WITHManagement Agreement • January 26th, 1998 • Freedom Securiteis Corp /De/ • Massachusetts
OPERATING AGREEMENT FOR SUTRO INVESTMENT PARTNERS V, LLC, A DELAWARE LIMITED LIABILITY COMPANYOperating Agreement • March 24th, 2000 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Delaware
Exhibit 10.42 TACS IV INCENTIVE PLAN LIMITED PARTNERSHIP LIMITED PARTNERSHIP AGREEMENTLimited Partnership Agreement • March 24th, 2000 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
Preliminary Statement.......................................................... ...................................1 1. Definitions............................ .........................................................1 2. Contribution of the...Contribution Agreement • January 26th, 1998 • Freedom Securiteis Corp /De/ • Massachusetts
Execution Copy -------------- EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the "Agreement"), made as of this 29th day of November, 1996 is entered into between JHFSC Acquisition Corp., a Delaware corporation with its principal place of business at...Employment Agreement • January 26th, 1998 • Freedom Securiteis Corp /De/ • Massachusetts
amongRevolving Credit Agreement • September 30th, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies
RECITALSStock Option Agreement • August 8th, 2001 • Tucker Anthony Sutro • Security brokers, dealers & flotation companies • Delaware
1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the "Agreement"), made as of this 9th day of March, 1998 is entered into between Freedom Securities Corporation, a Delaware corporation with its principal place of business at One Beacon Street,...Employment Agreement • September 30th, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Wisconsin
1 Exhibit 10.30 FREEDOM SECURITIES CORPORATION AMENDMENT NO. 3 TO STOCKHOLDERS AGREEMENT Amendment, dated March , 1998, and amended on January 30, 1998 and March 10, 1998, to that certain Stockholders Agreement (the "Stockholders Agreement"), dated...Stockholders Agreement • March 26th, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Delaware
1 EXHIBIT 10.34 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the "Agreement"), made as of this 15th day of September, 1998 is entered into between Freedom Securities Corporation, a Massachusetts corporation with its principal place of business at...Employment Agreement • September 30th, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
Exhibit 99.1 ------------ AGREEMENT AND PLAN OF MERGER ------------------------------------------------------------------------------ dated August 1, 2001Merger Agreement • August 8th, 2001 • Tucker Anthony Sutro • Security brokers, dealers & flotation companies • Delaware
SECOND AMENDMENT TO REVOLVING CREDIT AGREEMENT -------------------------------- ------------------------------------------------ Second Amendment dated as of February 11, 2000 to Revolving Credit Agreement (the "Second Amendment"), by and among...Revolving Credit Agreement • March 24th, 2000 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
2 3 Additional Shares in whole or in part from time to time by giving written notice thereof to the Company and the Selling Stockholders within 30 days after the date of this Agreement. You shall give any such notice on behalf of the Underwriters and...Underwriting Agreement • March 26th, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • New York
OPERATING AGREEMENT FOR SUTRO VENTURE PARTNERS IV LLC A DELAWARE LIMITED LIABILITY COMPANYOperating Agreement • March 31st, 1999 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Delaware
1 Exhibit 10.44 GENERAL PARTNERSHIP AGREEMENT THIS GENERAL PARTNERSHIP AGREEMENT (this "Agreement") is effective by and between the persons who become partners hereto from time to time by executing a General Partner Execution Page substantially in the...General Partnership Agreement • March 24th, 2000 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Wisconsin
Exhibit 10.11 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the "Agreement"), made as of this 3rd day of December, 1997 is entered into between Freedom Securities Corporation, a Massachusetts corporation with its principal place of business at One...Employment Agreement • January 26th, 1998 • Freedom Securiteis Corp /De/
ARTICLE I VOTINGVoting and Support Agreement • August 8th, 2001 • Tucker Anthony Sutro • Security brokers, dealers & flotation companies • New York
