Nominees for District Committee and District Nominating Committee
INFORMATIONAL
District Elections
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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 (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 2005. These nominees will be considered duly elected on October 1, 2004, unless an election is contested in accordance with the procedures set forth in Article VIII of the By-Laws of NASD Regulation, as 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 consider revisiting this process next year.
Contested Election Procedures
If an officer, director, or employee of an NASD member who meets the qualifications set forth in Article VIII of the By-Laws of NASD Regulation is interested in being considered as an additional candidate, he/she must indicate his/her interest in writing to the District Director by September 30, 2004. If an additional candidate or candidates come forward by that date, the Corporate Secretary will provide each additional candidate with a list of members that are eligible to vote in the District, their mailing addresses, and their Executive Representatives. In order to be considered for nomination, within 30 calendar days after the date the Corporate Secretary mails the list of members eligible to vote, an additional candidate must submit a petition to the District Nominating Committee containing signatures from at least 10 percent of the Executive Representatives of members eligible to vote in the District.
If no additional candidates submit petitions by November 1, 2004, then the candidates nominated by the District Nominating Committee shall be considered elected as of October 1, 2004, and the Corporate Secretary will announce the election results to the Executive Representatives of NASD members.
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].
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, Regional Director, West Region
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
2004 District Nominating Committee Chair
James D. Klein UBS PaineWebber, Inc. San Francisco, CA
District 1 Nominees
Howard Bernstein Pacific Growth Equities, LLC San Francisco, CA
Kevin T. Kitchin Wachovia Securities, Inc. San Francisco, CA
Bruce Nollenberger Nollenberger Capital Partners, Inc. San Francisco, CA
District 1 Nominating Committee Nominees
Robert S. Basso National Financial Services, LLC San Francisco, CA
L. Robert McKulla Wachovia Securities, Inc. Walnut Creek, CA
Robert A. Muh Sutter Securities, Inc. San Francisco, CA
G. Stuart Spence UBS Financial Services, Inc. San Francisco, CA
Samuel Yates RBC Dain Rauscher 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) 229-2300
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 the counties of Esmeralda and Nye), and the former U.S. Trust Territories
2004 District Nominating Committee Chair
Margaret M. Black Morgan Stanley Century City, CA
District 2 Nominees
Kenneth R. Hyman Partnervest Securities, Inc. Santa Barbara, CA
Ismael Manzanares, Jr.1 (1-Year Term) Foresters Equity Securities, Inc. San Diego, CA
Bryan R. Plank Merrill Lynch San Diego, CA
Valorie Seyfert CUSO Financial Services, L.P. San Diego, CA
District 2 Nominating Committee Nominees
James E. Biddle The Securities Center Incorporated Chula Vista, CA
Terry L. Chase Wachovia Securities, Inc. Pasadena, CA
Richard B. Gunter Wedbush Morgan Securities Los Angeles, CA
Steven K. McGinnis
Joel H. Ravitz Quincy Cass Associates Los Angeles, CA
District Committee and District Nominating Committee Nominees
District 3
| Joseph M. McCarthy, District Director | James G. Dawson, District Director |
| 370 17th Street, Suite 2900 Denver, CO 80202-5629 (303) 446-3100 | Two Union Square, 601 Union Street Suite 1616, Seattle, WA 98101-2327 (206) 624-0790 |
| Arizona, Colorado, New Mexico, Utah, and Wyoming | Alaska, Idaho, Montana, Oregon, and Washington |
2004 District Nominating Committee Chair
Anthony B. Petrelli Neidiger, Tucker, Bruner, Inc. Denver, CO
District 3 Nominees
Kathryn M. Dominick TCAdvisors Network, Inc. Englewood, CO
