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 the nominees for the District Committees and the District Nominating Committees.1 The individuals identified in this Special Notice (see Attachment A) have been nominated for three-year terms2 on the District Committees, and for one-year terms on the District Nominating Committees, starting in January 2007. These nominees will be considered duly elected on September 1, 2006, unless an election is contested in accordance with the procedures summarized below.
Also identified in Attachment A is the total number of candidates for the District Committee and/or the District Nominating Committee in each district. We appreciate the substantial interest shown by all of the candidates participating in the District Elections, and thank everyone for their continuing support of the self-regulatory process.
Contested Election Procedures
If an officer or director of, or individual who is registered with, an NASD member who meets the qualifications of Sections 8.2 or 8.9, as applicable, of the NASD Regulation By-Laws, has not been nominated by the District Nominating Committee as a candidate or alternate and wants to be considered for election to the District Committee or the District Nominating Committee, he or she must deliver a written notice to the District Director or Regional Director within 14 calendar days of the date of this Special Notice, or by August 31, 2006.
If an additional candidate or candidates come forward by August 31, 2006, the Corporate Secretary will provide each additional candidate with a list of members who are eligible to vote in the District. In order to be considered for nomination, within 30 calendar days of receipt of the list of members eligible to vote, an additional candidate must 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.
Additional information pertaining to the District Election Procedures can be found in Article VIII of the NASD Regulation By-Laws.
Questions/Further Information
Questions concerning this Special Notice may be directed to the District Office contact noted in Attachment A, or to Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, NASD at (202) 728-8062 or via email at [email protected].
1 In addition to nominating a slate of candidates for each of these committees, each District Nominating Committee may nominate one alternate candidate for each committee. The nomination of alternate candidates is permitted under Section 8.17 of the NASD Regulation By-Laws. Attachment A identifies each District Nominating Committee's slate of nominees, plus alternate candidates (if any).
2 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 | ||
| Debra J. Pohlson, Acting District Director | ||
| 525 Market Street, Suite 300, San Francisco, CA 94105-2711 | (415) 882-1203 (415) 546-6991 Fax |
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| 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 | ||
| 2006 District Nominating Committee Chair | ||
| Nicholas C. Cochran | American Investors Company | San Ramon, CA |
| Number of Candidates: 23 | ||
| District 1 Nominees | ||
| Leonard Berry | Backstrom McCarley Berry & Co., LLC | San Francisco, CA |
| Scott Cook | Charles Schwab & Co., Inc. | San Francisco, CA |
| James Williams | Financial Telesis, Inc. | San Rafael, CA |
| Alternate Candidate | ||
| Christopher Aguilar | Merriman Curhan Ford & Co. | San Francisco, CA |
| District 1 Nominating Committee Nominees | ||
| William A. Evans | Stone & Youngberg, LLC | San Francisco, CA |
| Gerard P. Gloisten | GBS Financial Corporation | Santa Rosa, CA |
| William P. Hayes | Wells Fargo Investments, LLC | San Francisco, CA |
| Francis X. Roche, II | Morgan Stanley | San Francisco, CA |
| William Svoboda | Sutter Securities, Inc. | Palo Alto, CA |
| Alternate Candidate | ||
| Warren Gordon | Charles Schwab & Co., Inc. | San Francisco, CA |
| District 2 | ||
