LADENBURG THALMANN FINANCIAL SERVICES INC. Contracts & Agreements

168 Contracts & Agreements
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Filed
Description of Registered Securities of Ladenburg Thalmann Financial Services Inc.
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2020
Agreement and Plan of Merger among Ladenburg Thalmann Financial Services Inc., Advisor Group Holdings, Inc., and Harvest Merger Sub, Inc. dated November 11, 2019
Merger Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2019
Underwriting Agreement for 7.75% Senior Notes Due 2029 between Ladenburg Thalmann Financial Services Inc. and Underwriters
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2019
Stock Repurchase and Option Cancellation Agreement among Phillip Frost, Frost Nevada Investments Trust, and Ladenburg Thalmann Financial Services Inc.
Repurchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2018
Asset Purchase Agreement among Kestler Financial Group, Inc., Jason A. Kestler, and Ladenburg Thalmann Annuity Insurance Services LLC (August 31, 2018)
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2018
Third Supplemental Indenture to Indenture Dated November 21, 2017 for 7.25% Senior Notes due 2028 between Ladenburg Thalmann Financial Services Inc. and U.S. Bank National...
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Underwriting Agreement for 7.25% Senior Notes Due 2028 between Ladenburg Thalmann Financial Services Inc. and Underwriters
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Note Distribution Agreement for 7.00% Senior Notes due 2028 between Ladenburg Thalmann Financial Services Inc. and Ladenburg Thalmann & Co. Inc.
Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Sales Agents for Series A Preferred Stock Offering
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Underwriting Agreement for $40 Million 7.00% Senior Notes Due 2028 between Ladenburg Thalmann Financial Services Inc. and Underwriters
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Third Amendment and Lease Extension Agreement between Frost Real Estate Holdings, LLC and Ladenburg Thalmann & Co. Inc.
Lease Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Note Distribution Agreement for 6.50% Senior Notes due 2027 between Ladenburg Thalmann Financial Services Inc. and Ladenburg Thalmann & Co. Inc.
Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Adam Scott Malamed (2018)
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Indenture Agreement between Ladenburg Thalmann Financial Services Inc. and U.S. Bank National Association, dated November 21, 2017
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
Underwriting Agreement for Ladenburg Thalmann Financial Services Inc. 6.50% Senior Notes Due 2027
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
Credit Agreement between Ladenburg Thalmann Financial Services Inc. and Frost Gamma Investments Trust dated November 8, 2017
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2017
Amendment No. 3 to Credit Agreement between Ladenburg Thalmann Financial Services Inc. and Frost Nevada Investments Trust
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2016
First Amendment and Lease Extension Agreement between Frost Real Estate Holdings, LLC and Investacorp Group, Inc.
Lease Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2016
Ladenburg Thalmann Financial Services Inc. Restricted Stock Award Agreement under 2009 Incentive Compensation Plan
Bonus & Incentive Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2015
Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Richard Lampen
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2015
Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Mark Zeitchick (Executive Vice President)
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2015
Stock Pledge Agreement between Ladenburg Thalmann Financial Services Inc. and Representatives of Former Shareholders of SSN and RCC
Pledge Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Jefferies LLC for Series A Preferred Stock
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Asset Purchase Agreement among Securities America Financial Corporation, Sunset Financial Services, Inc., and Kansas City Life Insurance Company (July 16, 2014)
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NE
2014
Stock Purchase Agreement among Securities Service Network, Inc., Renaissance Capital Corporation, Shareholders, and Ladenburg Thalmann Financial Services Inc. dated September 21,...
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Stock Purchase Agreement among KMS Financial Services, Inc., its Shareholders, and Ladenburg Thalmann Financial Services Inc. (August 8, 2014)
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Underwriting Agreement for 8.00% Series A Cumulative Redeemable Preferred Stock between Ladenburg Thalmann Financial Services Inc. and Mitsubishi UFJ Securities (USA), Inc.
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2013
Amendment and Lease Extension Agreement between Frost Real Estate Holdings, LLC and Ladenburg Thalmann & Co. Inc.
Lease Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2013
Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Joseph Giovanniello, Jr.
