Edward 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.
Anthony Sanfilippo President
Anthony Sanfilippo, became our President in April 2011. He has over 30 years of experience in the financial services industry, most recently as the Chief Executive Officer of Hudson Holding Corporation. Prior to joining Hudson, Mr Sanfilippo founded Etico Capital, a boutique merchant bank. Prior to establishing Etico, Mr. Sanfilippo was Head of US Equity Trading for Jefferies & Co. Before that, Mr. Sanfilippo served as President and CEO of Knight Capital Markets and Interim Chief Executive Officer of Knight Trading Group. He also managed Knight’s operations in Europe and Japan as Head of Global Equities. Mr. Sanfilippo initially joined Knight when Tradetech Securities, a NASDAQ Intermarket trading company he founded in 1993, was acquired by Knight’s Trimark Division. Earlier in his career, Mr. Sanfilippo was Executive Vice President of Mesirow Financial, responsible for their equity trading division and regional specialist operations. Mr. Sanfilippo is a Director of the National Organization of Investment Professionals (NOIP), a Governor of the Securities Traders Association (STA), and a former President of the Security Traders Association of Chicago. He has also chaired the District 8 Business Conduct Committee (DBCC) of NASD Regulation, Inc. and is a past member of the SIA Trading Committee as well as of the Boards of Nasdaq Europe and Knight Trading Group.
David J. Horin Chief Financial Officer
David J. Horin became our Chief Financial Officer in March 2008. From 2003 through March 2008, Mr. Horin was
the Managing Director of Accounting Policy and Financial Reporting at Jefferies & Company, Inc., the principal operating
subsidiary of Jefferies Group, Inc., (NYSE Symbol: JEF), a full-service global investment bank and institutional securities firm
focused on growth and middle-market companies and their investors. Prior to his employment at Jefferies & Company, from
2000 to 2003, Mr. Horin was a Senior Manager in KPMG’s Department of Professional Practice in New York, where he
advised firm members and clients on technical accounting and risk management matters for a variety of public, international
and early growth stage entities. Mr. Horin has a Bachelor of Science degree in Accounting from Baruch College, City
University of New York. Mr. Horin is also a Certified Public Accountant.
Michael Vasinkevich Senior Managing Director, Vice Chairman, and Founding Partner
Michael Vasinkevich is our Senior Managing Director, Vice Chairman, Founding Partner and a member of our Board of Directors. He joined us in July 2002 as a Senior Managing Director of Rodman & Renshaw, LLC, our broker-dealer affiliate. From August 1999 through May 2002, Mr. Vasinkevich was a managing director at Ladenburg Thalmann & Co. Inc., and for the last 11 months of his tenure there he was president of capital markets. From November 1998 through July 1999 he was the founder and managing director of Tandem Venture Partners, Ltd., a specialized financial advisory firm focusing on growth companies in the United States and Asia. From June 1997 to November 1998, he was the managing director of the structured finance group at Jesup & Lamont Securities Corp.
John J. Borer, III Senior Managing Director and Head of Investment Banking
John J. Borer III is a Senior Managing Director and Head of Investment Banking of Rodman & Renshaw, LLC, our
broker-dealer affiliate and a member of our Board of Directors. Mr. Borer joined Rodman & Renshaw, LLC, our broker-dealer
affiliate in 1998 as a Senior Managing Director and president of Rodman & Renshaw, LLC. From 1991 through 1998, Mr.
Borer was a managing director and head of investment banking at the broker-dealer affiliate of the original Rodman &
Renshaw firm. From 1984 through 1991, Mr. Borer was senior vice president and investment manager in the new business
development office of Security Pacific Business Credit Inc. From 1979 through 1984, he served as a vice president and
business development officer with Barclays American Business Credit in its Los Angeles office. Mr. Borer received his B.S. in
Agricultural Economics from the University of California at Davis in 1978 and his J.D. from Loyola Law School in Los Angeles
Ajay Sareen Chief Operating Officer
Ajay Sareen became our Chief Operating Officer in April 2011. Prior to joining Rodman, Ajay was the Chief Administrative Officer of Hudson Securities, Inc. Mr. Sareen has been active in the financial services industry for over 20 years. Before joining Hudson, Mr. Sareen served as Chief Financial Officer and managing partner for Etico Capital, a boutique merchant bank. Previously, Mr. Sareen spent 16 years at Jefferies & Co., in various positions of increasing responsibility, including as Senior Vice President for business analysis and planning, and ultimately as CFO for Equity Sales & Trading. Throughout his tenure at Jefferies, Mr. Sareen helped develop, execute and monitor strategies for existing business lines as well as led initiatives focused on the inception and growth of new products. As part of the new business development team, his accomplishments include the successful incubation and establishment of Jefferies’ high-grade corporate bond trading, high net-worth client initiative, bulletin-board trading, and ETF trading. Mr. Sareen was also a member of Jefferies’ Equities Management Committee and separately served on the Management Committee of Bonds Direct LLC.