| Lani M. Sen Woltmann, District Director | ||
| 300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071-3126 | (213) 613-2601 (213) 617-3156 Fax |
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| 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 | ||
| 2006 District Nominating Committee Chair | ||
| Don Dalis | UBS Financial Services, Inc. | Newport Beach, CA |
| Number of Candidates: 28 | ||
| District 2 Nominees | ||
| Benjamin J. Prince | Banc of America Investment Services | Newport Beach, CA |
| Jeffrey P. Shackett | RH Investment Corp. | Encino, CA |
| Craig R. Watanabe | Western International Securities | Pasadena, CA |
| Alternate Candidate | ||
| Maureen M. Maloney | Associated Securities Corp. | Los Angeles, CA |
| District 2 Nominating Committee Nominees | ||
| M. LaRae Bakerink | WBB Securities, LLC | San Diego, CA |
| Stephen B. Benton | Financial Network Investment Corp. | El Segundo, CA |
| Don S. Dalis | UBS Financial Services, Inc. | Newport Beach, CA |
| James M. Dillahunty | Fixed Income Securities, LLC | San Diego, CA |
| Neal E. Nakagiri | NPB Financial Group, LLC | Burbank, CA |
| Alternate Candidate | ||
| Diane P. Blakeslee | Blakeslee & Blakeslee, Inc. | San Luis Obispo, CA |
| District 3 | ||
| Joseph M. McCarthy, District Director | ||
| 370 17th Street, Suite 2900 Denver, CO 80202-5629 | (303) 446-3100 (303) 620-9450 Fax |
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| Arizona, Colorado, New Mexico, Utah and Wyoming | ||
| Michael E. Lewis, District Director | ||
| 601 Union Street, Suite 1616 Seattle, WA 98101-2327 |
(206) 624-0790 (206) 623-2518 Fax |
|
| Alaska, Idaho, Montana, Oregon and Washington | ||
| 2006 District Nominating Committee Chair | ||
| Bridget M. Gaughan | AIG Financial Advisors, Inc. | Phoenix, AZ |
| Number of Candidates: 28 | ||
| District 3 Nominees | ||
| James Cannon | AIG Financial Advisors, Inc. | Phoenix, AZ |
| Patrick Elliott | RBC Dain Rauscher | Bainbridge Island, WA |
| Chester Hebert | CIM Securities, LLC | Greenwood Village, CO |
| Alternate Candidate | ||
| Elyssa Baltazar | Citigroup Global Markets, Inc. | Denver, CO |
| District 3 Nominating Committee Nominees | ||
| Bridget Gaughan | AIG Financial Advisors, Inc. | Phoenix, AZ |
| John Goodwin | Goodwin Browning & Luna Securities, Inc. | Albuquerque, NM |
| Curtis Hammond | Morgan Stanley DW Inc. | Bellevue, WA |
| J. Keith Kessel | AFS Brokerage, Inc. | Greenwood Village, CO |
| Arlene Wilson | D.A. Davidson | Great Falls, MT |
| District 4 | ||
| Thomas D. Clough, District Director | ||
| 120 W. 12th Street, Suite 800, Kansas City, MO 64105 | (816) 421-5700 (816) 421-5029 Fax |
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| Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota and South Dakota | ||
| 2006 District Nominating Committee Chair | ||
| Jeffrey A. Schuh | Residential Funding Securities Corporation | Minneapolis, MN |
| Number of Candidates: 33 | ||
| District 4 Nominees | ||
| Kenneth M. Cherrier1 | Fintegra, LLC | Minneapolis, MN |
| Richard D. Link | Edward Jones | St. Louis, MO |
| Daniel J. May | Financial Network Investment Corporation | Minneapolis, MN |
| Arthur S. Montgomery2 | Walnut Street Securities, Inc. | St. Louis, MO |
| Alternate Candidate | ||
| Jo Ann Zellmer | Northland Securities, Inc. | Minneapolis, MN |
| District 4 Nominating Committee Nominees | ||
| Robert M. Chambers | A.G. Edwards & Sons, Inc. | West Des Moines, IA |
| Joseph D. Fleming | RBC Dain Rauscher Inc. | Minneapolis, MN |
| Mark T. Lasswell | Wells Fargo Brokerage Services, LLC | Minneapolis, MN |
| Kevin P. Maas | PrimeVest Financial Services, Inc. | St. Cloud, MN |
| Stephen S. Soden | Country Club Financial Services, Inc. | Mission Woods, KS |
1 Mr. Cherrier has been nominated to serve the remaining year of the term of Stephen R. Oliver, who has resigned from the District Committee.
