Settlement Agreement, Release and Amendment to Clearing Agreement Sample Contracts

SETTLEMENT AGREEMENT, RELEASE AND AMENDMENT TO CLEARING AGREEMENT

Settlement Agreement, Release and Amendment to Clearing Agreement • May 14th, 2010 • Paulson Capital Corp • Security brokers, dealers & flotation companies

• Contract Type
  Settlement Agreement, Release and Amendment to Clearing Agreement
• Filed
  May 14th, 2010
• Company
  Paulson Capital Corp
• Industry
  Security brokers, dealers & flotation companies

This Settlement Agreement, Release and Amendment (this “Agreement”) is made and entered into as of October 3, 2008 by and between RBC Correspondent Services, a division of RBC Capital Markets Corporation, a Minnesota corporation formerly known as RBC Dain Rauscher Inc. (“RBC CS”), and Paulson Investment Company, Inc. (“Correspondent”).