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 terms1 on the District Committees and for one-year terms on the District Nominating Committees starting in January 2003. These nominees will be considered duly elected on October 11, 2002, 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 NASD member is interested in being considered as an additional candidate, he/she must indicate his/her interest to the District Director by October 11, 2002. If an additional candidate(s) comes forward by that date, the candidate has until November 10, 2002 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 November 10, 2002, 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].
Endnote
1 Some nominees are filling existing vacancies and therefore may serve less than a three-year term, as indicated on Attachment A.
ATTACHMENT A
District Committee and District Nominating Committee Nominees
District 1
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
| 2002 District Nominating Committee Chair | ||
| Stephen R. Adams | Wells Fargo Investments LLC | San Francisco, CA |
| District 1 Nominees | ||
| Steven R. Aaron | J.P. Morgan Securities (one-year term) | San Francisco, CA |
| Gerard P. Gloisten | GBS Financial Corporation (two-year term) | Santa Rosa, CA |
| Warren E. Gordon | Charles Schwab & Co., Inc. | San Francisco, CA |
| William P. Hayes | Wells Fargo Investments LLC | San Francisco, CA |
| Francis X. Roche, II | RBC Dain Rauscher, Inc. | San Francisco, CA |
| District 1 Nominating Committee Nominees | ||
| Sally G. Aelion | Emmett A. Larkin Company, Inc. | San Francisco, CA |
| John H. Chung | Alliant Partners | Santa Clara, CA |
| Glenn M. Colacurci | Salomon Smith Barney | San Francisco, CA |
| James D. Klein | UBS PaineWebber, Inc. | San Francisco, CA |
| Jerry D. Phillips | RBC Dain Rauscher, Inc. | San Francisco, CA |
District Committee And District Nominating Committee Nominees
District 2
Lani M. Sen 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
| 2002 District Nominating Committee Chair | ||
| George H. Casey | Crowell Weedon & Co. | Los Angeles, CA |
| District 2 Nominees | ||
| A. William Cohen | Integrated Trading and Investments, Inc. | Las Vegas, NV |
| Don S. Dalis | USB PaineWebber Inc. | Newport Beach, CA |
| Donna Bartlett Lawson | First Allied Securities, Inc. | San Diego, CA |
| District 2 Nominating Committee Nominees | ||
| Margaret M. Black | Morgan Stanley Dean Witter | Los Angeles, CA |
| George H. Casey | Crowell Weedon & Co. | Los Angeles, CA |
| Miles Z. Gordon | Financial Network Investment Corporation | Torrance, CA |
| Dean A. Holmes | Valic Financial Advisors, Inc. | Glendale, CA |
| Robert L. Winston | American Funds Distributors, Inc. | Los Angeles, CA |
District Committee And District Nominating Committee Nominees
District 3
Joseph M. McCarthy, 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
| 2002 District Nominating Committee Chair | ||
| Thomas Petrie | Petrie Parkman & Co., Inc. | Denver, CO |
| District 3 Nominees | ||
| Gene G. Branson | Partners Investment Network, Inc. | Spokane, WA |
| Bridget Gaughan | SunAmerica Securities, Inc. | Phoenix, AZ |
| John W. Goodwin | Goodwin Browning & Luna Securities Inc. | Albuquerque, NM |
| District 3 Nominating Committee Nominees | ||
| L. Hoyt DeMers | Wells Fargo Investments LLC | Seattle, WA |
| J. David Griswold | Frank Russell Securities, Inc. | Tacoma, WA |
| Martin Nelson, Jr. | Martin Nelson & Co., Inc. | Seattle, WA |
| William G. Papesh | WM Funds Distributor, Inc. | Seattle, WA |
| Anthony Petrelli | Neidiger, Tucker, Bruner, Inc. | Denver, CO |