2 Mr. Montgomery is currently serving the remaining year of the term of Richard M. Hurwitz, who resigned from the District Committee. Mr. Montgomery has been nominated to serve a three-year term on the District Committee, commencing January 2007.
| District 5 | ||
| Keith E. Hinrichs, District Director | ||
| 1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802 | (504) 522-6527 (504) 522-4077 Fax |
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| Alabama, Arkansas, Louisiana, Mississippi, Oklahoma and Tennessee | ||
| 2006 District Nominating Committee Chair | ||
| John J. Dardis | Jack Dardis & Associates, Ltd. | Metairie, LA |
| Number of Candidates: 27 | ||
| District 5 Nominees | ||
| Hal J. Brown | BOSC, Inc. | Oklahoma City, OK |
| Michael J. Mungenast | ProEquities, Inc. | Birmingham, AL |
| Gary K. Wunderlich, Jr. | Wunderlich Securities, Inc. | Memphis, TN |
| Alternate Candidate | ||
| Rush F. Harding, III | Crews & Associates, Inc. | Little Rock, AR |
| District 5 Nominating Committee Nominees | ||
| John J. Dardis | Next Financial Group, Inc. | Metairie, LA |
| Henry M. Fyfe, III | Duncan-Williams, Inc. | Memphis, TN |
| Charles C. Hollinger, Jr. | Johnson Rice & Company, LLC | New Orleans, LA |
| Carolyn R. May | Simmons First Investment Group, Inc. | Little Rock, AR |
| R. Patrick Shepherd | Avondale Partners, LLC | Nashville, TN |
| Alternate Candidate | ||
| Donald (Don) Winton | Crews & Associates, Inc. | Little Rock, AR |
| District 6 | ||
| Virginia F. M. Jans, Regional Director, South Region | ||
| 12801 N. Central Expressway, Suite 1050, Dallas, TX 75243 | (972) 701-8554 (972) 716-7646 Fax |
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| Texas | ||
| 2006 District Nominating Committee Chair | ||
| V. Keith Roberts | Stanford Group Company | Houston, TX |
| Number of Candidates: 33 | ||
| District 6 Nominees | ||
| Kennard (Ken) R. George | VSR Financial Services, Inc. | Dripping Springs, TX |
| William C. Rea | Banc of America Investment Services, Inc. | Dallas, TX |
| Fenner R. Weller, Jr. | Weller Anderson & Co., Ltd. | Houston, TX |
| Alternate Candidate | ||
| Joan H. (Dorothy) Peurifoy | Financial Network Investment Corporation | Dallas, TX |
| District 6 Nominating Committee Nominees | ||
| Karen Banks | Frost Brokerage Services, Inc. | San Antonio, TX |
| Cynthia E. Besek | Maplewood Investment Advisors, Inc. | Dallas, TX |
| William D. Felder | Southwest Securities, Inc. | Dallas, TX |
| Brent T. Johnson | Multi-Financial Securities Corporation | Houston, TX |
| John R. Muschalek | First Southwest Company | Dallas, TX |
| Alternate Candidate | ||
| Sennett Kirk, III | Kirk Securities Corporation | Denton, TX |
| District 7 | ||
| Daniel J. Stefek, District Director | ||
| One Securities Centre 3490 Piedmont Road, NE, Suite 500 Atlanta, GA 30305 |
(404) 239-6128 (404) 237-9290 Fax |
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| Georgia, North Carolina and South Carolina | ||
| Mitchell C. Atkins, District Director | ||
| Crystal Corporate Center 2500 N. Military Trail, Suite 302 Boca Raton, FL 33431 |
(561) 443-8010 (561) 443-7995 Fax |
|
| Florida, Puerto Rico, the Canal Zone and the Virgin Islands | ||
| 2006 District Nominating Committee Chair | ||
| Roark A. Young | Young, Stovall & Company | Miami, FL |
| Number of Candidates: 37 | ||
| District 7 Nominees | ||
| Jed E. Bandes | Mutual Trust Company of America Securities | Clearwater, FL |
| Valerie G. Brown | Multi-Financial Services Corporation | Atlanta, GA |
| Raymond H. Smith, Jr.3 | Smith, Brown & Groover, Inc. | Macon, GA |
| Dennis W. Zank | Raymond James & Associates, Inc. | St. Petersburg, FL |
| Alternate Candidate | ||
| Thomas A. Kicak | SunTrust Capital Markets, Inc. | Atlanta, GA |
| District 7 Nominating Committee Nominees | ||
| Susan J. Hechtlinger | Banc of America Investment Services, Inc. | Charlotte, NC |
| Landrum H. Henderson, Jr. | Stephens, Inc. | Charlotte, NC |
| Dennis S. Kaminski | Mutual Service Corporation | West Palm Beach, FL |
| James A. Klotz | FMSBonds, Inc. | North Miami Beach, FL |
| Alan L. Maxwell | Wachovia Capital Markets, LLC | Charlotte, NC |
| Alternate Candidate | ||
| Kenneth W. McGrath | Popular Securities, Inc. | San Juan, PR |
3 Mr. Smith has been nominated to serve the remaining year of the term of Erick R. Holt, who has resigned from the District Committee.
