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Rodman & Renshaw Capital (RODM)
SUMMARY
BULLS
BEARS
TOPICS
DATA CENTRAL
STOCK CHART
SEC FILINGS
BALANCE
INCOME
CASH FLOW
Topic Listing for DIRECT MARKETS HOLDINGS CORP.
Ability Retain Senior Professionals Recruit Additional Critical Strategy
Absence Certain Events
Acceptance
Access
Accounting Changes Error Corrections
Accounting Derivative Instruments Hedging Activities
Accounting Grantee Equity Instrument Received Conjunction Providing Goods
Accounting Impairment Disposal Long Lived Assets
Accounting Limited Partnership Investments
Accounting Uncertainty Income Taxes-an Interpretation Fasb Statement 109
Accuracy Representations Warranties
Aceras Biomedical Llc
Aceras Biomedical Llc Formation
Aceras Biomedical Portfolio Acquired Biomarin
Aceras Partners
Aceras Partners Llc Formation
Acquisition
Acumenbiofin
Additional Incentive Compensation
Administration Operation
Administration Plan
Adoption New Accounting Pronouncements
Aicpa Audit Accounting Guide Brokers Dealers Securities
Alger Boyer
Amendment Rodman Rensaw Capital Group Inc 2007 Stock
Amendments Termination
Announces Formation London-based Rodman Renshaw Capital Partners Ltd
Annual Report Stockholders
Anti-takeover Effects Delaware Law
Application Issue 98-5 Certain Convertible Instruments
Approval Amendment 2007 Stock Incentive Plan Increase Authorized
Approvals Consents
Asset Management
Asset Management Business Intensely Competitive
Assets
Assignability Amendments
Assumption
Assumption Agreement
Attract Retain Highest Quality Professionals
Audit Committee
Audit Committee Pre-approval Policy
Audited Financial Statements
Authority Compliance
Authorization Agreement
Authorizations Consents
Available Information
Avenue Americas Floor New York 10020 Tel 212
Avenue Americas New York 10020 212 356-0500
Background
Background Reason Proposal
Base Salary
Beneficial Ownership Reporting Compliance
Beneficial Stock Ownership Principal Selling Stockholders Management
Beneficial Stock Ownership Principal Stockholders Management
Benefits
Biofin
Biotech Partners Llc
Biotechnology Sector
Board Committees
Board Composition
Board Meetings
Brokers Dealers Securities
Business
Business Combinations
Business Environment
Business Highlights Investment Banking
Business Model
Business Segments
Cannot Assure Common Stock Become Listed Securities Exchange
Capital
Capital Market Segment
Capitalization Options Etc
Cash Bonus
Cash Equivalents
Cash Flows
Cautionary Notice Regarding Forward Looking Statements
Cautionary Regarding Forward Looking Statements
Ccm Excluded Assets
Ccm Instruments Transfer
Certain Limitations Remedies
Certain Payments
Certain Relationships Related Transactions Director Independence
Certain Relationships Related Transactons
Certification
Certification Pursuant Usc 1350 Adopted 906 Sarbanes-oxley Act
Change Control
Change Control Provisions
Change Shell Status
Changes Control Registrant
Changes Disagreements Accountants Accounting Financial Disclosure
Changes Internal Control Over Financial Reporting
Changes Registrants Certifying Accountant
Claims Period
Client Base Number Products Offer Limited Rate Growth
Closing
Code Ethics
Commissions
Committees Established Board
Common Stock Considered Penny
Common Stock Currently Traded Otc Bulletin Board Because
Communications Non-management Members Board
Compared 2004
Compared 2005
Compared 2006
Compensation
Compensation Benefits
Compensation Committee
Compensation Committee Interlocks Insider Participation
Compensation Committee Report
Compensation Components
Compensation Directors
Compensation Discussion Analysis
Compensation Expense
Compensation Policy Adversely Affect Ability Recruit Retain Motivate
Competition
Competitive Strengths
Completion Acquisition Disposition Assets
Compliance Law
Comprehensive Income
Comprehensive Income Loss
Concentrations Credit Risk
Condensed Consolidated Financial Statements
Condensed Consolidated Statements Financial Condition 2009 2008
Conditions Precedent Obligations Rodman Rrllc
Conditions Precedent Obligations Sellers Interestholders
Conduct Business Until Closing Date
