<SUBMISSION>
<ACCESSION-NUMBER>0000720672-09-000042
<TYPE>8-K
<PUBLIC-DOCUMENT-COUNT>2
<PERIOD>20090508
<ITEMS>9.01
<FILING-DATE>20090511
<DATE-OF-FILING-DATE-CHANGE>20090508
<FILER>
<COMPANY-DATA>
<CONFORMED-NAME>STIFEL FINANCIAL CORP
<CIK>0000720672
<ASSIGNED-SIC>6211
<IRS-NUMBER>431273600
<STATE-OF-INCORPORATION>DE
<FISCAL-YEAR-END>1231
</COMPANY-DATA>
<FILING-VALUES>
<FORM-TYPE>8-K
<ACT>34
<FILE-NUMBER>001-09305
<FILM-NUMBER>09812069
</FILING-VALUES>
<BUSINESS-ADDRESS>
<STREET1>ATTN: JAMES G. LASCHOBER
<STREET2>501 N. BROADWAY
<CITY>ST. LOUIS
<STATE>MO
<ZIP>63102-2102
<PHONE>314-342-2000
</BUSINESS-ADDRESS>
<MAIL-ADDRESS>
<STREET1>ATTN: JAMES G. LASCHOBER
<STREET2>501 N. BROADWAY
<CITY>ST. LOUIS
<STATE>MO
<ZIP>63102-2102
</MAIL-ADDRESS>
</FILER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>r8kubs_sec.htm
<DESCRIPTION>FORM 8-K
<TEXT>
<html>

<head>
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<div style='border:none;border-top:solid windowtext 3.0pt;padding:1.0pt 0in 0in 0in'>

<p class=MsoNormal align=center style='border:none !msorm;padding:0in !msorm;
text-align:center;border:none;padding:0in'><b>&nbsp;</b></p>

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<p class=MsoNormal align=center style='text-align:center'><b>UNITED STATES<br>
SECURITIES AND EXCHANGE COMMISSION<br>
</b><b>Washington, DC 20549</b></p>





<p class=MsoNormal align=center style='text-align:center'><b>FORM 8-K</b></p>



<p class=MsoBodyText3 align="center"><b>CURRENT
REPORT<br>
Pursuant To Section 13 OR
15(d) of the <br>
Securities Exchange Act of 1934</b></p>



<p class=MsoPlainText align=center style='text-align:center'>Date of Report (Date of
earliest event reported):&nbsp; <b>May 4, 2009</b></p>



<p class=MsoNormal align=center style='text-align:center'><b><u>STIFEL FINANCIAL CORP.<br>
</u></b>(Exact name of registrant as specified in its charter)</p>





<div align=center>

<table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0
 style='border-collapse:collapse;border-collapse:collapse !msorm' width="693">
 <tr>
  <td width=213 valign=top style='width:159.6pt;padding:0in 5.4pt 0in 5.4pt 0in 5.4pt 0in 5.4pt !msorm'>
  <p class=xl48 style='margin:0in;margin-bottom:.0001pt' align="center"><u>Delaware<br>
  </u>(State
  of incorporation)</p>

  </td>
  <td width=213 valign=top style='width:159.6pt;padding:0in 5.4pt 0in 5.4pt 0in 5.4pt 0in 5.4pt !msorm'>
  <p class=xl48 style='margin:0in;margin-bottom:.0001pt' align="center"><u>1-9305<br>
  </u>(Commission
  File Number)</p>

  </td>
  <td valign=top style='width:225px;padding-left:5.4pt; padding-right:5.4pt; padding-top:0in; padding-bottom:0in'>
  <p class=xl48 style='margin:0in;margin-bottom:.0001pt' align="center"><u>43-1273600<br>
  </u>(IRS
  Employer
  Identification No.)</p>

  </td>
 </tr>
</table>

</div>



<h3 align="center">One Financial Plaza<br>
501 North Broadway<br>
<u>St. Louis, Missouri
63102-2102<br>
</u>(Address
of principal executive offices, including zip code)</h3>



<p class=MsoNormal align=center style='text-align:center'>Registrant's
telephone number, including area code <b><u>(314)
342-2000</u></b></p>





<p class=MsoNormal align=center style='text-align:center'><u>___________________________N/A___________________________</u><br>
(Former name or former address, if changed since last report)</p>



<p class=MsoNormal style='margin-bottom:6.0pt;text-autospace:none'>Check the
appropriate box below if the Form 8-K filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the following
provisions (<i>see</i> General Instruction A.2. below):</p>

<p class=MsoNormal style='text-autospace:none'><b>[</b> <b>]</b> Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p>

<p class=MsoNormal style='text-autospace:none'><b>[</b> <b>]</b> Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p>

<p class=MsoNormal style='text-autospace:none'><b>[</b> <b>]</b>
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b))</p>

<p class=MsoNormal><b>[</b> <b>]</b> Pre-commencement communications pursuant
to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p>

<div style='border:none;border-bottom:solid windowtext 3.0pt;padding:0in 0in 1.0pt 0in'>



</div>

<p class=MsoFooter>&nbsp;</p>

<div class=MsoNormal align=center style='text-align:center'>

<hr size=2 width="100%" noshade color=navy align=center>

</div>

<p class=MsoNormal><b>Item 1.01 Entry into a
Material Definitive Agreement.</b></p>



<p class=MsoNormal>As previously disclosed, on
March 23, 2009, Stifel Financial Corp.'s (&quot;Stifel&quot;) principal operating
subsidiary, Stifel, Nicolaus &amp; Company, Incorporated (&quot;Stifel Nicolaus&quot;), entered
into a definitive agreement (the &quot;Agreement&quot;) with UBS Financial Services Inc.
(&quot;UBS&quot;) to acquire up to 55 branches from the UBS Wealth
Management Americas branch network.</p>



<p class=MsoNormal>On May
4, 2009, Stifel Nicolaus and UBS entered into Amendment No. 1 to the Agreement
(the &quot;Amendment&quot;).&nbsp; Pursuant to the Amendment, three additional branches from
the UBS Wealth Management Americas branch network were added to the 55 branches
originally included in the transactions contemplated by the Agreement.&nbsp; The 58
total branches are located in 24 states throughout the country, and employ an
aggregate of approximately 350 Financial Advisors.&nbsp; </p>



<p class=MsoNormal>In consideration of the
addition of the three branches, the potential base acquisition price was
increased, such that the potential aggregate upfront cash payment(s) to UBS of
approximately $27 million was increased to approximately $29 million.&nbsp;
In addition, the
aggregate payments Stifel could be required to make for net fixed assets and
employee forgivable loans under the Agreement was increased from approximately
$19 million to approximately $21.1 million.&nbsp; These payments
remain variable based on the actual number of Financial Advisors and branches
acquired by Stifel Nicolaus. The
Amendment also effected certain clarifications with respect to the calculation
of the contingent &quot;earn-out&quot; payments provided for in the Agreement and to other
terms of the Agreement.</p>

