August 29, 2023
M&A: Sale of Sierra Pacific Securities to Stifel
August 5, 2019
M&A – First Long Island Investors, LLC Sells Minority Stake to Kudu Investment Management LLC
April 1, 2016
M&A – Sale of C.W. Downer & Co. to N+1
September 1, 2015
M&A – Sale of Concept Capital to Cowen Group
February 17, 2011
M&A – Spin out of institutional broker Concept Capital from Sanders Morris Harris Group
February 10, 2011
Private Equity – Equity Financing of Broker Dealer KGS-Alpha
August 1, 2010
Private Equity – Launch and Initial Capitalization of Broker Dealer KGS-Alpha
June 17, 2009
CFTC Investigation