Conference Call
Conference Call Details
Conference Call Information
Conference Fees
Conference Fees Other Revenues
Conference Revenue Expenses
Conflict
Consent Independent Registered Public Accounting Firm
Consolidated Balance Sheet Data
Consolidation Financial Services Industry Created Opportunity Grow Business
Consolidation Variable Interest Entities
Construction
Continuation Employee Benefits
Contracts Commitments
Contractual Obligations
Controlled Limited Number Stockholders Whose Interests Differ Those
Controlled Single Stockholder Whose Interests Differ Those Other
Controls Procedures
Corporate Finance
Corporate Finance Strategic Advisory Engagements Singular Nature Not
Corporate Governance Nominating Committee
Corporate Information
Cosco Capital Management Llc
Cosco Capital Management Llc Acquisition
Cost Savings Initiatives Fixed Costs
Cost Savings Restructuring Initiatives
Counterparts Headings
Covenant Not Compete
Credit Risk
Critical Accounting Policies
Ctlp Excluded Assets
Ctlp Instruments Transfer
Cum Laude
Current Plan Pay Dividends Common Stock Investors Lose
Current Report Form 8-k 502 Appointment Certain Officers
Current Report Pursuant Securities Exchange Act 1934
Date Report Earliest Event Reported 2007
David Horin
Debt Equity Instruments
Deemed Investment Act 1940 Applicable Restrictions Make Impractical
Deferred Financing Cost
Demands Running Public Result Additional Costs Require Senior
Depend Services Limited Number Key Executives Loss Material
Depend Services Vasinkevich Borer Chambers Rubin Loss Material
Depend Services Vasinkevich Borer Rubin Loss Material Adverse
Derive Significant Portion Revenues Life Science Sector Primarily
Determination Compensation
Determining Fair Value Financial Asset Market Not Active
Determining Whether Instruments Granted Share-based Payment Transactions Participating
Development Innovative Solutions
Difficult Market Conditions Adversely Affect Business Ways Materially
Director Compensation
Director Independence
Director Officer Indemnification
Directors Executive Officers Corporate Governance
Directors Executive Officers Key Employees
Disclosures Derivative Instruments Hedging Activities
Dispute Resolution Arbitration
Disputes
Distributions
Distributions Members
Dividends
Documents Incorporated Reference
Duration Amendment Plan Award Agreements
Earn Out Price
Earnings Per Share
Edward Rubin
Eligibility
Eligibility Participation Certain Award Terms
Employee Benefits
Employee Compensation Benefits
Employee Misconduct Difficult Detect Deter Harm Impairing Ability
Employees
Employment Agreement
Employment Agreements
Employment Arrangements
Employment Arrangements Named Executive Officers
Endorsement Checks
Enthrust Financial Services Inc
Enthrust Financial Services Inc Restricted Stock Grant Agreement
Entire Agreement
Entrust Financial Form 10-qsb 2005
Entry Material Definitive Agreement
Equity Commitment
Equity Compensation Plan Information
Equity Price Risk
Equity Research
Equity-based Compensation
Established Respected Brand
Estimates
Evaluating Prospects Light Limited Operating History Fluctuations Results
Evaluation Disclosure Controls Procedure
Evaluation Disclosure Controls Procedures
Exact Name Registrant Specified Charter
Exact Name Specified Charter
Exchange Transaction
Executive Bonus Plan
Executive Compensation
Executive Session
Exhibits
Exhibits Financial Statement Schedules
Exhibits Incorporated Reference Filed Report
Exibit 991
Expand Existing Biotechnology Sector Platform
Expand Existing Merchant Banking Asset Management Businesses
Expand New Sectors
Expect Growth Rates Decline Anticipate Downward Pressure Operating
Expenses
Expenses Including Interest Expense
Experienced Professionals Deep Knowledge Broad Skills
Explanatory
Exploit Strategic Relationships
Exposure Legal Liability Significant Damages Other Costs Required
Face Strong Competition Other Investment Banks Serve Biotechnology
Face Strong Competition Other Investment Banks Serve Life
Fair Value Measurements
Fair Value Option Financial Assets Liabilities-including Amendment Fasb
Family Relationships
Fasb 161
Fax 212-981-3001
