BROKER-DEALER SERVICES AGREEMENTBroker Dealer Agreement |
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TABERNA SECURITIES, LLC | COHEN BROS. & COMPANY, LLC. RealDealDocs™ contains millions of easily searchable legal documents and clauses from top law firms. Search for free - click here. |
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Exhibit 10.1
BROKER-DEALER SERVICES AGREEMENT
between
TABERNA SECURITIES, LLC
and
COHEN BROS. & COMPANY, LLC
Dated as of April 28, 2005
TABLE OF CONTENTS
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ARTICLE I DEFINITIONS |
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1 |
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Section 1.1 |
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Definitions |
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1 |
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ARTICLE II BROKER-DEALER SERVICES |
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1 |
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Section 2.1 |
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Broker-Dealer Services |
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1 |
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Section 2.2 |
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Standard of Care |
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1 |
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Section 2.3 |
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Non-Exclusivity |
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2 |
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Section 2.4 |
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Third-Party Services |
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2 |
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ARTICLE III TERM AND TERMINATION |
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2 |
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Section 3.1 |
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Term and Termination |
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2 |
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Section 3.2 |
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Effect of Termination |
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2 |
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ARTICLE IV COMPENSATION |
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2 |
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Section 4.1 |
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Compensation |
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2 |
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ARTICLE V MISCELLANEOUS |
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3 |
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Section 5.1 |
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Representations and Warranties of Cohen Brothers |
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3 |
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Section 5.2 |
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Indemnification |
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3 |
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Section 5.3 |
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Notices |
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3 |
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Section 5.4 |
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Amendments and Waivers |
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4 |
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Section 5.5 |
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Headings |
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4 |
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Section 5.6 |
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Counterparts |
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4 |
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Section 5.7 |
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Entire Agreement |
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4 |
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Section 5.8 |
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Governing Law |
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4 |
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Section 5.9 |
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Resolution of Disputes |
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4 |
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Section 5.10 |
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Waiver of Jury Trial |
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