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related topics |
{stock, price, share} |
{competitive, industry, competition} |
{control, financial, internal} |
{financial, litigation, operation} |
{personnel, key, retain} |
{stock, price, operating} |
{cost, operation, labor} |
{loan, real, estate} |
{provision, law, control} |
{acquisition, growth, future} |
{loss, insurance, financial} |
{interest, director, officer} |
{system, service, information} |
{debt, indebtedness, cash} |
{customer, product, revenue} |
{condition, economic, financial} |
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Risks Related to Our Business
We may not be able to maintain a positive cash flow and profitability.
Our financial results may fluctuate substantially from period to period, which may impair our stock price.
Our ability to retain our professionals and recruit additional professionals is critical to the success of our business, and our failure to do so may materially adversely affect our reputation, business and results of operations.
Our compensation structure may negatively impact our financial condition if we are not able to effectively manage our expenses and cash flows.
Pricing and other competitive pressures may impair the revenue and profitability of our brokerage business.
We may experience significant losses if the value of our marketable security positions deteriorates.
Difficult market conditions could adversely affect our business in many ways.
We may suffer losses through our investments in securities purchased in secondary market transactions or private placements.
We face strong competition from larger firms.
We have incurred losses in the recent past and may incur losses in the future.
Our capital markets and strategic advisory engagements are singular in nature and do not generally provide for subsequent engagements.
A significant portion of our brokerage revenue is generated from a relatively small number of institutional clients.
Poor investment performance, pricing pressure and other competitive factors may reduce our asset management revenue or result in losses.
Limitations on our access to capital could impair our liquidity and our ability to conduct our businesses.
Our risk management policies and procedures may leave us exposed to unidentified or unanticipated risk.
Our operations and infrastructure may malfunction or fail.
Strategic investments or acquisitions and joint ventures may result in additional risks and uncertainties in our business.
Evaluation of our prospects may be more difficult in light of our limited operating history.
Risks Related to Our Industry
Risks associated with regulatory impact on capital markets.
Financial services firms have been subject to increased scrutiny over the last several years, increasing the risk of financial liability and reputational harm resulting from adverse regulatory actions.
Our exposure to legal liability is significant, and damages that we may be required to pay and the reputational harm that could result from legal action against us could materially adversely affect our businesses.
Employee misconduct could harm us and is difficult to detect and deter.
Risks Related to Ownership of Our Common Stock
A significant percentage of our outstanding common stock is owned or controlled by our senior professionals and other employees and their interests may differ from those of other shareholders.
Provisions of our organizational documents may discourage an acquisition of us.
The market price of our common stock may decline.
Your interest in our firm may be diluted due to issuance of additional shares of common stock.
Your ability to sell your shares may be restricted because there is a limited trading market for our common stock
We do not expect to pay any cash dividends in the foreseeable future.
Full 10-K form ▸
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