Federal Income Tax Consequences
Financial Information Geographic Areas
Financial Information Industry Segments
Financial Instruments Fair Value
Financial Services Firms Been Subject Increased Scrutiny Over
Financial Statements
Financial Statements Exhibits
Financial Statements Liabilities
Financial Statements Supplementary Data
Finder
Fixed Price
Focus Biotechnology Sector Allows Benefit Significant Demand Investment
Focus Financing Transactions
Focused Equity Research
Foregoing Not Intended Constitute Tax Advice Nor Necessarily
Forgivable Loans
Form 10-k
Form Amendment Employment Agreement Dated 2007 Amended
Former Name Address Changed Since Last Report
Fractional Shares
Friedman
Fsp Eitf 03-6-1
Fsp Fas 115-2 157-4
Funds Relationship Chief Executive Officer
Further Assurances
Future Sales Common Stock Cause Price Decline
Future Sales Common Stock Cause Price Decline Interest
Future Success Depends Ability Continue Expand Investment Banking
Future Success Depends Ability Expand Investment Banking Services
General
General Development Business
General Matters
Good Standing Certificates
Goodwill
Goodwill Impairment
Goodwill Other Intangible Assets
Goodwill Other Intangible Assets Impairment
Governing Law Jurisdiction
Government Regulation
Grants Plan-based Awards
Gregory Dow
Growth Depend Ability Complete Acquisitions Integrate Operations Acquired
Growth Strategy
Hidden Liabilities Adverse Impact Market Value
Hierarchy Generally Accepted Accounting Principles
Historical Financial Information Not Permit Predict Costs Operations
Historical Pro Forma Financial Information Not Permit Predict
Historically Been Limited Public Market Common Stock Cannot
History
Holders
Horin
Householding
However
Ignatures
Incentive Compensation
Income Taxes
Indemnification Interestholders Sellers
Indemnification Procedures
Indemnification Rodman Rrllc
Independence Discussions Audit Committees
Index Audited Consolidated Financial Statements
Industry Leading Conferences
Information Accredited Investor
Insurance
Interest Diluted Issue Additional Shares Common Stock
Interest Expense
Interest Rate Risk
Interestholder Representative
Interests Property Activities Companies
Interim Disclosures Fair Value Financial Instruments
Interim Financial Statements
Internal Control Integrated Framework
Introduction
Introduction Pro Forma Condensed Combined Balance Sheet Statements
Invest Own Principal Capital Equities Limited Liquidity Expose
Investment Affiliate
Investment Affiliates
Investment Banking
Investment Banking Industry Highly Competitive Fail Address Challenges
Investment Banking Revenue
Investment Intent
Investors Security Holders Cowen Rodman Urged Read Such
John Borer
John Chambers
Lacovara
Leading Industry Conferences
Lease Commitments
Legal Proceedings
Legal Proceedings Etc
Legal Reserves
Letter Credit
Level Incentive Compensation
Limitation Liability Indemnification Matters
Limitations Access Capital Impair Ability Expand Businesses
Limitations Access Capital Impair Ability Expand Underwriting Businesses
Limited Cash Equicalents Rely Flow Operations Operate Business
Liquidation Rights
Liquidity Capital Resources
List Ccm Assets
List Ctlp Assets
List Pesi Assets
Listing
Litigation
Litigation Etc
Management
Managements Discussion Analysis Financial Condition Results Operations
Managements Report Internal Control Over Financial Reporting
Market Information
Market Opportunity
Market Price Common Stock Volatile
Market Price Registrants Common Stock Related Stockholder Matters
Market Price Trading Volume Common Stock Volatile
Market Risk
Marvin Haas
Material Adverse Change
Material Adverse Changes
Matthew Geller Phd
Member Finra Sipc Cautionary Regarding Forward Looking Statements
Merchant Banking
Merchant Banking Segment
Messrs Borer Rubin Vasinkevich
Michael King
Michael Lacovara
Michael Vasinkevich
Miller Mathis Llc
Miller Mathis Llc Acquisition
Minimum Share Price
Narrative Description Business
Net Capital Requirements
Net Income
Net Income Loss
Net Income Loss Per Share
Net Income Per Share
Net Revenues
New York
New York 2007
New York 2009 Rodman Renshaw Capital Group Inc
