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 thenominees 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 2004. These nominees will be considered duly elected on October 1, 2003, 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 or the Corporate Secretary, Barbara Z. Sweeney, by October 1, 2003. If an additional candidate(s) comes forward by that date, the candidate has until October 31, 2003, 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 October 31, 2003, then the candidates nominated by the District Nominating Committee shall be considered elected as of October 1, 2003, 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 94105-2711
(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
2003 District Nominating Committee Chair
| Glenn M. Colacurci | Salomon Smith Barney | San Francisco, CA |
District 1 Nominees
| William A. Evans | Stone & Youngberg LLC | San Francisco, CA |
| Mansoor Kisat | Citigroup Global Markets, Inc. | Santa Rosa, CA |
| Arthur E. Raitano | Hoefer & Arnett, Incorporated | San Francisco, CA |
District 1 Nominating Committee Nominees
| Stephen R. Adams | Wells Fargo Investments, LLC | San Francisco, CA |
| Sally G. Aelion | Emmett A. Larkin Company, Inc. | San Francisco, CA |
| Robert S. Basso | Correspondent Services Corporation | San Francisco, CA |
| James D. Klein | UBS PaineWebber, Inc. | San Francisco, CA |
| L. Robert McKulla | Prudential Division of Wachovia Securities, LLC | Walnut Creek, 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
2003 District Nominating Committee Chair
| Robert L. Winston | American Funds Distributors, Inc. | Los Angeles, CA |
District 2 Nominees
| Stephen B. Benton | Financial Network Investment Corp. | Torrance, CA |
| James M. S. Dillahunty | Fixed Income Securities, LLC | San Diego, CA |
| John D. Lewis | JDL Securities Corp. | Newport Beach, CA |
District 2 Nominating Committee Nominees
| James E. Biddle | The Securities Center Incorporated | Chula Vista, CA |
| Margaret M. Black | Morgan Stanley Dean Witter | Los Angeles, CA |
| Diane P. Blakeslee | Blakeslee & Blakeslee, Inc. | San Luis Obispo, CA |
| Miles Z. Gordon | Indian Wells, CA | |
| Steven K. McGinnis | Keystone Capital Corporation | San Diego, CA |
District Committee And District Nominating Committee Nominees
District 3
Joseph M. McCarthy, District Director
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 Street, Suite 1616, Seattle, WA 98101-2327
(206) 624-0790
Alaska, Idaho, Montana, Oregon, and Washington
2003 District Nominating Committee Chair
| Martin O. Nelson | Martin Nelson & Co., Inc. | Seattle, WA |
District 3 Nominees
| Curtis J. Hammond | Morgan Stanley Dean Witter, Inc. | Bellevue, WA |
| J. Keith Kessel | AFS Brokerage, Inc. | Greenwood Village, CO |
| Arlene M. Wilson | D.A. Davidson & Co. | Great Falls, MT |
District 3 Nominating Committee Nominees
| Elyssa S. Baltazar | Morgan Stanley Dean Witter, Inc. | Denver, CO |
| L. Hoyt DeMers | Wells Fargo Investments, LLC | Seattle, WA |
| Steven Larson | Richards Merrill & Peterson Inc. | Spokane, WA |
| Anthony B. Petrelli | Neidiger, Tucker, Bruner, Inc. | Denver, CO |
| Kathryn A. Supko | Northwestern Mutual Investment Services, LLC | Boise, ID |
District Committee And District Nominating Committee Nominees
District 4
Thomas D. Clough, District Director
120 West 12th Street, Suite 900, Kansas City, MO 64105
(816) 421-5700
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota
2003 District Nominating Committee Chair
| Norman Frager | Flagstone Securities, LLC | St. Louis, MO |
District 4 Nominees
| Michael D. Burns (2-Year Term) |
USAllianz Securities, Inc. | Minneapolis, MN |