Craig A. Jackson Northwest Consulting, LLC Roseburg, OR
Harry L. Striplin Paulson Investment Company, Inc. Portland, OR
District 3 Nominating Committee Nominees
Gregory R. Anderson TIAA-CREF Individual & Institutional Services, LLC Denver, CO
Elyssa S. Baltazar Morgan Stanley Dean Witter, Inc. Denver, CO
Thomas R. Hislop Peacock, Hislop, Staley & Given, Inc. Phoenix, AZ
Clarence Fredrick Roed RBC Dain Rauscher Bellevue, WA
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
2004 District Nominating Committee Chair
L.C. (Jack) Petersen Kirkpatrick, Pettis, Smith, Polian, Inc. Omaha, NE
District 4 Nominees
Allen J. Moore SMITH HAYES Financial Services Lincoln, NE
Stephen R. Oliver Gold Capital Management, Inc. Overland Park, KS
Minoo Spellerberg Princor Financial Services Corporation Des Moines, IA
District 4 Nominating Committee Nominees
Frank H. Kirk Wachovia Securities LLC Kansas City, MO
Timothy J. Lyle Cambridge Investment Research Fairfield, IA
Jeffrey A. Schuh Residential Funding Securities Corp. Minneapolis, MN
James H. Warner The Warner Group Sioux City, IA
Pamela R. Ziermann Dougherty & Company LLC Minneapolis, MN
District Committee and District Nominating Committee Nominees
District 5
Warren A. Butler, Jr., Regional Director, South Region
1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802
(504) 522-6527
Alabama, Arkansas, Louisiana, Mississippi, Oklahoma, and Tennessee
2004 District Nominating Committee Chair
Duncan F. Williams Duncan-Williams, Inc. Memphis, TN
District 5 Nominees
Philip J. Dorsey2 Dorsey & Company, Inc. New Orleans, LA
Fred G. Eason Delta Trust Investments, Inc. Little Rock, AR
Harold L. Gladney Vining Sparks IBG, L.P. Memphis, TN
District 5 Nominating Committee Nominees
John J. Dardis Jack Dardis & Associates, Ltd. Metairie, LA
David A. Knight Stephens, Inc. Little Rock, AR
LeRoy H. Paris, II Invest Linc Securities, Inc. Jackson, MS
Tom R. Steele Equitable Advisors, Inc. Nashville, TN
David W. Wiley, III Wiley Bros., Aintree Capital, LLC Nashville, 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
2004 District Nominating Committee Chair
Edward M. Milkie Milkie/Ferguson Investments, Inc. Dallas, TX
District 6 Nominees
Bryan T. Emerson Starlight Investments, LLC Houston, TX
Michael A. Pagano 1st Global Capital Corporation Dallas, TX
William H. Lowell Lowell & Co., Inc. Lubbock, TX
District 6 Nominating Committee Nominees
Christopher R. Allison M.E. Allison & Company, Inc. San Antonio, TX
Sennett Kirk, III Kirk Securities Corporation Denton, TX
William B. Madden Madden Securities Corporation Dallas, TX
V. Keith Roberts Stanford Group Company Houston, TX
David W. Turner Wachovia Securities, Inc. Fort Worth, TX
District Committee and District Nominating Committee Nominees
District 7
David Paulukaitis, Associate 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
2004 District Nominating Committee Chair
Michael D. Hearn, Esq. Banc of America Investment Services, Inc. Charlotte, NC
District 7 Nominees
Erick R. Holt, Esq. AMVESCAP Atlanta, GA
William G. McMaster Scott & Stringfellow, Inc. Columbia, SC
Charles F. O'Kelley Atlantic Coast Securities Corporation Tampa, FL
District 7 Nominating Committee Nominees
Jeffrey P. Adams Balentine & Company Atlanta, GA
Richard G. Averitt, III Raymond James Financial Services, Inc. St. Petersburg, FL
Richard V. McGalliard Wachovia Securities, Inc. Atlanta, GA
Kenneth W. McGrath Popular Securities, Inc. Hato Rey, Puerto Rico
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 60603-5052
(312) 899-4400
Illinois, Indiana, Kentucky, Michigan, Ohio, and Wisconsin
2004 District Nominating Committee Chair
Mary D. Esser Cressman Esser Securities, Inc. Naperville, IL
District 8 Nominees
Richard M. Arceci ValMark Securities, Inc. Akron, OH
Ronald J. Dieckman J.J.B. Hilliard, W.L. Lyons, Inc. Louisville, KY
Julie E. Vander Weele Mesirow Financial, Inc. Chicago, IL
District 8 Nominating Committee Nominees
Bernard A. Breton Carillon Investments, Inc. Cincinnati, OH
William K Curtis M & I Brokerage Service, Inc. Milwaukee, WI
Carol P. Foley Podesta & Company Chicago,IL