<p class=MsoNormal>As previously announced,
Stifel Nicolaus had the right to terminate the Agreement by paying a
non-refundable termination payment if certain limited branch acceptance
criteria specified in the Agreement had not been satisfied; as of the date of
this report,
such minimum branch acceptance criteria has been satisfied.</p>

<p class=MsoNormal>The parties continue to
expect the closing of the transaction, which may be completed in a series of up
to four separate closings, to occur during the third quarter of 2009.&nbsp; There is
no assurance the transaction will be consummated within the presently
contemplated timeframe, or at all.</p>

<p class=MsoNormal><b>&nbsp;</b>The foregoing description of
the Amendment is qualified in its entirety to the full text of the Amendment,
which is attached hereto at Exhibit 2.1.&nbsp; </p>

<p class=MsoNormal style='text-autospace:none'><b>&nbsp;Item
9.01 Financial Statements and Exhibits.</b></p>

<p class=MsoNormal style='margin-top:5.0pt;margin-right:0in;margin-bottom:5.0pt;
margin-left:0in;text-autospace:none'><b>(d)
Exhibits </b></p>

<p class=MsoNormal style='margin-top:5.0pt;margin-right:0in;margin-bottom:5.0pt;
margin-left:.5in;text-autospace:none'><b>Exhibit
2.1: </b>Amendment No. 1 to Agreement*</p>
<p class="MsoNormal" style="text-autospace: none; margin: 5.0pt 0in">
*&nbsp;&nbsp;&nbsp; The appendices, exhibits and
similar attachments to this Agreement have been omitted pursuant to Item
601(b)(2) of Regulation S-K. The registrant will furnish supplementally a copy
of any omitted appendix, exhibit or similar attachments to the Securities and
Exchange Commission upon request.</p>

<p class=MsoFooter>&nbsp;</p>

<div class=MsoNormal align=center style='text-align:center'>

<hr size=2 width="100%" noshade color=navy align=center>

</div>

<p class=MsoNormal style='text-align:center !msorm;line-height:normal !msorm;
line-height:1.0pt'>&nbsp;</p>

<p class=MsoPlainText align=center style='text-align:center'><b>SIGNATURE</b></p>

<p class=MsoPlainText align=center style='text-align:center'></p>



<p class=MsoPlainText style='text-align:justify;text-indent:.5in'>Pursuant to the
requirements of the Securities Exchange Act of 1934, the registrant has duly
caused this report to be signed on its behalf by the undersigned hereunto duly
authorized.</p>



<p class=MsoPlainText style='margin-left:3.0in;text-indent:22.5pt'>STIFEL FINANCIAL CORP.</p>



<table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0
 style='border-collapse:collapse'>
 <tr>
  <td width=319 valign=top style='width:239.4pt;padding:0in 5.4pt 0in 5.4pt'>
  <p class=MsoPlainText>Date:&nbsp;
  May 8, 2009</p>
  </td>
  <td width=319 valign=top style='width:239.4pt;padding:0in 5.4pt 0in 5.4pt'>
  <p class=MsoPlainText>By:&nbsp;
  &nbsp;&nbsp;&nbsp;&nbsp; <u>&nbsp;/s/&nbsp; Ronald J. Kruszewski</u></p>
  </td>
 </tr>
 <tr>
  <td width=319 valign=top style='width:239.4pt;padding:0in 5.4pt 0in 5.4pt'>

  </td>
  <td width=319 valign=top style='width:239.4pt;padding:0in 5.4pt 0in 5.4pt'>
  <p class=MsoPlainText>Name:&nbsp; Ronald
  J. Kruszewski</p>
  </td>
 </tr>
 <tr>
  <td width=319 valign=top style='width:239.4pt;padding:0in 5.4pt 0in 5.4pt'>

  </td>
  <td width=319 valign=top style='width:239.4pt;padding:0in 5.4pt 0in 5.4pt'>
  <p class=MsoPlainText>Title:&nbsp;&nbsp;&nbsp;&nbsp; President
  and Chief Executive Officer</p>
  </td>
 </tr>
</table>

<p class=MsoNormal style='margin-left:.5in;text-indent:-.5in'><b>&nbsp;</b></p>





<p class=MsoFooter>&nbsp;</p>

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</div>

<p class=MsoFooter align=center style='text-align:center'><b>EXHIBIT INDEX</b></p>

<p class=MsoFooter>&nbsp;</p>

<p class=MsoNormal><u>Exhibit Number</u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>Description of Exhibit</u></p>



<p class=MsoNormal>2.1&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Amendment
No. 1 to Agreement*</p>
<p class="MsoNormal" style="text-autospace: none; margin: 5.0pt 0in">&nbsp;</p>
<p class="MsoNormal" style="text-autospace: none; margin: 5.0pt 0in">
*&nbsp;&nbsp;&nbsp; The appendices, exhibits and
similar attachments to this Agreement have been omitted pursuant to Item
601(b)(2) of Regulation S-K. The registrant will furnish supplementally a copy
of any omitted appendix, exhibit or similar attachments to the Securities and
Exchange Commission upon request.</p>
<p class=MsoNormal>&nbsp;</p>

<p class=MsoFooter>&nbsp;</p>

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<p class=MsoNormal style='line-height:normal !msorm;line-height:1.0pt'>&nbsp;</p>





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</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>EX-2.1
<SEQUENCE>2
<FILENAME>r8kubsamend.htm
<DESCRIPTION>AMENDMENT NO. 1 TO AGREEMENT
<TEXT>
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<p class=MsoNormal style='text-align:justify;text-indent:42.0pt'><b>&nbsp;</b></p>

<p class=MsoNormal style='text-align:justify;text-indent:42.0pt'><b>&nbsp;</b></p>









<p class=MsoNormal style='text-align:justify;text-indent:42.0pt'><b>Amendment No. 1 to Asset
Purchase Agreement</b>
(this &quot;<b>Amendment</b>&quot;), dated as of May
4, 2009, between UBS Financial Services
Inc., a Delaware corporation (&quot;<b>Seller</b>&quot;), and Stifel, Nicolaus &amp; Company, Incorporated, a
Missouri corporation (&quot;<b>Buyer</b>&quot;).</p>



<p class=MsoNormal align=center style='text-align:center'><b>RECITALS</b></p>



<p class=MsoNormal style='text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Reference
is hereby made to the Asset Purchase Agreement, dated as of March 23, 2009,
between Seller and Buyer (the &quot;<b>Purchase<i> </i>Agreement</b>&quot;). </p>



<p class=MsoNormal style='text-align:justify;text-indent:.5in'>Buyer and Seller wish to amend the Purchase Agreement
to provide for the acquisition of additional branch offices of Seller and amend
certain other provisions, exhibits and schedules of the Purchase Agreement.</p>



<p class=MsoNormal align=center style='text-align:center'><b>AGREEMENT</b></p>



<p class=MsoNormal style='text-align:justify;text-indent:.5in'>The parties hereto hereby agree as follows:</p>



<p class=MsoNormal style='margin-left:0in;text-align:justify;text-indent:.5in'><b>1.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
</b><b><u>Addition of Business
Locations</u></b><b>.</b></p>



