Nominees For District Committee And District Nominating Committee
INFORMATIONAL
District Elections
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District Elections |
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members (see Attachment A) have been nominated for three-year terms on the District Committees and for one-year terms on the District Nominating Committees starting in January 2002. These nominees will be considered duly elected on November 1, 2001, unless an election is contested in accordance with the procedures summarized below.
We appreciate the interest shown by many of you in participating in the District Committees and thank everyone for their continuing support of the self-regulatory process. We look forward to your participation in the matters of the Districts during the coming year, as well as hope that those who were not selected this year may wish to revisit this process next year.
Contested Election Procedures
If an officer, director, or employee of a National Association of Securities Dealers, Inc. (NASD®) member is interested in being considered as an additional candidate, he/she must indicate his/her interest to the District Director by October 31, 2001. If an additional candidate(s) comes forward by that date, the candidate has until December 3, 2001 to submit a petition to the District Nominating Committee with signatures from at least 10 percent of Executive Representatives of members eligible to vote in the District.
If no additional candidates submit petitions by December 3, 2001, then the candidates nominated by the District Nominating Committee shall be considered elected, and the District Committee shall certify the election to the Board of Directors of NASD Regulation.
Additional information pertaining to the District Election Procedures can be found in Article VIII of the By-Laws of NASD Regulation.
Questions/Further Information
Questions concerning this Special Notice may be directed to the District Director noted in Attachment A or to Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, NASD, at (202) 728-8062 or via e-mail at: [email protected]
ATTACHMENT A
District 1
District Committee And District Nominating Committee Nominees
| Elisabeth P. Owens, District Director | |
| 525 Market Street, Suite 300, San Francisco, CA 94105 | (415) 882-1200 |
| Northern California (the counties of Monterey, San Benito, Fresno, and Inyo, and the remainder of the state north or west of such counties), northern Nevada (the counties of Esmeralda and Nye, and the remainder of the state north or west of such counties), and Hawaii |
| 2001 District Nominating Committee Chair | ||
| Nicholas C. Cochran | American Investors Company | Dublin, CA |
| District Committee Nominees | ||
| Raymond J. Cyphers | UBS PaineWebber, Inc. | San Jose, CA |
| Allan L. Herzog | Prudential Securities, Inc. | San Francisco, CA |
| Robert A. Muh | Sutter Securities, Inc. | San Francisco, CA |
| District Nominating Committee Nominees | ||
| Stephen R. Adams | Wells Fargo Van Kasper | San Francisco, CA |
| Janet W. Campbell | Protected Investors of America | Walnut Creek, CA |
| Glenn M. Colacurci | Salomon Smith Barney | San Francisco, CA |
| John C. Helmer | Caldwell Securities, Inc. | Danville, CA |
| Jerry D. Phillips | Sutro & Co. | San Francisco, CA |
District 2
District Committee And District Nominating Committee Nominees
| Lani M. Woltmann, District Director | |
| 300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071 | (213) 627-2122 |
| Southern California (that part of the state south or east of the counties of Monterey, San Benito, Fresno, and Inyo), southern Nevada (that part of the state south or east of the counties of Esmeralda and Nye), and the former U.S. Trust Territories |
