DATED 3RD JUNE 1998 --------------------------------------Donaldson Lufkin & Jenrette Inc /Ny/ • August 13th, 1998 • Security & commodity brokers, dealers, exchanges & services • England and Wales
LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue New York, New York 10022 Gentlemen: This letter shall serve to amend ("Amendment No. 1") the Investor Rights Agreement ("Agreement"), dated as of February 8, 2001, among Ladenburg Thalmann...Ladenburg Thalmann Financial Services Inc • September 10th, 2001 • Security & commodity brokers, dealers, exchanges & services
RECITALS:Employment Agreement • March 31st, 2005 • Vfinance Inc • Security & commodity brokers, dealers, exchanges & services • Florida
Exhibit 10.47 AMENDMENT TO EMPLOYMENT AGREEMENT WHEREAS LADENBURG THALMANN FINANCIAL SERVICES INC. (formerly known as GBI Capital Management Corp.) and LADENBURG CAPITAL MANAGEMENT INC. (formerly known as GBI Capital Partners Inc.) and MARK ZEITCHICK...Employment Agreement • March 30th, 2004 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • New York
Exhibit 2.2 STOCK PURCHASE AGREEMENT Dated November 2, 2004Stock Purchase Agreement • November 8th, 2004 • Vfinance Inc • Security & commodity brokers, dealers, exchanges & services • Florida
EXHIBIT A --------- AGREEMENT OF JOINT FILING In accordance with Rule 13d-1(k) under the Securities and Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing on behalf of each of them of a Statement on Schedule 13D, and...Vie Financial Group Inc • October 9th, 2003 • Security & commodity brokers, dealers, exchanges & services
This Agreement may be executed in any number of counterparts, each of which shall be deemed to be an original and all of which together shall be deemed to constitute one and the same Agreement.
CONSULTING AGREEMENT This CONSULTING AGREEMENT ("Agreement") made and entered into as of the 29th day of January 2001, by and Versacom International, Inc. (the "Corporation"), and Terence Byrne (jointly and severally the "Consultant"). 1. APPOINTMENT...Consulting Agreement • March 30th, 2001 • Encibar Inc • Security & commodity brokers, dealers, exchanges & services • Florida
ARTICLE I ---------Agreement • February 24th, 2000 • Chicago Mercantile Exchange Inc • Security & commodity brokers, dealers, exchanges & services • Illinois
ESCROW AGREEMENT ESCROW AGREEMENT dated ________ _, 2001, among GBI CAPITAL MANAGEMENT CORP., a Florida corporation ("GBI"), BERLINER EFFEKTENGESELLSCHAFT AG, a German corporation ("Berliner"), and CONTINENTAL STOCK TRANSFER & TRUST COMPANY, as escrow...Escrow Agreement • February 21st, 2001 • Gbi Capital Management Corp • Security & commodity brokers, dealers, exchanges & services • New York
Exhibit 2.1 PURCHASE AGREEMENTPurchase Agreement • March 29th, 2002 • Credit Suisse First Boston Usa Inc • Security & commodity brokers, dealers, exchanges & services • New York
RECITALSVoting Agreement • February 16th, 2005 • One Clark LLC • Security & commodity brokers, dealers, exchanges & services • Delaware
AGREEMENT ---------Pledge Agreement • December 14th, 2001 • Laidlaw Global Corp • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 99.6 SUBSCRIPTION AGREEMENTSubscription Agreement • August 31st, 1998 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services • Delaware
DISTRIBUTION AGREEMENT"Distribution Agreement • February 4th, 2000 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services
CONFORMED COPY AGREEMENT AND PLAN OF MERGERAgreement and Plan of Merger • September 8th, 2000 • Credit Suisse Group /Fi • Security & commodity brokers, dealers, exchanges & services • Delaware
ARTICLE 3 Representations and Warranties of the CompanyAgreement and Plan of Merger • August 31st, 1998 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services • Delaware
1 EXHIBIT 10.2 STOCK OPTION AGREEMENT AGREEMENT made as of the 7th day of May, 2001, by and between LADENBURG THALMANN FINANCIAL SERVICES INC., a Florida corporation (the "Company"), and David Thalheim (the "Consultant"). WHEREAS, on April 13, 2001,...Stock Option Agreement • August 14th, 2001 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 10.51 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the "Agreement"), dated as of March 17, 2006, by and between NATIONAL HOLDINGS CORPORATION, a Delaware corporation (the "Company") and the purchaser listed on Exhibit A...Securities Purchase Agreement • May 10th, 2006 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York
Exhibit 10.85 PURCHASE AND SALE AGREEMENT This Purchase and Sale Agreement ("Agreement"), dated as of July 16, 1998, is made by and among Donaldson, Lufkin & Jenrette, Inc., a Delaware corporation ("DLJ"), The Equitable Companies Incorporated, a...Purchase and Sale Agreement • August 13th, 1998 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services
LOAN AGREEMENT AND PROMISSORY NOTELoan Agreement • March 28th, 2002 • Nasdaq Stock Market Inc • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 10.4 TIMOTHY L. ASHBURN AGREEMENTAgreement • March 2nd, 2004 • Unified Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • Kentucky
