Settlement Agreements in the Capital Markets Industry

64 Contracts & Agreements
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Settlement Agreement and General Release between Dan H. Arnold and LPL Financial Holdings Inc.
Settlement Agreements
LPL Financial Holdings Inc.
Capital Markets
CA
2025
Settlement Agreement and Stipulation between BlackStar Enterprise Group, Inc. and Continuation Capital, Inc.
Settlement Agreements
BLACKSTAR ENTERPRISE GROUP, INC.
Capital Markets
FL
2024
Termination and Settlement Agreement among Siebert Financial Corp., Kakaopay, Kakaopay Securities, MSCO, and Gebbia Parties (December 19, 2023)
Settlement Agreements
SIEBERT FINANCIAL CORP
Capital Markets
NY
2023
Amendment to Settlement Agreement between MarketWise, Inc. and F. Porter Stansberry & Stokes Holding, LLC (September 2023)
Settlement Agreements
Ascendant Digital Acquisition Corp.
Capital Markets
2023
Settlement Agreement between MarketWise, Inc. and F. Porter Stansberry Regarding 2023 Annual Meeting
Settlement Agreements
Ascendant Digital Acquisition Corp.
Capital Markets
2023
Side Letter Agreement Regarding ERFP Balance and Asset Transfer between Ashford Entities
Settlement Agreements
Ashford Inc.
Capital Markets
2022
Founder Net Settlement Agreement among TPG Entities, David Bonderman, and James G. Coulter (December 31, 2021)
Settlement Agreements
TPG Partners, LLC
Capital Markets
DE
2022
Founder Net Settlement Agreement among David Bonderman, James G. Coulter, and TPG Entities (December 31, 2021)
Settlement Agreements
TPG Partners, LLC
Capital Markets
DE
2021
Settlement Agreement between Affiliated Managers Group Limited and Hugh P. B. Cutler (May 15, 2020)
Settlement Agreements
AFFILIATED MANAGERS GROUP, INC.
Capital Markets
2020
Settlement Agreement between MVC Capital, Inc. and Wynnefield Partners Small Cap Value, L.P. I (May 27, 2020)
Settlement Agreements
MVC CAPITAL, INC.
Capital Markets
DE
2020
Amendment to Deferred Prosecution Agreement between Och-Ziff Capital Management Group LLC and U.S. Department of Justice
Settlement Agreements
Och-Ziff Capital Management Group LLC
Capital Markets
2020
Settlement Agreement between GlassBridge Enterprises Inc. and Pension Benefit Guaranty Corporation (PBGC)
Settlement Agreements
GlassBridge Enterprises, Inc.
Capital Markets
NY
2019
Stipulation and Agreement of Compromise and Settlement between FrontFour Capital Group LLC, FrontFour Master Fund, Ltd., and Medley Capital Corporation et al., dated July 29, 2019
Settlement Agreements
Medley Capital Corp
Capital Markets
DE
2019
Settlement Term Sheet between FrontFour and Medley Capital Corporation Parties – April 15, 2019
Settlement Agreements
MEDLEY MANAGEMENT INC.
Capital Markets
2019
Settlement Term Sheet between FrontFour and Medley Capital Corporation et al. dated April 15, 2019
Settlement Agreements
Medley Capital Corp
Capital Markets
2019
Pre-Payment and Release Agreement between GlassBridge Enterprises, Inc. and CMC Magnetics Corporation (March 2019)
Settlement Agreements
GlassBridge Enterprises, Inc.
Capital Markets
2019
Settlement Agreement Regarding Copyright Levies Between ZPÜ, Collecting Societies, and Imation Group
Settlement Agreements
GlassBridge Enterprises, Inc.
Capital Markets
2018
Settlement Agreement between Andrew J Formica and HGI Group Limited Dated July 31, 2018
Settlement Agreements
Janus Henderson Group plc
Capital Markets
2018
Settlement Agreement and Mutual Release between Richard T. Romano, Robert H. Mack, and Nexsan Technologies, Inc. et al.
Settlement Agreements
GlassBridge Enterprises, Inc.
Capital Markets
2018
Pre-Pay Agreement among IOENGINE, LLC, GlassBridge Enterprises, Inc., and Scott F. McNulty (August 13, 2018)
Settlement Agreements
GlassBridge Enterprises, Inc.