| Joseph D. Fleming | U.S. Bancorp Piper Jaffray, Inc. | Minneapolis, MN |
| Richard M. Hurwitz | Benefit Finance Securities, LLC | St. Louis, MO |
| Mark T. Lasswell | Wells Fargo Brokerage Services, LLC | Minneapolis, MN |
| Kevin P. Maas (2-Year Term) |
PrimeVest Financial Services, Inc. | St. Cloud, MN |
District 4 Nominating Committee Nominees
| Gene M. Diederich | A.G. Edwards & Sons, Inc. | Overland Park, KS |
| Timothy J. Lyle | Trusted Securities Advisors Corp. | Minneapolis, MN |
| E. John Moloney | Moloney Securities Co., Inc. | St. Louis, MO |
| L.C. (Jack) Petersen | Kirkpatrick, Pettis, Smith, Polian, Inc. | Omaha, NE |
| Pamela R. Ziermann | Dougherty & Company, LLC | Minneapolis, MN |
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, Louisiana, Mississippi, Oklahoma, and Tennessee
2003 District Nominating Committee Chair
| Duncan F. Williams | Duncan-Williams, Inc. | Memphis, TN |
District 5 Nominees
| Jennifer Carty Scola | Carty & Company, Inc. | Memphis, TN |
| R. Patrick Shepherd | Avondale Partners, L.L.C. | Nashville, TN |
| Donald R. Winton | Crews & Associates, Inc. | Little Rock, AR |
District 5 Nominating Committee Nominees
| David A. Daugherty | James Baker & Associates | Oklahoma City, OK |
| James S. Holbrook, Jr. | Sterne, Agee & Leach, Inc. | Birmingham, AL |
| E. Douglas Johnson, Jr. | Johnson Rice & Company L.L.C. | New Orleans, LA |
| Tom R. Steele | Equitable Advisors, Inc. | Nashville, TN |
| Duncan F. Williams | Duncan-Williams, Inc. | Memphis, TN |
District Committee And District Nominating Committee Nominees
District 6
Virginia F. M. Jans, District Director
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243
(972) 701-8554
Texas
2003 District Nominating Committee Chair
| Fredrick W. McGinnis | UBS PaineWebber, Inc. | Houston, TX |
District 6 Nominees
| Karen Banks | Frost Brokerage Services, Inc. | San Antonio, TX |
| Cynthia E. Besek | Maplewood Investment Advisors, Inc. | Dallas, TX |
| Darryl W. Traweek | RBC Dain Rauscher Inc. | Houston, TX |
District 6 Nominating Committee Nominees
| Christopher R. Allison | M.E. Allison & Co., Inc. | San Antonio, TX |
| C. Ronald Baker | The (Wilson) Williams Financial Group | Lubbock, TX |
| William B. Madden | Madden Securities Corporation | Dallas, TX |
| Edward M. Milkie | Milkie/Ferguson Investments, Inc. | Dallas, TX |
| David W. Turner | Wachovia 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, NE, Atlanta, GA 30305
(404) 239-6100
Florida, Georgia, North Carolina, South Carolina, Puerto Rico, the Canal Zone, and the Virgin Islands
2003 District Nominating Committee Chair
| Edward R. Hipp, III | Legg Mason Wood Walker, Inc. | Norfolk, VA |
District 7 Nominees
| Susan J. Hechtlinger | Banc of America Investment Services, Inc. | Charlotte, NC |
| Landrum H. Henderson, Jr. | Legg Mason Wood Walker, Inc. | Charlotte, NC |
| Alan L. Maxwell, Jr. | Wachovia Capital Markets, LLC | Charlotte, NC |
| Mr. Roark A. Young (One-Year Term) |
Young, Stovall and Company | Miami, FL |
District 7 Nominating Committee Nominees
| Michael D. Hearn, Esq. | Banc of America Investment Services, Inc. | Charlotte, NC |
| Kenneth W. McGrath | Popular Securities, Inc. | Hato Rey, PR |
| C. John O'Bryant, III | PowellJohnson, Private Asset Management | Raleigh, NC |
| Glenn R. Oxner | Scott & Stringfellow, Inc. | Greenville, SC |
| John W. Waechter | William R. Hough & Co. | St. Petersburg, FL |
District Committee And District Nominating Committee Nominees
District 8
Carlotta A. Romano, District Director
55 West Monroe Street, Suite 2700, Chicago, IL 60603-5051
(312) 899-4400
Illinois, Indiana, Kentucky, 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
