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Randall Katzenstein

The President and CEO of the OBEX Group LLC, founded OBEX in August of 2001.  Randy has been active in nearly all aspects of institutional brokerage, client relations and trading since his entrance into the financial arena.  From 1985 until May 2001, he was Senior Vice President with Refco Inc. For Refco, Randy directed one of the largest institutional capital markets groups in the firm.  His clients have included international money center banking institutions, major corporations, hedge funds, mutual funds, insurance companies and family offices.

Randy’s broad experience in finance has included teaching interest rate hedging concepts and their applications at seminars and at the graduate level and has published several articles in this area.  He currently lectures on hedge fund transparency and operational risk issues.  He is a founding member of the International Association of Financial Engineers and sits on their Advisory Board and its associated Investor Risk Committee. Randy was one of the two principal founders of a business school in Istanbul, Turkey where he helped design the curriculum as well as co-headed management of the school and is an active participant of the American-Turkish Council.   Randy has ownership interests in a stock brokerage company in Romania and was a founder of an internet hardware trading firm in Taiwan.

Randy received his Bachelor of Science Degree in Accounting and a minor in Bio/Chemistry from Syracuse University.  Prior to his involvement in the financial marketplace, Randy was employed with Price Waterhouse & Co and the Continental Grain Company in the audit and internal audit departments, respectively. 

Randy has three children and with his wife lives in Southern Westchester County, NY. 

 


Alice M. Rooney

Chief Operating Officer, Chief Compliance Office and Chief Financial Officer for OBEX Group, LLC.  Ms. Rooney has over twenty-five years of experience in the brokerage and investment business including dual overlapping duties and responsibilities related to both a registered broker-dealer and private investment companies.  Most recently, she was Chief Financial Officer and Compliance Officer at Sidoti & Co, LLC.  The firm concentrated on independent small cap research. Ms. Rooney was responsible for managing the firm’s accounting department as well as overseeing compliance for the sales and research divisions. She also served as the Member Representative to the Securities Industry Association.

        Ms. Rooney was COO/CCO/CFO of ipo.com Securities(“IPO”) an institutional broker-dealer from 2001 to 2003. There she was responsible for overseeing all trading activity, legal/compliance, accounting and financial reporting issues of the brokerage operations.  Concurrent with her IPO role, she managed the organization and regulatory application/approval of Sea Port Securities, LLC, an institutional broker-dealer that specialized in distressed and high yield trading.

        From 1986 to 2001, Ms. Rooney was at Amroc Securities LLC and BDS Securities Corp, broker dealers which also specialized in all aspects of distress and high yield trading and research.  She was active in the Loan Syndications and Trading Association.

  Ms. Rooney holds seven securities licenses including three principal licenses.  She has managed eleven regulatory audits/examinations (SEC, FINRA, MSRB). She received her BA in Political Science from State University of New York at Buffalo.


Martin Loftus

is a Managing Director of OBEX Investments LLC, and has been managing Fixed Income and Equity Derivative Arbitrage portfolios since 1988. His experience includes development and implementation of derivative based trade strategies andportfolio finance utilizing traditional repo and securities lending facilities as well as structured financing solutions.

     Prior to joining OBEX,  Mr. Loftus managed the portfolio finance and derivative products division of Dinosaur Securities LLC.

  In 1999 Mr. Loftus created and managed a Bermuda based asset management company providing traditional brokerage services, a multi manager alternative asset management program and structured trading and financing programs tailored to particular client needs.

     Mr. Loftus was a Senior Vice President at Refco Group from 1988 until 1999 responsible for the development of new products.  Trading based products included equity derivative based arbitrage programs andfixed income relative value portfolios predominately in non US capital markets.  Client based products included execution services, repo and margin finance for both US and international markets.

     Mr. Loftus began his career at EF Hutton & Co in 1977.  After completing the management training program Mr. Loftus was responsible for the development and management of the Securities Lending department.

  Mr. Loftus received a Bachelor of Science degree in Economics from Siena College