RECITALS:Employment Agreement • March 31st, 2005 • Vfinance Inc • Security & commodity brokers, dealers, exchanges & services • Florida
EXHIBIT 10.4 TIMOTHY L. ASHBURN AGREEMENTEmployment Agreement • March 2nd, 2004 • Unified Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • Kentucky
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 1 DONALDSON, LUFKIN & JENRETTE, INC. MEDIUM-TERM NOTES DUE NINE MONTHS OR MORE FROM DATE OF ISSUE DISTRIBUTION AGREEMENTDistribution Agreement • March 17th, 2000 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services • New York
Exhigit 10.50 SEVERANCE AGREEMENT, WAIVER, AND RELEASE This Severance Agreement, Waiver, and Release (the "Agreement"), dated as of March 9, 2004, is entered into by Victor Rivas ("Rivas") and Ladenburg Thalmann & Co. Inc., a Delaware corporation...Severance Agreement • March 30th, 2004 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • New York
BETWEENCredit Agreement • March 6th, 2001 • Board of Trade of the City of Chicago 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
MANAGEMENT AGREEMENT AGREEMENT made as of the 30th day of January, 1998 among SMITH BARNEY FUTURES MANAGEMENT INC., a Delaware corporation ("SBFM"), SMITH BARNEY DIVERSIFIED FUTURES FUND L. P. II, a New York limited partnership (the "Partnership") and...Management Agreement • March 30th, 1998 • Smith Barney Diversified Futures Fund L P Ii • Security & commodity brokers, dealers, exchanges & services • New York
DONALDSON, LUFKIN & JENRETTE, INC. as the Company and THE CHASE MANHATTAN BANK as TrusteeFirst Supplemental Indenture • September 17th, 1997 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 99.4 SUBSCRIPTION AGREEMENTSubscription Agreement • August 31st, 1998 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services • Delaware
EXHIBIT 4.18 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...Warrant Agreement • September 21st, 2005 • Savoy Resources Corp • Security & commodity brokers, dealers, exchanges & services
DISTRIBUTION AGREEMENT"Distribution Agreement • February 4th, 2000 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services
CONFORMED COPY AGREEMENT AND PLAN OF MERGERMerger Agreement • September 8th, 2000 • Credit Suisse Group /Fi • Security & commodity brokers, dealers, exchanges & services • Delaware
EXHIBIT 4 AGREEMENT AND PLAN OF MERGERMerger Agreement • May 7th, 1998 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services • Delaware
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
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
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
EXHIBIT 10.48 STOCK OPTION AGREEMENT AGREEMENT made as of the 15th day of November, 2002, by and between LADENBURG THALMANN FINANCIAL SERVICES INC., a Florida corporation (the "Company"), and ___________ (the "Director"). WHEREAS, on November 15, 2002...Stock Option Agreement • March 31st, 2003 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • New York
RIDER TO LEASE, DATED JANUARY 29 1993, BETWEEN G.A.J. ASSOCIATES, AS LANDLORD. AND REDSTONE SECURITIES, INC. AS TENANT ----------------------------------------------------------------- 37. Tenant covenants and agrees to pay to Landlord as annual base...Lease Agreement • May 22nd, 2000 • Institutional Equity Holdings Inc /Nv/ • Security & commodity brokers, dealers, exchanges & services
AGREEMENT AND PLAN OF MERGER OF CME Transitory Co. and Chicago Mercantile Exchange INC.Merger Agreement • March 10th, 2000 • Chicago Mercantile Exchange Inc • Security & commodity brokers, dealers, exchanges & services • Delaware
Dated as of May 29, 1998 CHASE SECURITIES INC., as ArrangerCredit Agreement • August 13th, 1998 • Donaldson Lufkin & Jenrette Inc /Ny/ • Security & commodity brokers, dealers, exchanges & services • New York
andRights Agreement • April 2nd, 2001 • Chicago Mercantile Exchange Inc • Security & commodity brokers, dealers, exchanges & services • New York
AGREEMENT OF JOINT FILING -------------------------Joint Filing Agreement • November 12th, 2003 • Vie Financial Group Inc • 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.
EXHIBIT 99.2 ASSET PURCHASE AGREEMENTAsset Purchase Agreement • June 17th, 2004 • Jb Oxford Holdings Inc • Security & commodity brokers, dealers, exchanges & services • New York
8,500,000 Shares Class A Common Stock ($.o1 Par Value) UNDERWRITING AGREEMENT December , 1999 UNDERWRITING AGREEMENTUnderwriting Agreement • December 9th, 1999 • Espeed Inc • Security & commodity brokers, dealers, exchanges & services • New York
VFINANCE AND CIE LICENSE & WEBSITE APPLICATION AGREEMENT This LICENSE AGREEMENT FOR DATA ("Agreement"), effective as of the 8th day of June, 2005 ("Effective Date"), is by and between vFinance, Inc., a Florida corporation and vFinance Holdings, Inc.,...License Agreement • August 15th, 2005 • Vfinance Inc • Security & commodity brokers, dealers, exchanges & services • Florida
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
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
Exhibit 10.4 EXECUTIVE EMPLOYMENT AGREEMENT PATRICK J. CATANIA EXECUTIVE VICE PRESIDENT, MARKET AND PRODUCT DEVELOPMENT BOARD OF TRADE OF THE CITY OF CHICAGO Executive Employment Agreement dated as of May 18, 1999, between PATRICK J. CATANIA of 9737...Executive Employment Agreement • March 6th, 2001 • Board of Trade of the City of Chicago Inc • Security & commodity brokers, dealers, exchanges & services
Exhibit 10.2 TERMINATION AGREEMENT THIS TERMINATION AGREEMENT, dated as of the 31st day of January, 2007, among Optionable, Inc., a Delaware corporation (the "Company"), and Capital Energy Services, LLC, a New York limited liability company ("CES")....Termination Agreement • February 5th, 2007 • Optionable Inc • Security & commodity brokers, dealers, exchanges & services