2003 District Nominating Committee Chair
| Wallen L. Crane | Salomon Smith Barney | Toledo, OH |
District 8 Nominees
| Michael E. Bosway | City Securities Corporation | Indianapolis, IN |
| Robert J. Michelotti | Ferris, Baker Watts Incorporated | Auburn Hills, MI |
| Lora Rosenbaum | Northwestern Mutual Investment Services | Milwaukee, WI |
District 8 Nominating Committee Nominees
| William C. Alsover, Jr. | Centennial Securities Company, Inc. | Grand Rapids, MI |
| Mary D. Esser | Cressman Esser Securities, Inc. | Naperville, IL |
| Gregory Goelzer | Goelzer Investment Management | Indianapolis, IN |
| Rodney Trautvetter | Harris Investor Services, LLC | Chicago, IL |
| Bruce J. Young | Mesirow Financial, Inc. | Chicago, IL |
District Committee And District Nominating Committee Nominees
District 9
Gary K. Liebowitz, District Director
581 Main Street, 7th Floor, Woodbridge, NJ 07905
(732) 596-2000
New Jersey and New York (except for the counties of Nassau, Orange, Putnam, Rockland, Suffolk, Westchester, and the five boroughs of New York City)
John P. Nocella, District Director
Eleven Penn Center, 1835 Market Street, Suite 1900, Philadelphia, PA 19103
(215) 665-1180
Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia and West Virginia
2003 District Nominating Committee Chair
| A. Louis Denton | Philadelphia Corporation for Investment Services | Philadelphia, PA |
District 9 Nominees
| John Bluher | Knight Securities, L.P. | Jersey City, NJ |
| Barry M. Cash | UBS Financial Services, Inc. | Fishkill, NY |
| Peter P. Jenkins | Credit Suisse First Boston LLC | Baltimore, MD |
District 9 Nominating Committee Nominees
| J. Lee Keiger, III | Davenport & Company, LLC | Richmond, VA |
| John P. Meegan | Parker/Hunter Incorporated | Pittsburgh, PA |
| Lance A. Reihl | 1717 Capital Management Company | Berwyn, PA |
| Howard B. Scherer | Janney Montgomery Scott LLC | Philadelphia, PA |
| Lenda P. Washington | GRW Capital Corporation | Washington, DC |
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
New York (the counties of Wassau, Orange, Putnam, Rockland, Suffolk and Westchester, and the five boroughs of New York City)
2003 District Nominating Committee Chair
| Tom M. Wirtshafter | AXA Advisors, LLC | New York, NY |
District 10 Nominees
| Richard Berenger | MetLife Securities, Inc. | New York, NY |
| Lon T. Dolber | American Portfolios Financial Services | Holbrook, NY |
| George T. Mimura | Nomura Securities International, Inc. | New York, NY |
| Howard R. Plotkin | Lehman Brothers Inc. | New York, NY |
District 10 Nominating Committee Nominees
| William Behrens | Northeast Securities, Inc. | New York, NY |
| Ruth S. Goodstein | UBS Financial Services, Inc. | New York, NY |
| Judith R. MacDonald | Rothschild, Inc. | New York, NY |
| Charles V. Senatore | Fidelity Brokerage Services, LLC | New York, NY |
| Stephen C. Strombelline | BNP Paribas Securities Corp. | New York, 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 and Vermont
2003 District Nominating Committee Chair
| Stephen O. Buff | Fleet Securities, Inc. | Boston, MA |
District 11 Nominees
| David K. Booth | Jefferson Pilot Securities Corp. | Concord, NH |
| Thomas F. Hollenbeck | J.P. Morgan Invest, LLC | Boston, MA |
| Curtis L. Snyder, Jr. | American Technology Research, Inc. | Old Greenwich, CT |
District 11 Nominating Committee Nominees
| Richard J. DeAgazio | Boston Capital Services, Inc. | Boston, MA |
| John I. Fitzgerald | Leerink Swann & Company | Boston, MA |
| John D. Lane | Lane Capital Markets LLC | Fairfield, CT |
| Robert V. Rodia | People's Securities, Inc. | Bridgeport, CT |
| Gregory D. Teese | Equity Services, Inc. | Montpelier, VT |