Privacy Policy and SIPC Information

This disclosure applies to consumers who have a relationship with one or more of the companies of Rodman & Renshaw, LLC or it's affiliates.

Your Privacy Is Important to Us

At Rodman we are committed to maintaining the confidentiality, integrity and security of your personal information. When you provide personal information, we believe that you should be aware of our policies to protect the confidentiality of that information. We have adopted the following policies and procedures to safeguard the personal information about you in our possession.

OUR PRIVACY PLEDGE

  • We do not sell or rent client information.
  • We share client information with financial professionals, affiliated companies and companies providing services on our behalf in order to provide you with ongoing personal advice and assistance with respect to the products and services you have purchased through us and to introduce you to other products and services that may be of value to you.
  • We share personal information about you with companies which offer products and services through us to facilitate your purchase of a product or service from another company and to assist in administering the product or service you purchased.
  • Our policy is to require that all employees, financial professionals and companies providing services on our behalf keep client information confidential.
  • Our privacy policy applies to both current and former clients.

Information We Collect About You

We collect information about you to help us serve your financial needs, to provide you with quality products and services, and to fulfill legal and regulatory requirements. We consider all information about you in our possessions to be personal information, even if you cease to be a client. The personal information we collect about our clients varies according to the products and services being provided and may include, among other things:

  • Information we receive from you on applications or other forms such as your name, age, address, phone number and social security number.
  • Information about your business, employment, and family.
  • Financial information, such as your income, assets and liabilities, as well as information about your savings, investments and insurance.
  • Information about your financial and investment objectives, needs and preferences.
  • Information about your transactions with us, our affiliates, or others.

Safeguarding Personal Information

We have adopted policies and procedures designed to protect your personal information from unauthorized use or disclosure.

  • We have implemented physical, electronic and procedural safeguards to maintain the confidentiality and integrity of the personal information in our possession and to guard against unauthorized access. These include, among other things, procedures for controlling access to customer files, building security programs and information technology security measures such as the use of passwords, encryption and firewalls, plus virus and use detection software.
  • Our policy is to restrict access to nonpublic personal information about you to those employees and financial professionals with a legitimate business need for using the information, such as administering, providing or developing our products and services.

Sharing Information

We may disclose nonpublic personal information about you with our affiliates.

  • The information that we share with our affiliates will be limited to identifying information and information about your transactions and experiences with Rodman and our affiliates.

We may disclose nonpublic personal information about our former customers to the same extent as for our current customer.

Changes To Our Privacy Policy

We may make changes to our privacy policy in the future. We will not make any change affecting you without first sending you a revised privacy policy describing the change. In any case, we will send you a current privacy policy at least once a year as long as you continue to be a customer.

If you prefer that we not disclose information about you among our affiliates, please follow the NOTIFICATION INSTRUCTIONS below.

NOTIFICATION INSTRUCTIONS

Your opt-out request should be in writing and sent to the following:

Rodman & Renshaw, LLC
1251 Avenue of the Americas – 20th Floor
New York, N.Y. 10020

Attention: William A. Iommi

SIPC INFORMATION

The Securities Investor Protection Corporation either acts as trustee or works with an independent court-appointed trustee in a missing asset case to recover funds. For more information contact them at (202) 371-8300 or log on to their website: www.sipc.org.