| District 8 | ||
| Carla A. Romano, Regional Director, Midwest Region | ||
| 55 West Monroe Street, Suite 2700, Chicago, IL 60603-5052 | (312) 899-4324 (312) 899-4399 Fax |
|
| Illinois, Indiana, Kentucky, Michigan, Ohio and Wisconsin | ||
| 2006 District Nominating Committee Chair | ||
| Carol P. Foley | Podesta & Company | Chicago, IL |
| Number of Candidates: 47 | ||
| District 8 Nominees | ||
| Joel R. Blumenschein | Freedom Investors Corp | Hartland, WI |
| Thomas A. Bono | David A. Noyes & Company | Oak Park, IL |
| Steven J. Greenwald | Telemus Investment Brokers, LLC | Southfield, MI |
| Alternate Candidate | ||
| Lloyd A. Wennlund | Northern Trust Securities, Inc. | Chicago, IL |
| District 8 Nominating Committee Nominees | ||
| George E. Bates | Bates Securities, Inc. | Rockford, IL |
| Michael E. Bosway | City Securities Corporation | Indianapolis, IN |
| Mari Buechner | Coordinated Capital Securities, Inc. | Madison, WI |
| Ruth C. Hannenberg | Mesirow Financial, Inc. | Chicago, IL |
| Robert J. Michelotti | Ferris, Baker Watts Incorporated | Auburn Hills, MI |
| Alternate Candidate | ||
| G. Donald Steel | Planned Investment Co., Inc. | Indianapolis, IN |
| District 9 | ||
| Gary K. Liebowitz, Regional Director, North Region | ||
| 581 Main Street, 7th Floor Woodbridge, NJ 07095 |
(732) 596-2025 (732) 596-2001 Fax |
|
| New Jersey and New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City) | ||
| James J. Flicker, Associate District Director | ||
| 1835 Market Street, Suite 1900 Philadelphia, PA 19103 |
(215) 665-1180 (215) 963-7442 Fax |
|
| Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia and West Virginia | ||
| 2006 District Nominating Committee Chair | ||
| Michael B. Row | Pershing LLC | Jersey City, NJ |
| Number of Candidates: 28 | ||
| District 9 Nominees | ||
| Wayne F. Holly4 | Sage, Rutty & Co., Inc. | Rochester, NY |
| James J. Rabenstine | PNC Investments LLC | Pittsburgh, PA |
| Timothy L. Smith. | Comprehensive Asset Management & Servicing, Inc. | Parsippany, NJ |
| Alternate Candidate | ||
| James Clements... | Park Avenue Securities LLC | Bethlehem, PA |
| District 9 Nominating Committee Nominees | ||
| A. Louis Dentoy | Peterson Investments, Inc. | Blue Bell, PA |
| Peter P. Jenkins | Credit Suisse Securities (USA) LLC | Baltimore, MD |
| W. Dean Karrash | Burke, Lawton, Brewer & Burke | Spring House, PA |
| Gregg A. Kidd | Pinnacle Investments Inc. | East Syracuse, NY |
| Harold N. Peremel | Mercantile Brokerage Services, Inc. | Baltimore, MD |
| Alternate Candidate | ||
| Kimberly Tillotson Fleming | Hefren-Tillotson, Inc. | Pittsburgh, PA |
4 Mr. Holly is currently serving the remaining year of the term of Barry M. Cash, who resigned from the District Committee. Mr. Holly has been nominated to serve a three-year term on the District Committee, commencing January 2007.
