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related topics |
{stock, price, share} |
{loan, real, estate} |
{stock, price, operating} |
{system, service, information} |
{regulation, change, law} |
{competitive, industry, competition} |
{customer, product, revenue} |
{personnel, key, retain} |
{acquisition, growth, future} |
{cost, contract, operation} |
{financial, litigation, operation} |
{debt, indebtedness, cash} |
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The securities brokerage, investment banking, financial advice, and asset management industries are highly competitive. If we are not able to compete successfully against current and future competitors, our business and results of operation will be adversely affected
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We may experience reduced revenue due to downturns or disruptions in the securities markets that reduce market volumes, securities prices, and liquidity, which can also cause counterparties to fail to perform
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There are market, credit, and liquidity risks associated with our market making, principal trading, arbitrage, and underwriting activities. We may experience significant losses if the value of our marketable security positions deteriorates.
Our business is dependent on the services of skilled professionals and may suffer if we lose the services of our executive officers or other skilled professionals
Litigation and potential securities laws liabilities may adversely affect our business and may, in turn, negatively affect the market price of our common stock.
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We are highly dependent on proprietary and third party systems, so systems failures could significantly disrupt our business, which may, in turn, negatively affect the market price of our common stock
perational risks may disrupt our business, result in regulatory action against us, or limit our growth.
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Our securities broker-dealer, investment advisor, trust company, and athlete management subsidiaries are subject to substantial regulations. If we fail to comply with these regulations, our business will be adversely affected
The business operations of Sanders Morris Harris and Salient Trust may face limitations due to net capital requirements.
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Our inability to access funds from our subsidiaries could adversely affect our ability to meet our obligations
We may be unable to fully integrate future acquisitions or joint ventures into our business and systems.
We may experience fluctuations in our quarterly and annual operating results due to the nature of our business and therefore fail to meet profitability expectations.
Our common stock price may be volatile, which could adversely affect the value of your shares
Our common stock may trade at prices below your purchase price.
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Full 10-K form ▸
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