Notice to Members 00-60
Nominees For District Committees And District Nominating Committees
Published Date:
INFORMATIONAL
District Elections
| SUGGESTED ROUTING |
KEY TOPICS |
|
Legal & Compliance |
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 2001. These nominees will be considered duly elected on October 2, 2000, 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 will 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 September 15, 2000. If an additional candidate does not come forward by that date, the election of committee members is final.
If, however, an additional candidate(s) does come forward by that date, the candidate has until October 2, 2000 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 2, 2000, 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 Joan Conley, Senior Vice President and Corporate Secretary, NASD, at (202) 728-8381 or via e-mail at: [email protected].
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 | |
| 2000 District Nominating Committee Chairperson | |
| John E. Schmidt Credit Suisse First Boston Corporation San Francisco, CA | |
| District Committee Nominees | District Nominating Committee Nominees |
| Carol Van Bruggen Securities Service Network, Inc. Sacramento, CA |
Steven R. Aaron Hambrecht & Quist LLC San Francisco, CA |
| Susan K. Campbell Protected Investors of America San Francisco, CA |
Stephen R. Adams First Security Van Kasper San Francisco, CA |
| William C. Pack Salomon Smith Barney Inc. San Francisco, CA |
Nicholas C. Cochran American Investors Company Dublin, CA |
| John C. Helmer Caldwell Securities, Inc. Danville, CA | |
| William A. Svoboda Morgan Stanley Dean Witter Reynolds San Jose, CA | |
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 | |
| 2000 District Nominating Committee Chairperson | |
| Robert L. Winston American Funds Distributors, Inc. Los Angeles, CA | |
| District Committee Nominees | District Nominating Committee Nominees |
| James E. Biddle The Securities Center Incorporated Chula Vista, CA |
Murray L. Finebaum Trading Edge, Inc. Santa Monica, CA |
| Chris M. Kanoff Jefferies & Company, Inc. Los Angeles, CA |
Jerry M. Gluck Jefferies & Company, Inc. Los Angeles, CA |
| Steven K. McGinnis National Planning Corporation Santa Monica, CA |
James B. Guillou Sutro & Co., Incorporated La Jolla, CA |
| Neal E. Nakagiri Associated Securities Corporation Los Angeles, CA |
Joan B. Seidel Morton Seidel & Company, Inc. Beverly Hills, CA |
| Kaye M. Woltman Girard Securities, Inc. San Diego, CA | |
District 3
| 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 Street, Suite 1616 Seattle, WA 98101-2327 (206) 624-0790 | |
| Alaska, Idaho, Montana, Oregon, and Washington | |
| 2000 District Nominating Committee Chairperson | |
| Anthony Petrelli Neidiger, Tucker, Bruner, Inc. Denver, CO | |
| District Committee Nominees | District Nominating Committee Nominees |
| Richard B. Bequett CUE Phoenix, AZ |
J. Wendell Garrett J.W. Garrett & Company Phoenix, AZ |
| George Diachok Multi-Financial Securities Corp. Denver, CO |
Thomas R. Hislop Peacock, Hislop, Staley & Given, Inc. Phoenix, AZ |
| John M. Rose Seattle-Northwest Securities Corp. Seattle, WA |
John Morton Morton Clarke Fu & Metcalf, Inc. Seattle, WA |
| Kathryn A. Supko Robert W. Baird & Co., Inc. Boise, ID |
Thomas Petrie Petrie Parkman & Co., Inc. Denver, CO |
| Douglas Strand Strand, Atkinson, Williams & York, Inc. Portland, OR | |
District 4
| Thomas 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 | |
| 2000 District Nominating Committee Chairperson | |
| Todd W. Miller Miller, Johnson & Kuehn, Incorporated Minneapolis, MN | |
| District Committee Nominees | District Nominating Committee Nominees |