Capital Markets
NY
2018
Settlement Agreement among IOENGINE, LLC, GlassBridge Enterprises, Inc., and Scott F. McNulty (September 28, 2017)
Settlement Agreements
GlassBridge Enterprises, Inc.
Capital Markets
NY
2017
Settlement Agreement between GlassBridge Enterprises, Inc. and CMC Magnetics Corporation (September 15, 2017)
Settlement Agreements
GlassBridge Enterprises, Inc.
Capital Markets
MN
2017
Settlement Agreement and Release among Receiver, Class Counsel, and Raymond James & Associates, Inc.
Settlement Agreements
Raymond James Financial Inc.
Capital Markets
FL
2017
Settlement Agreement and Release of Claims between David Scott Williams, Ruth Williams, and BlackRock Capital Investment Corporation
Settlement Agreements
BlackRock Capital Investment Corp
Capital Markets
2017
Settlement Agreement and Release of Claims between Estate of Steven M. Swain and BlackRock Capital Investment Corporation
Settlement Agreements
BlackRock Capital Investment Corp
Capital Markets
2017
Settlement Agreement and Release of Claims between William Fish and BlackRock Capital Investment Corporation
Settlement Agreements
BlackRock Capital Investment Corp
Capital Markets
2017
Settlement Agreement and Release of Claims between Jerry Fish and BlackRock Capital Investment Corporation
Settlement Agreements
BlackRock Capital Investment Corp
Capital Markets
2017
Settlement Agreement and Release of Claims between Flora Fish (as Administratrix) and BlackRock Capital Investment Corporation
Settlement Agreements
BlackRock Capital Investment Corp
Capital Markets
2017
Settlement Agreement Among U.S. Department of Justice, Multiple States, and Moody’s Corporation Resolving RMBS and CDO Ratings Claims
Settlement Agreements
Moody's Corp
Capital Markets
2017
SEC Order Instituting Administrative and Cease-and-Desist Proceedings Against Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank
Settlement Agreements
Och-Ziff Capital Management Group LLC
Capital Markets
2016
Deferred Prosecution Agreement between Och-Ziff Capital Management Group LLC and the U.S. Department of Justice
Settlement Agreements
Och-Ziff Capital Management Group LLC
Capital Markets
2016
Plea Agreement Between United States of America and OZ Africa Management GP, LLC
Settlement Agreements
Och-Ziff Capital Management Group LLC
Capital Markets
NY
2016
Settlement Agreement and General Release between Robert C. Gasser and Investment Technology Group, Inc.
Settlement Agreements
Investment Technology Group, Inc.
Capital Markets
NY
2016
Early Settlement Agreement between Goldman, Sachs & Co. and LPL Financial Holdings Inc. (December 2015)
Settlement Agreements
LPL Financial Holdings Inc.
Capital Markets
2015
Settlement and Indemnification Agreement among BGC Partners, GFI Group, Jersey Partners, Michael Gooch, and Colin Heffron (August 24, 2015)
Settlement Agreements
BGC Partners, Inc.
Capital Markets
NY
2015
FinCEN and SEC Settlement Agreement with Oppenheimer & Co., Inc. Regarding Anti-Money Laundering Violations
Settlement Agreements
OPPENHEIMER HOLDINGS INC
Capital Markets
2015
SEC Order Instituting Administrative and Cease-and-Desist Proceedings Against Oppenheimer & Co. Inc.
Settlement Agreements
OPPENHEIMER HOLDINGS INC
Capital Markets
2015
Department of Justice and State Attorneys General Settlement Agreement with McGraw Hill Financial, Inc. and Standard & Poor’s Financial Services LLC
Settlement Agreements
S&P Global, Inc.
Capital Markets
2015
Settlement Agreement and Release between CohnReznick LLP (Plan Administrator) and Wright Investors’ Service Holdings, Inc.
Settlement Agreements
Wright Investors Service Holdings, Inc.
Capital Markets
SC
2013
Settlement Agreement among Business Logic Holding Corporation, Ibbotson Associates, Inc., and Morningstar, Inc.
Settlement Agreements
Morningstar, Inc.
Capital Markets
IL
2014