention of Littlebanc Advisors, LLC (Littlebanc), securities offered through Wilmington Capital Securities, LLC, by Liberator Medical Holdings, Inc., together with its subsidiaries, successors and assigns (collectively, the Company), subject to the terms and conditions of this agreement (the Agreement).

Z-Trim Holdings, Inc. – Re: Investment Banking Agreement With Legend Securities, Inc. Dear Steven Cohen, (January 12th, 2010)

This letter (the "Agreement") shall confirm the engagement of Legend Securities, Inc., ("Legend") by ZTrim Holdings, Inc. (the "Company" and collectively the "Parties") for purposes of providing, on a non-exclusive basis, investor awareness and business advisory services as set forth below in consideration for the fees and compensation described hereinafter:

Amendment No. 2 to Investment Banking Agreement (November 25th, 2009)

THIS AMENDMENT NO. 2 TO INVESTMENT BANKING AGREEMENT (this Amendment) is dated as of November 23, 2009, by and between Hawk Systems, Inc. (as successor to Hawk Biometric Technologies, Inc. (Hawk of FL)), a Delaware corporation with its principal address at 777 South Flagler Dr., Ste. 800, West Palm Beach, FL 33401 (the Company), and Cresta Capital Strategies, LLC, with its principal address at 1175 Walt Whitman Road, Ste. 100, Melville, NY 11747 (the Banker).

Exclusive Investment Banking Agreement (August 19th, 2009)

THIS AGREEMENT (the Agreement) dated as of June 4, 2008 by and between Hawk Biometric Technologies, Inc. with its principal address at 777 South Flagler Dr. STE. 800, West Palm Beach, FL 33401 (hereafter the Company) and Cresta Capital Strategies, LLC, with its principal address at 1175 Walt Whitman Road Ste 100 Melville, NY 11747 USA (the Banker).

Mopals.Com, Inc. – Financial Advisory and Investment Banking Agreement (April 15th, 2008)

This Agreement is made and entered into this 2nd day of November, 2007, between vFinance Investments, Inc. ("VFIN") and Mortgagebrokers.com Holdings, Inc. (OTC BB: MBKR) ("Company").

Capital City Energy Group, Inc. – Investment Banking Agreement (March 13th, 2008)

This Investment Banking Agreement (the "Agreement") is made and entered into as of December 17, 2007, and is to commence on January 1, 2008 by and among, Capital City Petroleum, Inc (the "Company") having its place of business at 8351 North High Street, Suite 101, Columbus, Ohio 43235; and Capital City Consulting Group, LLC, ("CCCG") having its place of business at 9100 So. Dadeland Boulevard, Suite 1800, Miami, Florida 33156.

Capital City Energy Group, Inc. – Investment Banking Agreement (March 13th, 2008)

This Investment Banking Agreement (the "Agreement") is made and entered into as of August 1, 2006 by and among, Capital City Petroleum, LLC (the "Company") having its place of business at 1335 Dublin Road, Suite 122-D, Columbus, OH 43215; with and Capital City Partners Southeast LLC, ("CCPSE") having its place of business at 1550 Madruga Avenue, Suite 305, Coral Gables, Flordia 33146.

Pacific Restaurant Holdings, Inc. – Form of Financial Advisory and Investment Banking Agreement (February 8th, 2008)

This Agreement is made and entered into as of the _____ day of February, 2008 by and between Pacific Restaurant Holdings, Inc., a Delaware corporation (the "Company"), and Jessup & Lamont Securities Corporation, a New York corporation (the "Advisor").

Mopals.Com, Inc. – Financial Advisory and Investment Banking Agreement (November 21st, 2007)

This Agreement is made and entered into this 2nd day of November, 2007, between vFinance Investments, Inc. ("VFIN") and Mortgagebrokers.com Holdings, Inc. (OTC BB: MBKR) ("Company").

