Board of Directors

Highlights | Management | Board of Directors | Committee Composition  
Winston Churchill
Chairman
Winston Churchill. Mr. Churchill became a director on October 16, 2007. He has served as the chairman of the board of Vector Intersect Security Acquisition Corp. (OTCBB:VTRQ.OB), a “special purpose acquisition corporation,” since May 31, 2006. Since 1996, Mr. Churchill has been the managing general partner of SCP Partners, which manages several private equity and venture capital funds. From 1993 to the present he has been the co-chairman of CIP Capital Management, Inc., which manages a “small business investment company,” as defined by the National Association of Small Business Investment Companies. He is currently a director of Innovative Solutions and Support, a company engaged in the design, manufacture, and sale of flight information computers, flat panel displays, and monitoring systems; Amkor Technology, Inc., a subcontractor of semiconductor packaging and test services; Griffin Land & Nurseries, a real estate and landscape nursery business; and a number of private portfolio companies. Mr. Churchill received a BS in Physics, summa cum laude, from Fordham University in 1962, an MA in Economics from Oxford University, where he was a Rhodes Scholar, in 1964, and a JD from Yale Law School in 1967. He is a trustee of Georgetown University, Fordham University and Inmaculata University.

Richard M. Cohen
Director & Chairperson of Audit Committee
Richard M. Cohen. Mr. Cohen became a member of our Board of Directors in August 2007 and is Chairperson of the Audit Committee. Since 1996, he has been the President of Richard M. Cohen Consultants, a financial services consulting company that accepts engagements from public and private companies to assist with their corporate governance and corporate finance needs. Since 2003 Mr. Cohen has served as a director of Dune Energy, Inc., a publicly traded energy company (AMEX: DNE) for which he served as chief financial officer from November 2003 to April 2005. He is also currently serving as corporate secretary of Dune. Since February 2006, Mr. Cohen has served as a director of Helix Biomedix Inc. (OTCBB: HXBM.OB) and as the Chief Financial Officer of ABC Funding Inc. (OTCBB: AFDG.OB). Since July 2007, Mr. Cohen has served as a director of Universal Travel Group (OTCBB:UTVG.OB), which provides domestic and international air ticketing, hotel reservations, tourism services and freight forwarding services across China. From 1984 through 1992, Mr. Cohen was an investment banker at Henry Ansbacher, Furman Selz, where he specialized in mergers & acquisitions, public equity offerings, and restructurings. From 1980 through 1983, Mr. Cohen was a vice president of corporate development at Macmillan, Inc. Mr. Cohen is a certified public accountant (New York State). He received a B.S. from The University of Pennsylvania (Wharton) in 1973 and an M.B.A. from Stanford University in 1975.

Marvin I. Haas
Director
Marvin I. Haas. Mr. Haas became a member of our Board of Directors in October 2007. Since December 2006, Mr. Haas has served on the board of directors of Universal Power Group, Inc. (AMEX:UPG) and serves as chairman of its compensation committee and as a member of its corporate governance and nominating committee. From 1993 until its sale to the Sara Lee Corporation in 1999, Mr. Haas served as president and chief executive officer of Chock Full O’Nuts Corporation (NYSE: CHF). Since his retirement from Chock Full O’Nuts, Mr. Haas has been a private investor. Mr. Haas received a B.A. from Northeastern University in 1965 and an MBA from its Graduate School of Business in 1967.

Kevin Lupowitz
CEO of Direct Markets, Inc. & Director
Kevin Lupowitz became the Chief Executive Officer of Direct Markets, Inc. in December of 2011 and a member of our Board of Directors in May 2012. Mr. Lupowitz joins Direct Markets as an industry veteran at bringing innovative and disruptive technologies to the financial services marketplace. Prior to Direct Markets, Mr. Lupowitz was a founding employee at Liquidnet, the first and largest institutional equities marketplace, and served as the Global Head of Technology and Chief Information Officer for 11 years. He helped the firm grow from its launch in a single market (US) with 37 members, to operating in 39 markets globally with over 600 members in 2011. Mr. Lupowitz has also served as CIO and Global Head of Technology at FX Alliance Inc. (FXall). Mr. Lupowitz has spent much of his career developing and cultivating successful technology solutions within the financial services industry. He started his career in financial services as a development manager at Merrin Financial, where he helped develop the first pre-trade compliance engine and money market trading platform for institutional investors.

Edward Rubin
Chief Executive Officer
Edward Rubin. Mr. Rubin became our Chief Executive Officer in February 2009. He is also a member of our Board of Directors, and has been our President since 2006. He joined us in June 2002 as a Senior Managing Director of Rodman & Renshaw, LLC, our broker-dealer affiliate. From August 1999 through May 2002, Mr. Rubin was a director, corporate finance with Ladenburg Thalmann & Co. Inc. From November 1998 through July 1999, he was the founder and executive vice president of Tandem Venture Partners, Ltd., a specialized financial advisory firm focusing on growth companies in the United States and Asia. From July 1998 to November 1998, he was a vice president in the structured finance group at Jesup & Lamont Securities Corp. From November 1995 through December 1997, Mr. Rubin was assistant general counsel for NCH Capital, an investment fund specializing in investments in Eastern Europe and the former Soviet Union. From September 1993 through November 1995, Mr. Rubin was an associate in two law firms in New York, Friedman & Kaplan and Coudert Brothers. Mr. Rubin received his B.A. in political science from Baruch College, City University of New York in 1989 and his J.D. from New York University School of Law in 1993.