National Investment Managers Inc. Contracts & Agreements

184 Contracts & Agreements
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Agreement Regarding Change of Control Payment and Funding Gap Contribution between Steven J. Ross and National Investment Managers Inc.
Compensation Agreements
National Investment Managers Inc.
2011
Agreement for Service as Lead Director between National Investment Managers Inc. and Steven Virany
Services Agreements
National Investment Managers Inc.
OH
2010
Amendment No. 9 to Securities Purchase and Loan Agreement among National Investment Managers Inc. and Woodside Capital Partners Entities
Modification Agreements
National Investment Managers Inc.
MA
2010
Employment Agreement between National Investment Managers Inc. and Steven J. Ross (Chief Executive Officer)
Employment Agreements
National Investment Managers Inc.
2010
Amendment No. 1 to Employment Agreement between National Investment Managers Inc. and Steven J. Ross
Employment Agreements
National Investment Managers Inc.
2010
Amendment No. 1 to Employment Agreement between National Investment Managers Inc. and John M. Davis
Employment Agreements
National Investment Managers Inc.
2010
Amendment No. 1 to Employment Agreement between National Investment Managers Inc. and Christopher W. Larkin
Employment Agreements
National Investment Managers Inc.
2010
Amendment No. 4 and Allonge to Revolving Line of Credit Note between RBS Citizens, N.A. and National Investment Managers, Inc.
Modification Agreements
National Investment Managers Inc.
MA
2010
Termination Agreement among National Investment Managers Inc. and Woodside Capital Partners Entities (April 26, 2010)
Termination Agreements
National Investment Managers Inc.
MA
2010
Amendment No. 2 and Allonge to Revolving Line of Credit Note between RBS Citizens, National Association and National Investment Managers Inc.
Modification Agreements
National Investment Managers Inc.
2009
Amendment No. 9 to Revolving Line of Credit and Term Loan Agreement between RBS Citizens, National Association and National Investment Managers Inc.
Modification Agreements
National Investment Managers Inc.
2009
Consent and Amendment No. 8 to Securities Purchase and Loan Agreement among National Investment Managers Inc. and Woodside Capital Partners Entities
Modification Agreements
National Investment Managers Inc.
2009
Employment Agreement between National Investment Managers Inc. and John M. Davis (President and COO)
Employment Agreements
National Investment Managers Inc.
2009
Employment Agreement between National Investment Managers Inc. and Christopher W. Larkin (Chief Financial Officer)
Employment Agreements
National Investment Managers Inc.
2009
Amendment No. 1 and Allonge to Revolving Line of Credit Note between RBS Citizens, National Association and National Investment Managers Inc.
Modification Agreements
National Investment Managers Inc.
2009
Amendment No. 7 to Revolving Line of Credit and Term Loan Agreement between RBS Citizens, National Association and National Investment Managers Inc.
Modification Agreements
National Investment Managers Inc.
2009
Amendment No. 6 to Securities Purchase and Loan Agreement by National Investment Managers Inc. and Woodside Entities
Modification Agreements
National Investment Managers Inc.
2009
Stock Purchase Agreement among National Investment Managers Inc., The Pension Group, Inc., and Shareholder Trusts (2008)
Purchase Agreements
National Investment Managers Inc.
2008
Prepayment Agreement for 2009 Director Fee between National Investment Managers Inc. and Richard Berman
Compensation Agreements
National Investment Managers Inc.
2008
Stock Purchase Agreement by and among National Investment Managers Inc., Pension Technical Services, Inc., Ralph W. Shaw, and Eileen A. Baldwin-Shaw (September 25, 2008)
Purchase Agreements
National Investment Managers Inc.
2008
Employment Agreement between Pension Technical Services, Inc. and Ralph W. Shaw
Employment Agreements
National Investment Managers Inc.
OH
2008
Employment Agreement between Pension Technical Services, Inc. and Eileen A. Baldwin-Shaw
Employment Agreements
National Investment Managers Inc.
OH
2008
Letter Agreement Regarding Surrender of Warrants and Forfeiture of Rights – Woodside Capital Partners and National Investment Managers Inc.
Modification Agreements
National Investment Managers Inc.
2008
Amendment No. 4 to Revolving Line of Credit and Term Loan Agreement between RBS Citizens, National Association and National Investment Managers Inc.