<p class=MsoNormal style='text-align:justify;text-indent:.5in'>(a)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; From and after the date of this Amendment,
the branch offices identified on <b><u>Appendix 1</u></b> to this Amendment
(collectively, the &quot;<b>Additional Branch Offices</b>&quot;) are hereby added as
Business Locations for purposes of the Purchase Agreement.</p>



<p class=MsoNormal style='text-align:justify;text-indent:.5in'>(b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; By consequence of the addition of the
Additional Branch Offices to the list of Business Locations, the existing <u>Exhibit
A</u> to the Purchase Agreement is hereby replaced with the amended <u>Exhibit
A</u> attached as <b><u>Appendix 2</u></b> to this Amendment, effective from
and after the date of this Amendment. </p>



<p class=MsoNormal style='text-align:justify;text-indent:.5in'>(c)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Buyer acknowledges that the Asset and
Liability Statement does not and will not include assets and liabilities
primarily or solely related to or located at the Additional Branch Offices.&nbsp;
Attached as <b><u>Appendix 3</u></b> to this Amendment is an unaudited
statement of the Assets and Assumed Liabilities primarily or solely related to
or located at the Additional Branch Offices as of November 30, 2008, determined
as if the Additional Branch Offices were Acquired Locations to be acquired at a
single Closing (the &quot;<b>Additional Branch Asset and Liability Statement</b>&quot;).&nbsp;
Buyer agrees that the Asset and Liability Statement shall not be deemed to be
inaccurate, and the representations in <u>Sections 5.3(a)</u> and <u>5.3(c)</u>
of the Purchase Agreement shall not be deemed to be breached, by virtue of the
exclusion from the Asset and Liability Statement of assets and liabilities primarily
or solely related to or located at the Additional Branch Offices, or of notes
and other exceptions related thereto. Without limiting the preceding sentence, Seller
represents and warrants to Buyer that the representations and warranties in
Section 5 of the Purchase Agreement (other than <u>Sections 5.3(a)</u> and <u>5.3(c)</u>),
in each case as qualified and limited by the Disclosure Schedule and giving
effect to the addition and/or amendment of the exhibits and schedules to the
Purchase Agreement as provided pursuant to this Amendment, remain true and
correct in all material respects as of the date of this Amendment, giving
effect to the addition of the Additional Branch Offices as provided herein.</p>





<div class=MsoNormal align=center style='text-align:center'>

<hr size=2 width="100%" noshade color=navy align=center>

</div>



<br clear=all
style='page-break-before:always'>










<p class=MsoNormal style='text-align:justify;text-indent:.5in'>(d)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Without limiting the second to last
sentence of <u>Section 1(c)</u> above, the Additional Branch Asset and
Liability Statement fairly presents, in all material respects, the Assets and
Assumed Liabilities primarily or solely related to or located at the Additional
Branch Offices as of November 30, 2008, determined as if all Additional Branch
Offices were Acquired Locations to be acquired at a single Closing.&nbsp; The
Additional Branch Asset and Liability Statement has been (i) derived from the
books of account and other financial records of the Business maintained by
Seller, and (ii) prepared in accordance with relevant GAAP on a basis
consistent with the principles historically applied by Seller in the
preparation of statements of assets and liabilities related to the Business,
except as expressly disclosed in the notes to the Additional Branch Asset and
Liability Statement.</p>



<p class=MsoNormal style='text-align:justify;text-indent:.5in'><b>2.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>Amendment of Other Exhibits and
Schedules</u>.&nbsp; </b>In connection with
the addition of the Additional Branch Offices as additional Business Locations
and other matters, from and after the date of this Amendment:</p>



<p class=MsoNormal style='text-align:justify;text-indent:.5in'>(a)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The existing <u>Exhibit D</u> to the
Purchase Agreement is hereby replaced with the amended <u>Exhibit D</u>
attached as <b><u>Appendix 4</u></b> to this Amendment.</p>



<p class=MsoNormal style='text-align:justify;text-indent:.5in'>(b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The existing <u>Exhibit E</u> to the
Purchase Agreement is hereby replaced with the amended <u>Exhibit E</u>
attached as <b><u>Appendix 5</u></b> to this Amendment.</p>



<p class=MsoNormal style='text-align:justify;text-indent:.5in'>(c)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The existing <u>Section 5.3(b)</u> of the
Disclosure Schedule, referred to in the Purchase Agreement as the &quot;<b>Production
Schedule</b>&quot;, is hereby replaced with the amended <u>Section 5.3(b)</u> of the
Disclosure Schedule attached as <u>Appendix 6</u> to this Amendment.</p>



<p class=MsoNormal style='text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (d)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The
existing <u>Section 5.8(a)</u> of the Disclosure Schedule is hereby replaced
with the amended Section 5.8(a) of the Disclosure Schedule attached as <b><u>Appendix
7</u></b> to this Amendment.</p>



<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'><b>3.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>Other Amendments to the
Purchase Agreement</u>.&nbsp; </b>&nbsp;The
following amendments to the Purchase Agreement are effective retroactive to the
execution of the Purchase Agreement: </p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(a)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 1.1(a) of the Purchase
Agreement is hereby amended and restated in its entirety to read as follows:</p>

<p class=MsoBodyText style='margin-top:0in;margin-right:0in;margin-bottom:11.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot;(a)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; the leasehold and subleasehold
interests of Seller in the real property comprising the Acquired Locations
(including leasehold and subleasehold interests related to the satellite office
of a Business Location (as such satellite offices are identified on <b><u>Exhibit
A</u></b>) if the relevant Business Location is an Acquired Location), together
with all interests of Seller in the buildings, structures, installations,
fixtures, and other improvements situated thereon and all easements, rights of
way, and other rights, interests, and appurtenances of Seller therein or
thereunto pertaining (collectively, &quot;<b>Leased Real Estate</b>&quot;);&quot;.</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 1.1(b) of the Purchase
Agreement is hereby amended and restated in its entirety to read as follows:</p>

<p class=MsoBodyText style='margin-top:0in;margin-right:0in;margin-bottom:11.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot;(b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; all real estate lease and sublease
agreements to which Seller is a party (including lease and sublease agreements
for the satellite offices, if any, of Business Locations which are Acquired
Locations) to the extent relating exclusively to the Leased Real Estate (collectively,
&quot;<b>Real Estate Leases</b>&quot;);&quot;.</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(c)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 1.1(h) of the Purchase
Agreement is hereby amended and restated in its entirety to read as follows:</p>

