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
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
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 10.48 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
UNDERWRITING AGREEMENT ----------------------Underwriting Agreement • July 10th, 1997 • Frost Hanna Capital Group Inc • Blank checks • New York
EMPLOYMENT AGREEMENT EMPLOYMENT AGREEMENT ("Agreement"), dated as of the 8th day of February, 2001, by and between LADENBURG THALMANN & CO. INC. (the "Company"), a Delaware corporation, and VICTOR RIVAS ("Executive"). WHEREAS, Executive is currently...Employment Agreement • February 21st, 2001 • Gbi Capital Management Corp • Security & commodity brokers, dealers, exchanges & services • New York
ESCROW AGREEMENTEscrow Agreement • November 12th, 1997 • Frost Hanna Capital Group Inc • Blank checks • 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
Exhihit 10.46 STOCK OPTION AGREEMENT AGREEMENT, made as of December 17, 2003, by and between Ladenburg Thalmann Financial Services Inc., a Florida corporation (the "Company"), and Salvatore Giardina (the "Employee"). WHEREAS, by written consent dated...Stock Option Agreement • March 30th, 2004 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • New York
STOCK PURCHASE AGREEMENTStock Purchase Agreement • February 21st, 2001 • Gbi Capital Management Corp • Security & commodity brokers, dealers, exchanges & services • New York
Exhibit 10.51 EMPLOYMENT AGREEMENT EMPLOYMENT AGREEMENT ("Agreement"), dated as of the 9th day of March, 2004 (the "Effective Date"), by and between LADENBURG THALMANN FINANCIAL SERVICES INC. (the "Company"), a Delaware corporation, and CHARLES I....Employment Agreement • March 30th, 2004 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • New York
TO THEEmployment Agreement • February 21st, 2001 • Gbi Capital Management Corp • Security & commodity brokers, dealers, exchanges & services
PLEDGE AND SECURITY AGREEMENT PLEDGE AND SECURITY AGREEMENT dated as of ________ _, 2001 between: (1) GBI Capital Management Corp., a corporation duly organized and validly existing under the laws of the State of Florida (the "Securing Party"); (2)...Pledge and Security Agreement • February 21st, 2001 • Gbi Capital Management Corp • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 10.2Employment Agreement • March 10th, 2005 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • New York
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...Investor Rights Agreement • September 10th, 2001 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services
TO THEEmployment Agreement • February 21st, 2001 • Gbi Capital Management Corp • Security & commodity brokers, dealers, exchanges & services
ESCROW AGREEMENT dated as of the ______ day of __________, 1997 (the "Agreement") by and between FROST HANNA CAPITAL GROUP, INC., a Florida corporation (the "Company"), COMMUNITY INVESTMENT SERVICES, INC., a Florida corporation (the "Underwriter"),...Escrow Agreement • August 19th, 1997 • Frost Hanna Capital Group Inc • Blank checks • Florida
Ladenburg Thalmann Financial Services Inc. 4,600,000 Shares (Liquidation Preference $25.00 Per Share) Underwriting AgreementUnderwriting Agreement • May 24th, 2013 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • New York
Ladenburg Thalmann Financial Services Inc., a corporation organized under the laws of the State of Florida (the “Company”), proposes to sell to the several underwriters named in Schedule II hereto (the “Underwriters”), for which you (the “Representative”) are acting as representative, the number of shares of Preferred Stock of the Company set forth in Schedule I hereto (said shares to be issued and sold by the Company being hereinafter called the “Underwritten Securities”). The Company also proposes to grant to the Underwriters an option to purchase up to the number of additional shares of Preferred Stock set forth in Schedule I hereto to cover over-allotments, if any (the “Option Securities”; the Option Securities, together with the Underwritten Securities, being hereinafter called the “Securities”). The Securities shall have the rights, powers and preferences set forth in the articles of amendment to the Company’s Articles of Incorporation to be dated May 21, 2013 relating thereto (t
1 EXHIBIT 99.1 AGREEMENT AND PLAN OF MERGER As of May 27, 1999Merger Agreement • June 23rd, 1999 • Frost Hanna Capital Group Inc • Blank checks • New York
