The company has not filed an annual or quarterly report since its Q1 FY2017 10-Q, filed May 8, 2017. Its latest SEC filing is a SC 13G/A from Feb 12, 2018.
10-Q for Q1 FY2017, filed May 8, 2017
The sections below describe the company as of the FY2016 annual report.
Provides companies with help raising capital and financial advice, and offers trading and research services to institutional investors.
10-K for FY2016, filed Mar 13, 2017Our capital markets business is conducted by our investment banking, institutional brokerage and research professionals through our…View ↗
Our investment banking professionals, backed by their industry knowledge and our strong distribution platform, seek to establish and…View ↗
Through our institutional brokerage professionals, we provide research, institutional sales and trading services, and securities lending to…View ↗
Investment banking revenue depends on the number and size of client transactions; institutional brokerage brings in commissions and spreads from trades executed for clients.
10-K for FY2016, filed Mar 13, 2017Our investment banking revenues are directly related to the number and size of the transactions in which we participate. Any future market…View ↗
$119.7M
10-K for FY2016, filed Mar 13, 2017
$119.7M ↗
Corporate issuers use its investment banking services, while institutional investors—including mutual funds, insurers, hedge funds, banks and broker-dealers—use its brokerage and research services.
10-K for FY2016, filed Mar 13, 2017
10-Q for Q1 FY2017, filed May 8, 2017
$1.3MView ↗
8-K, filed Jun 1, 2017
On June 1, 2017, pursuant to the Amended and Restated Agreement and Plan of Merger, dated as of March 15, 2017, and effective as of…View ↗
Shrank. Revenue fell 21% in 4 years, from $151.5M in FY2012 to $119.7M in FY2016, about 6% a year.
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