Settlement Agreements in the Capital Markets Industry
35 Contracts & Agreements
- Apollo Global Management LLC (1 contract)
- BlackRock Capital Investment Corp (5)
- BLACKSTAR ENTERPRISE GROUP, INC. (2)
- Blucora, Inc. (1)
- E*Trade (1)
- ENTERPRISE DIVERSIFIED, INC. (1)
- GlassBridge Enterprises, Inc. (5)
- Investment Technology Group, Inc. (1)
- Janus Henderson Group plc (1)
- KCAP Financial, Inc. (1)
- LPL Financial Holdings Inc. (1)
- MarketAxess Holdings Inc (1)
- Medley Capital Corp (2)
- MEDLEY MANAGEMENT INC. (1)
- Moody's Corp (1)
- Morningstar, Inc. (1)
- MVC CAPITAL, INC. (1)
- Oaktree Specialty Lending Corp (2)
- Raymond James Financial Inc. (1)
- S&P Global, Inc. (1)
- TPG Partners, LLC (2)
- Wright Investors Service Holdings, Inc. (2)
- Order Approving Settlement Agreement (BLACKSTAR ENTERPRISE GROUP, INC., Filed With SEC on November 5, 2024)
- Settlement Agreement (BLACKSTAR ENTERPRISE GROUP, INC., Filed With SEC on November 5, 2024)
- Founder Net Settlement Agreement, dated as of December 31 2021, among David Bonderman, James G. Coulter, TPG Europe, LLC, TPG Europe II, LLC, BondCo, Inc., CoulCo, Inc., TPG... (TPG Partners, LLC, Filed With SEC on March 29, 2022)
- Form of Founder Net Settlement Agreement (TPG Partners, LLC, Filed With SEC on December 23, 2021)
- Settlement Agreement, dated May 27, 2020 (MVC CAPITAL, INC., Filed With SEC on June 1, 2020)
- Settlement Agreement (GlassBridge Enterprises, Inc., Filed With SEC on October 7, 2019)
- Stipulation of Settlement, dated July 29, 2019 (Medley Capital Corp, Filed With SEC on August 2, 2019)
- Settlement Term Sheet, dated April 15, 2019 (MEDLEY MANAGEMENT INC., Filed With SEC on April 17, 2019)
- Settlement Term Sheet, dated April 15, 2019 (Medley Capital Corp, Filed With SEC on April 17, 2019)
- Settlement Agreement, dated as of December 21, 2018, by and among Zentralstelle fr private berspielungsrechte (ZP) Gesellschaft des brgerlichen Rechts, and its members; and TME... (GlassBridge Enterprises, Inc., Filed With SEC on December 28, 2018)
- Settlement agreement between Janus Henderson Group plc and Andrew Formica, effective from July 31, 2018, is attached to this Quarterly Report on Form 10-Q as exhibit 10.34 (Janus Henderson Group plc, Filed With SEC on November 1, 2018)
- Settlement Agreement and Mutual Release, dated as of August 10, 2018 among NXSN Acquisition Corp., Nexsan Technologies Incorporated and Humilis Holdings Private Equity LP (GlassBridge Enterprises, Inc., Filed With SEC on August 21, 2018)
- Settlement Agreement, dated as of September 28, 2017, by and among the Company, IOENGINE, LLC and Scott McNulty (GlassBridge Enterprises, Inc., Filed With SEC on September 28, 2017)
- Settlement Agreement, dated as of September 15, 2017, by and among the Company, CMC Magnetics Corporation, Imation Corporation Japan and Imation Europe B.V (GlassBridge Enterprises, Inc., Filed With SEC on September 18, 2017)
- SETTLEMENT AGREEMENT AND RELEASE (Raymond James Financial Inc., Filed With SEC on April 13, 2017)
- SETTLEMENT AGREEMENT AND RELEASE OF CLAIMS (BlackRock Capital Investment Corp, Filed With SEC on March 8, 2017)
- SETTLEMENT AGREEMENT AND RELEASE OF CLAIMS (BlackRock Capital Investment Corp, Filed With SEC on March 8, 2017)
- SETTLEMENT AGREEMENT AND RELEASE OF CLAIMS (BlackRock Capital Investment Corp, Filed With SEC on March 8, 2017)
- SETTLEMENT AGREEMENT AND RELEASE OF CLAIMS (BlackRock Capital Investment Corp, Filed With SEC on March 8, 2017)
- SETTLEMENT AGREEMENT AND RELEASE OF CLAIMS (BlackRock Capital Investment Corp, Filed With SEC on March 8, 2017)
- SETTLEMENT AGREEMENT I. Parties (Moody's Corp, Filed With SEC on January 17, 2017)
- SETTLEMENT AGREEMENT AND GENERAL RELEASE (Investment Technology Group, Inc., Filed With SEC on June 23, 2016)
- AMENDMENT NO. 1 TO PURCHASE AND SETTLEMENT AGREEMENT (Oaktree Specialty Lending Corp, Filed With SEC on February 24, 2016)
- PURCHASEAND SETTLEMENT AGREEMENT (Oaktree Specialty Lending Corp, Filed With SEC on February 19, 2016)
- EARLY SETTLEMENT AGREEMENT (LPL Financial Holdings Inc., Filed With SEC on December 11, 2015)
- Settlement Agreement (S&P Global, Inc., Filed With SEC on February 13, 2015)
- SETTLEMENT AGREEMENT (Morningstar, Inc., Filed With SEC on July 17, 2014)
- SETTLEMENT AGREEMENT AND RELEASE (Wright Investors Service Holdings, Inc., Filed With SEC on August 2, 2013)
- FORBEARANCEAND SETTLEMENT AGREEMENT (KCAP Financial, Inc., Filed With SEC on November 8, 2010)
- SETTLEMENT AGREEMENT AND MUTUAL RELEASE (Wright Investors Service Holdings, Inc., Filed With SEC on May 17, 2010)
- SETTLEMENT AGREEMENT AND RELEASE (Apollo Global Management LLC, Filed With SEC on November 23, 2009)
- EX-10.1: SETTLEMENT AND COMPROMISE AGREEMENT (MarketAxess Holdings Inc, Filed With SEC on December 18, 2006)
- MUTUAL RELEASE AND SETTLEMENT AGREEMENT PARTIES (Blucora, Inc., Filed With SEC on March 3, 2005)
- Settlement Agreement dated as of December 10, 2003, between E*TRADE Financial Corporation and its subsidiaries and affiliates and Christos M. Cotsakos (E*Trade, Filed With SEC on March 11, 2004)
- SETTLEMENT AGREEMENT AND MUTUAL RELEASE (ENTERPRISE DIVERSIFIED, INC., Filed With SEC on February 23, 2004)