EXHIBIT 10.1 AMENDMENT NO. 2 TO LOAN AGREEMENT AMENDMENT NO. 2 dated as of August 31, 2001 to Loan Agreement, dated as of February 8, 2001, as amended, between LADENBURG THALMANN FINANCIAL SERVICES INC. (f/k/a GBI CAPITAL MANAGEMENT CORP.) and...Loan Agreement • September 10th, 2001 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services
TO THEEmployment Agreement • September 10th, 2001 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services
TO THEEmployment Agreement • September 10th, 2001 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services
ANDUnderwriter's Warrant Agreement • November 12th, 1997 • Frost Hanna Capital Group Inc • Blank checks • Florida
SECOND AMENDMENT TO THEEmployment Agreement • September 10th, 2001 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services
STOCK PURCHASE AGREEMENT dated as of February 8, 2001 by and betweenStock Purchase Agreement • February 21st, 2001 • Gbi Capital Management Corp • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT "A"Merger Agreement • August 16th, 1999 • Frost Hanna Capital Group Inc • Blank checks • New York
AGREEMENT OF LEASE BRIARCLIFFE COLLEGE, INC.Lease Agreement • November 22nd, 1999 • Gbi Capital Management Corp • Blank checks
EXHIBIT 4.1 AMENDMENT NO. 2 TO STOCK PURCHASE AGREEMENT AMENDMENT NO. 2 dated August 31, 2001 ("Amendment No. 2") to STOCK PURCHASE AGREEMENT, dated February 8, 2001 ("Stock Purchase Agreement"), among LADENBURG THALMANN FINANCIAL SERVICES INC. (f/k/a...Stock Purchase Agreement • September 10th, 2001 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • February 24th, 1997 • Frost Hanna Capital Group Inc • Blank checks • New York
RECITALS:Employment Agreement • July 10th, 1997 • Frost Hanna Capital Group Inc • Blank checks • Florida
AGREEMENT AND PLAN OF MERGER by and among LADENBURG THALMANN FINANCIAL SERVICES INC., ADVISOR GROUP HOLDINGS, INC. and HARVEST MERGER SUB, INC. Dated as of November 11, 2019Merger Agreement • November 14th, 2019 • Ladenburg Thalmann Financial Services Inc. • Security brokers, dealers & flotation companies • Florida
AGREEMENT AND PLAN OF MERGER, dated as of November 11, 2019 (this “Agreement”), by and among Ladenburg Thalmann Financial Services Inc., a Florida corporation (the “Company”), Advisor Group Holdings, Inc., a Delaware corporation (“Parent”), and Harvest Merger Sub, Inc., a Florida corporation and wholly-owned subsidiary of Parent (“Merger Sub” and, together with the Company and Parent, the “Parties” and each, a “Party”).
LADENBURG THALMANN FINANCIAL SERVICES INC. UNDERWRITING AGREEMENTUnderwriting Agreement • May 23rd, 2018 • Ladenburg Thalmann Financial Services Inc. • Security brokers, dealers & flotation companies • New York
Ladenburg Thalmann Financial Services Inc., a Florida corporation (the “Company”), proposes to issue and sell to the several Underwriters on Schedule A hereto (the “Underwriters”), for whom Ladenburg Thalmann & Co. Inc. is acting as representative (in such capacity, the “Representative”), $40,000,000 aggregate principal amount of 7.00% Senior Notes due 2028 (the “Firm Notes”). In addition, the Company proposes to grant to the Underwriters the option to purchase from the Company up to an additional $6,000,000 aggregate principal amount of 7.00% Senior Notes due 2028 (the “Additional Notes”), to cover overallotments, if any. The Firm Notes and, if and to the extent such option is exercised, the Additional Notes are hereinafter collectively referred to as the “Notes.”
Exhibit 10.1 AMENDMENT NO. 1 TO LOAN AGREEMENT AMENDMENT NO. 1 dated as of April 25, 2001 to Loan Agreement, dated as of February 8, 2001, between GBI CAPITAL MANAGEMENT CORP. and FROST-NEVADA, LIMITED PARTNERSHIP ("Loan Agreement"). WHEREAS, the...Loan Agreement • May 1st, 2001 • Gbi Capital Management Corp • Security & commodity brokers, dealers, exchanges & services
Exhibit 10.54 INDEMNIFICATION AGREEMENT This Agreement, made and entered into effective as of the 9th day of March, 2004 ("Agreement"), by and between Ladenburg Thalmann Financial Services Inc., a Florida corporation ("Corporation"), and Charles I....Indemnification Agreement • March 30th, 2004 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • Florida
EXHIBIT 10.2 ====================================== STANDARD FORM OF OFFICE LEASE The Real Estate Board of New York, Inc. ====================================== Agreement of Lease, made as of this 3rd day of August 1999, between MAYORE ESTATES LLC and...Office Lease • November 22nd, 1999 • Gbi Capital Management Corp • Blank checks • New York
