Document:

Unassociated Document

    Exhibit
      4.2

    AMENDMENT
      TO REGISTRATION RIGHTS AGREEMENT

     

    This
      AMENDMENT
      TO REGISTRATION RIGHTS AGREEMENT
      (this
“Amendment”), dated as of May 11, 2006, by and among vFINANCE,
      INC.,
      a
      Delaware corporation (the “Company”), and STERLING FINANCIAL GROUP OF COMPANIES,
      INC., a Delaware corporation (the “Holder”) hereby amends that certain
      Registration Rights Agreement by and among each of the Parties
      hereto.

     

    R
      E C
      I T A L S:

     

    A. The
      Company, Buyer, the Holder and Seller entered into an Asset Purchase Agreement
      dated January 10, 2006, as amended as of May 11, 2006 (the “Asset Purchase
      Agreement”), and, pursuant to the Asset Purchase Agreement, the Company and the
      Holder entered into a Registration Rights Agreement dated January 10,
      2006.

     

    B. The
      consummation of the transactions contemplated in the Asset Purchase Agreement
      is
      subject to NASD approval, which has been obtained.

     

    NOW,
      THEREFORE, in consideration of the premises and the mutual promises herein
      made,
      and in consideration of the representations, warranties, covenants and
      agreements herein contained, the parties agree as follows:

     

    	1.  	
            The
              Parties agree that Section 1 shall be amended to delete the stated
              definition of “Filing Date” and to replace such definition in its entirety
              with the following:

          

    

    “Filing
      Date”
means
      the date which is six (6) months after the Closing Date. If all Holders have
      not
      furnished the Company with a Selling Holder Questionnaire by such date, the
      Filing Date shall be delayed until the tenth (10th) trading day after the
      Company has received the last Selling Holder Questionnaire from all of the
      Holders. 

    

    	2.  	
            All
              other provisions of the Registration Rights Agreement shall remain
              in full
              force and effect. The Registration Rights Agreement is incorporated
              by
              reference herein, as modified by the changes herein. Each term capitalized
              but not defined herein shall have the meaning ascribed thereto in the
              Registration Rights Agreement. The Registration Rights Agreement, as
              amended by this Amendment constitutes the entire agreement of the Parties
              with respect to the subject matter hereof. In the event of any
              inconsistency between the terms of this Amendment and the Registration
              Rights Agreement, the terms of this Amendment shall govern and
              prevail.

          

    

    	3.  	
            This
              Amendment may be executed in any number of counterparts, each of which
              shall be deemed to be an original and all of which together shall be
              deemed to be one and the same instrument. The Parties to this Amendment
              need not execute the same counterpart.

          

    

     

    
      
         

      

      
         

        
          

        

      

      
         

      

    

     

    IN
      WITNESS WHEREOF,
      the
      Parties have caused this Amendment to be duly executed as of the date first
      above written.

    
      	 	 	 
	 	VFINANCE,
              INC.
	 
 	 
 	 
 
	 	By:  	/s/ Leonard
              Sokolow
	 	
              
Leonard
              Sokolow 
	 	CEO
              and
              President

    

    
      	 	 	 
	 	STERLING
              FINANCIAL GROUP OF COMPANIES, INC.
	 
 	 
 	 
 
	 	By:  	/s/ Charles
              P. Garcia
	 	
              
Name:
              Charles P. Garcia
	 	Title:
              CEOUnassociated Document

    Exhibit
      10.3

    

      AMENDMENT
        TO VOTING AND LOCKUP AGREEMENT

       

      This
        AMENDMENT
        TO VOTING AND LOCKUP AGREEMENT
        (this
“Amendment”),
        dated
        as of May 11, 2006, by and among STERLING FINANCIAL INVESTMENT GROUP, INC.,
        a
        Florida corporation (“Seller”),
        STERLING FINANCIAL GROUP OF COMPANIES, INC., a Delaware corporation
        (“Parent”),
        CHARLES GARCIA (“CG”),
        vFINANCE
        INVESTMENTS, INC.,
        a
        Florida corporation (“Buyer”),
        vFINANCE,
        INC.,
        a
        Delaware corporation (“VFIN”),
        LEONARD SOKOLOW (“LS”)
        and
        TIMOTHY MAHONEY (“TM”)
        hereby
        amends that certain Voting and Lockup Agreement by and among each of the
        Parties
        hereto.