Modification Agreements
National Investment Managers Inc.
2008
Addendum to Employment Agreement between National Investment Managers Inc. and John M. Davis (2008-2009 Term)
Employment Agreements
National Investment Managers Inc.
2008
Settlement Agreement and Release between National Investment Managers Inc. and Sellers (Conner and Renninger)
Settlement Agreements
National Investment Managers Inc.
2008
Amendment No. 1 to Revolving Line of Credit and Term Loan Agreement between RBS Citizens, National Association and National Investment Managers Inc.
Modification Agreements
National Investment Managers Inc.
2008
Consent and Amendment No. 1 to Securities Purchase and Loan Agreement among National Investment Managers Inc., Woodside Capital Partners, Lehman Brothers, and Woodside Agency...
Modification Agreements
National Investment Managers Inc.
2008
Stock Purchase Agreement among National Investment Managers Inc., California Investment Annuity Sales, Inc., Richard L. Kaplan and Hana E. Kaplan Inter Vivos Trust, and Anthony S....
Purchase Agreements
National Investment Managers Inc.
CA
2008
Employment Agreement between Richard L. Kaplan and VEBA Administrators, Inc. d/b/a Benefit Planning, Inc.
Employment Agreements
National Investment Managers Inc.
2008
Consulting Agreement between VEBA Administrators, Inc. and Anthony S. Delfino dated April 3, 2008
Consulting Agreements
National Investment Managers Inc.
2008
Non-Disclosure and Non-Solicitation Agreement between Anthony S. Delfino and National Investment Managers Inc.
Confidentiality Agreements
National Investment Managers Inc.
2008
Non-Disclosure and Non-Solicitation Agreement between Richard Kaplan and National Investment Managers Inc.
Confidentiality Agreements
National Investment Managers Inc.
2008
Termination and Settlement Agreement between National Investment Managers Inc., DC Associates LLC, and Michael Crow
Settlement Agreements
National Investment Managers Inc.
2007
Third Omnibus Amendment and Waiver between National Investment Managers, Inc. and Laurus Master Fund, Ltd. (July 31, 2007)
Modification Agreements
National Investment Managers Inc.
2007
Separation and Consulting Agreement between National Investment Managers, Inc. and Leonard Neuhaus
Separation Agreements
National Investment Managers Inc.
NY
2007
Second Omnibus Amendment and Waiver between National Investment Managers, Inc. and Laurus Master Fund, Ltd. (May 2, 2007)
Modification Agreements
National Investment Managers Inc.
2007
Employment Agreement between The Pension Alliance, Inc. and Renee J. Conner dated February 28, 2007
Employment Agreements
National Investment Managers Inc.
2007
Non-Competition, Non-Disclosure and Non-Solicitation Agreement between Renee J. Conner and National Investment Managers Inc.
Non-Competition Agreements
National Investment Managers Inc.
2007
Employment Agreement between Michael E. Callahan, Pentec, Inc., and Pentec Capital Management, Inc. dated February 28, 2007
Employment Agreements
National Investment Managers Inc.
2007
Non-Competition, Non-Disclosure and Non-Solicitation Agreement between Michael E. Callahan and National Investment Managers Inc.
Non-Competition Agreements
National Investment Managers Inc.
2007
Promissory Note between National Investment Managers Inc. and Holder dated January 2, 2007
Note Agreements
National Investment Managers Inc.
NY
2007
Employment Agreement between Jo Ann Massanova and Benefit Dynamics, Inc. dated January 2, 2007
Employment Agreements
National Investment Managers Inc.
NY
2007
Employment Agreement between Carmen Laverghetta and Benefit Dynamics, Inc. dated January 2, 2007
Employment Agreements
National Investment Managers Inc.
NY
2007
Non-Competition, Non-Disclosure and Non-Solicitation Agreement between Jo Ann Massanova and National Investment Managers Inc.
Non-Competition Agreements
National Investment Managers Inc.
NY
2007
Non-Competition, Non-Disclosure and Non-Solicitation Agreement between Carmen Laverghetta and National Investment Managers Inc.
Non-Competition Agreements
National Investment Managers Inc.
