SETTLEMENT AGREEMENT AND RELEASESettlement Agreement and Release • April 13th, 2017 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • Florida
This Settlement Agreement and Release (the “Agreement”) is entered into by and among Michael I. Goldberg, in his capacity as receiver (the “Receiver”) for the entities identified on Schedule A to this Agreement (collectively, the “Receivership Entities”), Thomas A. Tucker Ronzetti, Harley S. Tropin, and Kozyak Tropin & Throckmorton, LLP, as interim class counsel (“Class Counsel”) on behalf of the plaintiffs in the Investor Class Action (as defined below), and Raymond James & Associates, Inc. (“Raymond James”). (The Receiver, Class Counsel, and Raymond James shall each be referred to as a “Party” and shall collectively be referred to as the “Parties.”)
