Notice to Members 06-66
NASD Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
Published Date:
INFORMATIONAL
District and National Adjudicatory Council Elections
SUGGESTED ROUTING |
KEY TOPICS |
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Legal & Compliance Operations Registration Senior Management |
District Elections |
Executive Summary
Through this Notice, NASD announces the election results for the District Committees, the District Nominating Committees and the National Adjudicatory Council (NAC). The candidates nominated to the District Nominating Committees have been duly elected in all districts. In the 11 District Committee elections, additional candidates satisfied the requirements of Article VIII of the NASD Regulation By-Laws to contest each District Committee election. The newly elected District Committee members will serve until January 2010,1 and the newly elected District Nominating Committee members will serve until January 2008.
In the NAC elections, additional candidates satisfied the requirements of Article VI of the NASD Regulation By-Laws to contest two regional industry seats (New York and West) on the NAC. The individual who received the largest number of votes cast in the New York Region has been declared the nominee from that region. Similarly, the individual who received the largest number of votes cast in the West Region has been declared the nominee from that region. The Regional Nominating Committees for each region will nominate these individuals to the National Nominating Committee for appointment by the NASD Regulation Board.
The members of the incoming District Committees and District Nominating Committees, and the proposed NAC nominees, are identified in Attachment A. All petition candidates are identified as such. All other candidates were nominated by the District Nominating Committees.
Questions/Further Information
Questions concerning this Notice may be directed to the Regional or District Director 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 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—2007 Incoming Members District 1 | ||
| Debra J. Pohlson, Acting District Director | ||
| 525 Market Street, Suite 300 San Francisco, CA 94105-2711 (415) 882-1200 |
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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 | ||
| District 1 Committee Incoming Members | ||
| Robert T. Angle (petition candidate) |
White Pacific Securities, Inc. | San Francisco, CA |
| Leonard R. Berry | Backstrom McCarley Berry & Co., LLC | San Francisco, CA |
| James H. Williams | James H. Williams | San Rafael, CA |
| District 1 Nominating Committee Incoming Members | ||
| 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 | RBC Dain Rauscher, Inc. | San Francisco, CA |
| William Svoboda | Morgan Stanley | Palo Alto, CA |
| District 2 | ||
| Joseph M. McCarthy, Acting District Director | ||
| 300 South Grand Avenue, Suite 1600
Los Angeles, CA 90071-3126 (213) 229-2300 |
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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 | ||
| District 2 Committee Incoming Members | ||
| Craig M. Biddick (petition candidate) |
Mission Securities Corporation | San Diego, CA |
| Mark S. Stewart (petition candidate) |
Mark Stewart Securities, Inc. | Irvine, CA |
| Craig R. Watanabe | Western International Securities, Inc. | Pasadena, CA |
| District 2 Nominating Committee Incoming Members | ||
| 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 |
| District 3 | ||
| Joseph M. McCarthy, District Director | ||
| 370 17th Street, Suite 2900
Denver, CO 80202-5629 (303) 446-3100 |
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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 |
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| Alaska, Idaho, Montana, Oregon and Washington | ||
| District 3 Committee Incoming Members | ||
| Chester J. Hebert | CIM Securities LLC | Greenwood Village, CO |
| James W. Millegan (petition candidate) |
J.W. Millegan, Inc. | Oswego, OR |
| Douglas W. Schriner (petition candidate) |
Harrison Douglas, Inc. | Aurora, CO |
| District 3 Nominating Committee Incoming Members | ||
| 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 West 12th Street, Suite 800 Kansas City, MO 64105-1930 (816) 421-5700 |
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| Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota and South Dakota | ||
| District 4 Committee Incoming Members | ||
| Kenneth M. Cherrier1 | Fintegra, LLC | Minneapolis, MN |
| Robert E. Hillard (petition candidate) |
Arlington Securities, Inc. | St. Louis, MO |
| Richard D. Link | Edward Jones | St. Louis, MO |
| Daniel J. May | Financial Network Investment Corporation | Minneapolis, MN |
| District 4 Nominating Committee Incoming Members | ||
| 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 |
| District 5 | ||
| Keith E. Hinrichs, District Director | ||
| 1100 Poydras Street, Energy Center, Suite 850
New Orleans, LA 70163-0802 (504) 522-6527 |
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| Alabama, Arkansas, Louisiana, Mississippi, Oklahoma and Tennessee | ||
| District 5 Committee Incoming Members | ||
| Robert Keenan, Jr. (petition candidate) |
St. Bernard Financial Services, Inc. | Russellville, AR |
| Michael J. Mungenast | ProEquities, Inc. | Birmingham, AL |
| Gary K. Wunderlich, Jr. | Wunderlich Securities, Inc. | Memphis, TN |