1 Exhibit 10.13 AGREEMENT made in New York, New York on the 5th day of September, 1995, by and between Prudential Securities Incorporated ("PSI"), a Delaware corporation, having its principal office at One Seaport Plaza, New York, New York 10292 and...Brokerage Agreement • January 26th, 1998 • Freedom Securiteis Corp /De/
Exhibit 10.40 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the "Agreement"), made as of this 4th day of January, 2000 is entered into between FREEDOM SECURITIES Corporation, a Delaware corporation with its principal place of business at One Beacon...Employment Agreement • March 24th, 2000 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
WITNESSETHTax Matters Agreement • January 26th, 1998 • Freedom Securiteis Corp /De/ • Massachusetts
1 EXHIBIT 10.20 AGREEMENT AND PLAN OF MERGERMerger Agreement • March 11th, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Delaware
DATED AS OF NOVEMBER 30, 1996Stockholders Agreement • January 26th, 1998 • Freedom Securiteis Corp /De/ • Massachusetts
1 Exhibit 10.3 REVOLVING CREDIT AGREEMENT -------------------------- Dated as of November 29, 1996Revolving Credit Agreement • January 26th, 1998 • Freedom Securiteis Corp /De/
1 EXHIBIT 10.33 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the "Agreement"), made as of this 15th day of September, 1998 is entered into between Freedom Securities Corporation, a Delaware corporation with its principal place of business at One...Employment Agreement • September 30th, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • California
1 TUCKER ANTHONY SUTRO ONE WORLD FINANCIAL CENTER NEW YORK, NY 10281 (212) 225-8000 Exhibit 10.34a August 23, 2000 Kevin J. McKay General Counsel Executive Vice President Tucker Anthony Sutro RE: RENEWAL/EXTENSION OF EXISTING EMPLOYMENT AGREEMENT Dear...Employment Agreement • November 13th, 2000 • Tucker Anthony Sutro • Security brokers, dealers & flotation companies
RECITALSContribution and Indemnity Agreement • January 26th, 1998 • Freedom Securiteis Corp /De/ • Massachusetts
AND TRUST AGREEMENTProfit-Sharing Retirement Plan and Trust Agreement • April 2nd, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
1 Exhibit 10.36 [BANKBOSTON LOGO] MASTER AGREEMENT This MASTER AGREEMENT, dated as of the 21st day of January, 1999, which together with all riders and amendments now or hereafter executed and made a part hereof (the "Master Agreement"), is made at...Master Agreement • March 24th, 2000 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
1 Exhibit 4.2 FREEDOM CAPITAL MANAGEMENT CORPORATION DEFERRED SAVINGS PLAN AND TRUST AGREEMENT 2 TABLE OF CONTENTSDeferred Savings Plan and Trust Agreement • April 2nd, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
1 EXHIBIT 10.22 CHATTEL LEASING SECURITY AGREEMENT This Chattel Leasing Agreement ("Agreement") is entered into as of November 29, 1996 by and between T. A. Leasing Corp. c/o Tucker Anthony Incorporated, One Beacon Street, Boston, Massachusetts 02108...Chattel Leasing Agreement • March 11th, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
SUTRO LEASINGChattel Leasing Security Agreement • March 11th, 1998 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
1 Exhibit 10.37 [BANKBOSTON LOGO] MASTER AGREEMENT This MASTER AGREEMENT, dated as of the 21st day of January, 1999, which together with all riders and amendments now or hereafter executed and made a part hereof (the "Master Agreement"), is made at...Master Agreement • March 24th, 2000 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
1 EXHIBIT 10.4 ADDITIONAL SHARE AGREEMENT This Agreement is entered into as of the 29th day of November, 1996 by and between JHFSC Acquisition Corp., a Delaware corporation (the "Company"), and John Hancock Subsidiaries, Inc., a Delaware corporation...Additional Share Agreement • January 26th, 1998 • Freedom Securiteis Corp /De/ • Massachusetts
Exhibit 10.35 AMENDMENT TO CLEARING AGREEMENT DATED SEPTEMBER 8TH, 1995 WHEREAS, Prudential Securities Incorporated ("PSI"), John Hancock Clearing Corporation ("JHCC"), Tucker Anthony Incorporated ("TA"), and Sutro & Co. Incorporated ("Sutro") have...Clearing Agreement • March 31st, 1999 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies
FIRST AMENDMENT TO REVOLVING CREDIT AGREEMENT --------------------------------- -----------------------------------------------Revolving Credit Agreement • March 24th, 2000 • Freedom Securities Corp /De/ • Security brokers, dealers & flotation companies • Massachusetts