| 2001 District Nominating Committee Chair | ||
| Jerry M. Gluck | Jefferies & Company, Inc. | Los Angeles, CA |
| District Committee Nominees | ||
| Kevin J. Hart | Sentra Securities Corp. c/o SunAmerica Financial Network, Inc. | Woodland Hills, CA |
| Joan A. Payden | Payden & Rygel | Los Angeles, CA |
| Joel H. Ravitz | Quincy Cass Associates, Inc. | Los Angeles, CA |
| Guy W. Williams | Merrill Lynch Pierce Fenner & Smith, Inc. | Laguna Hills, CA |
| District Nominating Committee Nominees | ||
| George H. Casey | Crowell Weedon & Co. | Los Angeles, CA |
| Murray L. Finebaum | Market Axess, Inc. | Santa Monica, CA |
| James B. Guillou | Tucker Anthony Sutro, Inc | La Jolla, CA |
| Dean A. Holmes | American General Financial Group | Anaheim, CA |
| Robert L. Winston | American Funds Distributors, Inc. | Los Angeles, CA |
District 3
District Committee And District Nominating Committee Nominees
| Frank J. Birgfeld, District Director | |
| Republic Plaza Building, 370 17th Street, Suite 2900, Denver, CO 80202-5629 | (303) 446-3100 |
| Arizona, Colorado, New Mexico, Utah, and Wyoming | |
| James G. Dawson, District Director | |
| Two Union Square, 601 Union, Suite 1616, Seattle, WA 98101-2327 | (206) 624-0790 |
| Alaska, Idaho, Montana, Oregon, and Washington |
| 2001 District Nominating Committee Chair | ||
| Douglas Strand | Strand, Atkinson, Williams & York, Inc. | Portland, OR |
| District Committee Nominees | ||
| Gregory R. Anderson | TIAA/CREF Individual & Institutional Services, Inc. | Denver, CO |
| Robert E. Frey, Jr. | KMS Financial Services, Inc. | Seattle, WA |
| John F. York | Strand, Atkinson, Williams & York, Inc. | Portland, OR |
| District Nominating Committee Nominees | ||
| Thomas R. Hislop | Peacock, Hislop, Staley & Given, Inc. | Phoenix, AZ |
| John Morton | Morton Clarke Fu & Metcalf, Inc. | Seattle, WA |
| William G. Papesh | WM Fund Distributor, Inc. | Seattle, WA |
| Thomas Petrie | Petrie Parkman & Co., Inc. | Denver, CO |
| James E. Stark | Charles Schwab & Co., Inc. | Phoenix, AZ |
District 4
District Committee And District Nominating Committee Nominees
| Thomas D. Clough, District Director | |
| 120 W. 12th Street, Suite 900, Kansas City, MO 64105 | (816) 421-5700 |
| Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota |
| 2001 District Nominating Committee Chair | ||
| Wayne H. Pererson | USALLANZ Investor Services, LLC | Minneapolis, MN |
| District Committee Nominees | ||
| William R. Giovanni | Ameritas Investment Corp. | Lincoln, NE |
| Frank H. Kirk | First Union Securities, Inc. | Kansas City, MO |
| James H. Warner | The Warner Group, Inc. | Sioux City, IA |
| District Nominating Committee Nominees | ||
| Robert M. Chambers | Robert W. Baird & Co. Incorporated | Des Moines, IA |
| Cheryl Cook-Schneider | Edward Jones | St. Louis, MO |
| Norman Frager | Flagstone Securities | St. Louis, MO |
| John R. Lepley | Princor Financial Services Corp. | Des Moines, IA |
| Brent M. Weisenborn | Security Investment Company of Kansas City | Kansas City, MO |
District 5
District Committee And District Nominating Committee Nominees
| Warren A. Butler, Jr., District Director | |
| 1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802 | (504) 522-6527 |
| Alabama, Arkansas, Kentucky, Louisiana, Mississippi, Oklahoma, and Tennessee |
| 2001 District Nominating Committee Chair | ||
| Jerry Roberts | Sterne, Agee & Leach, Inc. | Little Rock, AR |
| District Committee Nominees | ||
| John J. Dardis | Jack Dardis & Associates, Ltd. | Metairie, LA |
| J. Timothy | Rice Rice, Voelker, LLC | Mandeville, LA |
| James T. Ritt | Morgan Keegan & Company, Inc. | Memphis, TN |