<p class=MsoFooter align=center style='text-align:center'>2</p>

<div class=MsoNormal align=center style='text-align:center'>

<hr size=2 width="100%" noshade color=navy align=center>

</div>



<br clear=all
style='page-break-before:always'>










<p class=MsoBodyText style='margin-top:0in;margin-right:0in;margin-bottom:11.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot;(h)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; to the extent transferable, all other
contracts and agreements (other than Transferred Customer Contracts,
Transferred Employee Contracts and Employee Contracts relating to
Non-Transferred SOI Employee Indebtedness described in <u>Section 1.1(g)</u>,
Real Estate Leases, Personal Property Leases, contracts for utilities services
at the Leased Real Estate, contracts for the telephone numbers described in <u>Section
1.1(e)</u>, Seller's Plans and other benefits plans, programs or policies of
Seller or its affiliates, and contracts and agreements entered into pursuant
thereto or in connection therewith) to which Seller is a party with an
unaffiliated third party, to the extent exclusively related to the Business as
conducted at the Acquired Locations (collectively, &quot;<b>Branch</b> <b>Contracts</b>&quot;);&quot;.</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (d)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The last sentence of Section
1.6(a) of the Purchase Agreement is hereby amended and restated in its entirety
to read as follows:</p>

<p class=MsoBodyText style='margin-top:0in;margin-right:0in;margin-bottom:11.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot;After the Initial Recruiting Period, Seller and Buyer shall use their
reasonable efforts to cause mutually agreed representatives of both Seller and
Buyer to meet in person or otherwise communicate (subject to the same
conditions and limitations on such communications during the Initial Recruiting
Period described above in this <u>Section 1.6(a)</u>) with all Employees
employed at an Acquired Location or Partially Acquired Location (other than
Excluded Employees at such Partially Acquired Locations) with whom Buyer and
Seller did not meet or otherwise communicate during the Initial Recruiting
Period (if any) in order to advise them of the transactions contemplated by
this Agreement, including the proposed transfer of their employment to Buyer
and the general terms of their proposed transition, compensation and benefits.&nbsp;
Buyer and Seller shall use reasonable efforts to cause each such Employee to
deliver to Buyer or Seller an executed Statement of Intention prior to the relevant
Closing at which Buyer will acquire the Branch Assets and Branch Liabilities of
the Acquired Location or Partially Acquired Location at which such Employee is
employed or located.&nbsp; After the Initial Recruiting Period, Buyer and Seller
shall continue to deliver to each other copies of any and all executed
Statements of Intention received by them, no less frequently than weekly to the
extent reasonably practicable.&quot;</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (e)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The last sentence of Section
1.6(b) of the Purchase Agreement is hereby amended and restated in its entirety
to read as follows:</p>

<p class=Legal1L3 style='margin-left:.5in;text-align:justify'>&quot;Notwithstanding anything to the contrary in <u>Sections
1</u>, <u>2</u>, or<u> 3</u>, but subject to <u>Section 1.6(c)</u>, the Assets
and Assumed Liabilities shall not include any assets or liabilities of the
Business to the extent primarily or solely related to or located at any
Excluded Location, and the Employees employed or located, and Customers whose
Customer Contracts are solely or primarily serviced by Employees employed or
located, at an Excluded Location shall not be eligible to become Transferred
Employees or Transferred Customers (except, in the case of Customers, if and to
the extent the relevant Customer is also a Customer with accounts serviced by
or credited to an Eligible Employee primarily employed
or located at a separate Acquired Location or Partially Acquired Location).&quot;</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (f)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 1.8 of the Purchase
Agreement is hereby amended and restated in its entirety to read as follows:</p>

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<p class=Legal1L2 style='margin-left:.5in;text-align:justify;text-indent:40.5pt'>&quot;<b>1.8&nbsp;&nbsp;&nbsp; <u>Matters Relating to Non-Transferred SOI
Employees</u>.</b>&nbsp; If Seller becomes aware that any Employee (other than an
Excluded Employee) who has executed and delivered a Statement of Intention has
commenced or accepted employment with any third party entity within the
financial services industry, or has become, or has agreed to become, affiliated
with any such entity, in either case on or before the relevant Closing Date for
Buyer's acquisition of Branch Assets and Branch Liabilities related to the
Business Location at which such Employee was primarily employed or located
(each, a &quot;<b>Non-Transferred SOI Employee</b>&quot;), then Seller shall promptly
notify Buyer in writing upon becoming aware of such fact, but, whether or not
so notified by Seller, Buyer shall acquire, at the relevant Closing, the
Employee Contracts related to the Non-Transferred SOI Employee Indebtedness of
such Non-Transferred SOI Employee who had been employed or located at the
Acquired Locations or Partially Acquired Locations being acquired at such
Closing, and Seller shall not seek to enforce or collect payment on any such
Employee Contract(s) evidencing such Non-Transferred SOI Employee Indebtedness
without the written consent of Buyer.&nbsp; The Employee Contracts with respect to
such Non-Transferred SOI Employee Indebtedness shall be included in the Assets
and Assumed Liabilities sold by Seller and acquired by Buyer at the relevant
Closing for the Branch Assets and Branch Liabilities of the Business Location
at which such Non-Transferred SOI Employee was primarily employed or located.&nbsp;
For each Non-Transferred SOI Employee at a Partially Acquired Location as to
which Buyer acquires such Non-Transferred SOI Employee Indebtedness, Buyer
shall also pay the relevant Transferred Employee Amount (as provided in <u>Section
3.1</u>) at the relevant Closing for such Non-Transferred SOI Employee,
notwithstanding that such Non-Transferred SOI Employee is not a Transferred
Employee.&quot;&nbsp; </p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (g)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 2.1(b) of the Purchase
Agreement is hereby amended and restated in its entirety to read as follows:</p>

<p class=MsoBodyText style='margin-top:0in;margin-right:0in;margin-bottom:11.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot;(b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Subject to <u>Section 2.3(e)</u>, all obligations of Seller
or its affiliates arising on or after the relevant Closing Date to make
performance, milestone or Back-End Bonus payments, or grant releases of
indebtedness, to any Transferred Employees pursuant to Transferred Employee
Contracts that are &quot;Employee Forgivable Loans&quot; or under the Employee Contracts
set forth in <u>Section 3.2(b)</u> of the Disclosure Schedule that are
Transferred Employee Contracts;&quot;.</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(h)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 2.3(e) of the Purchase
Agreement is hereby amended and restated in its entirety to read as follows:</p>

<p class=MsoBodyText style='margin-top:0in;margin-right:0in;margin-bottom:11.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot;(e)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; any payment obligations relating to compensation, cash
commissions, transition payments, cash awards, incentive payments and bonuses
that are due and payable to Transferred Employees before the relevant Closing
Date at which they become Transferred Employees, except if and solely to the
extent included by Seller as a liability in calculating the Net Value Amount
for the relevant Closing for purposes of <u>Section 3.2(a)</u> or as expressly
provided in <u>Section 10</u>;&quot;</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(i)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 3.1(b)(ii)(A) of the
Purchase Agreement is hereby amended and restated in its entirety to read as
follows:</p>

