NASD Announces Election Results for District Committees and District Nominating Committees
INFORMATIONAL
District Elections
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Executive Summary
Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The candidates nominated to the District Committees have been duly elected in all districts with the exception of District 7, which will have a contested election to determine the members of its District Committee. The candidates nominated to the District Nominating Committees have been duly elected in all districts. The newly elected District Committee members will serve until January 2009,1 and the newly elected District Nominating Committee members will serve until January 2007.
In District 7, an additional candidate has satisfied the requirements of Article VIII of the NASD Regulation By-Laws to contest the District Committee election. The outcome of this contested election will be announced in a Notice issued in January 2006.
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 email at [email protected].
1 Some District Committee members were elected to fill existing vacancies and therefore may serve less than a three-year term, as indicated on Attachment A.
ATTACHMENT A
District Committees and District Nominating Committees—
2006 Incoming Members
District 1
Elisabeth P. Owens, Regional 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
| District 1 Committee Incoming Members | ||
| Christopher D. Charles | Wulff, Hansen & Company | San Francisco, CA |
| Kevin T. Kitchin | Wachovia Securities, LLC | San Francisco, CA |
| Edward M. Stephens | FSC Securities Corporation | Santa Rosa, CA |
| District 1 Nominating Committee Incoming Members | ||
| S. Katherine Campbell | Protected Investors of America | Berkeley, CA |
| Nicholas C. Cochran | American Investors Company | San Ramon, CA |
| Gerard P. Gloisten | GBS Financial Corporation | Santa Rosa, CA |
| Robert A. Muh | Sutter Securities, Inc. | San Francisco, CA |
| Francis X. Roche, II | RBC Dain Rauscher, Inc. | San Francisco, CA |
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 of the counties of Esmeralda and Nye), and the former U.S. Trust Territories
| District 2 Committee Incoming Members | ||
| Steven K. Klein | Farmers Financial Solutions, LLC | Simi Valley , CA |
| Ismael Manzanares, Jr. | WFP Securities | San Diego, CA |
| Gary A. Martino | brokersXpress, LLC | Thousand Oaks, CA |
| District 2 Nominating Committee Incoming Members | ||
| M. LaRae Bakerink | WBB Securities, LLC | San Diego, CA |
| James E. Biddle | The Securities Center, Inc. | Chula Vista, CA |
| Don Dalis | UBS Financial Services, Inc. | Newport Beach, CA |
| Barbara A. Kelle | Pacific Global Fund Distributors, Inc. | Glendale, CA |
| Joel H. Ravitz | Quincy Cass Associates | Los Angeles, CA |
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
| District 3 Committee Incoming Members | ||
| David Director | McAdams Wright Ragen, Inc. | Seattle, WA |
| Daniel Lind | Wells Fargo Investments | Tucson, AZ |
| Stephen Youhn | M Holdings Securities, Inc. | Portland, OR |
| District 3 Nominating Committee Incoming Members | ||
| Gregory R. Anderson | MCL Financial Group, Inc. | Denver, CO |
| L. Hoyt DeMers | Wells Fargo Investments, LLC | Seattle, WA |
| Bridget Gaughan | AIG Financial Advisors, Inc. | Phoenix, AZ |
| John Goodwin | Goodwin Browning & Luna Securities, Inc. | Albquerque, NM |
| C. Fredrick Roed | McAdams Wright Ragen, Inc. | Bellevue, WA |
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
| District 4 Committee Incoming Members | ||
| Steven F. McWhorter | Securities America, Inc. | Omaha, NE |
| Arthur S. Montgomery1 | Walnut Street Securities, Inc. | St. Louis, MO |
| Brian D. Murphy | Woodbury Financial Services, Inc. | Woodbury, MN |
| Andrew C. Small | Scottrade, Inc. | St. Louis, MO |
| District 4 Nominating Committee Incoming Members | ||
| Deborah M. Castiglioni | Cutter & Company, Inc | Chesterfield, MO |
| Robert M. Chambers | A.G. Edwards & Sons, Inc. | West Des Moines, IA |
| Frank H. Kirk | Wachovia Securities, LLC | Kansas City, MO |