| Gene M. Diedrich A.G. Edwards & Sons, Inc. Overland Park, KS |
Antonio J. Cecin U.S. Bancorp Piper Jaffray Inc. Minneapolis, MN |
| Jonathan M. Harris Dain Rauscher, Inc. Minneapolis, MN |
John D. Cleland Security Distributors, Inc. Topeka, KS |
| Timothy J. Lyle Trusted Securities Advisors Corp. Minnetonka, MN |
Cheryl Cook-Schneider Edward Jones St. Louis, MO |
| Pamela Kay Reinitz Ziermann Dougherty & Company Minneapolis, MN |
Wayne H. Peterson Cap Pro Brokerage Services, Inc. Minneapolis, MN | Brent Weisenborn Security Investment Company of Kansas City Kansas City, MO |
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 | |
| 2000 District Nominating Committee Chairperson | |
| Jerry Roberts Sterne, Agee & Leach, Inc. Little Rock, AR | |
| District Committee Nominees | District Nominating Committee Nominees |
| Norman Frager Capital West Securities, Inc. Oklahoma City, OK |
Benjamin D. Capshaw, III Morgan Stanley Dean Witter New Orleans, LA |
| David A. Knight Stephens Inc. Little Rock, AR |
V. Hugo Marx, III Hugo Marx & Co., Inc. Birmingham, AL |
| Lawrence J. Sisung Sisung Securities Corporation New Orleans, LA |
Colin A. P. McNease PaineWebber Incorporated Jackson, MS |
| David W. Wiley, III Wiley Bros., Aintree Capital, LLC Nashville, TN |
Jerry Roberts Sterne, Agee & Leach, Inc. Little Rock, AR |
| Dene R. Shipp SunTrust Equitable Securities, Inc. Nashville, TN | |
District 6
| Bernerd Young, District Director 12801 N. Central Expressway, Suite 1050 Dallas, TX 75243 (972) 701-8554 | |
| Texas | |
| 2000 District Nominating Committee Chairperson | |
| William B. Madden Madden Securities Corporation Dallas, TX | |
| District Committee Nominees | District Nominating Committee Nominees |
| Christopher R. Allison M.E. Allison & Co. Inc. San Antonio, TX |
Jane E. Bates The Variable Annuity Marketing Company Houston, TX |
| David W. Turner First Union Securities Inc. Fort Worth, TX |
William D. Connally Greenman Parker Connally Greenman, Inc. Fort Worth, TX |
| R. Dwayne Whitehead Coastal Securities, L.P. Houston, TX |
Malcolm L. Cooper Dain Rauscher, Inc. Austin, TX |
| Daniel C. Dooley Maplewood Investment Advisors, Inc. Dallas, TX | |
| William H. Lowell Lowell & Company, Inc. Lubbock, TX | |
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, Virginia, Puerto Rico, the Canal Zone, and the Virgin Islands | |
| 2000 District Nominating Committee Chairperson | |
| Franklin C. Golden James M. Myer & Co., Inc. Charlotte, NC | |
| District Committee Nominees | District Nominating Committee Nominees |
| Kenneth W. McGrath Popular Securities, Inc. Hato Rey, PR |
Robert M. Balentine Balentine & Co. Atlanta, GA |
| Sharon K. Milligan Morgan Stanley Dean Witter Tampa, FL |
Robert J. Brietz Marion Bass Securities Corp. Charlotte, NC |
| C. John O'Bryant, III Legg Mason Wood Walker, Inc. Raleigh, NC |
M. Anthony Greene Raymond James Financial Services, Inc. Atlanta, GA |
| Charles R. Roberts Branch, Cabell & Co., Inc. Richmond, VA |
R. Charles Shufeldt SunTrust Banks, Inc. Atlanta, GA |
| Raymond W. Snow Merrill Lynch Palm Beach, FL | |
District 8
| Carlotta A. Romano, District Director 10 South LaSalle, 20th Floor Chicago, IL 60603-1002 (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) 694-4545 | |
| Ohio and part of upstate New York (the counties of Monroe, Livingston, and Steuben, and the remainder of the state west of such counties) | |
| 2000 District Nominating Committee Chairperson | |
| Paul E. Murin David A. Noyes & Company Chicago, IL | |
| District Committee Nominees | District Nominating Committee Nominees |
| George E. Bates Bates Securities, Inc. Rockford, IL |
Leonard L. Anderson Stifel Nicolaus & Company, Incorporated Grand Haven, MI |