NY
2007
Employment Agreement between Charles N. McLeod and National Actuarial Pension Services, Inc. (December 1, 2006)
Employment Agreements
National Investment Managers Inc.
2006
Employment Agreement between Mary H. McLeod and National Actuarial Pension Services, Inc. dated December 1, 2006
Employment Agreements
National Investment Managers Inc.
2006
Non-Competition, Non-Disclosure and Non-Solicitation Agreement between Charles N. McLeod, Mary H. McLeod, and National Investment Managers Inc.
Non-Competition Agreements
National Investment Managers Inc.
2006
Employment Agreement between National Investment Managers Inc. and Steven J. Ross
Employment Agreements
National Investment Managers Inc.
CA
2006
Cross Sales Agreement between National Investment Managers Inc. and The Lamco Group, Inc.
Services Agreements
National Investment Managers Inc.
NY
2006
Technology Access and Transition Agreement between National Investment Managers Inc. and The Lamco Group, Inc.
Collaboration Agreements
National Investment Managers Inc.
NY
2006
Management Agreement between Nicholas J. Lamoriello, Stephen R. Zito, and National Investment Managers Inc.
Management Agreements
National Investment Managers Inc.
2006
Non-Competition, Non-Disclosure and Non-Solicitation Agreement among The Lamco Group, Inc., Nicholas J. Lamoriello, and National Investment Managers Inc.
Non-Competition Agreements
National Investment Managers Inc.
2006
Amendment to Secured Convertible Term Note, Secured Term Note, and Warrant between National Investment Managers Inc. and Laurus Master Fund, Ltd.
Modification Agreements
National Investment Managers Inc.
NY
2006
Non-Competition, Non-Disclosure and Non-Solicitation Agreement between Jack C. Holland and National Investment Managers Inc.
Non-Competition Agreements
National Investment Managers Inc.
NY
2006
Employment Agreement between Valley Forge Enterprises, Ltd. and Steven R. Eyer (January 1, 2006)
Employment Agreements
National Investment Managers Inc.
PA
2006
Employment Agreement between Jack C. Holland and Valley Forge Enterprises, Ltd. (VFE) dated January 1, 2006
Employment Agreements
National Investment Managers Inc.
PA
2006
Non-Competition, Non-Disclosure and Non-Solicitation Agreement between Steven R. Eyer and National Investment Managers Inc.
Non-Competition Agreements
National Investment Managers Inc.
NY
2006
Employment Agreement between Stephen H. Rosen and Stephen H. Rosen & Associates, Inc. dated August 2, 2005
Employment Agreements
National Investment Managers Inc.
NY
2005
Employment Agreement between John Ermilio and Haddon Strategic Alliances, Inc. dated August 2, 2005
Employment Agreements
National Investment Managers Inc.
NY
2005
Non-Competition, Non-Disclosure and Non-Solicitation Agreement between Stephen H. Rosen and National Investment Managers Inc.
Non-Competition Agreements
National Investment Managers Inc.
NY
2005
Non-Competition, Non-Disclosure and Non-Solicitation Agreement between John Ermilio and National Investment Managers Inc.
Non-Competition Agreements
National Investment Managers Inc.
NY
2005
Subsidiary Guaranty Agreement between Laurus Master Fund, Ltd. and Fast Eddie Racing Stables, Inc. Subsidiaries (March 9, 2005)
Guaranty Agreements
National Investment Managers Inc.
NY
2005
Employment Agreement between Duncan Capital Financial Group, Inc. and Richard E. Stierwalt (Effective November 1, 2004)
Employment Agreements
National Investment Managers Inc.
NY
2005
Employment Agreement between Duncan Capital Financial Group, Inc. and Leonard Neuhaus (Chief Financial Officer) dated January 1, 2005
Employment Agreements
National Investment Managers Inc.
NY
2005
Agreement and Plan of Merger between DTE Merger Corp. and National Investment Managers Inc. (March 7, 2011)
Merger Agreements
National Investment Managers Inc.
OH
2011
Thirteenth Amendment to Revolving Line of Credit and Term Loan Agreement by and among RBS Citizens, National Investment Managers, Inc., and Guarantors
Forbearance Agreements
National Investment Managers Inc.
MA
2011
Amendment No. 11 to Securities Purchase and Loan Agreement among National Investment Managers Inc. and Woodside Capital Entities
Forbearance Agreements
National Investment Managers Inc.
