PENSON WORLDWIDE INC Business Finance Contracts & Agreements

72 Contracts & Agreements
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FINRA Approval Letter for Intercompany Loan Between Penson Financial Services Inc. and Penson Worldwide Inc.
Financing Agreements
PENSON WORLDWIDE INC
2012
Letter Amendment to Asset Purchase Agreement between Knight Execution & Clearing Services LLC and Penson Financial Services, Inc. (May 29, 2012)
Modification Agreements
PENSON WORLDWIDE INC
2012
Credit Agreement between Apex Clearing Corporation and Penson Financial Services, Inc. dated June 5, 2012
Credit Agreements
PENSON WORLDWIDE INC
NC
2012
Assignment and Assumption Agreement among Penson Financial Services, Inc., Apex Clearing Holdings LLC, and Apex Clearing Solutions LLC (May 31, 2012)
Assignment Agreements
PENSON WORLDWIDE INC
NY
2012
Asset Purchase Agreement between Penson Financial Services, Inc. and Knight Execution & Clearing Services LLC (May 28, 2012)
Purchase Agreements
PENSON WORLDWIDE INC
NC
2012
Asset Purchase Agreement among PNK (SA), LLC, SAI Holdings, Inc., SAMCO Capital Markets, Inc., and Penson Worldwide, Inc.
Purchase Agreements
PENSON WORLDWIDE INC
TX
2012
Share Purchase Agreement between Pershing Group, LLC and Penson Worldwide, Inc.
Purchase Agreements
PENSON WORLDWIDE INC
NY
2012
Amended and Restated Seller Note between Penson Worldwide, Inc. and Broadridge Financial Solutions, Inc., Effective July 1, 2011
Note Agreements
PENSON WORLDWIDE INC
NY
2012
Amendment Agreement to Master Services Agreement among SAI Holdings, Penson Entities, and Broadridge Entities (October 11, 2011)
Modification Agreements
PENSON WORLDWIDE INC
2012
Third Amendment to Second Amended and Restated Credit Agreement by and among Penson Worldwide, Inc., Regions Bank, and Lenders
Credit Agreements
PENSON WORLDWIDE INC
TX
2012
Second Amendment to Second Amended and Restated Credit Agreement by and among Penson Worldwide, Inc., Regions Bank, and Lenders
Credit Agreements
PENSON WORLDWIDE INC
2011
First Amendment to Second Amended and Restated Credit Agreement by and among Penson Worldwide, Inc. and Regions Bank
Credit Agreements
PENSON WORLDWIDE INC
TX
2011
Amended and Restated Guaranty Agreement among Penson Worldwide, Inc. Subsidiaries and Regions Bank as Administrative Agent
Guaranty Agreements
PENSON WORLDWIDE INC
TX
2010
Amended and Restated Pledge Agreement between Pledgors and Regions Bank as Administrative Agent
Pledge Agreements
PENSON WORLDWIDE INC
TX
2010
Second Amended and Restated Credit Agreement among Penson Worldwide, Inc. and Regions Bank et al.
Credit Agreements
PENSON WORLDWIDE INC
DE
2010
Seller Note Agreement between Penson Worldwide, Inc. and Broadridge Financial Solutions, Inc. dated June 25, 2010
Note Agreements
PENSON WORLDWIDE INC
NY
2010
Amendment, Assignment and Assumption Agreement among SAI Holdings, Penson Financial Services, Broadridge Financial Solutions, Ridge Clearing & Outsourcing Solutions, and Penson...
Assignment Agreements
PENSON WORLDWIDE INC
2010
Amendment Agreement to Asset Purchase and Master Services Agreements among SAI Holdings, Penson, Broadridge, and Ridge Entities (June 25, 2010)
Modification Agreements
PENSON WORLDWIDE INC
2010
Penson Worldwide, Inc. 12.50% Senior Second Lien Secured Note Due 2017
Note Agreements
PENSON WORLDWIDE INC
NY
2010
Penson Worldwide, Inc. $200,000,000 12.5% Senior Second Lien Secured Notes Purchase Agreement with J.P. Morgan Securities Inc. (2010)
Purchase Agreements
PENSON WORLDWIDE INC
NY
2010
Amendment and Assignment Agreement to Asset Purchase and Portfolio Margining Agreements among Opus Trading Fund LLC, Schonfeld Securities LLC, Schonfeld Group Holdings LLC, SAI...