| Kevin P. Maas | PrimeVest Financial Services, Inc. | St. Cloud, MN |
| Jeffrey A. Schuh | Residential Funding Securities Corp. | Minneapolis, MN |
1 Mr. Montgomery has been elected to serve the remaining year of the term of Richard M. Hurwitz, who resigned from the District Committee
District 5
Warren A. Butler, Jr., Regional Director
1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-08022
(504) 522-6527
Alabama, Arkansas, Louisiana, Mississippi, Oklahoma, and Tennessee
| District 5 Committee Incoming Members | ||
| Curtis F. Bradbury, Jr. | Stephens Inc. | Little Rock, AR |
| William A. Geary | Morgan Keegan & Company, Inc. | Jackson, MS |
| Jefferson G. Parker | Howard Weil Incorporated | New Orleans, LA |
| District 5 Nominating Committee Incoming Members | ||
| John J. Dardis | Jack Dardis & Associates, Ltd. | Metairie, LA |
| Carolyn R. May | Simmons First Investment Group, Inc. | Little Rock, AR |
| Douglas W. McQueen | The Baker Group, LP | Oklahoma City, OK |
| LeRoy H. Paris, II | InvestLinc Securities, L.L.C. | Jackson, MS |
| David W. Wiley, III | Wiley Bros., Aintree Capital, L.L.C. | Nashville, TN |
2 Please be advised that due to Hurricane Katrina, NASD's District 5 Office in New Orleans is temporarily closed. NASD has established a temporary office at 1125 Highway 43 North, Suites C & D, Picayune, Mississippi 39466. The phone number at this location is (601) 799-4894.
District 6
Virginia F. M. Jans, District Director
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243
(972) 701-8554
Texas
| District 6 Committee Incoming Members | ||
| Alan K. Goldfarb | Oakbrook Financial Group, LLC | Dallas, TX |
| Brent T. Johnson3 | Multi-Financial Securities Corporation | Houston, TX |
| John Christopher Melton | Coastal Securities, L.P. | Houston, TX |
| Ralph E. Poppell | Stanford Group Company | Houston, TX |
| District 6 Nominating Committee Incoming Members | ||
| William D. Felder | Southwest Securities, Inc. | Dallas, TX |
| Sennett Kirk, III | Kirk Securities Corporation | Denton, TX |
| Gary V. Murray | Murray Traff Securities | Tyler, TX |
| John R. Muschalek | First Southwest Company | Dallas, TX |
| V. Keith Roberts | Stanford Group Company | Houston, TX |
3 Mr. Johnson has been elected to serve the remaining year of the term of Darryl W. Traweek, who resigned from the District Committee.
District 7
Daniel J. Stefak, District Director
One Securities Centre, Suite 500, 3490 Piedmont Road, NE, Atlanta, GA 30305
(404) 239-6100
Georgia, North Carolina, and South Carolina
Mitchell C. Atkins, District Director
2500 N. Military Trail, Suite 302, Boca Raton, FL 33431
(561) 443-8000
Florida, Puerto Rico, the Canal Zone, and the Virgin Islands
District 7 Committee Incoming Members
To be Announced
| District 7 Nominating Committee Incoming Members | ||
| Richard G. Averitt, III | Raymond James Financial Services, Inc. | St. Petersburg, FL |
| Joseph B. Gruber | FSC Securities Corporation | Atlanta, GA |
| Dennis S. Kaminski | Mutual Service Corporation | West Palm Beach, FL |
| James A. Klotz | FMSBonds, Inc. | North Miami Beach, FL |
| Ruark A. Young | Young, Stovall & Company | Miami, FL |
District 8
Carlotta A. Romano, Regional Director
55 West Monroe Street, Suite 2700, Chicago, IL 60603-5052
(312) 899-4400
Illinois, Indiana, Kentucky, Michigan, Ohio, and Wisconsin
| District 8 Committee Incoming Members | ||
| Stephen F. Anderson | Waterstone Financial Group | Itasca, IL |
| Eric A. Bederman | Bernardi Securities, Inc. | Chicago, IL |
| Mari Buechner4 | Coordinated Capital Securities Inc. | Madison, WI |
| Barbara A. Turner | The O.N. Equity Sales Company | Cincinnati, OH |
| District 8 Nominating Committee Incoming Members | ||
| George E. Bates | Bates Securities, Inc. | Rockford, IL |
| Bernard A. Breton | Carillon Investments, Inc. | Cincinnati, OH |
| Carol P. Foley | Podesta & Company | Chicago, IL |
| Jill R. Powers | Oberlin Financial Corporation | Bryan, OH |
| James J. Roth | Pershing LLC | Oak Brook, IL |
4 Ms. Buechner has been elected to serve the remaining year of the term of Lora Rosenbaum, who resigned from the District Committee.