| District 10 | ||
| Hans L. Reich, Regional Director, New York Region | ||
| One Liberty Plaza 49th Floor, 165 Broadway New York, NY 10006 |
(212) 858-4180 (212) 858-4078 Fax |
|
| Patricia Cappeto, Deputy District Director Long Island Office | ||
| Two Jericho Plaza 2nd Floor, Wing A Jericho, NY 11753 |
(516) 949-4200 (516) 949-4201 Fax |
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| New York (the counties of Nassau and Suffolk, and the five boroughs of New York City) | ||
| 2006 District Nominating Committee Chair | ||
| Jennifer A. Connors | Lehman Brothers Inc. | New York, NY+00?u . |
| Number of Candidates: 23 | ||
| District 10 Nominees | ||
| Alfred R. Berkeley, III | Pipeline Trading Systems LLC. | New York, NY |
| Kathryn G. Casparian. | CIBC World Markets Corp. | New York, NY |
| Jonathan S. Hurd | Terwin Capital, LLC | New York, NY |
| Craig B. Jampol5 | Caris & Company | New York, NY |
| James D. Lamke | Bear, Stearns & Co. Inc. | New York, NY |
| Alternate Candidate | ||
| George Mandl | ITG Inc. | New York, NY |
| District 10 Nominating Committee Nominees | ||
| Margaret M. Caffrey | Schonfeld & Company, LLC | Jericho, NY |
| Lon T. Dolber | American Portfolios Financial Services, Inc. | Holbrook, NY |
| George T. Mimura | Nomura Securities International, Inc. | New York, NY |
| Richard J. Paley | Carey Financial Corporation | New York, NY |
| Howard R. Plotkin | Lehman Brothers Inc. | New York, NY |
| Alternate Candidate | ||
| Judith R. MacDonald | Rothschild Inc. | New York, NY |
5 Mr. Jampol has been nominated to serve the remaining year of the term of Jeffrey T. Letzler, who has resigned from the District Committee.
| District 11 | ||
| Frederick F. McDonald, Jr., District Director | ||
| 99 High Street, Suite 900, Boston, MA 02110 | (617) 532-3401 (617) 451-3524 Fax |
|
| Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island and Vermont | ||
| 2006 District Nominating Committee Chair | ||
| Mark R. Hansen. | Alta Capital Group, LLC. | Boston, MA. |
| Number of Candidates: 21 | ||
| District 11 Nominees | ||
| Michael E. Callaghanê:i. | Harvest Capital Advisors, LLC | Wethersfield, CT |
| Stephen L. Schardin | Charles River Brokerage, LLC | Burlington, MA |
| Therese M. Squillacote | ING Financial Advisers, LLC | Hartford, CT |
| Alternate Candidate | ||
| Steven D. Martino | Detwiler, Mitchell, Fenton, and Graves, Inc. | Boston, MA |
| District 11 Nominating Committee Nominees | ||
| David K. Booth | Jefferson Pilot Securities Corp. | Concord, NH |
| Mark R. Hansen | Alta Capital Group, LLC | Boston, MA |
| Thomas F. Hollenbeck | National Financial Services, LLC | Boston, MA |
| Thomas J. Horack | Sun Life Financial Distributors | Wellesley Hills, MA |
| Wilson G. Saville | Barrett & Company | Providence, RI |
| Alternate Candidate | ||
| Curtis L. Snyder, Jr. | American Technology Research, Inc. | Greenwich, CT |