Nominating Corporate Governance Committee
Nominees Standing Election Board
Non-cash Fair Value Adjustments
Non-compensation Expenses
Non-compensation Related Expenses
Non-controlling Interests
Non-gaap Financial Measures
Noncontrolling Interests Consolidated Financial Statements Amendment Arb
Notices
Now Therefore
Number
Number 001-33737
Off-balance Sheet Arrangements
Operating Expenses
Operating Margin
Operating Results Investment Banking
Operational Covenants
Operations
Operations Infrastructure Those Service Providers Rely Malfunction Fail
Organization Good Standing
Organization Nature Operations Basis Presentation
Other Awards
Other Compensation
Other Events
Other Including Conference Fees
Other Information
Other Matters
Other Operating Expenses
Outstanding Equity Awards 2006
Outstanding Equity Awards 2007
Overview
Part Financial Information
Party Beneficiaries
Patents Trademarks Copyrights Etc
Payable Brokers Dealers Clearing Agencies
Payment Consideration Allocation
Performance Agreements
Performance Units
Pesi Excluded Assets
Pesi Instruments Transfer
Peter Drake
Pipe Financing Transactions
Pipe Transactions Been Subject Intense Regulatory Scrutiny Over
Plan
Policies Procedures Related Party Transactions
Potential Payments Change Control
Potential Payments Termination Change Control
Preferred Research Trading Partner Target Sectors
Preferred Stock
Premises Equipment
Principal Accountant Fees Services
Principal Accounting Fees Services Audit Committee Pre-approval Policy
Principal Independent Accountant Fees Services
Principal Independent Accountants
Principal Transaction Platform Invest Own Capital Expose Significant
Principal Transactions
Principal Transactions Realized Gains
Principal Transactions Realized Gains Losses
Principles Consolidation
Private Energy Securities Inc
Private Investment Public Equity
Private Placements
Pro Forma Adjustments
Pro Forma Information
Pro-forma Condensed Results Operations
Proceeds
Professional Standards
Profit Distributions Membership Interests
Properties
Property Equipment
Proposal Approval 2007 Stock Incentive Plan
Proposal Approval Executive Bonus Plan
Proposal Approval Performance Based Compensation Contained Lacovara Employment
Proposal Election Directors
Provisions Organizational Documents Discourage Acquisition Adversely Impact Price
Proxy Statement
Proxy Statement ----------------------------
Public Offering
Public Offerings
Publicity
Purchase Ccm Assets
Purchase Ctlp Assets
Purchase Method
Purchase Pesi Assets
Purposes
Quantitative Qualitative Disclosures Market Risk
Real Property
Reasonable Estimation Amount Loss Interpretation Fasb Statement
Recent Accounting Pronouncements
Recent Sales Unregistered Securities
Reclassifications
Recognition Presentation Other-than-temporary Impairments
Registered Direct Offerings
Registrants Telephone Number Including Area Code 212-356-0500
Registration Payment Arrangements
Registration Rights
Regulatory Inquiries Investigations
Related Employees
Related Party Transactions
Reorganization Transactions Corporate Structure
Report Audit Committee Board
Report Compensation Committee
Representations Warranties Interestholders
Representations Warranties Rodman Rrllc
Representations Warranties Sellers Interestholders Respect
Required Make Substantial Payments Certain Indemnification Agreements
Research
Restricted Stock
Restricted Stock Awards
Restricted Stock Grant
Restricted Stock Units
Results Adversely Affected Future Periods Volatility Financial Instruments
Results Adversely Affected Future Periods Volatility Securities Portfolio
Results Operations
Results Operations Financial Condition
Revenue Profits Highly Volatile Make Difficult Achieve Steady
Revenue Recognition
Revenues
Richard Cohen
Right Cosco Name
Risk Factors
Risk Management Compliance
Risk Management Policies Procedures Leave Exposed Unidentified Unanticipated
Risks Related Business
Risks Related Common Stock
Risks Related Industry Difficult Market Conditions Adversely Affect
Rodman Renshaw
Rodman Renshaw Capital Group Affiliate Sells Huxley Pharmaceuticals
Rodman Renshaw Capital Group Inc