District 9
Gary K. Liebowitz, Regional Director
581 Main Street, 7th Floor, Woodbridge, NJ 07095
(732) 596-2000
New Jersey and New York (except for the counties of Nassau and Suffolk, and
the five boroughs of New York City)
John P. Nocella, District Director
Eleven Penn Center, 1835 Market Street, 19th Floor, Philadelphia, PA 19103
(215) 665-1180
Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia
| District 9 Committee Incoming Members | ||
| Michael T. Corrao5 | Knight Equity Markets LP | Jersey City, NJ |
| Wayne F. Holly6 | Sage Rutty & Co., Inc. | Rochester, NY |
| John M. Ivan | Janney Montgomery Scott LLC | Philadelphia, PA |
| Brand F. Meyer | Wachovia Securities, LLC | Richmond, VA |
| Thomas T. Wallace | Johnston, Lemon & Co. Incorporated | Washington, DC |
| District 9 Nominating Committee Incoming Members | ||
| Richard Grobman | Oppenheimer & Co. Inc. | Philadelphia, PA |
| W. Dean Karrash | Burke, Lawton, Brewer & Burke | Spring House, PA |
| Gregg A. Kidd | Pinnacle Investments Inc. | East Syracuse, NY |
| Michael S. Mortensen | PNC Investments | Pittsburgh, PA |
| Michael B. Row | Pershing, LLC | Jersey City, NJ |
5 Mr. Corrao has been elected to serve the remaining two years of the term of Dorothy G. Sanders, who resigned from the District Committee.
6 Mr. Holly has been elected to serve the remaining year of the term of Barry M. Cash, who resigned from the District Committee.
District 10
Hans Reich, Regional Director
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)
| District 10 Committee Incoming Members | ||
| Barry M. Cash | Citigroup Global Markets, Inc. | Citigroup Global Markets, Inc. |
| Joseph DeBellis | Sanford C. Bernstein & Co., LLC | New York, NY |
| Robyn Jeffrey | Oppenheimer & Co., Inc. | New York, NY |
| Allen Meyer | Credit Suisse First Boston LLC | New York, NY |
| District 10 Nominating Committee Incoming Members | ||
| Margaret M. Caffrey | Schonfeld & Company, LLC | Jericho, NY |
| Jennifer A. Connors | Lehman Brothers Inc. | New York, NY |
| Raymond C. Holland, Jr. | Triad Securities Corp. | New York, NY |
| Richard J. Paley | Carey Financial Corporation | New York, NY |
| Mark Ronda | Oppenheimer & Co., Inc. | New York, NY |
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
| District 11 Committee Incoming Members | ||
| Martin W. Courage | Bank of America Investment Services | Boston, MA |
| Todd A. O'Connor | Investors Securities Services, LLC | Boston, MA |
| Robert J. Reilly | Piper Jaffray & Co. | Boston, MA |
| District 11 Nominating Committee Incoming Members | ||
| Michael C. Braun | Moors & Cabot, Inc. | Boston, MA |
| Andrew F. Detwiler | Virtua Research, an Affiliate of Vandham Securities Corp. | Boston, MA |
| Mark R. Hansen | State Street Global Markets, LLC | Boston, MA |
| Lee G. Kuckro | Advest, Inc. | Hartford, CT |
| Wilson G. Saville | Barrett & Company | Providence, RI |