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2013
Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Adam Scott Malamed (Chief Operating Officer)
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2012
Forgivable Loan Agreement between National Financial Services LLC and Ladenburg Thalmann Financial Services Inc.
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2012
Stock Purchase Agreement between Ameriprise Financial, Inc. and Ladenburg Thalmann Financial Services Inc. dated August 16, 2011
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
CA
2011
Amendment No. 2 to Credit Agreement between Ladenburg Thalmann Financial Services Inc. and Frost Nevada Investments Trust
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2011
Amendment No. 1 to Credit Agreement between Ladenburg Thalmann Financial Services Inc. and Frost Nevada Investments Trust
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2009
Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Representatives of Triad Advisors, Inc. Shareholders
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2008
Share Pledge Agreement between Ladenburg Thalmann Financial Services Inc. and Representatives of Former Triad Advisors, Inc. Shareholders
Pledge Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2008
Agreement and Plan of Merger among Triad Advisors, Inc., Triple Acquisition Inc., Shareholders of Triad Advisors, Inc., and Ladenburg Thalmann Financial Services Inc.
Merger Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2008
Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Brett Kaufman (Vice President and CFO)
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2008
Credit Agreement between Ladenburg Thalmann Financial Services Inc. and Frost Gamma Investments Trust dated October 19, 2007
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2007
Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Bruce A. Zwigard dated October 19, 2007
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2007
Pledge Agreement between Ladenburg Thalmann Financial Services Inc. and Bruce A. Zwigard dated October 19, 2007
Pledge Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2007
Stock Purchase Agreement among Ladenburg Thalmann Financial Services Inc., the Investacorp Companies, the VIA Companies, Bruce A. Zwigard, and Bruce A. Zwigard Grantor Retained...
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2007
Nonqualified Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Bruce Zwigard
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2007
Warrant to Purchase Common Stock between Ladenburg Thalmann Financial Services Inc. and Frost Gamma Investments Trust (October 19, 2007)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2007
Office Lease Agreement between Frost Real Estate Holdings, LLC and Ladenburg Thalmann & Co. Inc. dated March 30, 2007
Lease Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2007
Debt Exchange Agreement between Ladenburg Thalmann Financial Services Inc. and New Valley LLC (February 13, 2007)
Exchange Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2007
Amendment to Employment Agreement between Ladenburg Thalmann Financial Services Inc., Ladenburg Capital Management Inc., and Mark Zeitchick
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2006
Service Agreement between Ladenburg Thalmann Financial Services Inc. and Vector Group Ltd. for Executive and Financial Services
Services Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2006
Warrant Agreement between Ladenburg Thalmann Financial Services Inc. and BroadWall Capital LLC
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2006
Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Employee (September 11, 2006)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2006
Agreement and Plan of Merger among Ladenburg Thalmann Financial Services Inc., Telluride Acquisition, Inc., Telluride Holdings, Inc., and Stockholders of Telluride Holdings, Inc.
Merger Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2006
Warrant Agreement for Purchase of Common Stock of Ladenburg Thalmann Financial Services Inc.
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2006
Warrant Agreement between Ladenburg Thalmann Financial Services Inc. and Gil Hermon for Purchase of Common Stock
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2006
Ladenburg Thalmann Financial Services Inc. Stock Option Agreement with Dr. Phillip Frost (July 13, 2006)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2006
Amended and Restated Employment Agreement between Ladenburg Thalmann Financial Services Inc., Ladenburg Thalmann & Co. Inc., and Mark D. Klein
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2006
Amendment to Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Michael Philipps
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2006
Amendment to Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Mark D. Klein
Modification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2006
Subscription Agreement for Non-Affiliates between Ladenburg Thalmann Financial Services Inc. and Investor
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Subscription Agreement for Affiliates – Ladenburg Thalmann Financial Services Inc.
