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education from Lehigh University, and a master’s degree from the
University of Pennsylvania. Prior to 1985, Rose was employed by
Evantash Associates, Chemical Bank, Soloman Bros., Thompson
McKenan, Kidder Peabody, J.J. Lowry & Co., and Community College
of Philadelphia, among others. Through his employment, Rose
gained experience in budgeting, financial futures, hedging
transactions, foreign currencies, and loan transactions.
B. Printon Kane and Co. and the Printon Kane Group, Inc.
Printon Kane and Co. (Printon Kane), a Delaware limited
partnership, was, at all relevant times, in the business of
dealing in bonds and other investment opportunities. Printon
Kane’s business was eventually transferred to the Printon Kane
Group, Inc. (Printon Kane Group), a Delaware corporation, during
1989.
Rose began working for Printon Kane in 1985 and was a
full-time employee of Printon Kane through 1988. Rose remained
employed by Printon Kane during 1989 and by the Printon Kane
Group during 1989 and 1990. Rose worked in the area of corporate
finance at Printon Kane and the Printon Kane Group. In that
capacity, Rose acted as a loan broker and would attempt to find
lenders to fund small hydroelectric projects, cogeneration
projects, and coal mining projects. In addition, Rose’s duties
at Printon Kane and the Printon Kane Group included seeking out
and developing investment opportunities for the firm.
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