NASD Announces Election Results for District Committees and District Nominating Committees
District Elections
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Legal & Compliance |
District Elections |
Executive Summary
Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until 2006.
District 10 (New York) had an additional candidate come forward for consideration for that District Committee. Ballots were submitted and counted on January 10, 2003. The originally proposed slate of candidates for District 10 (New York) received the largest number of votes and is declared elected.
The members of the incoming District Committees and the District Nominating Committees are included in Attachment A.
Questions/Further Information
Questions concerning this Notice may be directed to the District Director noted 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 Committee and District Nominating Committee 2003 Incoming Members
District 1
Elisabeth P. Owens, District Director
525 Market Street, Suite 300, San Francisco, CA 94105
(415) 882-1201
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 1 Incoming Members | ||
| 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 |
| 2003 District 1 Nominating Committee Incoming Members | ||
| Sally G. Aelion | Emmett A. Larkin Company, Inc. | San Francisco, CA |
| John H. Chung | SVP Securities | 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 2003 Incoming Members
District 2
Lani M. Sen Woltmann, District Director
300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071
(213) 613-2601
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 2 Incoming Members | ||
| 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 |
| 2003 District 2 Nominating Committee Incoming Members | ||
| 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 2003 Incoming Members
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 Street, Suite 1616, Seattle, WA 98101-2327
(206) 624-0790
Alaska, Idaho, Montana, Oregon, and Washington
| 2003 District 3 Incoming Members | ||
| Gene G. Branson | Partners Investment Network, Inc. | Spokane, WA |
| Bridget M. Gaughan | SunAmerica Financial Network, Inc. | Phoenix, AZ |
| John W. Goodwin | Goodwin Browning & Luna Securities, Inc. | Albuquerque, NM |
| 2003 District 3 Nominating Committee Incoming Members | ||
| L. Hoyt DeMers | Wells Fargo Investments, LLC | Seattle, WA |
| J. David Griswold | Frank Russell Securities, Inc. | Tacoma, WA |
| Martin O. Nelson, Jr. | Martin Nelson & Co., Inc. | Seattle, WA |
| William G. Papesh | WM Funds Distributor, Inc. | Seattle, WA |
| Anthony B. Petrelli | Neidiger, Tucker, Bruner, Inc. | Denver, CO |
District Committee and District Nominating Committee 2003 Incoming Members
District 4
Thomas D. Clough, District Director
120 W. 12th Street, Suite 900, Kansas City, MO 64105
(816) 802-4708
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota
| 2003 District 4 Incoming Members | ||
| 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 |
| 2003 District 4 Nominating Committee Incoming Members | ||
| Norman Frager | Flagstone Securities, LLC | St. Louis, MO |
| E. John Moloney | Moloney Securities Co., Inc. | St. Louis, MO |
| Rodger O. Riney | Scottrade, Inc. | St. Louis, MO |
| Jeffrey A. Schuh | Wells Fargo Investment Services | Minneapolis, MN |
| Gail Werner-Robertson | GWR Investments, Inc. | Omaha, NE |
District Committee and District Nominating Committee 2003 Incoming Members
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
| 2003 District 5 Incoming Members | ||
| Victor E. Blaylock | BancorpSouth Investment Service, Inc. | Jackson, MS |
| Carolyn R. May | Benchmark Investments, Inc. | Arkadelphia, AR |
| F. Eugene Woodham | Sterne, Agee & Leach, Inc. | Birmingham, AL |
| 2003 District 5 Nominating Committee Incoming Members | ||
| Carl W. Busch | Prudential Securities Incorporated | Edmond, OK |
| E. Douglas Johnson, Jr. | Johnson Rice & Company | New Orleans, LA |
| James M. Rogers | J.J.B. Hilliard, W.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 2003 Incoming Members
District 6
Bernerd E. Young, District Director
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243
(972) 701-8554
Texas
| 2003 District 6 Incoming Members | ||
| 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 |
| 2003 District 6 Nominating Committee Incoming Members | ||
| 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 2003 Incoming Members
District 7
Alan M. Wolper, District Director
One Securities Centre, Suite 500, 3490 Piedmont Road, NE, Atlanta, GA 30305
(404) 239-6128
Florida, Georgia, North Carolina, South Carolina, Virginia, Puerto Rico, the Canal Zone, and the Virgin Islands
| 2003 District 7 Incoming Members | ||
| Joseph B. Gruber | FSC Securities Corporation | Atlanta, GA |
| Dennis S. Kaminski | Mutual Service Corporation | West Palm Beach, FL |
| James A. Klotz | First Miami Securities, Inc. | N. Miami Beach, FL |
| 2003 District 7 Nominating Committee Incoming Members | ||
| Michael D. Hearn | Banc of America Investment Services, Inc. | 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 K. Young | Young, Stovall & Company | Miami, FL |
District Committee and District Nominating Committee 2003 Incoming Members
District 8
Carlotta A. Romano, District Director
55 West Monroe Street, Suite 2700, Chicago, IL 60603
(312) 899-4324
Illinois, Indiana, Michigan, and Wisconsin
William H. Jackson, Jr., District Director
Renaissance on Playhouse Square, 1350 Euclid Avenue, Suite 650, Cleveland, OH 44115
(216) 592-2951
Ohio and part of upstate New York (the counties of Monroe, Livingston, and Steuben, and the remainder of the state west of such counties)
| 2003 District 8 Incoming Members | ||
| Thomas M. McDonald | McDonald Investments, Inc. | Cleveland, OH |
| James J. Roth | Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation | Oak Brook, IL |
| 2003 District 8 Nominating Committee Incoming Members | ||
| 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 2003 Incoming Members
District 9
John P. Nocella, District Director
Eleven Penn Center, 1835 Market Street, Suite 1900, Philadelphia, PA 19103
(215) 963-1992
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) 596-2025
New Jersey (except southern New Jersey in the immediate Philadelphia vicinity)
| 2003 District 9 Incoming Members | ||
| 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 |
| 2003 District 9 Nominating Committee Incoming Members | ||
| 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 2003 Incoming Members
District 10
Cathleen F. Shine, District Director
One Liberty Plaza, 49th Floor, New York, NY 10006
(212) 858-4180
The five boroughs of New York City and Long Island
| 2003 District 10 Incoming Members | ||
| 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 |
| 2003 District 10 Nominating Committee Incoming Members | ||
| 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 2003 Incoming Members
District 11
Frederick F. McDonald, District Director
260 Franklin Street, Suite 1600, Boston, MA 02110
(617) 261-0805
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)
| 2003 District 11 Incoming Members | ||
| 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 |
| 2003 District 11 Nominating Committee Incoming Members | ||
| Stephen O. Buff | Fleet Securities, Inc. | Boston, MA |
| Richard J. DeAgazio | Boston Capital Services, Inc. | Boston, MA |
| John D. Lane | Lane Capital Markets LLC | Fairfield, CT |
| Dennis R. Surprenant | Cantella & Co., Inc. | Boston, MA |
| Peter T. Wheeler | Commonwealth Financial Network | Waltham, MA |