       

      

    RECITALS:

      

       

      Seller,
        Parent, CG, Buyer, VFIN, LS and TM (collectively, the “Parties”)
        have
        entered into a Voting and Lockup Agreement dated January 10, 2006 (the
“Lockup
        Agreement”). 

       

      Each
        of
        Parties hereto desires to amend the Lockup Agreement in order to expedite
        NASD
        approval of the transaction described in that certain Asset Purchase Agreement,
        as amended, by and among certain of the Parties to this Amendment. 

       

      NOW,
        THEREFORE, in consideration of the premises and the mutual promises herein
        made,
        and in consideration of the representations, warranties, covenants and
        agreements herein contained, the Parties agree as follows:

       

      	1.  	
              (a)
                Clause (i) of subsection (a) of Section 2 is deleted in its entirety
                and
                replaced with the following:

            

       

      “(i)
        So
        long as CG remains employed by VFIN or Buyer, LS and TM shall vote for (and,
        if
        applicable, vote to nominate) CG’s designee to serve as a director of VFIN
        provided such designee is reasonably acceptable to the other directors of
        VFIN
        (including LS and TM),” and

       

      (b)
        Subsection (b) of Section 2 is deleted in its entirety.

       

      	2.  	
              All
                other provisions of the Lockup Agreement shall remain in full force
                and
                effect. The Lockup Agreement is incorporated by reference herein,
                as
                modified by the changes herein. Each term which is capitalized but
                not
                defined herein shall have the meaning ascribed thereto in the Lockup
                Agreement. The Lockup Agreement, as amended by this Amendment constitutes
                the entire agreement of the Parties with respect to the subject matter
                hereof. In the event of any inconsistency between the terms of this
                Amendment and the Lockup Agreement, the terms of this Amendment shall
                govern and prevail.

            

       

       

      	3.  	
              This
                Amendment may be executed in any number of counterparts, each of
                which
                shall be deemed to be an original and all of which together shall
                be
                deemed to be one and the same instrument. The Parties to this Amendment
                need not execute the same counterpart.

            

       

      
        
          
          

        

        
          
          

          
            

          

        

        
          
          

        

      

       

      IN
        WITNESS WHEREOF,
        the
        Parties have caused this Amendment to be duly executed as of the date first
        above written.

      
        
          	 	 	 
	 	VFINANCE
                  INVESTMENTS, INC. 
	 	 	 
	 	By:  	/s/ Leonard
                  Sokolow
	 	
                  
Name:
                  Leonard Sokolow 
	 	Title:
                  Chairman

        

        
          
            	 	 	 
	 	VFINANCE,
                    INC.
	 	 	 
	 	By:  	/s/ Leonard
                    Sokolow
	 	
                    
Name:
                    Leonard Sokolow 
	 	Title:
                    CEO and President

        

        
          	 	 	 
	 	STERLING
                  FINANCIAL INVESTMENT GROUP, INC.
	 	 
	 	By:  	/s/ Charles
                  P. Garcia
	 	
                  
Name:
                  Charles P. Garcia
	 	Title:
                  CEO

        
          
            	 	 	 
	 	STERLING
                    FINANCIAL GROUP OF COMPANIES, INC.
	 	 	 