Gregory Goelzer Goelzer Investment Management Indianapolis, IN
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 07095 (732) 596-2000 | John P. Nocella, District Director Eleven Penn Center, 1835 Market Street 19th Floor, Philadelphia, PA 19103 (215) 665-1180 |
| New Jersey and New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City) | Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia |
2004 District Nominating Committee Chair
Lenda P. Washington GRW Capital Corporation Washington, DC
District 9 Nominees
Scott L. Fagin The Jeffrey Matthews Financial Group, L.L.C. Millburn, NJ
Rebecca L. Kohler American Express Financial Advisors, Inc. Roanoke, VA
Jerome J. Murphy (1-Year Term) 3 Janney Montgomery Scott LLC Philadelphia, PA
Harold N. Peremel (2-Year Term) 4 Peremel & Co., Inc. Baltimore, MD (2-Year Term)
Dorothy G. Sanders Fred Alger & Company, Incorporated Jersey City, NJ
District 9 Nominating Committee Nominees
James E. Bickley Cresap, Inc. Horsham, PA
J. Lee Keiger, III Davenport & Company, LLC Richmond, VA
Michael S. Mortensen PNC Investments Pittsburgh, PA
Michael B. Row Pershing, LLC Jersey City, NJ
Howard B. Scherer Janney Montgomery Scott LLC Philadelphia, PA
District Committee and District Nominating Committee Nominees
District 10
Hans Reich, Regional Director, New York Region
One Liberty Plaza, New York, NY 10006
(212) 858-4000
New York (the counties of Nassau and Suffolk, and the five boroughs of New York City)
2004 District Nominating Committee Chair
Judith R. MacDonald Rothschild, Inc. New York, NY
District 10 Nominees
Margaret M. Caffrey5(1-Year Term) Schonfeld & Company, LLC New York, NY (1-Year Term)
Tracy E. Calder UBS Financial Services, Inc. Weehawken, NJ
Clifford H. Goldman Marco Polo Securities, Inc. New York, NY
Jeffrey T. Letzler Instinet, LLC New York, NY
Michael Santo Banc of America Securities LLC New York, NY
District 10 Nominating Committee Nominees
William Behrens Northeast Securities, Inc. New York, NY
Jennifer A. Connors ITG, Inc. New York, NY
Ruth S. Goodstein UBS Financial Services, Inc. New York, NY
Mark Ronda Oppenheimer & Co., Inc. New York, NY
Charles V. Senatore Fidelity Brokerage Services, LLC New York, NY
District Committee and District Nominating Committee Nominees
District 11
Frederick F. McDonald, District Director
99 High Street, Suite 900, Boston, MA 02110
(617) 532-3400
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont
2004 District Nominating Committee Chair
John D. Lane Lane Capital Markets, LLC Fairfield, CT
District 11 Nominees
Frank L. Chandler Boston Capital Services, Inc. Boston, MA
Joseph Gritzer USI Securities, Inc. Glastonbury, CT
Moira Lowe Tower Square Securities, Inc. Hartford, CT
Wilson G. Saville6(1-Year Term) Barrett & Company Providence, RI
District 11 Nominating Committee Nominees
Michael C. Braun Moors & Cabot, Inc. Boston, MA
Andrew F. Detwiler Vandham Securities Corp. Boston, MA
John I. Fitzgerald Leerink Swann & Company Boston, MA
Thomas J. Horack John Hancock Life Insurance Company Boston, MA
Gregory D. Teese Equity Services, Inc. Montpelier, VT
1 Mr. Manzanares has been nominated to serve the remaining one-year term of James E. Biddle, who will resign from the District Committee in January 2005.
2 Mr. Dorsey was appointed to serve the remaining one-year term of J. Timothy Rice, who resigned from the District Committee in November 2003. Mr. Dorsey's term expires in January 2005. Mr. Dorsey has been nominated to serve a three-year term on the District Committee commencing in January 2005.
3 Mr. Murphy has been nominated to serve the remaining one-year term of Robert M. Berson, who has resigned from the District Committee.
4 Mr. Peremel has been nominated to serve the remaining two-year term of John Bluher, who has resigned from the District Committee.
5 Ms. Caffrey has been nominated to serve the remaining one-year term of Vicki Holleman, who has resigned from the District Committee.
6 Mr. Saville has been nominated to serve the remaining one-year term of Gregg A. Kidd, who has resigned from the District Committee.