<p class=CG-SingleSp05 style='margin-left:.5in;text-align:justify'>&quot;(A)&nbsp;&nbsp;&nbsp;&nbsp; the Base Acquisition Consideration (as
re-calculated upwards as of such Subsequent Closing Date, taking into account
all Employees who have become Transferred Employees or Non-Transferred SOI
Employees as of all prior Closing Dates), less the aggregate amount of all Base
Acquisition Consideration paid at previous Closings; <i>provided, however</i>,
that the Base Acquisition Consideration payable at any Subsequent Closing Date
shall never be a negative number; <u>plus</u>&quot;.</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (j)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The definition of &quot;Base
Acquisition Consideration&quot; in Section 3.1(c) of the Purchase Agreement is
hereby amended and restated in its entirety to read as follows:</p>

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<p class=CG-SingleSp05 style='margin-left:.5in;text-align:justify'>&quot; &quot;<b>Base Acquisition Consideration</b>&quot; means:&nbsp; (i)
$21,500,000, if Employees of Seller who are responsible, in the aggregate, for
more than 70% of the total production of the Business Locations listed on <b><u>Exhibit
D</u></b> hereto (as determined based upon the Production Schedule) have become
Transferred Employees or Non-Transferred SOI Employees as of the relevant
Closing Date and all prior Closing Dates (if any) combined; (ii) $16,125,000,
if Employees of Seller who are responsible, in the aggregate, for more than 50%
and not more than 70% of the total production of the Business Locations listed
on <b><u>Exhibit D</u></b> hereto (as determined based upon the Production
Schedule) have become Transferred Employees or Non-Transferred SOI Employees as
of the relevant Closing Date and all prior Closing Dates (if any) combined;
(iii) $10,750,000, if Employees of Seller who are responsible, in the
aggregate, for more than 25% and not more than 50% of the total production of
the Business Locations listed on <b><u>Exhibit D</u></b> hereto (as determined
based upon the Production Schedule) have become Transferred Employees or
Non-Transferred SOI Employees as of the relevant Closing Date and all prior
Closing Dates (if any) combined; (iv) $5,375,000, if Employees of Seller who
are responsible, in the aggregate, for 25% or less of the total production of
the Business Locations listed on <b><u>Exhibit D</u></b> hereto (as determined
based upon the Production Schedule) have become Transferred Employees or
Non-Transferred SOI Employees as of the relevant Closing Date and all prior
Closing Dates (if any) combined; <i>provided, however</i>, that in no event
shall the Base Acquisition Consideration payable on the Initial Closing Date be
less than the Minimum Acquisition Price.&quot;</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(k)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The definition of &quot;Minimum
Acquisition Price&quot; in Section 3.1(c) of the Purchase Agreement is hereby
amended and restated in its entirety to read as follows:</p>

<p class=CG-SingleSp05 style='margin-left:.5in;text-align:justify'>&quot; &quot;<b>Minimum Acquisition Price</b>&quot; means:&nbsp; (i)
$21,500,000, if Employees of Seller who are responsible, in the aggregate, for
more than 70% of the total production of the Business Locations listed on <b><u>Exhibit
D</u></b> hereto<b> </b>(as determined based upon the Production Schedule) have
executed and delivered Statements of Intention on or prior to the Excluded
Location Notice Date; (ii) $16,125,000, if Employees of Seller who are
responsible, in the aggregate, for more than 50% and not more than 70% of the
total production of the Business Locations listed on <b><u>Exhibit D</u></b>
hereto (as determined based upon the Production Schedule) have executed and
delivered Statements of Intention on or prior to the Excluded Location Notice
Date; (iii) $10,750,000, if Employees of Seller who are responsible, in the
aggregate, for more than 25% and not more than 50% of the total production of
the Business Locations listed on <b><u>Exhibit D</u></b> hereto (as determined
based upon the Production Schedule) have executed and delivered Statements of
Intention on or prior to the Excluded Location Notice Date; and (iv)
$5,375,000, if Employees of Seller who are responsible, in the aggregate, for
25% or less of the total production of the Business Locations listed on <b><u>Exhibit
D</u></b> hereto (as determined based upon the Production Schedule) have
executed and delivered Statements of Intention on or prior to the Excluded
Location Notice Date; <i>provided, however, </i>that the production for any
Employees who have otherwise signed Statements of Intention but who are located
at Business Locations listed on <b><u>Exhibit D</u></b> hereto which are
Excluded Locations pursuant to <u>Section 1.6</u> shall be disregarded for
purposes of computing the aggregate production percentages in each of (i)-(iv)
above.&nbsp; By way of example and for illustration purposes only, if Employees
representing 72% of the total production of the Business Locations listed on <b><u>Exhibit
D</u></b> hereto (as determined based upon the Production Schedule) have
executed and delivered Statements of Intention on or prior to the Excluded
Location Notice Date, but 4% of such production is represented by Employees who
are located at Excluded Locations, the Minimum Acquisition Price shall be
$16,125,000.&quot;</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(l)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 3.2(b)(ii) of the
Purchase Agreement is hereby amended and restated in its entirety to read as
follows:</p>

<p class=MsoBodyText style='margin-top:0in;margin-right:0in;margin-bottom:11.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot;(ii)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; As additional Acquisition Consideration, Buyer shall pay
Seller in accordance with this <u>Section 3.2(b)</u> an amount (the &quot;<b>Year 2
Earn-Out Amount</b>&quot;), which shall not be less than zero, equal to (A) 15% of
all Compensable Revenues for the one-year period beginning on the day
immediately following the end of the Year 1 Earn-Out Period and ending on the
first anniversary of such date (the &quot;<b>Year 2 Earn-Out Period</b>&quot;), <u>less</u>
(B) an amount equal to the Year 2 Reduction Amount (as defined below), <u>less</u>
(C) an amount equal to the Year 2
Back-End Bonus Amount (as defined below), <u>less</u> (D) an
amount equal to the Back-End Bonus Carryover Amount (as defined below).&quot;</p>

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<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(m)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The definition of &quot;Compensable
Revenues&quot; in Section 3.2(b)(iii) of the Purchase Agreement is hereby amended
and restated in its entirety to read as follows:</p>

<p class=CG-SingleSp05 style='margin-left:.5in;text-align:justify'>&quot; &quot;<b>Compensable Revenues</b>&quot; means, with respect to
the relevant Earn-Out Period (as defined below), the aggregate revenue credited
in accordance with Buyer's standard FA &quot;grid&quot; for purposes of Financial Advisor
compensation, as in effect from time to time during such Earn-Out Period (A) in
respect of all Transferred Customers and their accounts with Buyer or its
affiliates (whether opened with Seller and transferred to Buyer at a Closing or
opened with Buyer or its affiliates after the Initial Closing Date), and (B)
all other customer and client accounts opened after the Initial Closing Date by
or with Transferred Employees while employed or engaged by Buyer or its affiliates
(even if and after such Transferred Employees thereafter leave the employ of
Buyer or its affiliates); <i>provided</i>, <i>however</i>, that Compensable
Revenues shall (x) not include compensable revenues from customer accounts of
Buyer existing prior to the Initial Closing Date, whether or not managed by
Transferred Employees after the Initial Closing Date, and (y) be calculated by
Buyer with respect to Transferred Employees on a basis no less favorable than
Buyer uses to determine such compensation for its own equivalent employees
generally.&quot;</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(n)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The definition of &quot;Year 1
Back-End Bonus Amount&quot; in Section 3.2(b)(iii) of the Purchase Agreement is
hereby amended and restated in its entirety to read as follows:</p>