| District Nominating Committee Nominees | ||
| Carl W. Busch | Prudential Securities Incorporated | Oklahoma City, OK |
| William T. Griggs, II | Dupree & Company, Inc. | Lexington, KY |
| V. Hugo Marx, III | Hugo Marx & Co., Inc. | Birmingham, AL |
| Dene R. Shipp | SunTrust Equitable Securities, Inc. | Nashville, TN |
| William L. Tedford, Jr. | Stephens Inc. | Little Rock, AR |
District 6
District Committee And District Nominating Committee Nominees
| Bernerd E. Young, District Director | |
| 12801 N. Central Expressway, Suite 1050, Dallas, TX 75243 | (972) 701-8554 |
| Texas |
| 2001 District Nominating Committee Chair | ||
| William D. Connally | Greenman Parker Connally, Greenman, Inc. | Fort Worth, TX |
| District Committee Nominees | ||
| Donaldson D. Frizzell | First Command Securities Corporation | Fort Worth, TX |
| Sennett Kirk, III | Kirk Securities Corporation | Denton, TX |
| V. Keith Roberts | American General Distributors, Inc. | Houston, TX |
| Daniel P. Son | Penson Financial Services, Inc. | Dallas, TX |
| District Nominating Committee Nominees | ||
| Daniel C. Dooley | Maplewood Investment Advisors, Inc. | Dallas, TX |
| Kenneth R. Hanks | SWS Securities, Inc. | Dallas, TX |
| William H. Lowell | Lowell & Company, Inc. | Lubbock, TX |
| Fredrick W. McGinnis | UBS PaineWebber, Inc. | Houston, TX |
| Jim G. Rhodes | Rhodes Securities, Inc. | Fort Worth, TX |
District 7
District Committee And District Nominating Committee Nominees
| Alan M. Wolper, District Director | |
| One Securities Centre, Suite 500, 3490 Piedmont Road, N.E., Atlanta, GA 30305 | (404) 239-6100 |
| Florida, Georgia, North Carolina, South Carolina, Virginia, Puerto Rico, the Canal Zone, and the Virgin Islands |
| 2001 District Nominating Committee Chair | ||
| R. Charles Shufeldt | SunTrust Banks, Inc. | Atlanta, GA |
| District Committee Nominees | ||
| Jeffrey P. Adams | Balentine & Company | Atlanta, GA |
| Richard G. Averitt, III | Raymond James Financial Services, Inc. | Atlanta, GA |
| Harold F. Corrigan | Merrill Lynch, Pierce, Fenner & Smith, Inc. | Palm Beach, FL |
| District Nominating Committee Nominees | ||
| M. Anthony Greene | Raymond James Financial Services, Inc. | Atlanta, GA |
| James W. Hamilton, Jr. | Morgan Keegan & Co. | Atlanta, GA |
| Edward R. Hipp, III | Centura Securities, Inc. | Rocky Mount, NC |
| Raymond W. Snow | Merrill Lynch, Pierce, Fenner & Smith, Inc. | West Palm Beach, FL |
| Roark A. Young | Young, Stovall & Company | Miami, FL |
District 8
District Committee And District Nominating Committee Nominees
| Carlotta A. Romano, District Director | |
| 55 West Monroe Street, Suite 2700, Chicago, IL 60603 | (312) 899-4400 |
| Illinois, Indiana, Michigan, and Wisconsin | |
| William H. Jackson, Jr., District Director | |
| Renaissance on Playhouse Square, 1350 Euclid Avenue, Suite 650, Cleveland, OH 44115 | (216) 592-2950 |
| Ohio and part of upstate New York (the counties of Monroe, Livingston, and Steuben, and the remainder of the state west of such counties) |
| 2001 District Nominating Committee Chair | ||
| Leonard L. Anderson | Stifel Nicolaus & Company, Inc. | Grand Haven, MI |
| District Committee Nominees | ||
| Bernard A. Breton | Carillon Investments, Inc. | Cincinnati, OH |
| Donald A. Carlson | B.C. Ziegler and Company | Chicago, IL |
| William K. Curtis | M & I Brokerage Services, Inc. | Milwaukee, WI |
| Gerald L. Oaks | Legg Mason Wood Walker, Inc. | Cincinnati, OH |
| Jill R. Powers | Oberlin Financial Corporation | Bryan, OH |
| District Nominating Committee Nominees | ||
| Wallen L. Crane, Jr. | Salomon Smith Barney, Inc. | Toledo, OH |
| William L. Faulkner | Continental Capital Securities, Inc. | Sylvania, OH |