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Subscription Agreement between Ladenburg Thalmann Financial Services Inc. and Steven M. Cohen
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Stock Purchase Agreement between Ladenburg Thalmann Financial Services Inc. and Steven M. Cohen (September 26, 2005)
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Incentive Stock Purchase Agreement between Ladenburg Thalmann Financial Services Inc. and Steven M. Cohen
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Subscription Agreement between Ladenburg Thalmann Financial Services Inc. and Barry Rabkin
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Ladenburg Thalmann Financial Services Inc. Stock Option Agreement with Lawrence B. Weissman
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Subscription Agreement between Ladenburg Thalmann Financial Services Inc. and Lawrence B. Weissman
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Ladenburg Thalmann Financial Services Inc. and Lawrence B. Weissman Stock Purchase Letter Agreement (July 18, 2005)
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Bruce S. Mendelsohn dated June 1, 2005
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Subscription Agreement and Investor Information Statement between Ladenburg Thalmann Financial Services Inc. and Bruce S. Mendelsohn
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and L. Keith Mullins dated June 1, 2005
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Subscription Agreement between Ladenburg Thalmann Financial Services Inc. and Keith Mullins
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Mark D. Coe dated June 1, 2005
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Subscription Agreement between Ladenburg Thalmann Financial Services Inc. and Mark D. Coe
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Stock Purchase Agreement between Ladenburg Thalmann Financial Services Inc. and Mark D. Coe
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Stock Purchase Agreement between Berliner Effektengesellschaft AG and Ladenburg Thalmann Financial Services Inc. dated April 14, 2005
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Michael Philipps (March 25, 2005)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Subscription Agreement and Investor Information Statement between Ladenburg Thalmann Financial Services Inc. and Michael Philipps
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Stock Purchase Agreement between Ladenburg Thalmann Financial Services Inc. and Michael Philipps
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Severance, Waiver, and Release Agreement between Charles I. Johnston and Ladenburg Thalmann Financial Services Inc.
Severance Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Mark D. Klein
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Mark D. Klein (March 4, 2005)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2005
Indemnification Agreement between Ladenburg Thalmann Financial Services Inc. and Mark D. Klein
Indemnification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2005
Subscription Agreement and Investor Information Statement between Ladenburg Thalmann Financial Services Inc. and Mark D. Klein
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2005
Amended and Restated Debt Conversion Agreement among Ladenburg Thalmann Financial Services Inc., New Valley Corporation, and Frost-Nevada Investments Trust
Financing Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NV
2004
Temporary Forbearance Agreement among Ladenburg Thalmann Financial Services Inc., New Valley Corporation, and Frost-Nevada Investments Trust
Forbearance Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2004
Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Salvatore Giardina (December 17, 2003)
Compensation Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2004
Amendment to Employment Agreement between Ladenburg Thalmann Financial Services Inc., Ladenburg Capital Management Inc., and Mark Zeitchick
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2004
Amendment to Employment Agreement between Ladenburg Thalmann Financial Services Inc., Ladenburg Capital Management Inc., and Vincent A. Mangone
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2004
Employment Agreement between Ladenburg Thalmann & Co. Inc. and Salvatore Giardina (March 1, 2004)
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2004
Severance, Waiver, and Release Agreement between Victor Rivas and Ladenburg Thalmann & Co. Inc.
Severance Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2004
Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Charles I. Johnston
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2004
Ladenburg Thalmann Financial Services Inc. Stock Option Agreement with Charles I. Johnston (March 9, 2004)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2004
Ladenburg Thalmann Financial Services Inc. Stock Option Agreement with Charles I. Johnston
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2004
Indemnification Agreement between Ladenburg Thalmann Financial Services Inc. and Charles I. Johnston
Indemnification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2004
Debt Conversion Agreement between Ladenburg Thalmann Financial Services Inc., New Valley Corporation, and Frost-Nevada Investments Trust
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NV
2004
Note Purchase Agreement between Ladenburg Thalmann Financial Services Inc. and Berliner Effektengesellschaft AG (March 29, 2004)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2004
Ladenburg Thalmann Financial Services Inc. Stock Option Agreement with Director (September 17, 2003)
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2003
Schedule of Stock Option Agreements between Ladenburg Thalmann Financial Services Inc. and Directors (September 17, 2003)
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2003
Temporary Forbearance Agreement between Ladenburg Thalmann Financial Services Inc. and Note Holders
Forbearance Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2003
Amendment to Employment Agreement between Ladenburg Thalmann Financial Services Inc., Ladenburg Capital Management Inc., and Richard J. Rosenstock
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2003
Ladenburg Thalmann Financial Services Inc. Director Stock Option Agreement (November 15, 2002)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2003
Schedule of Stock Option Agreements between Ladenburg Thalmann Financial Services Inc. and Directors (November 15, 2002)
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2003
Ladenburg Thalmann Financial Services Inc. 1999 Performance Equity Plan (Amended and Restated)
Bonus & Incentive Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2002
Letter Agreement Regarding Waiver and Bonus Adjustment between Victor Rivas and Ladenburg Thalmann Financial Services Inc.