MA
2011
Twelfth Amendment to Revolving Line of Credit and Term Loan Agreement among RBS Citizens, National Investment Managers, Inc., and Guarantors
Forbearance Agreements
National Investment Managers Inc.
MA
2010
Amendment No. 10 to Securities Purchase and Loan Agreement among National Investment Managers Inc. and Woodside Capital Partners Entities
Forbearance Agreements
National Investment Managers Inc.
MA
2010
Eleventh Amendment to Revolving Line of Credit and Term Loan Agreement among RBS Citizens, National Investment Managers, Inc., and Guarantors
Forbearance Agreements
National Investment Managers Inc.
MA
2010
Amendment No. 4 and Allonge to Term Promissory Note between RBS Citizens, National Association and National Investment Managers, Inc.
Note Agreements
National Investment Managers Inc.
MA
2010
Amendment No. 8 to Securities Purchase and Loan Agreement among National Investment Managers Inc. and Woodside Capital Partners Entities
Forbearance Agreements
National Investment Managers Inc.
MA
2010
Amendment to Intercreditor and Subordination Agreement among RBS Citizens, Woodside Capital Partners Entities, and Woodside Agency Services (April 26, 2010)
Subordination Agreement
National Investment Managers Inc.
MA
2010
Fee Arrangement and Warrant Cancellation Agreement between Woodside Agency Services, LLC and National Investment Managers Inc.
Financing Agreements
National Investment Managers Inc.
2010
Letter Agreement Regarding Repayment of Short-Term Working Capital and Participation Arrangements among RBS Citizens, National Investment Managers Inc., and Woodside Entities
Participation Agreements
National Investment Managers Inc.
2010
Short-Term Working Capital Loan Agreement between National Investment Managers Inc. and Woodside Agency Services, LLC (April 12, 2010)
Loan Agreements
National Investment Managers Inc.
2010
Notice of Loan Covenant Defaults from RBS Citizens to National Investment Managers Inc. and Guarantors
Forbearance Agreements
National Investment Managers Inc.
2009
Notice of Event of Default and Reservation of Rights under Securities Purchase Agreement between National Investment Managers Inc. and Woodside Agency Services, LLC
National Investment Managers Inc.
2009
Amendment No. 1 to Subordinated Promissory Notes between National Investment Managers Inc. and Trust Holders
Note Agreements
National Investment Managers Inc.
2009
Amendment No. 1 to Promissory Notes between National Investment Managers Inc. and Ralph W. Shaw & Eileen A. Baldwin-Shaw
Note Agreements
National Investment Managers Inc.
2009
Amendment No. 1 to Promissory Note between National Investment Managers Inc. and Richard L. Kaplan
Note Agreements
National Investment Managers Inc.
2009
Amendment No. 1 to Promissory Note between National Investment Managers Inc. and Anthony S. Delfino
Note Agreements
National Investment Managers Inc.
2009
Amendment No. 1 to Promissory Notes between National Investment Managers Inc. and Renee J. Conner & William E. Renninger
Note Agreements
National Investment Managers Inc.
2009
Amendment No. 3 and Allonge to Term Promissory Note between RBS Citizens, National Association and National Investment Managers Inc.
Note Agreements
National Investment Managers Inc.
2009
Amendment No. 7 to Intercreditor and Subordination Agreement among RBS Citizens, Woodside Capital, and National Investment Managers Inc.
Subordination Agreement
National Investment Managers Inc.
2009
Promissory Note between National Investment Managers Inc. and Renee J. Conner & William E. Renninger dated February 24, 2009
Note Agreements
National Investment Managers Inc.
2009
Promissory Note between National Investment Managers Inc. and Renee J. Conner & William E. Renninger (February 24, 2009)
Note Agreements
National Investment Managers Inc.
2009
Promissory Note between National Investment Managers Inc. and Michael E. Callahan dated February 27, 2009
Note Agreements
National Investment Managers Inc.
2009
Promissory Note between National Investment Managers Inc. and Richard L. Kaplan and Hana E. Kaplan Inter Vivos Trust
Note Agreements
National Investment Managers Inc.