	 	By:  	/s/ Charles
                    P. Garcia
	 	
                    
Name:
                    Charles P. Garcia
	 	Title:
                    CEO

          

        

      

      
        	 	 	 
	 
 	 
 	 
 
	 	By:  	/s/ Charles
                P. Garcia
	 	
                
CHARLES
                P.
                GARCIA

      

      
        	
              	 	 
	 	By:  	/s/ Leonard
                Sokolow 
	 	
                
LEONARD
                SOKOLOW

      

      
        	
              	 	 
	 	By:  	/s/
                Timothy
                Mahoney 
	 	
                
TIMOTHY
                MAHONEYUnassociated Document

    
      Exhibit
        10.5

      AMENDMENT
        TO MANAGEMENT AGREEMENT

       

      This
        AMENDMENT
        TO MANAGEMENT AGREEMENT
        (this
“Amendment”), dated as of May 11, 2006, by and among vFINANCE
        INVESTMENTS, INC.,
        a
        Florida corporation (“VF”), STERLING FINANCIAL INVESTMENT GROUP, INC., a Florida
        corporation (“SFIG”), and STERLING FINANCIAL GROUP OF COMPANIES, INC., a
        Delaware corporation (“Corporation”) hereby amends that certain Asset Purchase
        Agreement by and among each of the Parties hereto.

       

      

    RECITALS:

      

       

      Buyer,
        VF, SFIG and Corporation (collectively, the “Parties”) have entered into a
        Management Agreement dated January 10, 2006, as amended (the “Management
        Agreement”) and the consummation of the transactions contemplated therein is
        subject to NASD approval. 

       

      Each
        of
        VF, SFIG and Corporation desires to amend the Management Agreement in order
        to
        provide additional time to obtain NASD approval of the transaction described
        in
        the Asset Purchase Agreement, as amended. 

       

      NOW,
        THEREFORE, in consideration of the premises and the mutual promises herein
        made,
        and in consideration of the representations, warranties, covenants and
        agreements herein contained, the parties agree as follows:

       

      	1.  	
              The
                Parties agree that Section 11. a. iv. of the Management Agreement
                shall be
                amended to delete the date “April 30, 2005[sic]” and replace such date
                with “May 15, 2006”. 

            

      

      	2.  	
              All
                other provisions of the Management Agreement shall remain in full
                force
                and effect. The Management Agreement is incorporated by reference
                herein,
                as modified by the changes herein. Each term which is capitalized
                but not
                defined herein shall have the meaning ascribed thereto in the Management
                Agreement. The Management Agreement, as amended by this Amendment
                constitutes the entire agreement of the Parties with respect to the
                subject matter hereof. In the event of any inconsistency between
                the terms
                of this Amendment and the Management Agreement, the terms of this
                Amendment shall govern and prevail.

            

      	3.  	
              This
                Amendment may be executed in any number of counterparts, each of
                which
                shall be deemed to be an original and all of which together shall
                be
                deemed to be one and the same instrument. The Parties to this Amendment
                need not execute the same counterpart.

            

      

      
        
          
          

        

        
          
          

          
            

          

        

        
          
          

        

      

       

      IN
        WITNESS WHEREOF,
        the
        Parties have caused this Amendment to be duly executed as of the date first
        above written.

      
         

        
          
            	 	
                     

                     

                  	 
	 	VFINANCE
                    INVESTMENTS, INC. 
	 	 	 
	 	By:  	/s/ Leonard
                    Sokolow
	 	
                    
Name:
                    Leonard Sokolow 
	 	Title:
                    Chairman

          

          
            
              	 	 	 

          

          
            	 	 	 
	 	STERLING
                    FINANCIAL INVESTMENT GROUP, INC.
	 	 
	 	By:  	/s/ Charles
                    P. Garcia
	 	
                    
Name:
                    Charles P. Garcia
	 	Title:
                    CEO

          
            
              	 	 	 
	 	STERLING
                      FINANCIAL GROUP OF COMPANIES, INC.
	 	 	 
	 	By:  	/s/ Charles
                      P. Garcia
	 	
                      
Name:
                      Charles P. Garcia
	 	Title:
                      CEO

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