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Consolidated Statements of Financial Condition (USD $) | Dec. 31, 2013 | Dec. 31, 2012
--- | --- | ---
ASSETS |  |
Cash and cash equivalents | $ 15,424,000 | $ 18,902,000
Cash equivalents - restricted | 1,532,000 | 1,532,000
Receivable from brokers | 1,105,000 | 1,923,000
Securities owned, at fair value | 406,000 | 255,000
Furniture, equipment and leasehold improvements, net | 712,000 | 312,000
Investment in and advances to affiliates | 8,022,000 | 9,304,000
Prepaid expenses and other assets | 751,000 | 900,000
Intangibles, net | 18,000 | 328,000
Assets | 27,970,000 | 33,456,000
Liabilities: |  |
Accounts payable and accrued liabilities | 2,861,000 | 2,416,000
Commitments and contingent liabilities |  |
Stockholders equity: |  |
Common stock, $.01 par value; 49,000,000 shares authorized, 23,211,846 shares issued, 22,085,126 and 22,097,392 shares outstanding at December 31, 2013 and 2012, respectively | 232,000 | 232,000
Additional paid-in capital | 19,490,000 | 19,490,000
Retained earnings | 10,147,000 | 16,059,000
Less: 1,126,720 and 1,114,454 shares of treasury stock, at cost, at December 31, 2013 and 2012, respectively | (4,760,000) | (4,741,000)
Stockholders' equity | 25,109,000 | 31,040,000
Liabilities and Stockholders' equity | 27,970,000 | 33,456,000
SBS |  |
ASSETS |  |
Cash and cash equivalents | 19,787,407 | 12,510,002
Accounts receivable | 562,147 | 958,060
Securities owned, at fair value |  | 11,264,998
Due from broker | 8,158 |
Receivable from affiliate |  | 36,309
Secured demand note | 1,200,000 | 1,200,000
Furniture, equipment and leasehold improvements, net | 822,133 | 1,024,528
Other assets | 618,743 | 758,007
Assets | 22,998,588 | 27,751,904
Liabilities: |  |
Payable to affiliate | 28,264 | 27,644
Due to broker |  | 2,320,760
Accounts payable and accrued liabilities | 4,006,608 | 5,375,185
Bank overdraft | 1,225,779 |
Deferred rent | 622,075 | 631,815
Current liabilities | 5,882,726 | 8,355,404
Subordinated debt | 1,200,000 | 1,200,000
Total liabilities | 7,082,726 | 9,555,404
Commitments and contingent liabilities |  |
Stockholders equity: |  |
Members' capital | 15,915,862 | 18,196,500
Liabilities and Stockholders' equity | $ 22,998,588 | $ 27,751,904

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- Definition Amount after accumulated depreciation, depletion and amortization of physical assets used in the normal conduct of business to produce goods and services and not intended for resale. Examples include, but are not limited to, land, buildings, machinery and equipment, office equipment, and furniture and fixtures. + References Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Accounting Standards Codification -Topic 360 -SubTopic 10 -Section 50 -Paragraph 1 -URI http://asc.fasb.org/extlink&oid=6391035&loc=d3e2868-110229 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Accounting Standards Codification -Topic 210 -SubTopic 10 -Section S99 -Paragraph 1 -Subparagraph (SX 210.5-02.13) -URI http://asc.fasb.org/extlink&oid=6877327&loc=d3e13212-122682 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 13 -Subparagraph a -Article 5 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 8 -Article 7 + Details
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- Definition The carrying amounts of cash and cash equivalent items which are restricted as to withdrawal or usage. Restrictions may include legally restricted deposits held as compensating balances against borrowing arrangements, contracts entered into with others, or entity statements of intention with regard to particular deposits; however, time deposits and short-term certificates of deposit are not generally included in legally restricted deposits. Excludes compensating balance arrangements that are not agreements which legally restrict the use of cash amounts shown on the balance sheet. This element is for unclassified presentations; for classified presentations there is a separate and distinct element. + References Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 1 -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Accounting Standards Codification -Topic 210 -SubTopic 10 -Section S99 -Paragraph 1 -Subparagraph (SX 210.5-02.1) -URI http://asc.fasb.org/extlink&oid=6877327&loc=d3e13212-122682 + Details
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