Common use of EXECUTION OF SETTLEMENT AGREEMENT Clause in Contracts

EXECUTION OF SETTLEMENT AGREEMENT. 68. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 69. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx “DK” DK Witness – Signature Witness – Print Name Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6835. This Settlement Agreement may be signed in one or more counterparts counterparts, which together together, shall constitute a binding agreement. 6936. A facsimile copy of any signature shall be effective as an original signature Xxxx X. signature. Xxxxxx Xx “DKJS” DK JS Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6830. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6931. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx signature. DATED this 25th day of November, 2015. “DKXxxxx Xxxxxxxx” DK Witness – Signature Xxxxx Xxxxxxxx Witness – Print Name name “Xxxxx Xxxxxx Xxxxxx” Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 68107. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 69. 108. A facsimile copy of any signature shall be effective as an original signature Xxxx signature. Xxxxxxx X. Xxxxxx Xxxxx President and Chief Operating Officer & Ultimate Designated Person “DKFL” DK “FL” Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6838. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6939. A facsimile copy of any signature shall be effective as an original signature signature. Xxxxxx Xxxx X. Xxxxxx Xxxxxxxxx “DKGB” DK GB Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6826. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6927. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx signature. Xxxxx Xx “DKWGM” DK WGM Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6830. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6931. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx “DK” DK signature. Dated this 13th day of December, 2013. Witness – Signature Witness – Print Name Xxxxxxx Xxxxxxx Xxxx “Xxxxx Xxxxxx Xxxxxx” Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6835. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6936. A facsimile copy of any signature shall be effective as an original signature signature. Witness – Signature Xxxx X. Xxxxxx “DK” DK Witness – Signature Witness – Print Name name “Xxxxx Xxxxxx Xxxxxx” Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6857. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6958. A facsimile copy of any signature shall be effective as an original signature signature. Xxxxxxx Xxxx X. Xxxxxx “DKXX” DK XX Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6826. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6927. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx “DK” DK signature. Witness – Signature Xxxxxx Xxxxx Xxxxxx Witness – Print Name name “Xxxxx Xxxxxx Xxxxxx” Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6838. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6939. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx signature. Xxxxxxxx Xxxxxxx “DKRT” DK RT Witness – Signature Witness – Print Name “Xxxxx Xxxxxx Xxxxxx” Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6845. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6946. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx signature. Xxxxxxx Xxxxxxxxx “DKAH” DK AH Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – EnforcementEnforcement DM 680578

EXECUTION OF SETTLEMENT AGREEMENT. 6862. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6963. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx signature. Xxxxxxx Financial Inc. Per: Xxxxxxx Xxxxxxx “DKSB” DK SB Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6838. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 69. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx “DK” DK signature. Witness – Signature Xxxxx Xxxxx Witness – Print Name name “Xxxxx Xxxxxx Xxxxxx” Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6832. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6933. A facsimile copy of any signature shall be effective as an original signature signature. Xxxxxxxxx Xxxxxx-Xxxx X. Xxxxxx “DKMH” DK MH Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6838. This Settlement Agreement may be signed in one or more counterparts counterparts, which together together, shall constitute a binding agreement. 6939. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx “DK” DK signature. Xxxxx Xxx Xxxxxxx MB MB Witness – Signature Witness – Print Name Xxxxx Xxxxxx “Xxxxxxx Xxxx” Staff of the MFDA Per: Xxxxx Xxxxxx Senior Xxxxxxx Xxxx Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6829. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6930. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx signature. “DKXxxxxxxxx Xxxxxxxxx” DK Name: Xxxxxxxxx Xxxxxxxxx Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 68. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 69. 100. A facsimile copy of any signature shall be effective as an original signature signature. Xxxx X. Xxxxxx “DK” DK XxXxxx Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6836. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6937. A facsimile copy of any signature shall be effective as an original signature Xxxx X. Xxxxxx signature. DATED this 9th day of January, 2023. “DKXxxxx Xxxxxxx” DK Per: Xxxxx Xxxxxxx Witness – Signature Witness – Print Name Xxxxx Xxxxxx “Xxxxxxx Xxxx” Staff of the MFDA Per: Xxxxx Xxxxxx Senior Xxxxxxx Xxxx Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 6836. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6937. A facsimile copy of any signature shall be effective as an original signature signature. Lexy Xxxx X. Xxxxxx Xxxx “DKGMK” DK GMK Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – EnforcementEnforcement (ARISING FROM SETTLEMENT HEARING ON APRIL 4, 2018)

EXECUTION OF SETTLEMENT AGREEMENT. 6842. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 6943. A facsimile copy of any signature shall be effective as an original signature signature. DATED this 10th day of June, 2017. Xxxx X. Xxxxxx Xxxxxxxx “DKMP” DK “MP” Witness – Signature Witness – Print Name “Xxxxx Xxxxxx” Xxxxx Xxxxxx Staff of the MFDA Per: Xxxxx Xxxxxx Senior Vice-President, Member Regulation – Enforcement