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{stock, price, share} |
{loss, insurance, financial} |
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{financial, litigation, operation} |
{system, service, information} |
{regulation, change, law} |
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Deferred underwriting fees may not be received by us in certain situations.
We may experience significant fluctuations in our quarterly operating results due to the nature of our business and therefore may fail to meet profitability expectations.
Our financial leverage may impair our ability to obtain financing and limits cash flow available for operations.
Our business is dependent on fees generated from the distribution of financial products
Our business could be adversely affected by a downturn in the financial markets.
Misconduct by our employees and independent registered representatives is difficult to detect and deter and could harm our business, results of operations or financial condition.
We may incur significant losses from trading and investment activities due to market fluctuations and volatility.
We may be prohibited from underwriting securities due to capital limits.
Our capital markets and strategic advisory engagements are singular in nature and do not generally provide for subsequent engagements.
We depend on our senior employees and the loss of their services could harm our business.
We face significant competition for professional employees.
Poor performance of the investment products and services recommended or sold to asset management clients may have a material adverse effect on our business.
Systems failures could significantly disrupt our business.
Our expenses may increase due to real estate commitments.
Our risk management policies and procedures may leave us exposed to unidentified risks or an unanticipated level of risk.
Risk Factors Relating to Our Industry
Each of Ladenburg and Investacorp rely on clearing brokers and the termination of the agreements with any one of these clearing brokers could disrupt our business.
Our clearing brokers extend credit to our clients and we are liable if the clients do not pay.
Credit risk exposes us to losses caused by financial or other problems experienced by third parties.
Intense competition from existing and new entities may adversely affect our revenues and profitability.
Our business and results of operations may be negatively affected by errors and omissions claims.
We are subject to various risks associated with the securities industry.
Legal liability may harm our business.
Risk Factors Relating to the Regulatory Environment
We are currently subject to extensive securities regulation and the failure to comply with these regulations could subject us to penalties or sanctions.
Implementation of FINRA Rule 2821, which governs the sale of variable annuity products, may impact our financial performance.
Legislative, judicial or regulatory changes to the classification of independent contractors could increase our operating expenses.
Failure to comply with net capital requirements could subject us to suspension or revocation by the SEC or suspension or expulsion by FINRA.
A change in the tax treatment of insurance products or a determination that these products are not insurance contracts for federal tax purposes could reduce the demand for these products, which may reduce our revenue.
Risk Factors Relating to Strategic Acquisitions and the Integration of Acquired Operations
We may be unable to successfully integrate acquired businesses into our existing business and operations.
We may be adversely affected if the firms we acquire do not perform as expected.
We face numerous risks and uncertainties as we expand our business.
Risk Factors Relating to Owning Our Stock
The price of our common stock may fluctuate significantly, and this may make it difficult for you to resell the shares of our common stock at prices you find attractive.
Our principal shareholders including our directors and officers control a large percentage of our shares of common stock and can significantly influence our corporate actions.
Possible additional issuances will cause dilution.
We may issue preferred stock with preferential rights that may adversely affect your rights.
Full 10-K form ▸
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