2009
Promissory Note between National Investment Managers Inc. and Anthony S. Delfino dated March 16, 2009
Note Agreements
National Investment Managers Inc.
2009
Promissory Note between National Investment Managers Inc. and Ralph W. Shaw & Eileen A. Baldwin-Shaw dated October 1, 2008
Note Agreements
National Investment Managers Inc.
2008
Promissory Note between National Investment Managers Inc. and Ralph W. Shaw & Eileen A. Baldwin-Shaw dated October 1, 2008
Note Agreements
National Investment Managers Inc.
2008
Consulting Fee Agreement between National Investment Managers Inc. and Woodside Capital Partners Entities (2008)
Financing Agreements
National Investment Managers Inc.
2008
Stock Transfer Agreement among IBF Fund Liquidating LLC, National Investment Managers Inc., DCI Master LDC, and Duncan Capital Group LLC dated October 30, 2008
Stock Agreements
National Investment Managers Inc.
2008
Amendment No. 4 to Intercreditor and Subordination Agreement among RBS Citizens, Woodside Capital, Lehman Brothers, and National Investment Managers
Subordination Agreement
National Investment Managers Inc.
2008
Promissory Note between National Investment Managers Inc. and Renee J. Conner & William E. Renninger dated May 15, 2008
Note Agreements
National Investment Managers Inc.
2008
Promissory Note between National Investment Managers Inc. and Renee J. Conner & William E. Renninger (May 15, 2008)
Note Agreements
National Investment Managers Inc.
2008
Promissory Note between National Investment Managers Inc. and Anthony S. Delfino dated April 3, 2008
Note Agreements
National Investment Managers Inc.
CA
2008
Promissory Note between National Investment Managers Inc. and Kaplan Inter Vivos Trust dated April 3, 2008
Note Agreements
National Investment Managers Inc.
CA
2008
Revolving Line of Credit and Term Loan Agreement between National Investment Managers Inc. and RBS Citizens, National Association (2007)
Credit Agreements
National Investment Managers Inc.
2007
Revolving Line of Credit Note between National Investment Managers Inc. and RBS Citizens, National Association
Note Agreements
National Investment Managers Inc.
MA
2007
Term Promissory Note between National Investment Managers Inc. and RBS Citizens, National Association
Note Agreements
National Investment Managers Inc.
MA
2007
Stock Pledge Agreement between National Investment Managers Inc. and RBS Citizens, National Association (2007)
Pledge Agreements
National Investment Managers Inc.
2007
Security Agreement between National Investment Managers Inc. and RBS Citizens, National Association (2007)
Security Agreements
National Investment Managers Inc.
2007
Stock Pledge Agreement between BPI/PPA Inc. and RBS Citizens, National Association
Pledge Agreements
National Investment Managers Inc.
2007
Security Agreement between ABR Advisors, Inc. (Guarantor) and RBS Citizens, National Association (Secured Party)
Security Agreements
National Investment Managers Inc.
2007
Guaranty Agreement by ABR Advisors, Inc. in Favor of RBS Citizens, National Association
Guaranty Agreements
National Investment Managers Inc.
2007
Securities Purchase and Loan Agreement between National Investment Managers Inc. and Woodside Capital Partners IV, LLC et al. (November 30, 2007)
Purchase Agreements
National Investment Managers Inc.
MA
2007
National Investment Managers Inc. Senior Secured Note Due January 31, 2011
Note Agreements
National Investment Managers Inc.
2007
Common Stock Purchase Warrant Agreement between National Investment Managers Inc. and Holder
Warrant Agreements
National Investment Managers Inc.
2007
Common Stock Purchase Warrant Agreement between National Investment Managers Inc. and Holder
Warrant Agreements
National Investment Managers Inc.
2007
Common Stock Purchase Warrant Agreement between National Investment Managers Inc. and Holder
Warrant Agreements
National Investment Managers Inc.
2007
Registration Rights Agreement among National Investment Managers Inc. and Investors (Woodside Capital Partners IV, LLC, et al.)
Registration Rights Agreements
National Investment Managers Inc.
MA
2007
Contingent Interest Payment Agreement between National Investment Managers Inc. and Note Holders
Financing Agreements
National Investment Managers Inc.
MA
2007
Fee Agreement between National Investment Managers Inc. and Investors (Holders)
Financing Agreements
National Investment Managers Inc.