Bonus & Incentive Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2002
Waiver Letter Agreement Between Richard Rosenstock and Ladenburg Thalmann Financial Services Inc. and Ladenburg Capital Management Inc.
Waiver Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2002
Letter Agreement Regarding Waiver of Special Performance Incentive Plan Payments between Mark Zeitchick and Ladenburg Thalmann Financial Services Inc. and Ladenburg Capital...
Bonus & Incentive Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2002
Letter Agreement Regarding Waiver of Incentive Plan Payments between Vincent Mangone and Ladenburg Thalmann Financial Services Inc.
Bonus & Incentive Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2002
Promissory Note between Ladenburg Thalmann Financial Services Inc. and New Valley Corporation dated March 27, 2002
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2002
Amendment No. 2 to Stock Purchase Agreement among Ladenburg Thalmann Financial Services Inc., New Valley Corporation, and Others
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Senior Convertible Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (May 7, 2001)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Senior Convertible Promissory Note between Ladenburg Thalmann Financial Services Inc. and Frost-Nevada, Limited Partnership (May 7, 2001)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NV
2001
Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (August 31, 2001)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Amendment No. 2 to Loan Agreement between Ladenburg Thalmann Financial Services Inc. and Frost-Nevada, Limited Partnership
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Second Amendment to Employment Agreement by and among Ladenburg Thalmann Financial Services Inc., GBI Capital Partners Inc., and Richard J. Rosenstock
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Second Amendment to Employment Agreement by Ladenburg Thalmann Financial Services Inc., GBI Capital Partners Inc., and Mark Zeitchick
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Second Amendment to Employment Agreement by and among Ladenburg Thalmann Financial Services Inc., GBI Capital Partners Inc., and Vincent A. Mangone
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Second Amendment to Employment Agreement by and among Ladenburg Thalmann Financial Services Inc., GBI Capital Partners Inc., and Joseph Berland
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Warrant Agreement for Purchase of Common Stock of Ladenburg Thalmann Financial Services Inc.
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Amendment No. 1 to Investor Rights Agreement among Ladenburg Thalmann Financial Services Inc. and Investors
Investor Rights Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Victor M. Rivas
Bonus & Incentive Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and David Thalheim (May 7, 2001)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Stock Option Agreement between Ladenburg Thalmann Financial Services Inc. and Director (May 7, 2001)
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Schedule of Stock Option Agreements between Ladenburg Thalmann Financial Services Inc. and Directors (May 7, 2001)
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Amendment No. 1 to Stock Purchase Agreement among GBI Capital Management Corp., New Valley Corporation, Ladenburg, Thalmann Group Inc., Berliner Effektengesellschaft AG, and...
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Senior Convertible Promissory Note between GBI Capital Management Corp. and Holder (2001)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Senior Convertible Promissory Note between GBI Capital Management Corp. and Frost-Nevada, Limited Partnership
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NV
2001
Amendment No. 1 to Loan Agreement between GBI Capital Management Corp. and Frost-Nevada, Limited Partnership
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Second Amendment to Employment Agreement between GBI Capital Partners Inc., GBI Capital Management Corp., and David Thalheim
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Stock Purchase Agreement among GBI Capital Management Corp., New Valley Corporation, Ladenburg, Thalmann Group Inc., Berliner Effektengesellschaft AG, and Ladenburg, Thalmann &...
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
DE
2001
Stock Purchase Agreement between Ladenburg, Thalmann Group Inc. and Joseph Berland Revocable Living Trust
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Stock Purchase Agreement between [Seller] and Frost-Nevada, Limited Partnership (GBI Capital Management Corp. Shares)
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Senior Convertible Promissory Note between GBI Capital Management Corp. and Sellers
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Investor Rights Agreement among New Valley Corporation, Ladenburg, Thalmann Group Inc., Berliner Effektengesellschaft AG, GBI Capital Management Corp., Frost-Nevada, Limited...
