WITNESSESTH:Employment Agreement • December 4th, 2007 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
WITNESSESTH:Employment Agreement • January 9th, 2007 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New Jersey
ARTICLE I. DEFINITIONSSecurities Purchase Agreement • December 1st, 2006 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
THESE SECURITIES HAVE NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "SECURITIES ACT"), AND,...Hudson Holding Corp • December 1st, 2006 • Security brokers, dealers & flotation companies
REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this "AGREEMENT") is made and entered into as of October 25, 2006, by and among Hudson Holding Corporation, a Delaware corporation (the "COMPANY"), and the investors signatory hereto...Registration Rights Agreement • December 1st, 2006 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
Exhibit 6 REGISTRATION RIGHTS AGREEMENT by and among HUDSON HOLDINGS CORPORATIONRegistration Rights Agreement • November 24th, 2009 • Hudson Holding Corp • Security brokers, dealers & flotation companies • Delaware
Exhibit 5 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this "AGREEMENT") is dated as of October 14, 2009, among Hudson Holding Corporation, a Delaware corporation (the "COMPANY"), and the purchasers identified on the signature...Securities Purchase Agreement • November 24th, 2009 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • June 24th, 2008 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of June __, 2008, by and among Hudson Holding Corporation, a Delaware corporation (the “Company”), and the “Purchasers” named in that certain purchase agreement by and among the Company and the Purchasers. Capitalized terms used herein have the respective meanings ascribed thereto in the Purchase Agreement unless otherwise defined herein.
EXHIBIT 10(b) TRANSITION AGREEMENT This Transition Agreement (the "Transition Agreement") is executed as of the 31st day of October, 1996, by and between OPTION CARE, INC., a Delaware corporation ("OCI"), and HEALTH OUTCOMES MANAGEMENT, INC., a...Transition Agreement • January 14th, 1997 • Health Outcomes Management Inc • Services-prepackaged software • Illinois
AMENDED AND RESTATED AGREEMENT AND PLAN OF MERGER dated as of January 4, 2011 among RODMAN & RENSHAW CAPITAL GROUP, INC. HHC ACQUISITION, INC. and HUDSON HOLDING CORPORATIONAgreement and Plan of Merger • January 31st, 2011 • Hudson Holding Corp • Security brokers, dealers & flotation companies • Delaware
AMENDED AND RESTATED AGREEMENT AND PLAN OF MERGER (this “Agreement”) dated as of January 4, 2011 (the “Signing Date”) among RODMAN & RENSHAW CAPITAL GROUP, INC., a Delaware corporation (“Parent”), HHC ACQUISITION, INC., a Delaware corporation and a direct, wholly-owned subsidiary of Parent (“Merger Subsidiary”) and HUDSON HOLDING CORPORATION, a Delaware corporation (the “Company”).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • January 7th, 2010 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
This Securities Purchase Agreement (this “AGREEMENT”) is dated as of December 30, 2009, among Hudson Holding Corporation, a Delaware corporation (the “COMPANY”), and the purchasers identified on the signature pages hereto (each a “PURCHASER” and collectively the “PURCHASERS”); and
ARTICLE 4 REPRESENTATIONS AND WARRANTIES OF SELLERAsset Purchase Agreement • January 14th, 1997 • Health Outcomes Management Inc • Services-prepackaged software • Minnesota
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • June 24th, 2008 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of June __, 2008, among Hudson Holding Corporation, a Delaware corporation (the “Company”), and the purchasers identified on the signature pages hereto (each a “Purchaser” and collectively the “Purchasers”); and
REGISTRATION RIGHTS AGREEMENT by and among HUDSON HOLDINGS CORPORATION and THE INITIAL HOLDERS SPECIFIED ON THE SIGNATURE PAGES HEREOF Dated as of October 14, 2009Registration Rights Agreement • November 16th, 2009 • Hudson Holding Corp • Security brokers, dealers & flotation companies • Delaware
REGISTRATION RIGHTS AGREEMENT (the “Agreement”) dated as of October , 2009, by and among Hudson Holding Corporation, a Delaware corporation (the “Company”) and the investors specified on the signature pages hereof (each, an “Investor,” and together the “Initial Holders”).
Exhibit 10.1 SUBSCRIPTION AGREEMENT HUDSON HOLDING CORPORATION 525 Washington Boulevard Suite 3600 Jersey City, NJ 07310 Gentlemen: I hereby apply to HUDSON HOLDING CORPORATION, a Delaware corporation (hereinafter "YOU" or "COMPANY"), to purchase Six...Subscription Agreement • January 17th, 2006 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New Jersey
L E A S ELease • June 26th, 2009 • Hudson Holding Corp • Security brokers, dealers & flotation companies
LEASE, dated as of April 29th, 2009, between PARAMOUNT GROUP, INC., as Agent for 900 THIRD AVENUE, L. P. (Landlord), having offices at 1633 Broadway and HUDSON SECURITIES, INC. (Tenant), a Delaware corporation, with a Federal Tax Identification Number of 22-481089 and having an office at 111 Town Square Place, 15th Floor, Jersey City, NJ 07310 (Lease).