Powder River Petroleum International, Inc. – Investment Banking Agreement (November 14th, 2007)

This agreement (Agreement) is made and entered into this November 1, 2007, between SUNRISE SECURITIES CORP. (Sunrise) and Powder River Basin Gas Corp. (together with all subsidiaries, affiliates, successors and other controlled units, either existing or formed subsequent to the execution of this engagement, the Company).

Capsalus Corp – Investment Banking Agreement (October 16th, 2007)

AGREEMENT, made this ___ day of _____________, 2006 by and between, Mach One Corporation, having its principal place of business at 3155 East Patrick Lane, Suite 1, Las Vegas, Nevada 89120 hereinafter the Company and Charles Morgan Securities Inc., having its principal place of business at 120 Wall St., 16th Fl, New York, NY 10005, hereinafter (CMS).

Financial Advisory and Investment Banking Agreement (July 5th, 2007)

This Agreement is made and entered into this 14th day of February, 2007, between vFinance Investments, Inc. (VFIN) and Reflect Scientific, Inc. (OTC BB: RSCF) (Company).

ValueRich, Inc. – Financial Advisory and Investment Banking Agreement (June 12th, 2007)

This Agreement is made and entered into as of the ______ day of __________, 2007 among US Euro Securities, Inc. and Lane Capital Markets, LLC (collectively, the "Consultants") and ValueRich, Inc., a corporation organized under the laws of the State of Delaware (the "Company"). All references to the Company shall include any and all subsidiaries thereof in existence on date hereof and to be formed within the term specified in Paragraph 2 hereof.

ValueRich, Inc. – Financial Advisory and Investment Banking Agreement (May 30th, 2007)

This Agreement is made and entered into as of the ______ day of __________, 2007 among US Euro Securities, Inc. and Lane Capital Markets, LLC (collectively, the "Consultants") and ValueRich, Inc., a corporation organized under the laws of the State of Delaware (the "Company"). All references to the Company shall include any and all subsidiaries thereof in existence on date hereof and to be formed within the term specified in Paragraph 2 hereof.

Investment Banking Agreement (April 2nd, 2007)

This Investment Banking Agreement (the Agreement) is made and entered into as of December 29, 2006 by and among, Adcare Health Systems, Inc. having a principal place of business at 5057 Troy Road, Springfield, Ohio 45502 (the Company), and Capital City Partners LLC (CCP), having its place of business at 9100 South Dadeland Boulevard, Suite 1800-A, Miami, FL 33156.

Enlightened Gourmet, Inc. – Investment Banking Agreement (November 20th, 2006)

AGREEMENT, made this 31st day of October, 2006 by and between, The Enlightened Gourmet, Inc., having its principal place of business at 236 Centerbrook, Hamden, CT 06518 hereinafter the Company and Charles Morgan Securities Inc., having its principal place of business at 120 Wall St., 16th Fl, New York, NY 10005, hereinafter the (CMS).

ValueRich, Inc. – Financial Advisory and Investment Banking Agreement (October 20th, 2006)

This Agreement is made and entered into as of the ______ day of __________, 2006 between Lane Capital Markets, LLC (the "Consultant") and ValueRich, Inc., a corporation organized under the laws of the State of Delaware (the "Company"). All references to the Company shall include any and all subsidiaries thereof in existence on date hereof and to be formed within the term specified in Paragraph 2 hereof.

ValueRich, Inc. – Financial Advisory and Investment Banking Agreement (September 14th, 2006)
Wentworth Energy – Investment Banking Agreement (August 24th, 2006)

THIS AGREEMENT (the Agreement) dated as of April 7, 2006 by and between Wentworth Energy, Inc. with its principal address at 115 West 7th Street, Suite 1415, Fort Worth, TX 76102 and its subsidiaries (collectively, the Company) and GunnAllen Financial, Inc. with its principal address at 5002 W. Waters Avenue, Tampa, Florida 33634 (the Banker).

Hamptons Luxury Homes Inc – Financial Advisory and Investment Banking Agreement (August 18th, 2006)

This Agreement is made and entered into this day of April 10, 2006, between vFinance Investments Inc, ("VFIN") and Hamptons Luxury Homes, Inc. (the "Company").