0001161697-05-001342 Sample Contracts

TRANSFER AGREEMENT by and among Empire Financial Holding Company, Empire Financial Group, Inc. Regal Securities, Inc., And Penson Financial Services, Inc., As Clearing Broker Dated as of November 22, 2005

Transfer Agreement • November 23rd, 2005 • Empire Financial Holding Co • Security brokers, dealers & flotation companies • New York

• Contract Type
  Transfer Agreement
• Filed
  November 23rd, 2005
• Company
  Empire Financial Holding Co
• Industry
  Security brokers, dealers & flotation companies
• Jurisdiction
  New York

This TRANSFER AGREEMENT (the “Agreement”) is made as of November 22, 2005, by and among Empire Financial Holding Company, a Florida corporation, (“Parent”), Empire Financial Group, Inc. a Florida corporation (“Transferor” and collectively with Parent, “Transferors”), Regal Securities, Inc., an Illinois corporation (“Transferee” or “Regal”), and Penson Financial Services, Inc. a North Carolina corporation (“Penson”).