Modification Agreements
PENSON WORLDWIDE INC
2010
Asset Purchase Agreement among Penson Worldwide, Inc., Penson Financial Services, Inc., Broadridge Financial Solutions, Inc., and Ridge Clearing & Outsourcing Solutions, Inc....
Purchase Agreements
PENSON WORLDWIDE INC
NY
2010
Second Amendment to Amended and Restated Credit Agreement among Penson Worldwide, Inc., Regions Bank, Compass Bank, and Lenders
Credit Agreements
PENSON WORLDWIDE INC
TX
2009
First Amendment to Amended and Restated Credit Agreement among Penson Worldwide, Inc., Regions Bank, Guaranty Bank, and Lenders
Credit Agreements
PENSON WORLDWIDE INC
TX
2009
Amended and Restated Credit Agreement among Penson Worldwide, Inc., Regions Bank, Guaranty Bank, and Other Lenders
Credit Agreements
PENSON WORLDWIDE INC
NY
2009
Penson Worldwide, Inc. 8.0% Convertible Senior Note Due 2014 (Form of Note)
Note Agreements
PENSON WORLDWIDE INC
DE
2009
Penson Worldwide, Inc. $50,000,000 8.0% Convertible Senior Notes Due 2014 Purchase Agreement with J.P. Morgan Securities Inc. and Morgan Keegan & Company, Inc.
Purchase Agreements
PENSON WORLDWIDE INC
NY
2009
Eighth Amendment to Credit Agreement among Penson Worldwide, Inc., Guaranty Bank, Wachovia Bank, and Lenders
Credit Agreements
PENSON WORLDWIDE INC
TX
2009
Third Amendment to Credit Agreement among Penson Worldwide, Inc., Guaranty Bank, Wachovia Bank, and Other Lenders
Credit Agreements
PENSON WORLDWIDE INC
TX
2008
Seventh Amendment to Credit Agreement among Penson Worldwide, Inc., Guaranty Bank, Wachovia Bank, and Other Lenders
Credit Agreements
PENSON WORLDWIDE INC
TX
2008
Sixth Amendment to Credit Agreement among Penson Worldwide, Inc. and Lenders
Credit Agreements
PENSON WORLDWIDE INC
TX
2008
Fifth Amendment to Credit Agreement among Penson Worldwide, Inc., Guaranty Bank, Wachovia Bank, and Other Lenders
Credit Agreements
PENSON WORLDWIDE INC
TX
2007
Letter Agreement Amending Asset Purchase and Related Agreements among Opus Trading Fund LLC, Quantitative Trading Strategies LLC, Schonfeld Securities LLC, Schonfeld Group...
Modification Agreements
PENSON WORLDWIDE INC
2007
Fourth Amendment to Credit Agreement among Penson Worldwide, Inc., Guaranty Bank, Wachovia Bank, and Lenders
Credit Agreements
PENSON WORLDWIDE INC
TX
2007
Third Amendment to Credit Agreement among Penson Worldwide, Inc., Guaranty Bank, Wachovia Bank, and Other Lenders
Credit Agreements
PENSON WORLDWIDE INC
TX
2007
Letter Agreement Amending Purchase Agreement Among SAI Holdings, Inc., Goldenberg LLC, Hehmeyer LLC, GHCO Partners LLC, and Others (February 16, 2007)
Modification Agreements
PENSON WORLDWIDE INC
2007
Restructuring Support Agreement between Penson Worldwide Inc., Penson Financial Services, Inc., and Noteholders (March 13, 2012)
Forbearance Agreements
PENSON WORLDWIDE INC
NY
2012
Restructuring Support Agreement between Penson Worldwide Inc., Penson Financial Services, Inc., and Noteholders (March 13, 2012)
Forbearance Agreements
PENSON WORLDWIDE INC
NY
2012
Indenture Agreement for 12.50% Senior Second Lien Secured Notes Due 2017 between Penson Worldwide, Inc. and U.S. Bank National Association
Indenture Agreements
PENSON WORLDWIDE INC
DE
2010
Indenture Agreement for 8.0% Convertible Senior Notes due 2014 between Penson Worldwide, Inc. and U.S. Bank National Association
Indenture Agreements
PENSON WORLDWIDE INC
NY
2009