| District 5 Nominating Committee Incoming Members | ||
| 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 |
| District 6 | ||
| Virginia F. M. Jans, Regional Director | ||
| 12801 N. Central Expressway, Suite 1050 Dallas, TX 75243-1778 (972) 701-8554 |
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| Texas | ||
| District 6 Committee Incoming Members | ||
| Caroline B. Austin (petition candidate) |
Evolve Securities, Inc. | Dallas, TX |
| Kennard (Ken) R. George | VSR Financial Services, Inc. | Dripping Springs, TX |
| Fenner R. Weller, Jr. | Weller Anderson & Co., Ltd. | Houston, TX |
| District 6 Nominating Committee Incoming Members | ||
| Karen Banks | Frost Brokerage Services, Inc. | San Antonio, TX |
| Cynthia E. Besek | Maplewood Investment Adviors, 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 |
| District 7 | ||
| Daniel J. Stefek, District Director | ||
| One Securities Center, Suite 500
3490 Piedmont Road, NE Atlanta, GA 30305-4808 (404) 239-6100 |
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| Georgia, North Carolina and South Carolina | ||
| Mitchell C. Atkins, District Director | ||
| 2500 N. Military Trail, Suite 302 Boca Raton, FL 33431-6324 (561) 443-8000 |
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| Florida, Puerto Rico, the Canal Zone and the Virgin Islands | ||
| District 7 Committee Incoming Members | ||
| Jed E. Bandes | Mutual Trust Co. of America Securities | Clearwater, FL |
| Valerie G. Brown | ING Financial Partners, Inc. | Atlanta, GA |
| Karen Z. Fischer (petition candidate) |
Hunter Scott Financial LLC | Delray Beach, FL |
| Raymond H. Smith, Jr.2 | Smith, Brown & Groover, Inc. | Macon, GA |
| District 7 Nominating Committee Incoming Members | ||
| Susan J. Hechtlinger | Bank 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 |
| District 8 | ||
| Carla A. Romano, Regional Director | ||
| 55 West Monroe Street, Suite 2700 Chicago, IL 60603-5052 (312) 899-4400 |
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| Illinois, Indiana, Kentucky, Michigan, Ohio and Wisconsin | ||
| District 8 Committee Incoming Members | ||
| 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 |
| District 8 Nominating Committee Incoming Members | ||
| 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 |
| District 9 | ||
| Gary K. Liebowitz, Regional Director | ||
| 581 Main Street, 7th Floor Woodbridge, NJ 07095-1164 (732) 596-2000 |
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| New Jersey and New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City) | ||
| Robert B. Kaplan, District Director | ||
| 1835 Market Street, Suite 1900 Philadelphia, PA 19103-2929 (215) 963-1992 |
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| Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia and West Virginia | ||
| District 9 Committee Incoming Members | ||
| Wayne F. Holly | Sage, Rutty & Co., Inc. | Rochester, NY |
| Richard P. Seelaus (petition candidate) |
R. Seelaus & Co., Inc. | Summit, NJ |
| Timothy L. Smith | Comprehensive Asset Management and Servicing, Inc. | Parsippany, NJ |
| District 9 Nominating Committee Incoming Members | ||
| A. Louis Denton | 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 |
| District 10 | ||
| Hans L. Reich, Regional Director | ||
| 165 Broadway, 52nd Floor New York, NY 10006-1400 (212) 858-4000 |
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| New York (the counties of Nassau and Suffolk, and the five boroughs of New York City) | ||
| District 10 Committee Incoming Members | ||
| James A. Brodie, Jr. (petition candidate) |
Carr Securities Corporation | Port Washington, NY |
| Kathryn G. Casparian | CIBC World Markets Corp. | New York, NY |
| Paul S. Ehrenstein (petition candidate) |
Zenith American Securities Corporation | New York, NY |
| Craig B. Jampol3 | Caris & Company | New York, NY |
| James D. Lamke | Bear Stearns & Co. Inc. | New York, NY |
| District 10 Nominating Committee Incoming Members | ||
| 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 |
| District 11 | ||
| Frederick F. McDonald, District Director | ||
| 99 High Street, Suite 900 Boston, MA 02110 (617) 532-3400 |
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| Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island and Vermont | ||
| District 11 Committee Incoming Members | ||
| Michael E. Callaghan | Harvest Capital LLC | Wethersfield, CT |
| Tina Blakeley Maloney (petition candidate) |
Winslow, Evans & Crocker, Inc. | Boston, MA |
| Therese M. Squillacote | ING Financial Advisors, LLC | Hartford, CT |
| District 11 Nominating Committee Incoming Members | ||
| 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 | Wellesley Hills, MA |
| Wilson G. Saville | Barrett & Company | Providence, RI |
| National Adjudicatory Council—New York Region Seat | ||
| Samuel F. Lek (petition candidate) |
Lek Securities Corporation | New York, NY |
| National Adjudicatory Council—West Region Seat | ||
| David P. Alsup (petition candidate) |
North American Clearing, Inc. | Laguna Hills, CA |
1 Mr. Cherrier has been elected to serve the remaining year of the term of Stephen R. Oliver, who resigned from the District Committee.
2 Mr. Smith has been elected to serve the remaining year of the term of Erick R. Holt, who resigned from the District Committee.
3 Mr. Jampol has been elected to serve the remaining year of the term of Jeffrey T. Letzler, who resigned from the District Committee.