Last $6.91 USD
Change Today +0.05 / 0.73%
Volume 55.2K
SWS On Other Exchanges
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As of 8:04 PM 12/26/14 All times are local (Market data is delayed by at least 15 minutes).

sws group inc (SWS) Snapshot

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52 Week High
02/19/14 - $8.29
52 Week Low
12/31/13 - $5.99
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sws group inc (SWS) Details

SWS Group, Inc., a diversified financial services holding company, provides a range of investment banking, commercial banking, and related financial services in the United States. The company operates through four segments: Clearing, Retail, Institutional, and Banking. The Clearing segment provides clearing and execution services for other broker/dealers comprising general securities broker/dealers and firms specializing in high-volume trading. This segment also offers tailored services, including recordkeeping, trade reporting, accounting, general back-office support, securities and margin lending, reorganization assistance, and custody of securities. The Retail segment acts as a securities broker for retail investors in the purchase and sale of securities, options, commodities, and futures contracts that are traded on various exchanges or in the over-the-counter markets. This segment also sells insurance and annuity products to its retail customers; and provides advisory programs, as well as margin lending services. The Institutional segment serves institutional customers in the areas of securities borrowing and lending, municipal finance, sales, equity trading, and investment banking, as well as trading and underwriting of taxable and tax-exempt fixed income securities. The Banking segment provides traditional banking products and services through eight full-service banking centers. This segment also offers checking, savings, money market, and certificates of deposit products; business and consumer loans; Internet banking and online bill payment services; and commercial and commercial real estate loans in Texas and New Mexico. The company serves corporates, individuals, and institutional investors; broker/dealers; governmental entities; and financial intermediaries. SWS Group, Inc. was founded in 1972 and is headquartered in Dallas, Texas.

892 Employees
Last Reported Date: 09/26/14
Founded in 1972

sws group inc (SWS) Top Compensated Officers

Chief Executive Officer, President and Direct...
Total Annual Compensation: $450.0K
Executive Chairman of Southwest Securities - ...
Total Annual Compensation: $350.0K
Executive Vice President, General Counsel and...
Total Annual Compensation: $272.0K
Executive Vice President and Executive Vice P...
Total Annual Compensation: $225.0K
Executive Vice President
Total Annual Compensation: $225.0K
Compensation as of Fiscal Year 2013.

sws group inc (SWS) Key Developments

SWS Group Inc., Hilltop Holdings Inc., Peruna LLC and the Individual Members Make Supplemental Disclosures on Merger to Settle Purported Class-Action Suit

SWS Group Inc. on November 13, 2014 entered into a memorandum of understanding, subject to final approval by the Delaware Court of Chancery, to settle a consolidated purported class-action complaint against the company, Hilltop Holdings Inc., Peruna LLC and the individual members of the SWS board related to the proposed merger of SWS with and into Hilltop unit Peruna. The consolidated action generally alleges claims for breach of fiduciary duty by the individual directors of SWS and claims against Hilltop for aiding and abetting that breach of fiduciary duty. The complaint further alleges that the proxy statement and prospectus filed by Hilltop on May 29, 2014 omits or misstates certain material information. The consolidated action requests, among other things, that the merger be enjoined. Pursuant to the memorandum of understanding, and without admitting any wrongdoing or that the supplemental disclosures are material or required to be made, the defendants agreed to make certain supplemental disclosures requested by plaintiffs in the consolidated action. The defendants believe that the allegations and claims in the litigation are without merit and, if the settlement does not receive final approval, plan to defend them vigorously. Defendants are entering into the settlement solely to eliminate the burden and expense of further litigation and to put the claims that were or could have been asserted to rest. The settlement will not affect the timing of the merger or the amount of consideration to be paid in the merger.

Richard H. Litton Announces to Resign as Executive Vice President of SWS Group, Inc

On November 10, 2014, Richard H. Litton notified SWS Group, Inc. that he intends to retire and resign as Executive Vice President of the company, effective three months after the closing of the merger contemplated by the Agreement and Plan of Merger by and among Hilltop Holdings Inc. and SWS will be merged with and into Peruna, with Peruna as the surviving entity following the merger.

SWS Group, Inc. Announces Unaudited Consolidated Earnings Results for First Quarter Ended Sept. 30, 2014 ; Announces Write-Off of Deferred Debt Issuance Costs for the Quarter Ended September 30, 2014

SWS Group, Inc. announced unaudited consolidated earnings results for first quarter ended Sept. 30, 2014. For the quarter, the company reported total revenue of $74,296,000, net revenues of $61,506,000, loss before income tax benefit of $583,000, net loss of $307,000 or $0.01 per basic and diluted share compared to the total revenue of $80,043,000, net revenues of $68,995,000, income before income tax benefit of $155,000, net income of $323,000 or $0.01 per basic and diluted share for the same quarter a year ago. Tangible book value as reported on September 30, 2014 was $347,859,000. For the quarter, the company announced write-off of deferred debt issuance costs of $451,000.


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