District Committee And District Nominating Committee Nominees
District 4
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
| 2002 District Nominating Committee Chair | ||
| Cheryl Cook-Schneider | Edward Jones | St. Louis, MO |
| District 4 Nominees | ||
| Deborah M. Castiglioni | Cutter & Company, Inc. | Chesterfield, MO |
| Terry L. Lister | Cambridge Investment Research, Inc. | Fairfield, IA |
| Richard J. Miller | Walnut Street Securities, Inc. | St. Louis, MO |
| District 4 Nominating Committee Nominees | ||
| Norman Frager | Flagstone Securities, Inc. | St. Louis, MO |
| E. John Moloney | Moloney Securities Co., Inc. | St. Louis, MO |
| Rodger O. Riney | Scottrade, Inc. | St. Louis, MO |
| Jeffrey A. Schuh | Marquette Financial Group, Inc. | Minneapolis, MN |
| Gail Werner-Robertson | GWR Investments, Inc. | Omaha, NE |
District Committee And District Nominating Committee Nominees
District 5
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
| 2002 District Nominating Committee Chair | ||
| Dene R. Shipp | SunTrust Equitable Securities, Inc. | Nashville, TN |
| District 5 Nominees | ||
| Victor E. Blaylock | BancorpSouth Investment Services, Inc. | Jackson, MS |
| Carolyn R. May | Benchmark Investments, Inc. | Arkadelphia, AR |
| F. Eugene Woodham | Sterne, Agee & Leach, Inc. | Birmingham, AL |
| District 5 Nominating Committee Nominees | ||
| Carl W. Busch | Prudential Securities Incorporated | Oklahoma City, OK |
| E. Douglas Johnson, Jr. | Johnson Rice & Company | New Orleans, LA |
| James M. Rogers | J.J.B. Hilliard, L.L. Lyons, Inc. | Louisville, KY |
| William L. Tedford, Jr. | Stephens Inc. | Little Rock, AR |
| Duncan F. Williams | Duncan-Williams, Inc. | Memphis, TN |
District Committee And District Nominating Committee Nominees
District 6
Bernerd E. Young, District Director
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243
(972) 701-8554
Texas
| 2002 District Nominating Committee Chair | ||
| Daniel C. Dooley | Maplewood Investment Advisors, Inc. | Dallas, TX |
| District 6 Nominees | ||
| Brent T. Johnson | IFG Network Securities, Inc. | Houston, TX |
| John R. Muschalek | First Southwest Company | Dallas, TX |
| Robert L. Nash | SWS Securities, Inc. | Dallas, TX |
| District 6 Nominating Committee Nominees | ||
| C. Ronald Baker | Williams Financial Group | Lubbock, TX |
| Robert A. Estrada | Estrada Hinojosa & Company, Inc. | Dallas, TX |
| Fredrick W. McGinnis | UBS PaineWebber, Inc. | Houston, TX |
| Edward M. Milkie | Milkie/Ferguson Investments, Inc. | Dallas, TX |
| Jim G. Rhodes | Rhodes Securities, Inc. | Fort Worth, TX |
District Committee And District Nominating Committee Nominees
District 7
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
| 2002 District Nominating Committee Chair | ||
| M. Anthony Greene | Raymond James Financial Services, Inc. | Atlanta, GA |
| District 7 Nominees | ||
| Joseph B. Gruber | FSC Securities Corp. | Atlanta, GA |
| Dennis S. Kaminski | Mutual Service Corporation | West Palm Beach, FL |
| James A. Klotz | FMS, Inc. | N. Miami Beach, FL |
| District 7 Nominating Committee Nominees | ||
| Michael D. Hearn | Attorney | Charlotte, NC |
| Edward R. Hipp, III | Legg Mason Wood Walker, Inc. | Williamsburg, VA |
| J. Lee Keiger, III | Davenport & Company LLC | Richmond, VA |
| John W. Waechter | William R. Hough & Co. | St. Petersburg, FL |
| Roark A. Young | Young, Stovall & Company | Miami, FL |
District Committee And District Nominating Committee Nominees
District 8
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)
| 2002 District Nominating Committee Chair | ||