2007
Securities Pledge Agreement among Pledgors and Woodside Agency Services, LLC as Collateral Agent (November 30, 2007)
Pledge Agreements
National Investment Managers Inc.
MA
2007
Security Agreement between Grantors and Woodside Agency Services, LLC as Collateral Agent (November 30, 2007)
Security Agreements
National Investment Managers Inc.
2007
Guaranty Agreement by Guarantors in Favor of Woodside Agency Services, LLC and Holders under Securities Purchase and Loan Agreement
Guaranty Agreements
National Investment Managers Inc.
MA
2007
Securities Purchase Agreement between National Investment Managers Inc. and Buyers (2007)
Purchase Agreements
National Investment Managers Inc.
NY
2007
Stock Purchase Agreement among National Investment Managers Inc., The Pension Alliance, Inc., Renee J. Conner, and William E. Renninger dated February 28, 2007
Purchase Agreements
National Investment Managers Inc.
PA
2007
Promissory Note between National Investment Managers Inc. and Renee J. Conner dated February 28, 2007
Note Agreements
National Investment Managers Inc.
2007
Promissory Note between National Investment Managers Inc. and William E. Renninger (February 28, 2007)
Note Agreements
National Investment Managers Inc.
2007
Promissory Note between National Investment Managers Inc. and Renee J. Conner dated February 28, 2007
Note Agreements
National Investment Managers Inc.
2007
Promissory Note between National Investment Managers Inc. and William E. Renninger (February 28, 2007)
Note Agreements
National Investment Managers Inc.
2007
Nonstatutory Stock Option Agreement between National Investment Managers Inc. and Renee J. Conner (February 28, 2007)
Warrant Agreements
National Investment Managers Inc.
FL
2007
Stock Purchase Agreement among National Investment Managers Inc., Pentec, Inc., Pentec Capital Management, Inc., and Michael E. Callahan dated February 28, 2007
Purchase Agreements
National Investment Managers Inc.
CT
2007
Promissory Note between National Investment Managers Inc. and Michael E. Callahan dated February 28, 2007
Note Agreements
National Investment Managers Inc.
2007
Stock Purchase Agreement among National Investment Managers Inc., Benefit Dynamics, Inc., Jo Ann Massanova, and Carmen LaVerghetta dated January 2, 2007
Purchase Agreements
National Investment Managers Inc.
PA
2007
Promissory Note between National Investment Managers Inc. and Holder (January 2, 2007)
Note Agreements
National Investment Managers Inc.
NY
2007
Joinder Agreement to Subsidiary Guaranty, Master Security Agreement, and Stock Pledge Agreement by Benefit Dynamics, Inc. and Laurus Master Fund, Ltd.
Joinder Agreements
National Investment Managers Inc.
2007
Nonstatutory Stock Option Agreement between National Investment Managers Inc. and Jo Ann Massanova
Warrant Agreements
National Investment Managers Inc.
FL
2007
Subscription Agreement for Series E Preferred Stock and Warrants – National Investment Managers Inc. and Subscriber
Subscription Agreements
National Investment Managers Inc.
FL
2006
Common Stock Purchase Warrant Agreement between National Investment Managers Inc. and Holder (2006)
Warrant Agreements
National Investment Managers Inc.
2006
Stock Purchase Agreement among National Investment Managers Inc., National Actuarial Pension Services, Inc., and Charles N. McLeod and Mary H. McLeod (December 1, 2006)
Stock Agreements
National Investment Managers Inc.
TX
2006
Promissory Note between National Investment Managers Inc. and Charles N. & Mary H. McLeod dated December 1, 2006
Note Agreements
National Investment Managers Inc.
NY
2006
Promissory Note between National Investment Managers Inc. and Charles N. & Mary H. McLeod dated December 1, 2006
Note Agreements
National Investment Managers Inc.
NY
2006
Joinder Agreement to Subsidiary Guaranty, Master Security Agreement, and Stock Pledge Agreement by National Actuarial Pension Services, Inc. and Laurus Master Fund, Ltd.
Joinder Agreements
National Investment Managers Inc.
2006
Stock Purchase Agreement among National Investment Managers Inc., The Lamco Group, Inc., and Related Parties (October 3, 2006)
Purchase Agreements
National Investment Managers Inc.
