| Jun'13 | Mar'13 | Dec'12 | Sep'12 | Jun'12 | Mar'12 | Dec'11 | Sep'11 | Jun'11 | Mar'11 | Sep'10 | Jun'10 |
|---|---|---|---|---|---|---|---|---|---|---|---|
Principal transactions | |||||||||||
4,572 | 4,616 | 2,306 | 1,726 | 4,314 | 4,539 | 5,876 | 7,368 | 6,677 | 0 | 0 | 0 |
Commissions | |||||||||||
5,273 | 5,103 | 5,079 | 5,024 | 5,256 | 5,463 | 5,698 | 5,829 | 5,865 | 0 | 0 | 0 |
Managed account and other fee-based revenues | |||||||||||
5,603 | 5,535 | 5,427 | 5,262 | 5,267 | 5,199 | 5,203 | 5,090 | 4,898 | 0 | 0 | 0 |
Investment banking | |||||||||||
5,504 | 5,126 | 4,914 | 4,536 | 4,290 | 4,851 | 5,179 | 5,488 | 5,737 | 0 | 0 | 0 |
(Loss) earnings from equity method investments | |||||||||||
115 | 82 | 285 | 168 | 217 | 366 | 347 | 609 | 635 | 0 | 0 | 0 |
Intercompany service fee revenue from Bank of America | |||||||||||
1,148 | 1,059 | 986 | 1,039 | 914 | 878 | 944 | 0 | 0 | 0 | - | - |
Other revenues | |||||||||||
620 | 768 | 1,929 | 1,303 | 8 | 692 | 1,808 | 2,261 | 4,490 | 0 | 0 | 0 |
Total other-than-temporary impairment losses | |||||||||||
0 | 4 | 6 | 15 | 27 | 33 | 69 | 105 | 132 | 0 | 0 | 0 |
Less: Portion of other-than-temporary impairment losses recognized in other comprehensive income | |||||||||||
0 | 0 | 0 | 0 | -7 | -9 | -10 | -13 | -8 | 0 | 0 | 0 |
Subtotal | |||||||||||
22,835 | 22,285 | 20,920 | 19,043 | 20,246 | 21,964 | 24,996 | 27,108 | 28,580 | 0 | 0 | 0 |
Interest and dividend revenues | |||||||||||
6,517 | 6,218 | 6,395 | 6,452 | 7,072 | 7,677 | 8,186 | 8,465 | 8,135 | 0 | 0 | 0 |
Less interest expense | |||||||||||
6,349 | 6,734 | 7,098 | 7,333 | 7,803 | 8,339 | 8,785 | 9,205 | 9,518 | 0 | 0 | 0 |
Net interest income (expense) | |||||||||||
168 | -516 | -703 | -881 | -731 | -662 | -599 | -740 | -1,383 | 0 | 0 | 0 |
Revenues, net of interest expense | |||||||||||
23,003 | 21,769 | 20,217 | 18,162 | 19,515 | 21,302 | 24,397 | 26,368 | 27,197 | 0 | 0 | 0 |
Compensation and benefits | |||||||||||
14,573 | 14,623 | 14,608 | 15,138 | 15,347 | 15,677 | 15,773 | 15,653 | 15,772 | 0 | 0 | 0 |
Communications and technology | |||||||||||
1,500 | 1,492 | 1,588 | 1,613 | 1,694 | 1,782 | 1,771 | 1,831 | 1,886 | 0 | 0 | 0 |
Occupancy and related depreciation | |||||||||||
1,177 | 1,194 | 1,204 | 1,212 | 1,297 | 1,336 | 1,367 | 1,407 | 1,379 | 0 | 0 | 0 |
Brokerage, clearing, and exchange fees | |||||||||||
1,019 | 973 | 951 | 977 | 1,043 | 1,103 | 1,121 | 1,109 | 1,098 | 0 | 0 | 0 |
Advertising and market development | |||||||||||
518 | 510 | 501 | 491 | 501 | 487 | 500 | 472 | 453 | 0 | 0 | 0 |
Professional fees | |||||||||||
931 | 951 | 921 | 952 | 998 | 997 | 1,029 | 983 | 934 | 0 | 0 | 0 |
Office supplies and postage | |||||||||||
93 | 99 | 104 | 109 | 118 | 122 | 126 | 133 | 138 | 0 | 0 | 0 |
Provision for representations and warranties | |||||||||||
86 | -750 | -754 | -774 | -817 | 2,764 | 2,731 | 2,770 | 2,650 | 0 | 0 | 0 |
Intercompany service fee expense from Bank of America | |||||||||||
1,744 | 1,848 | 1,798 | 1,815 | 2,020 | 2,161 | 2,320 | 0 | 0 | 0 | - | - |
Other | |||||||||||
1,605 | 1,606 | 1,554 | 1,578 | 1,662 | 1,902 | 2,250 | 2,715 | 2,908 | 0 | 0 | 0 |
Total non-interest expenses | |||||||||||
23,246 | 22,546 | 22,475 | 23,111 | 23,863 | 28,331 | 28,988 | 28,866 | 28,450 | 0 | 0 | 0 |
Pre-tax loss | |||||||||||
-243 | -777 | -2,258 | -4,949 | -4,348 | -7,029 | -4,591 | -2,498 | -1,253 | 0 | 0 | 0 |
Income tax benefit | |||||||||||
-1,911 | -2,466 | -2,548 | -2,405 | -3,119 | -3,370 | -2,944 | -1,215 | -650 | 0 | 0 | 0 |
Net loss | |||||||||||
1,668 | 1,689 | 290 | -2,544 | -1,229 | -3,659 | -1,647 | -1,283 | -603 | 0 | 0 | 0 |
Preferred stock dividends | |||||||||||
- | - | - | - | - | - | - | - | - | - | 0 | 0 |
Net earnings (loss) applicable to common stockholder | |||||||||||
- | - | - | - | - | - | - | - | - | - | 0 | 0 |