Rodman Renshaw Capital Group Inc Acquire Leading Energy
Rodman Renshaw Capital Group Inc Announces Acquisition Miller
Rodman Renshaw Capital Group Inc Announces Appointment New
Rodman Renshaw Capital Group Inc Announces Financial Results
Rodman Renshaw Capital Group Inc Announces Formation London-based
Rodman Renshaw Capital Group Inc Announces Merchant Banking
Rodman Renshaw Capital Group Inc Announces Preliminary Financial
Rodman Renshaw Capital Group Inc Announces Record Revenue
Rodman Renshaw Capital Group Inc Announces Stock Repurchase
Rodman Renshaw Capital Group Inc Announces Termination Cowen
Rodman Renshaw Capital Group Inc Exact Name Registrant
Rodman Renshaw Capital Group Inc Restricted Stock Grant
Rodman Renshaw Capital Group Inc Subsidiaries Condensed Consolidated
Rodman Renshaw Capital Group Inc Subsidiaries Notes Condensed
Rodman Renshaw Llc
Rodman Renshaw Llc John Borer Edward Rubin Michael
Rodman Renshaw Llc Mathew Murray
Rodman Renshaw Llc Matthew Murray
Sales Trading
Sales Trading Business Adversely Affected Potential Changes Industry
Sam Dryden
Sec Reports
Sector Focus
Securities Analysts Not Publish Research Reports Business They
Securities Exchange Act 1934
Securities Owned Sold Not Yet Purchased
Securities Registered Pursuant Act Title Class
Securities Transactions Revenue Recognition
Security Ownership Certain Beneficial Owners Management
Security Ownership Certain Beneficial Owners Management Related Stockholder
Segment Reporting
Senior Convertible Debentures Warrants
Separation Agreement
Service Fees Paid Independent Registered Public Accounting Firm
Severability
Share-based Payment
Shares Available Issuance
Shares Outstanding
Shares Stock Subject Plan
Short Sales
Signatures
Significant Accounting Policies
Significant Accounting Policies Critical Estimates
Significantly Expanded Corporate Governance Public Disclosure Requirements Result
Solicitation Revocation Proxies
Special Regarding Forward-looking Statements
Statement Regarding Performance
Statement Regarding Termination Asset Management Operation
Stock Appreciation Rights
Stock Based Compensation
Stock Incentive Plan
Stock Options
Stock Power
Stock-based Compensation
Stockholder Proposals 2008 Annual Meeting
Stockholder Recommendation Director Nominations
Stockholder Return Performance Graph
Stockholders Proposals 2009 Annual Meeting
Stockholders Voting Rights
Strategic Acquisitions
Strategic Advisory Services
Strategic Investments Acquisitions Joint Ventures Entry New Business
Strong Client Relationships
Submission Matters Vote Security Holders
Subsequent Evens
Subsequent Events
Subsidiaries
Summa Cum Laude
Summary
Summary Compensation
Summary Description 2007 Stock Incentive Plan
Survival Representations Warranties Covenants Agreements
Table Contents
Tax Deductibility Compensation
Tax Indemnification Agreement
Tax Matters
Tax Treatment
Taxes Tax Returns
Tem Condensed Consolidated Financial Statements
Tem Controls Procedures
Tem Exhibits
Tem Legal Proceedings
Tem Managements Discussion Analysis Financial Condition Results Operations
Tem Other Information
Tem Quantitative Qualitative Disclosures Market Risk
Tem Risk Factors
Termination Asset Management Operation
Termination Employment
Termination Payment
Termination Stock Repurchase Program
Terms Conditions Options
Thomas Pinou
Total Revenues
Transaction Create Rodman Energy Group
Transfer Agent Registrar
Transition Corporate Structure Adversely Affect Ability Recruit Retain
Types Terms Awards
Unable Satisfy Nasdaqs Maintenance Requirements Including Bid Price
Underwriter Placement Agent Warrants
United States Securities Exchange Washington 20549 Form 10-k
Unregistered Sales Equity Securities
Unregistered Sales Equity Securities Proceeds
Valuation Financial Instruments
Valuation Securities Owned Marketable Non-marketable
Valuation Securities Owned-marketable Non-marketable
Value Underwriter Placement Agent Warrants
Variable Price
Voting
Waivers Remedies
Warrants
Weighted Average Shares Outstanding
Wesley Clark
Whereas
William Iommi
Winston Churchill
Witness Whereof
Working Capital
Xpenses
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