2006
Nonstatutory Stock Option Agreement between National Investment Managers Inc. and Nicholas J. Lamoriello
Warrant Agreements
National Investment Managers Inc.
NV
2006
Escrow Agreement among National Investment Managers Inc., THE LAMCO Group, Inc., and Sichenzia Ross Friedman Ference LLP
Escrow Agreements
National Investment Managers Inc.
NY
2006
Joinder Agreement to Subsidiary Guaranty, Master Security Agreement, and Stock Pledge Agreement by Lamoriello & Co., Inc., Circle Pension, Inc., and Southeastern Pension Services,...
Joinder Agreements
National Investment Managers Inc.
2006
Subscription Agreement for Series D Preferred Stock and Warrants – National Investment Managers Inc. and Subscriber
Subscription Agreements
National Investment Managers Inc.
2006
Common Stock Purchase Warrant Agreement between National Investment Managers Inc. and Holder (2006)
Warrant Agreements
National Investment Managers Inc.
2006
Agreement Regarding Rescission and Issuance of New Warrant between Laurus Master Fund, Ltd. and National Investment Managers Inc.
Warrant Agreements
National Investment Managers Inc.
2006
Common Stock Purchase Warrant Agreement between National Investment Managers Inc. and Laurus Master Fund, Ltd. (May 30, 2006)
Warrant Agreements
National Investment Managers Inc.
2006
Rescission and Replacement of Common Stock Purchase Warrant between Laurus Master Fund, Ltd. and National Investment Managers Inc.
Warrant Agreements
National Investment Managers Inc.
2006
Securities Purchase Agreement between National Investment Managers Inc. and Purchaser (May 30, 2006)
Purchase Agreements
National Investment Managers Inc.
NY
2006
Secured Non-Convertible Term Note between National Investment Managers Inc. and Laurus Master Fund, Ltd.
Note Agreements
National Investment Managers Inc.
NY
2006
Common Stock Purchase Warrant Agreement between National Investment Managers Inc. and Laurus Master Fund, Ltd.
Warrant Agreements
National Investment Managers Inc.
2006
Funds Escrow Agreement among National Investment Managers, Inc., Laurus Master Fund, Ltd., and Loeb & Loeb LLP
Escrow Agreements
National Investment Managers Inc.
NY
2006
Restricted Account Agreement among North Fork Bank, National Investment Managers Inc., and Laurus Master Fund, Ltd.
Escrow Agreements
National Investment Managers Inc.
2006
Registration Rights Agreement between National Investment Managers Inc. and Laurus Master Fund, Ltd.
Registration Rights Agreements
National Investment Managers Inc.
NY
2006
Restricted Account Release Letter Agreement between Laurus Master Fund, Ltd. and National Investment Managers Inc. (May 30, 2006)
Escrow Agreements
National Investment Managers Inc.
2006
Asset Purchase Agreement among National Investment Managers Inc., ABR Advisors, Benefit Management, Kerns Asset Management, and M. Lane & Billie Kerns (March 24, 2006)
Purchase Agreements
National Investment Managers Inc.
TX
2006
Agreement and Plan of Merger among Valley Forge Enterprises, Ltd., VFE Merger Corp., National Investment Managers Inc., and Shareholders
Merger Agreements
National Investment Managers Inc.
PA
2006
Securities Purchase Agreement between National Investment Managers, Inc. and Laurus Master Fund, Ltd.
Purchase Agreements
National Investment Managers Inc.
NY
2005
Amended and Restated Registration Rights Agreement between National Investment Managers, Inc. and Laurus Master Fund, Ltd.
Registration Rights Agreements
National Investment Managers Inc.
NY
2005
Secured Term Note between National Investment Managers Inc. and Laurus Master Fund, Ltd.
Note Agreements
National Investment Managers Inc.
NY
2005
A/R Escrow Agreement among National Investment Managers Inc., JPMorgan Chase Bank, N.A., and American Benefit Resources, Inc.
Escrow Agreements
National Investment Managers Inc.
NY
2005
Indemnification Escrow Agreement among National Investment Managers Inc., American Benefit Resources, Inc., and JPMorgan Chase Bank, N.A.