| Thomas Harenburg | Carl M. Hennig, Inc. | Oshkosh, WI |
| David Slavik | Pershing Division of Donaldson, Lufkin & Jenrette | Oak Brook, IL |
| L. Gene Tanner | NatCity Investments, Inc. | Indianapolis, IN |
District 9
District Committee And District Nominating Committee Nominees
| John P. Nocella, District Director | |
| Eleven Penn Center, 1835 Market Street, Suite 1900, Philadelphia, PA 19103 | (215) 665-1180 |
| Delaware, Pennsylvania, West Virginia, District of Columbia, Maryland, and the southern part of New Jersey in the immediate Philadelphia vicinity | |
| Gary K. Liebowitz, District Director | |
| 581 Main Street, 7th Floor, Woodbridge, NJ 07905 | (732) 596-2000 |
| New Jersey (except southern New Jersey in the immediate Philadelphia vicinity) |
| 2001 District Nominating Committee Chair | ||
| James J. Malespina | Herzog, Heine, Geduld, Inc. | Jersey City, NJ |
| District Committee Nominees | ||
| James E. Bickley | Cresap, Inc. | Radnor, PA |
| Michael B. Row | Donaldson, Lufkin & Jenrette Securities Corporation | Jersey City, NJ |
| Frank D. Ruscetti | Harvest Financial Corporation | Pittsburgh, PA |
| District Nominating Committee Nominees | ||
| Philip S. Cottone | Rutherford, Brown & Catherwood, LLC | Philadelphia, PA |
| A. Louis Denton | Philadelphia Corporation for Investment Services | Philadelphia, PA |
| Jerome J. Murphy | Janney Montgomery Scott LLC | Philadelphia, PA |
| Joseph S. Rizzello | Pershing Trading Company, L.P. | Jersey City, NJ |
| Gregory R. Zappala | RRZ Public Markets, Inc. | Cranberry Township, PA |
District 10
District Committee And District Nominating Committee Nominees
| Cathleen Shine, District Director | |
| 33 Whitehall Street, New York, NY 10004 | (646) 441-3000 |
| The five boroughs of New York City, and Long Island |
| 2001 District Nominating Committee Chair | ||
| Laurence H. Bertan | Sanford C. Bernstein & Co., LLC | New York, NY |
| District Committee Nominees | ||
| Jennifer A. Connors | ITG Inc. | New York, NY |
| Joan E. Hoffman | Deutsche Banc Alex. Brown Inc. | New York, NY |
| Nathalie P. Maio | Bear, Stearns & Co. Inc. | New York, NY |
| Bertram J. Riley, Sr. | Petersen Investments, Inc. | New York, NY |
| Mark W. Ronda | Prime Charter Ltd. | New York, NY |
| District Nominating Committee Nominees | ||
| William P. Behrens | Northeast Securities, Inc. | New York, NY |
| Laurence H. Bertan | Sanford C. Bernstein & Co., LLC | New York, NY |
| Philip V. Oppenheimer | Oppenheimer & Close, Inc. | New York, NY |
| Eugene A. Schlanger | Nomura Securities International, Inc. | New York, NY |
| Tom M. Wirtshafter | American Portfolios Financial Services, Inc. | Holbrook, NY |
District 11
District Committee And District Nominating Committee Nominees
| Frederick F. McDonald, District Director | |
| 260 Franklin Street, 16th Floor, Boston, MA 02110 | (617) 261-0800 |
| Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont, and New York (except for the counties of Monroe, Livingston, and Steuben; the five boroughs of New York City; and Long Island) |
| 2001 District Nominating Committee Chair | ||
| Stephanie Brown | Linsco/Private Ledger Corp. | Boston, MA |
| District Committee Nominees | ||
| Michael C. Braun | Moors & Cabot, Inc. | Boston, MA |
| Andrew F. Detwiler | Fechtor, Detwiler & Co. Inc. | Boston, MA |
| Thomas J. Horack | John Hancock Life Insurance Company | Boston, MA |
| District Nominating Committee Nominees | ||
| Harry Branning | Linsco/Private Ledger Corp. | Glastonbury, CT |
| Stephen O. Buff | Fleet Securities, Inc. | Boston, MA |
| Sheldon Fechtor | Fechtor, Detwiler & Co., Inc. | Boston, MA |
| Arthur F. Grant | Cadaret, Grant & Co., Inc. | Syracuse, NY |
| Dennis Surprenant | Cantella & Co., Inc. | Boston, MA |