<p class=MsoNormal style='margin-top:0in;margin-right:0in;margin-bottom:12.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot; &quot;<b>Year 1 Back-End Bonus Amount</b>&quot; means 50% of the aggregate
amount of all Back-End Bonuses payable under the Transferred Employee Contracts
set forth on <u>Section 3.2(b)</u> of the Disclosure Schedule (pursuant to the
terms of such Employee Contracts as of the relevant Closing Date, subject only
to modifications or amendments to such Employee Contracts entered into by Buyer
that reduce the Back-End Bonus amounts otherwise payable thereunder) to the
extent actually paid by Buyer to the relevant Transferred Employees during the
Year 1 Earn-Out Period.&quot;</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(o)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The definition of &quot;Year 2
Back-End Bonus Amount&quot; in Section 3.2(b)(iii) of the Purchase Agreement is
hereby amended and restated in its entirety to read as follows:</p>

<p class=MsoNormal style='margin-top:0in;margin-right:0in;margin-bottom:12.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot; &quot;<b>Year 2 Back-End Bonus Amount</b>&quot; means 50% of the aggregate
amount of all Back-End Bonuses payable under the Transferred Employee Contracts
set forth on <u>Section 3.2(b)</u> of the Disclosure Schedule (pursuant to the
terms of such Employee Contracts as they exist as of the relevant Closing Date,
subject only to modifications or amendments to such Employee Contracts entered
into by Buyer that reduce the Back-End Bonus amounts otherwise payable
thereunder) to the extent actually paid by Buyer to the relevant Transferred
Employees during the Year 2 Earn-Out Period.&quot;</p>

<p class=MsoNormal style='margin-bottom:12.0pt;text-align:justify;text-indent:
..5in'>(p)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The following definition is
added to Section 3.2(b)(iii) of the Purchase Agreement:</p>

<p class=MsoNormal style='margin-top:0in;margin-right:0in;margin-bottom:12.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot; &quot;<b>Back-End Bonus Carryover Amount</b>&quot; means
the portion of the Year 1 Back-End Bonus Amount (if any) that could not be
offset against the Year 1 Earn-Out Amount pursuant to <u>Section 3.2(b)(i)(D)</u> because
(and only if) the sum of the amounts described in clauses (B), (C) and (D) of <u>Section 3.2(b)(i)</u>
exceeded the amount described in <u>Section 3.2(b)(i)(A)</u>.&quot;</p>

<p class=MsoNormal style='margin-bottom:12.0pt;text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (q)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 4.2(a)(iv) of the
Purchase Agreement is hereby amended and restated in its entirety to read as
follows:</p>

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<p class=Legal1L3 style='margin-left:.5in;text-align:justify'>&quot;(iv)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>Conversion</u>.&nbsp; Buyer shall (i) have
completed to Buyer's reasonable satisfaction tests for the Conversion to be
effected in connection with the Initial Closing, and (ii) be ready and able in
connection with such initial Conversion, to Buyer's reasonable satisfaction, to
convert Transferred Customer accounts and Transferred Customer Property being
acquired at the Initial Closing, and to convert and receive the related
Transferred Customer information, successfully and orderly onto Buyer's
operating platforms<b> </b>on a same day basis or within such other time period
as Buyer and Seller may mutually agree.&quot;</p>

<p class=MsoNormal style='text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (r)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section
6.2(d) of the Purchase Agreement is hereby amended and restated in its entirety
to read as follows:</p>



<p class=Legal1L3 style='margin-left:.5in;text-align:justify'>&quot;(d)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; except as set forth below in this <u>Section
6.2</u>, terminate any material contracts to be included in the Assets assigned
to Buyer, or amend or modify in any material respect any of its existing
material contracts to be included in the Assets assigned to Buyer, in either
case other than in the Ordinary Course of Business;&quot;</p>

<p class=MsoNormal style='text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (s)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section
6.4(c) of the Purchase Agreement is hereby amended and restated in its entirety
to read as follows:</p>



<p class=Legal1L3 style='margin-left:.5in;text-align:justify'>&quot;(c)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Notwithstanding anything to the contrary
contained in this Agreement or any other Transaction Document, this Agreement
shall not constitute an assignment of, or an agreement to assign, any Customer
Contract, Customer Indebtedness, Customer Property, or other Customer account
or relationship if (i) the relevant Customer objects to the assignment, (ii) if
affirmative consent from the Customer is required for the assignment and such
consent is not obtained, or (iii) to the extent that such Customer Contract,
Customer Indebtedness, Customer Property or other Customer account or
relationship is primarily maintained or serviced at or by, or primarily
credited to, an Excluded Employee or Excluded Location.&quot;</p>

<p class=MsoNormal style='text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (t)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section
6.8(b) of the Purchase Agreement is hereby amended and restated in its entirety
to read as follows:</p>



<p class=Legal1L3 style='margin-left:.5in;text-align:justify'>&quot;(b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The covenants contained in <u>Sections&nbsp;6.5</u>,
<u>6.6</u>, <u>6.7</u> and <u>6.10</u> shall survive (subject, if applicable,
to any time period specified in such Sections) each and any Closing in
accordance with their terms (notwithstanding any subsequent termination of
future or additional Closings in accordance with <u>Section 15</u>) and, in the
case of the covenants in <u>Sections 6.5</u> and <u>6.7</u> shall survive any
termination of this Agreement prior to the occurrence of the Initial Closing in
accordance with <u>Section 15</u> (subject, if applicable, to any time period
specified in such Sections), and Seller acknowledges that, without prejudice to
other remedies available at law, Buyer shall be entitled to equitable or
injunctive relief in the event of a breach or threatened breach of such
provisions, without the requirement of posting a bond.</p>

<p class=MsoNormal style='text-align:justify;text-indent:.5in'>(u)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 6.11 of the Purchase Agreement is
hereby amended and restated in its entirety to read as follows:</p>



<p class=MsoNormal style='margin-left:.5in;text-align:justify;text-indent:.5in'>&quot;<b>6.11</b>&nbsp; <b><u>Certain Obligations of the Seller under the Statements of Intention</u></b><b>.&nbsp; </b>Seller
shall provide to Transferred Employees continued vesting of certain unvested
benefits under Seller's benefits plans as described under Paragraph 2(d) of <u>Exhibit
A</u> to the Statement of Intention, and will satisfy Seller's obligations
under Section 2(g) of <u>Exhibit A</u> to the Statement of Intention, in each
case subject to the terms and conditions set forth in <u>Exhibit A</u> to the
Statement of Intention and subject to the terms and conditions of the Seller's
benefits plans.&quot;</p>



<p class=MsoNormal style='text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (v)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section
8.10(b) of the Purchase Agreement is hereby amended and restated in its
entirety to read as follows:</p>

