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| related topics |
| {system, service, information} |
| {financial, litigation, operation} |
| {regulation, change, law} |
| {loss, insurance, financial} |
| {loan, real, estate} |
| {gas, price, oil} |
| {tax, income, asset} |
| {competitive, industry, competition} |
| {acquisition, growth, future} |
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NATURE OF BUSINESS -- THE PARTNERSHIP IS IN THE SECURITIES INDUSTRY, WHICH IS SUBJECT TO DRAMATIC AND UNPREDICTABLE SWINGS THAT HAVE HAD AND CAN HAVE A SIGNIFICANT NEGATIVE EFFECT ON REVENUES AND PROFITABILITY.
OPERATIONAL SYSTEMS -- THE PARTNERSHIP IS UPGRADING AND REPLACING COMPONENTS OF ITS COMPUTER AND COMMUNICATIONS SYSTEMS WHICH WILL BE COSTLY AND COULD LEAD TO DISRUPTIONS; ANY SUBSTANTIAL DISRUPTION TO THESE SYSTEMS COULD LEAD TO FINANCIAL LOSS AND HARM RELATIONS WITH CLIENTS.
BRANCH OFFICE SYSTEM -- THE PARTNERSHIP'S SYSTEM OF ONE-BROKER BRANCH OFFICES MAY EXPOSE THE PARTNERSHIP TO A GREATER RISK OF LOSS OR LIABILITY FROM THE ACTIVITIES OF THE FINANCIAL ADVISORS THAN IF A MORE TRADITIONAL OFFICE SYSTEM IS MAINTAINED.
AND AS A RESULT THE PARTNERSHIP IS SUBJECT TO VARIOUS LEGAL ACTIONS AND OTHER PROPOSED INVESTIGATIONS, WHICH, IF ADVERSELY DETERMINED, COULD MATERIALLY ADVERSELY AFFECT BUSINESS.
REGULATORY INITIATIVES- RECENTLY PROPOSED REGULATIONS MAY SIGNIFICANTLY ALTER OR RESTRICT THE HISTORIC BUSINESS PRACTICES, WHICH COULD NEGATIVELY AFFECT THE OPERATING RESULTS.
COMPETITION -- THE PARTNERSHIP IS SUBJECT TO INTENSE COMPETITION FOR CLIENTS AND PERSONNEL, AND MANY OF THE COMPETITORS HAVE GREATER RESOURCES.
LITIGATION -- LITIGATION SEEKING SUBSTANTIAL DAMAGES FROM SECURITIES FIRMS HAS INCREASED IN RECENT YEARS, AND IT IS EXPECTED TO CONTINUE TO INCREASE AS MARKET FLUCTUATIONS CONTINUE.
UNDERWRITING, SYNDICATE AND TRADING POSITION RISKS -- THE PARTNERSHIP ENGAGES IN UNDERWRITING ACTIVITIES, WHICH CAN EXPOSE THE PARTNERSHIP TO MATERIAL LOSSES AND LIABILITY.
RELIANCE ON ORGANIZATIONS -- THE PARTNERSHIP DEPENDS ON THIRD-PARTY ORGANIZATIONS, WHICH EXPOSES THE PARTNERSHIP TO DISRUPTION IF THEIR PRODUCTS AND SERVICES ARE NO LONGER OFFERED, SUPPORTED OR DEVELOP DEFECTS.
INTERNATIONAL EXPANSION -- THE PARTNERSHIP'S FOREIGN OPERATIONS ARE NOT YET PROFITABLE; THEY MAY REQUIRE SIGNIFICANT INFUSIONS OF CAPITAL AND MAY NEVER BECOME PROFITABLE.
CAPITAL LIMITATIONS; UNIFORM NET CAPITAL RULE -- THE UNIFORM NET CAPITAL RULE IMPOSES MINIMUM NET CAPITAL REQUIREMENTS AND COULD LIMIT THE PARTNERSHIP'S ABILITY TO ENGAGE IN CERTAIN ACTIVITIES WHICH ARE CRUCIAL TO ITS BUSINESS.
Full 10-K form ▸
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