Escrow Agreements
National Investment Managers Inc.
NY
2005
Registration Rights Agreement between National Investment Managers Inc., American Benefit Resources, Inc., and IBF Fund Liquidating LLC (November 2005)
Registration Rights Agreements
National Investment Managers Inc.
NY
2005
Subscription Agreement for Series C Cumulative Convertible Preferred Stock between National Investment Managers Inc. and Subscriber
Subscription Agreements
National Investment Managers Inc.
2005
Asset Purchase Agreement between National Investment Managers Inc. and American Benefit Resources, Inc. (November 1, 2005)
Purchase Agreements
National Investment Managers Inc.
CT
2005
Deposit Escrow Agreement among National Investment Managers Inc., JPMorgan Chase Bank, N.A., and American Benefit Resources, Inc.
Escrow Agreements
National Investment Managers Inc.
2005
Subscription Agreement for Series B Cumulative Convertible Preferred Stock between National Investment Managers Inc. and Subscriber
Subscription Agreements
National Investment Managers Inc.
2005
Convertible Promissory Note between National Investment Managers Inc. and Stephen H. Rosen, dated August 2, 2005
Note Agreements
National Investment Managers Inc.
2005
Convertible Promissory Note between National Investment Managers Inc. and Elizabeth Davies dated August 2, 2005
Note Agreements
National Investment Managers Inc.
2005
National Investment Managers Inc. Stock Option Contract with Stephen H. Rosen
Warrant Agreements
National Investment Managers Inc.
NY
2005
National Investment Managers Inc. Stock Option Contract with Elizabeth Davies
Warrant Agreements
National Investment Managers Inc.
NY
2005
Subordination Agreement among Stephen H. Rosen, Elizabeth Davies, and Laurus Master Fund, Ltd. dated August 2, 2005
Subordination Agreement
National Investment Managers Inc.
2005
Stock Purchase Agreement among Stephen H. Rosen, Elizabeth Davies, Stephen H. Rosen Associates, Inc., and National Investment Managers Inc. dated August 2, 2005
Stock Agreements
National Investment Managers Inc.
NY
2005
Stock Purchase Agreement among John Ermilio, Haddon Strategic Alliances, Inc., and National Investment Managers Inc. dated August 2, 2005
Stock Agreements
National Investment Managers Inc.
NY
2005
Securities Purchase Agreement between Fast Eddie Racing Stables, Inc. and Laurus Master Fund, Ltd.
Purchase Agreements
National Investment Managers Inc.
NY
2005
Secured Convertible Term Note between Fast Eddie Racing Stables, Inc. and Laurus Master Fund, Ltd.
Note Agreements
National Investment Managers Inc.
2005
Common Stock Purchase Warrant between Fast Eddie Racing Stables, Inc. and Laurus Master Fund, Ltd.
Warrant Agreements
National Investment Managers Inc.
2005
Common Stock Option Agreement between Fast Eddie Racing Stables, Inc. and Laurus Master Fund, Ltd. dated March 9, 2005
Warrant Agreements
National Investment Managers Inc.
2005
Master Security Agreement between Fast Eddie Racing Stables, Inc. and Laurus Master Fund, Ltd. (March 9, 2005)
Security Agreements
National Investment Managers Inc.
2005
Stock Pledge Agreement among Laurus Master Fund, Ltd., Fast Eddie Racing Stables, Inc., and Other Pledgors Dated March 9, 2005
Pledge Agreements
National Investment Managers Inc.
NY
2005
Registration Rights Agreement between Fast Eddie Racing Stables, Inc. and Laurus Master Fund, Ltd.
Registration Rights Agreements
National Investment Managers Inc.
2005
Common Stock Purchase Warrant between Duncan Capital Financial Group, Inc. and Richard E. Stierwalt (November 1, 2004)
Warrant Agreements
National Investment Managers Inc.
2005
Common Stock Purchase Warrant Agreement between Duncan Capital Financial Group, Inc. and Leonard Neuhaus
Warrant Agreements
National Investment Managers Inc.
2005
Agreement and Plan of Reorganization among Fast Eddie Racing Stables, Inc., Duncan Capital Financial Group, Inc., and FERS Acquisition Corp.
Plan of Reorganization Agreements
National Investment Managers Inc.
NY
2005