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<p class=Legal1L3 style='margin-left:.5in;text-align:justify'>&quot;(b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The covenants contained in <u>Sections&nbsp;8.2</u>,
<u>8.4</u>, <u>8.5</u>, <u>8.6</u>, <u>8.7</u>, <u>8.8</u>, <u>8.9</u> and <u>8.11</u>
shall survive (subject, if applicable, to any time period specified in such
Sections) each and any Closing (notwithstanding any subsequent termination of
future or additional closings in accordance with <u>Section 15</u>) and, in the
case of the covenants in <u>Sections 8.4</u>, <u>8.5</u>,&nbsp; <u>8.6</u>, and <u>8.8</u>
shall survive the termination of this Agreement prior to the occurrence of the
Initial Closing in accordance with <u>Section 15</u> (subject, if applicable,
to any time period specified in such Sections), and Buyer acknowledges that,
without prejudice to other remedies available at law, Seller shall be entitled
to equitable or injunctive relief in the event of a breach or threatened breach
of such provisions, without the requirement of posting a bond.&quot;</p>

<p class=MsoNormal style='text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (w)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The
reference to &quot;Section 1.6(b)&quot; in Section 9.3 of the Purchase Agreement is
hereby amended to read &quot;Section 1.6(d)&quot;.</p>



<p class=MsoNormal style='text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (x)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The
second to last sentence of Section 10.1(a) of the Purchase Agreement is hereby
amended and restated in its entirety to read as follows:</p>



<p class=MsoNormal style='margin-left:.5in;text-align:justify;text-indent:.5in'>&quot;Without the prior written consent of Seller, Buyer
shall not hire any Employee other than Eligible Employees who execute and
deliver a Statement of Intention prior to the relevant Closing Date.&quot;&nbsp; </p>



<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(y)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 10.8 of the Purchase
Agreement is hereby amended and restated in its entirety to read as follows:</p>

<p class=Legal1L2 style='margin-left:.5in;text-align:justify'>&quot;<b>10.8</b>&nbsp;&nbsp;&nbsp; <b><u>Conditional Variable Compensation Plan</u></b><b>.</b>&nbsp;&nbsp; To
the extent that, in connection with becoming a Transferred Employee,
any&nbsp;Transferred&nbsp;Employee forfeits benefits under the Conditional
Variable Compensation Plan of Seller or its affiliates (&quot;<b>CVCP Benefits</b>&quot;),
which such benefits are identified in <u>Section 5.8(a)</u> of the Disclosure
Schedule for each Employee who is entitled to such benefits, Buyer shall
provide reasonably equivalent replacement incentive compensation
for&nbsp;each&nbsp;such&nbsp;Transferred&nbsp;Employee; <i>provided</i>, <i>however</i>,
that in no event shall Buyer be obligated to provide any Transferred Employee
with replacement incentive compensation for any lost CVCP Benefits in an amount
or with a value in excess of the CVCP Benefits listed for the relevant Employee
in <u>Section 5.8(a)</u> of the Disclosure Schedule. &quot;</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (z)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Section 13 of the Purchase
Agreement is hereby amended and restated in its entirety to read as follows:&nbsp;&nbsp;&nbsp; </p>

<p class=Legal1L1 style='margin-left:.5in;text-align:justify'><b>13.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>Assignment</u>.&nbsp;
</b>Neither this Agreement nor the
rights of a party hereunder shall be assignable or transferable by Buyer or
Seller without the prior written consent of the other party hereto, which
consent may be withheld in a party's sole discretion;<b> </b><i>provided,
however</i>, that either party shall be permitted to assign its rights
hereunder to any affiliate of such party, or any acquiror of such party or all
or substantially all of its business or assets, in either case upon at least 10
business days' prior written notice to the other party; <i>provided, further</i>,
that no such assignment shall relieve the assigning party of its obligations
hereunder.</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(aa)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Sections 15.2(b) and 15.2(c) of
the Purchase Agreement are hereby amended and restated in their entireties as
follows:</p>

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<p class=Legal1L3 style='margin-left:.5in;text-align:justify'>&quot;(b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; all non&#8209;public information and
proprietary information received by Buyer or Seller from the other party hereto
shall be treated in accordance with the Confidentiality Agreement, <u>Section
6.5</u> and <u>Section 8.5</u> of this Agreement, as applicable, each of which
shall remain in full force and effect in accordance with the terms thereof
notwithstanding the termination of this Agreement; and</p>

<p class=Legal1L3 style='margin-left:.5in;text-align:justify'>(c)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; the following provisions shall survive such
termination in accordance with their terms (subject, if applicable, to any time
period specified in such Sections):&nbsp; (i)&nbsp;<u>Sections 6.5, 6.7, and 6.8</u>;
(ii) <u>Sections 8.4, 8.5, 8.6, and 8.10</u>; (iii)&nbsp;<u>Section&nbsp;9.2</u>;
and (iv) <u>Sections&nbsp;13, 14, 15, 16, 17, 18, 23 and 24</u>; and&quot; </p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(bb)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The definition of &quot;Acquired
Locations&quot; in Section 27 of the Purchase Agreement is hereby amended and
restated in its entirety to read as follows:</p>

<p class=MsoNormal style='margin-top:0in;margin-right:0in;margin-bottom:12.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot; &quot;<b>Acquired Locations</b>&quot; means all Business Locations (including
with respect to any Business Location, the satellite office of such Business
Location (if any) listed on <b><u>Exhibit A</u></b>), other than the Business
Locations listed on the schedule of Excluded Locations, attached hereto as <b><u>Exhibit
B-1</u></b>, or on the schedule of Partially Acquired Locations, attached
hereto as <b><u>Exhibit B-2</u></b>, as the same may be amended or updated from
time to time in accordance with this Agreement.&quot;</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'>(cc)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The definition of &quot;Employee
Contracts&quot; in Section 27 of the Purchase Agreement is hereby amended and
restated in its entirety to read as follows:</p>

<p class=MsoNormal style='margin-top:0in;margin-right:0in;margin-bottom:12.0pt;
margin-left:.5in;text-align:justify;text-indent:.5in'>&quot; &quot;<b>Employee Contracts</b>&quot; all employment, compensation, loan,
retention,<b> </b>termination and severance agreements, and other contracts,
agreements and instruments (including &quot;Employee Forgivable Loan&quot; documents and
any related &quot;transaction&quot; agreements) relating to the ongoing employment
relationships and compensation of Employees with or
by Seller, excluding (a) Seller's Plans, other benefits plans, programs
or policies of Seller or its affiliates, and contracts and agreements
thereunder or entered into pursuant thereto, (b) any and all rights of Seller and/or
its affiliates pursuant to or under any and all non-competition,
non-solicitation, non-disclosure, non-disparagement, and/or intellectual
property and proprietary rights ownership and assignment covenants or
agreements with Employees, and (c) Seller's and its affiliates' rights under
Employee Releases.&quot;</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (dd)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The definition of &quot;Selected
Branch Assets&quot; in Section 27 of the Purchase Agreement is hereby amended and
restated in its entirety to read as follows:</p>