FORM OF STOCKHOLDER VOTING AGREEMENTForm of Stockholder Voting Agreement • January 5th, 2011 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
This VOTING AGREEMENT, dated as of January 4, 2011 (this “Agreement”), by and among Rodman & Renshaw Capital Group, Inc., a Delaware corporation (“Parent”), and the Persons set forth on Schedule A hereto (each, a “Stockholder”, and collectively, the “Stockholders”).
AMENDMENT NO. 1 TO THE EMPLOYMENT AGREEMENTEmployment Agreement • June 27th, 2008 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New Jersey
This AMENDMENT NO.1 (the “Amendment”), dated May 19, 2008, is entered into by and between Hudson Holding Corp., a Delaware corporation (the “Company”), and Keith R. Knox (the “Employee”), for the purpose of amending the terms of that certain Employment Agreement, dated January 1, 2007 (the “Agreement”).
ASSET PURCHASE AGREEMENTAsset Purchase Agreement • November 23rd, 2001 • Health Outcomes Management Inc • Services-prepackaged software • Minnesota
THIS ASSET PURCHASE AGREEMENT ("Agreement") is made as of the ____ day of ____________, 2001 by and between Quality Business Solutions, Inc., d/b/a QBS, a Minnesota corporation, ("Buyer") and Health Outcomes Management, Inc., a Minnesota corporation, ("Seller").
Re: Clearing AgreementHudson Holding Corp • June 29th, 2010 • Security brokers, dealers & flotation companies • New York
This Agreement sets forth the terms and conditions under which the Broadcort Division of Merrill Lynch, Pierce, Fenner & Smith Incorporated (the “Clearing Firm”) will act as your clearing broker to carry and clear, on a fully disclosed basis, cash and margin accounts (the “Accounts”) for you and your customers (the “Customers”). For purposes of this Agreement, you shall hereinafter be referred to as “you” or the “Introducing Firm.” This Agreement shall apply only to securities and related transactions for which pricing provisions are set forth in Schedule A hereto. This Agreement shall become effective upon approval of the Financial Industry Regulatory Authority (“FINRA”).
AGREEMENT TO TERMINATE REGISTRATION RIGHTS AGREEMENTAgreement to Terminate Registration Rights Agreement • January 10th, 2011 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
This Agreement to Terminate Registration Rights Agreement (this “Agreement”) is made and entered into as of January 4, 2011, by and between Hudson Holding Corporation, a Delaware corporation (the “Company”), and Seaport Hudson LLC, a Delaware limited liability company (the “Investor”).
EXHIBIT 10(i) AGREEMENTHealth Outcomes Management Inc • June 11th, 1998 • Services-prepackaged software
HUDSON HOLDING CORPORATION NONQUALIFIED STOCK OPTION AGREEMENTNonqualified Stock Option Agreement • January 14th, 2011 • Hudson Holding Corp • Security brokers, dealers & flotation companies
JOINT FILING AGREEMENTJoint Filing Agreement • January 14th, 2011 • Hudson Holding Corp • Security brokers, dealers & flotation companies
Pursuant to, and in accordance with, the requirements of Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, and subject to the limitations set forth therein, each party hereto hereby agrees to jointly file a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of Hudson Holding Corporation, a Delaware corporation, and further agrees that this Joint Filing Agreement be included as an exhibit to such joint filings.
SUPPLEE ENTERPRISES, INC. 4806 Highway 101 South Minnetonka, Minnesota 55345 Mr. William A. Peter, Jr. President and CEO Health Outcomes Management, Inc. 2331 University Avenue S.E. Minneapolis, MN 55414 Re: Preserve Rexall Drug Assets Dear Mr. Peter:...Health Outcomes Management Inc • June 2nd, 1997 • Services-prepackaged software
FULLY DISCLOSED CLEARING AGREEMENT AS AMENDED BETWEEN RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. -and- HUDSON SECURITIES INC.Clearing Agreement • August 12th, 2008 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
This agreement (the “Agreement”), dated as of December 1, 2007, between Ridge Clearing & Outsourcing Solutions, Inc. (“Ridge”) and Hudson Securities Inc. (“Correspondent”), sets forth the terms and conditions under which Ridge will provide execution and clearing services, on a fully disclosed basis, to Correspondent and its customers. Ridge will provide such services only to the extent required by this Agreement, and shall not be responsible for any duties or obligations not specifically allocated to Ridge by this Agreement. Nothing in this Agreement shall be deemed to delegate to Ridge any regulatory obligation of Correspondent. The parties agree that the target date for the conversion of Correspondent onto the Services is April 1, 2008.