| Gregory W. Goelzer Goelzer Investment Management, Inc. Indianapolis, IN |
David L. Baker Baker & Company, Inc. Cleveland, OH |
| John A. Hawke Howe Barnes Investments, Inc. Chicago, IL |
Thomas Harenburg Carl M. Hennig, Inc. Oshkosh, WI |
| Jay B. MacKenzie Prudential Securities Incorporated Kalamazoo, MI |
David Slavik Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation Oak Brook, IL |
| G. Donald Steel Planned Investment Co., Inc. Indianapolis, IN | |
District 9
| John P. Nocella, District Director 11 Penn Center 1835 Market Street, Suite 1900 Philadelphia, PA 19103 (215) 665-1180 | |
| Delaware, Pennsylvania, West Virginia, District of Columbia, Maryland, and the part of southern New Jersey in the immediate Philadelphia vicinity | |
| Gary K. Liebowitz, District Director 581 Main Street, 7th Floor Woodbridge, NJ 07095 (732) 596-2000 | |
| New Jersey (except southern New Jersey in the immediate Philadelphia vicinity) | |
| 2000 District Nominating Committee Chairperson | |
| Mark W. Cresap Cresap, Inc. Radnor, PA | |
| District Committee Nominees | District Nominating Committee Nominees |
| Jerry V. Duhovic Datek Online Brokerage Services LLC Iselin, NJ |
Philip S. Cottone Rutherford, Brown & Catherwood, LLC Philadelphia, PA |
| Kimberly Tillotson Fleming Hefren-Tillotson, Inc. Pittsburgh, PA |
Victor M. Frye Calvert Distributors, Inc. Bethesda, MD |
| Howard B. Scherer Janney Montgomery Scott LLC Philadelphia, PA |
Allen S. Jacobson Gibraltar Securities Co., a division of Tucker Anthony Incorporated Florham Park, NJ |
| Mark Thomas Whaley Gibraltar Securities Co., a division of Tucker Anthony Incorporated Florham Park, NJ |
James J. Malespina Herzog, Heine, Geduld, Inc. Jersey City, NJ |
| Jerome J. Murphy Janney Montgomery Scott, LLC Philadelphia, PA | |
District 10
| David A. Leibowitz, District Director NASD Financial Center 33 Whitehall Street New York, NY 10004 (212) 858-4000 | |
| The five boroughs of New York City, and Long Island | |
| 2000 District Nominating Committee Chairperson | |
| Joan S. Green BT Brokerage Corporation New York, NY | |
| District Committee Nominees | District Nominating Committee Nominees |
| Constantine Gus Economos Sandler O'Neill & Partners LP New York, NY |
Arthur S. Ainsberg Brahman Securities, Inc. New York, NY |
| Ruth S. Goodstein Paine Webber Inc. New York, NY |
Laurence H. Bertan Sanford C. Bernstein & Co. Inc. New York, NY |
| Patrick Remmert Credit Suisse First Boston Corporation New York, NY |
Frank F. DiGregorio Credit Suisse First Boston Corporation New York, NY |
| Charles V. Senatore Merrill Lynch Pierce Fenner & Smith Inc. New York, NY |
Harold G. Ognelodh Salomon Smith Barney Inc. New York, NY |
| Jeffrey Zuckerman Salomon Smith Barney Inc. New York, NY |
Vicki Z. Holleman Loeb Partners Corporation New York, NY |
District 11
| Fred 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; and the five boroughs of New York City, and Long Island) | |
| 2000 District Nominating Committee Chairperson | |
| Edward L. Sherr Carl P. Sherr & Company Worcester, MA | |
| District Committee Nominees | District Nominating Committee Nominees |
| Stephen Anikewich, Jr. Warburg Dillon Read LLC Stamford, CT |
Harry H. Branning Advest, Inc. Hartford, CT |
| John I. Fitzgerald American General Funds Distributors, Inc. Boston, MA |
Stephanie Brown Linsco/Private Ledger Corp. Boston, MA |
| Robert V. Rodia People's Securities, Inc. Bridgeport, CT |
Sheldon Fechtor Fechtor, Detwiler & Co., Inc. Boston, MA |
| Gregory D. Teese Equity Services Inc. Montpelier, VT |
Arthur F. Grant Cadaret, Grant & Co., Inc. Syracuse, NY |
| Frank V. Knox, Jr. Fidelity Distributors Corporation Boston, MA | |