Vice Chairman and General Counsel
Mr. Rose has been working in the securities industry for over 25 years. He currently is the Vice Chairman and General Counsel of Maxim, which he co-founded in October 2002. In addition to running the legal and compliance departments, Mr. Rose is responsible for overseeing the Firm’s operations.
Prior to founding Maxim Group, Mr. Rose was General Counsel of the Private Client Group and Director of Litigation for Investec Ernst & Company, a global financial services company headquartered in South Africa and the UK. Mr. Rose joined Investec through an acquisition of a boutique investment banking firm, where he acted in similar capacities.
Mr. Rose has served on many committees designed to improve the securities industry and has spoken extensively at legal and compliance seminars for industry professionals. He currently serves as an adjunct professor at Fordham Law School.
Mr. Rose graduated from the State University at Albany with honors in 1983. He obtained his law degree from Fordham University in 1991, where he was a member of the Urban Law Journal and the Moot Court Board. Mr. Rose is very active in fundraising efforts. He currently serves in different fundraising capacities for Alzheimer’s Foundation of America, Fordham University, Angela’s House and Torch Program.