| David Slavik | Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation | Oak Brook, IL |
| District 8 Nominees | ||
| Wilbur H. Burch | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Schaumburg, IL |
| Thomas M. McDonald | McDonald Investments, Inc. | Cleveland, OH |
| James J. Roth | Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation | Oak Brook, IL |
| District 8 Nominating Committee Nominees | ||
| Wallen L. Crane | Salomon Smith Barney, Inc. | Toledo, OH |
| Mary D. Esser | Cressman Esser Securities, Inc. | Naperville, IL |
| Wayne F. Holly | Sage, Rutty & Co., Inc. | Rochester, NY |
| L. Gene Tanner | NatCity Investments, Inc. | Indianapolis, IN |
| Rodney Trautvetter | Harris Direct | Chicago, IL |
District Committee And District Nominating Committee Nominees
District 9
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)
| 2002 District Nominating Committee Chair | ||
| Philip S. Cottone | Rutherford, Brown & Catherwood LLC | Philadelphia, PA |
| District 9 Nominees | ||
| Robert M. Berson | Ryan, Beck & Co. LLC | Livingston, NJ |
| Richard Grobman | Fahnestock & Co. Inc. | Philadelphia, PA |
| W. Dean Karrash | Rutherford, Brown & Catherwood LLC | Philadelphia, PA |
| Michael S. Mortensen | PNC Investments, a division of J.J.B. Hilliard, W.L. Lyons, Inc. (two-year term) | Pittsburgh, PA |
| District 9 Nominating Committee Nominees | ||
| A. Louis Denton | Philadelphia Corporation for Investment Services | Philadelphia, PA |
| James D. Lamke | Goldman, Sachs & Co. | Jersey City, NJ |
| Lance A. Reihl | 1717 Capital Management Company | Berwyn, PA |
| Lenda P. Washington | GRW Capital Corporation | Washington, DC |
| Gregory R. Zappala | RRZ Public Markets, Inc. | Cranberry Township, PA |
District Committee And District Nominating Committee Nominees
District 10
Robert B. Kaplan, Acting District Director
One Liberty Plaza, New York, NY 10006
(212) 858-4000
The five boroughs of New York City and Long Island
| 2002 District Nominating Committee Chair | ||
| Eugene A. Schlanger | Nomura Holding America, Inc. | New York, NY |
| District 10 Nominees | ||
| Raymond C. Holland, Sr. | Triad Securities Corp. | New York, NY |
| Vicki Z. Holleman | Loeb Partners Corporation | New York, NY |
| Andrew H. Madoff | Bernard L. Madoff Investment Securities LLC | New York, NY |
| Richard J. Paley | Fox-Pitt, Kelton Inc. | New York, NY |
| District 10 Nominating Committee Nominees | ||
| Kevin J. Browne | Banc of America Securities | New York, NY |
| Judith R. MacDonald | Rothschild, Inc. | New York, NY |
| Eugene A. Schlanger | Nomura Holding America, Inc. | New York, NY |
| Stephen C. Strombelline | Barclays Capital Inc. | New York, NY |
| Tom M. Wirtshafter | American Portfolios Financial Services, Inc. | Holbrook, NY |
District Committee And District Nominating Committee Nominees
District 11
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)
| 2002 District Nominating Committee Chair | ||
| Arthur F. Grant | Cadaret, Grant & Co., Inc. | Syracuse, NY |
| District 11 Nominees | ||
| Mark R. Hansen | State Street Global Markets LLC | Boston, MA |
| Gregg A. Kidd | Pinnacle Investments, Inc. | East Syracuse, NY |
| Lee G. Kuckro | Advest, Inc. | Hartford, CT |
| District 11 Nominating Committee Nominees | ||
| Stephen O. Buff | Fleet Securities, Inc. | Boston, MA |
| Richard DeAgazio | Boston Capital Services, Inc. | Boston, MA |
| John D. Lane | Lane Capital Markets LLC | Fairfield, CT |
| Dennis Surprenant | Cantella & Co., Inc. | Boston, MA |
| Peter T. Wheeler | Commonwealth Financial Network | Waltham, MA |