EXHIBIT 1 15,000,000 Shares DONALDSON, LUFKIN & JENRETTE, INC. DLJdirect Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 18th, 1999 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services • New York
AGREEMENT AND PLAN OF MERGER OF CME Transitory Co. and Chicago Mercantile Exchange INC.Agreement and Plan of Merger • April 7th, 2000 • Chicago Mercantile Exchange Inc • Security & commodity brokers, dealers, exchanges & services • Delaware
EXHIBIT 1.2 [FORM OF TERMS AGREEMENT FOR DEBT SECURITIES] CREDIT SUISSE FIRST BOSTON (USA), INC.Terms Agreement • October 19th, 2001 • Credit Suisse First Boston Usa Inc • Security & commodity brokers, dealers, exchanges & services
EXHIBIT 10.0 SHARE PURCHASE AGREEMENT ------------------------ THIS AGREEMENT is made as of the 23rd day of December, 2003. BETWEEN: Savoy Capital Investments, Inc. ------------------------------- a Company incorporated pursuant to the laws of the...Share Purchase Agreement • April 26th, 2004 • Savoy Capital Investments Inc • Security & commodity brokers, dealers, exchanges & services • Colorado
ADMINISTRATIVE SERVICES AGREEMENTAdministrative Services Agreement • March 29th, 2000 • Espeed Inc • Security & commodity brokers, dealers, exchanges & services • New York
Section Title Page ------- ----- ---- 1 Lease of Premises and Term 1 2 Base Rent 1 3 Rent Adjustments 1 4 Service 4 5 Condition of Premises 5 6 Commencement of Base Rent and Rent Adjustments 5 7 Use of Premises 6 8 Care and Maintenance 8 9 Alterations...Lease • December 2nd, 2002 • Chicago Mercantile Exchange Holdings Inc • Security & commodity brokers, dealers, exchanges & services
Exhibit 10.42 FIRST AMENDMENT OF LEASE Agreement made as of this 1st day of July, 1987 by and between Grove Street Associates of Jersey City Limited Partnership, a New Jersey limited partnership having an office at 11 Commerce Drive, Crawford, New...Letter Agreement • March 30th, 2001 • Credit Suisse First Boston Usa Inc • Security & commodity brokers, dealers, exchanges & services
W I T N E S S E T HRights Agreement • November 29th, 2002 • Chicago Mercantile Exchange Holdings Inc • Security & commodity brokers, dealers, exchanges & services • Delaware
Exhibit 10.6 ASSIGNMENT AND ASSUMPTION AGREEMENT This Assignment and Assumption Agreement (this "Agreement") is made and entered into as of December 3, 2001, by and among PACIFIC USA HOLDINGS CORP, a Texas corporation ("PUSA" or "Assignor"); THIRD...Assignment and Assumption Agreement • January 29th, 2002 • Laidlaw Global Corp • Security & commodity brokers, dealers, exchanges & services • Texas
SERVICE AGREEMENT Exhibit 10.44 Dated 19th, July 1995 PARTIES (1) INDEX FOREX LIMITED whose registered office is at 11 Old Jewry, London EC2R 8DU (the "Company"); and (2) MR. GRAHAM WELLESLEY of 38 Santos Road, London SW18 1MS (the "Executive") SIMON...Service Agreement • January 24th, 1997 • Carl Jack 312 Futures Inc • Security & commodity brokers, dealers, exchanges & services • Tokyo
INDEMNIFICATION AGREEMENT LOST STOCK CERTIFICATE THIS INDEMNIFICATION AGREEMENT made this 12th day of June, 2001 by and between Westminster Securities Corp., a New York corporation with an office located at 100 Park Avenue, New York, NY 10017...Indemnification Agreement • June 29th, 2001 • Laidlaw Global Corp • Security & commodity brokers, dealers, exchanges & services • New York
IN THE UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF TEXAS DALLAS DIVISION eSPEED, INC., and ELECTRONIC TRADING ) SYSTEMS CORPORATION, ) ) Plaintiff(s) ) ) ) CIVIL ACTION NO. 3:99-CV- 1016-M ) ) VS. ) ) THE BOARD OF TRADE OF THE CITY OF )...Settlement Agreement • November 10th, 2004 • Cbot Holdings Inc • Security & commodity brokers, dealers, exchanges & services
UNDERWRITING AGREEMENT between GARDEN STAGE LIMITED, and REVERE SECURITIES LLC, as Representative of the Several Underwriters GARDEN STAGE LIMITED UNDERWRITING AGREEMENTUnderwriting Agreement • December 5th, 2023 • Garden Stage LTD • Security & commodity brokers, dealers, exchanges & services • New York
The undersigned, GARDEN STAGE LIMITED, a corporation formed under the laws of the Cayman Islands (the “Company”), hereby confirms its agreement (this “Agreement”) with REVERE SECURITIES LLC, a FINRA Member firm (hereinafter referred to as the “Representative”), and with the other underwriters named on Schedule 1 hereto for which the Representative is acting as representative (the Representative and such other underwriters being collectively called the “Underwriters” or, individually, an “Underwriter”) as follows:
EXHIBIT 4.10 NEITHER THIS WARRANT NOR THE SHARES ISSUABLE UPON EXERCISE HEREOF HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "SECURITIES ACT"), OR ANY OTHER APPLICABLE SECURITIES LAWS IN RELIANCE UPON AN EXEMPTION FROM THE...Savoy Resources Corp • May 20th, 2005 • Security & commodity brokers, dealers, exchanges & services