<p class=MsoFootnoteText style='margin-left:.5in;text-align:justify;text-indent:
..5in'>&quot; &quot;<b>Selected Branch Assets</b>&quot; means,
with respect to a Partially Acquired Location, Transferred Employee Contracts,
Transferred Employee Indebtedness, Transferred Customer Contracts, Transferred
Customer Indebtedness, Transferred Customer Property, and the prepaid Taxes,
compensation and expenses related exclusively to the foregoing Selected Branch
Assets, and the balances under Seller's Flex Plans related exclusively to the
foregoing Selected Branch Assets, in each case (as more specifically described
in <u>Section 1.1</u>), but specifically excluding Excluded Branch Assets.&quot;</p>



<p class=MsoFootnoteText style='text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (ee)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; The following definition is added to Section 27
of the Purchase Agreement:</p>



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<p class=MsoFootnoteText style='margin-left:.5in;text-align:justify;text-indent:
..5in'>&nbsp;&quot; &quot;<b>Back-End Bonus</b>&quot; means any
obligation arising on or after the relevant Closing Date to make a payment
(whether in cash, securities or a combination thereof and whether pursuant to a
deferred compensation plan of Seller or otherwise) to an Employee under an
Employee Contract, whether on an individual basis or on a team basis, that is
either or both: (i) based on achieving or maintaining, at a certain point in
time occurring after the relevant Closing Date or over a certain period of time
after or extending past the relevant Closing Date, a threshold of assets under
management at or above a certain level for such individual or team; or (ii)
based upon achieving or maintaining, at a certain point in time occurring after
the relevant Closing Date or over a certain period of time after or extending
past the relevant Closing Date,&nbsp; a threshold of compensable production for such
individual or team at or above a certain level for such individual or team.&quot;&nbsp; </p>



<p class=MsoNormal style='text-align:justify'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <b>4.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>Additional
Agreement</u>.</b>&nbsp;&nbsp; Seller acknowledges that it has used its reasonable
efforts to identify in <u>Section 3.2(b)</u> of the Disclosure Schedule all
Employee Contracts (including, without limitation, all Employee Contracts for
Employees employed or located at the Additional Branch Offices) that, to its
Knowledge, currently provide for a Back-End Bonus that (if the relevant
Employee Contract becomes a Transferred Employee Contract) may become payable
by Buyer after the relevant Closing Date.&nbsp; In the event that following the
relevant Closing, Buyer becomes aware that a Transferred Employee Contract not
otherwise listed in <u>Section 3.2(b)</u> of the Disclosure Schedule provides
for a Back-End Bonus that may become payable by Buyer after the relevant
Closing Date, Buyer shall provide Seller a copy of such Transferred Employee
Contract.&nbsp; If Buyer and Seller mutually agree in writing, each acting
reasonably and in good faith, that such Transferred Employee Contract in fact
provided for a Back-End Bonus as of the relevant Closing Date and accordingly
should have otherwise been included in the <u>Section 3.2(b)</u> of the
Disclosure Schedule had Seller had Knowledge of the Back-End Bonus provision(s)
thereof, then such Transferred Employee Contract shall be deemed to be included
in <u>Section 3.2(b)</u> of the Disclosure Schedule as if originally set forth
therein, and any payments made by Buyer to the relevant Transferred Employee in
respect of such Back-End Bonus obligation (pursuant to the terms of the
relevant Transferred Employee Contract as they exist as of the relevant Closing
Date, subject only to modifications or amendments to such Transferred Employee
Contract entered into by Buyer that reduce the Back-End Bonus amounts otherwise
payable thereunder) shall be incorporated into the calculation of the Year 1
Back-End Bonus Amount and/or the Year 2 Back-End Bonus Amount, as the case may
be, if and to the extent the relevant Back-End Bonus is payable and paid by
Buyer during the relevant Earn-Out Period.</p>



<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'><b>5.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>No Other Amendments</u>.&nbsp;
</b>Except as expressly set forth above,
all of the terms and provisions of the Purchase Agreement remain in full force
and effect unchanged.</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'><b>6</b>.<b>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>Capitalized Terms</u>.</b>&nbsp; Capitalized terms used but
not otherwise defined in this Amendment shall have the meanings assigned to
them in the Purchase Agreement.</p>

<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:

..5in'><font size="3"><b>7</b>.</font>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<font size="3">
<b> <u>Counterparts</u>.</b></font>&nbsp;
<font size="3">This Amendment may be executed in one or more counterparts, each of which
(including counterparts delivered by facsimile or e-mail) shall constitute the
executing party's original binding agreement, but all of which together shall
constitute one and the same instrument.&nbsp; </font> </font> </h3>



<p class=MsoBodyText style='margin-bottom:11.0pt;text-align:justify;text-indent:
..5in'><font size="3"><b>8</b>.&nbsp;&nbsp;&nbsp;</font>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
<b> <u>
<font size="3">Governing
Law</font></u></b><font size="3"><b>.</b>&nbsp; This Amendment and the rights and obligations of the
parties hereunder shall be governed by, interpreted, and enforced in accordance
with the laws of the State of New York (without giving effect to its conflict
of laws principles).&nbsp; Section 24 of the Purchase Agreement shall be deemed to
apply with respect to this Amendment.</font></h3>





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<p class=MsoBodyTextIndent style='margin-left:0in;text-indent:.5in'><b>In Witness Whereof</b>, the parties hereto have executed, or have caused
their duly authorized representatives to execute, this Amendment No. 1 to
Asset&nbsp; Purchase Agreement as of the date first set forth above.</p>
<p class=MsoBodyTextIndent style='margin-left:0in;text-indent:.5in'>&nbsp;</p>
<table border="1" width="27%" id="table1">
	<tr>
		<td><b>SELLER:</b></td>
	</tr>
	<tr>
		<td>
    <p class=MsoNormal style='margin-bottom:24.0pt;text-align:justify'><b>UBS FINANCIAL SERVICES INC.</b></p>
    	<p>&nbsp;</td>
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		<td>
		<p class=MsoNormal style='text-align:justify'>By:<u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </u></p>
    <p class=MsoNormal style='text-align:justify'>Name:&nbsp;
    James D. Price<br>
	Title:&nbsp;&nbsp;&nbsp; Head, Wealth Management <br>
	&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Advisor Group, US</p>
    	</td>
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		<td>

    <p class=MsoNormal style='text-align:justify'>By:<u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </u></p>
    <p class=MsoNormal style='text-align:justify'>Name:&nbsp;
    Diane Frimmel<br>
	Title:&nbsp;&nbsp;&nbsp; Chief
    Operations Officer</p>
    	</td>
	</tr>
	<tr>
		<td><b>BUYER:</b></td>
	</tr>
	<tr>
		<td><b>Stifel,
  Nicolaus &amp; Company, Incorporated</b></td>
	</tr>
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		<td>


  <p class=MsoNormal style='text-align:justify'>By:<u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </u></p>
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  -.5in'>Title: </p>
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