Investor Rights Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2001
Proxy and Voting Agreement among New Valley Corporation, Ladenburg, Thalmann Group Inc., Berliner Effektengesellschaft AG, and GBI Capital Management Corp. Stockholders (February...
Proxy Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Loan Agreement between GBI Capital Management Corp. and Frost-Nevada, Limited Partnership dated February 8, 2001
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NV
2001
Pledge and Security Agreement among GBI Capital Management Corp., LTGI, Berliner, Frost-Nevada, and U.S. Bank Trust (2001)
Pledge Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Employment Agreement between Ladenburg Thalmann & Co. Inc. and Victor Rivas, Effective upon Acquisition by GBI Capital Management Corp.
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
First Amendment to Employment Agreement between GBI Capital Partners, Inc. and Joseph Berland
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
First Amendment to Employment Agreement between GBI Capital Partners, Inc. and Richard J. Rosenstock
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
First Amendment to Employment Agreement between GBI Capital Partners, Inc. and Vincent A. Mangone
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
First Amendment to Employment Agreement between GBI Capital Partners, Inc. and Mark Zeitchick
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
First Amendment to Employment Agreement between GBI Capital Partners, Inc. and David Thalheim
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Guarantee Agreement between GBI Capital Management Corp. and Employee Regarding Employment Agreement Obligations
Guaranty Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2001
Escrow Agreement among GBI Capital Management Corp., Berliner Effektengesellschaft AG, and Continental Stock Transfer & Trust Company
Escrow Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2001
Fourth Supplemental Indenture to Indenture Dated November 21, 2017 for 7.75% Senior Notes Due 2029 between Ladenburg Thalmann Financial Services Inc. and U.S. Bank National...
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2019
Ladenburg Thalmann Financial Services Inc. 7.25% Senior Note Due 2028
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Notice of Termination of Credit Agreement between Ladenburg Thalmann Financial Services Inc. and Frost Gamma Investments Trust
Termination Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Promissory Note between Ladenburg Thalmann Annuity Insurance Services LLC and Kestler Financial Group, Inc. dated August 31, 2018
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
VA
2018
Second Supplemental Indenture to 7.00% Senior Notes Due 2028 between Ladenburg Thalmann Financial Services Inc. and U.S. Bank National Association
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Forgivable Loan Termination Agreement between National Financial Services LLC and Ladenburg Thalmann Financial Services Inc.
Modification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
First Supplemental Indenture to Indenture for 6.50% Senior Notes due 2027 between Ladenburg Thalmann Financial Services Inc. and U.S. Bank National Association
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2017
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Jefferies LLC for Series A Preferred Stock
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Jefferies LLC for Series A Preferred Stock
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2015
Secured Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (2015)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
Secured Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (2015)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
Secured Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (January 2, 2015)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (October 15, 2014)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Mitsubishi UFJ Securities (USA), Inc. for Series A Preferred Stock
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Services Agreement between Ladenburg Thalmann Financial Services Inc. and Vector Group Ltd. (2014)
Services Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2014
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Mitsubishi UFJ Securities (USA), Inc. for Series A Preferred Stock
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2013
Amendment to Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Mark Zeitchick (December 2011)
Modification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2012
First Amendment to Forgivable Loan Agreement between National Financial Services LLC and Ladenburg Thalmann Financial Services Inc.
Modification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2012
Services Agreement between Ladenburg Thalmann Financial Services Inc. and Vector Group Ltd. (2012)
Services Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2012
Warrant Agreement to Purchase Common Stock between Ladenburg Thalmann Financial Services Inc. and Holder (Effective November 4, 2011)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2011
Loan Agreement between Ladenburg Thalmann Financial Services Inc. and Lenders for Acquisition Financing
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2011
Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (November 4, 2011)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2011
Amendment to Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Mark Zeitchick
Modification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2011
Forgivable Loan Agreement between National Financial Services LLC and Ladenburg Thalmann Financial Services Inc.
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2009
First Amendment to Services Agreement between Ladenburg Thalmann Financial Services Inc. and Vector Group Ltd.
Services Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2007