SUBLEASESublease • June 26th, 2009 • Hudson Holding Corp • Security brokers, dealers & flotation companies
This Sublease is made as of April 4, 2006 by and between CHARLES SCHWAB & CO., INC., a California corporation (“Sublandlord”), and HUDSON SECURITIES, INC., a Delaware corporation (“Subtenant”).
EXHIBIT C CLOSING ESCROW AGREEMENTC Closing Escrow Agreement • November 13th, 2001 • Health Outcomes Management Inc • Services-prepackaged software • Minnesota
THIS CLOSING ESCROW AGREEMENT is made and entered into as of the 1st day of November, 2001, by and among Quality Business Solutions, Inc., a Minnesota corporation ("Buyer"), Health Outcomes Management, Inc., a Minnesota corporation ("Seller"), and Ridgedale State Bank, a Minnesota banking corporation ("Escrow Agent").
EXHIBIT H BILL OF SALEHealth Outcomes Management Inc • November 23rd, 2001 • Services-prepackaged software
FOR VALUE RECEIVED, the undersigned, HEALTH OUTCOMES MANAGEMENT, INC., a Minnesota corporation (the "Seller"), hereby conveys unto QUALITY BUSINESS SOLUTIONS, INC., a Minnesota corporation, (the "Buyer") its successors and assigns, all of its right, title and interest in and to the Assets, as that term is defined in that certain Asset Purchase Agreement dated October 30, 2001, between the parties.
GUARANTYSublease Guaranty • June 26th, 2009 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New Jersey
SUBLEASE GUARANTY (the “Guaranty”) dated as of April 4, 2006 made by HUDSON HOLDING CORP., a Delaware corporation (“Guarantor”), having an address at 111 Pavonia Avenue, Jersey City, New Jersey 07310, to and in favor of CHARLES SCHWAB & CO., INC., 101 Montgomery Street, San Francisco, California 94104 (“Sublandlord”).
SUBLEASE AGREEMENTSublease Agreement • June 29th, 2010 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
THIS SUBLEASE AGREEMENT (“Sublease”) is executed effective as of January_28, 2010, by and between Hudson Securities, Inc. a Delaware corporation (“Sublandlord”) and JW Asset Management, LLC, a . (“Subtenant”).
EMPLOYMENT AGREEMENTEmployment Agreement • February 14th, 2008 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
This Employment Agreement (the “Agreement”), dated as of January 10, 2008 (“Agreement Date”), by and between Hudson Securities, Inc., a Delaware corporation (“Company”), having an address of 111 Town Square Place, 15th Floor, Jersey City, New Jersey 07310, and David Scialabba (the “Employee”), residing at 210-B Sunset Road, Oyster Bay, New York 11771.
EXHIBIT G LICENSE AGREEMENTExhibit G License Agreement • November 27th, 2001 • Health Outcomes Management Inc • Services-prepackaged software • Minnesota
THIS AGREEMENT made as of November 1, 2001, by and between Health Outcomes Management, Inc. a corporation organized and existing under the laws of the State of Minnesota, whose principal place of business is located at 2331 University Avenue SE, Minneapolis, MN 55414 (hereinafter referred to as "Licensor") and Quality Business Solutions, Inc., a corporation organized and existing under the laws of the State of Minnesota, whose principal place of business is located at 1250 Northland Drive, #155, Mendota Heights, MN 55120 (hereinafter referred to as "Licensee").
EXHIBIT J NON-SOLICITATION AGREEMENTExhibit J Non-Solicitation Agreement • November 27th, 2001 • Health Outcomes Management Inc • Services-prepackaged software • Minnesota
THIS AGREEMENT is made and entered into as of this 1st day of November 2001 by and between Health Outcomes Management, Inc., a Minnesota corporation ("Seller"), and Quality Business Solutions, Inc., a Minnesota corporation ("Buyer").
ASSET PURCHASE AGREEMENT BY AND AMONG NEXT GENERATION HOLDING, L.L.C., NEXT GENERATION EQUITY RESEARCH, L.L.C. TIMOTHY M. FIERCE AND MICHAEL W. BOEHM, HUDSON HOLDING CORPORATION AND HUDSON SECURITIES, INC.Asset Purchase Agreement • March 8th, 2010 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New Jersey
This ASSET PURCHASE AGREEMENT (“Agreement”), dated as of March 2, 2010, is entered into by and among Next Generation Holding, L.L.C., an Illinois limited liability company (“Next Generation”), Next Generation Equity Research, L.L.C., an Illinois limited liability company (“Research”), Hudson Holding Corporation, a Delaware corporation (“Hudson”), and Hudson Securities, Inc., a Delaware corporation and wholly-owned subsidiary of Hudson (“Hudson Securities”), and Timothy M. Fierce (“Fierce”) and Michael W. Boehm (“Boehm”) in respect of Section 4 and Section 8.
