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01-69 Nominees For District Committee And District Nominating Committee

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INFORMATIONAL

District Elections

SUGGESTED ROUTING

KEY TOPICS

Legal & Compliance
Operations
Registration
Senior Management
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. The individuals identified in this Special Notice to Members (see Attachment A) have been nominated for three-year terms on the District Committees and for one-year terms on the District Nominating Committees starting in January 2002. These nominees will be considered duly elected on November 1, 2001, unless an election is contested in accordance with the procedures 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 may wish to revisit this process next year.

Contested Election Procedures

If an officer, director, or employee of a National Association of Securities Dealers, Inc. (NASD®) member is interested in being considered as an additional candidate, he/she must indicate his/her interest to the District Director by October 31, 2001. If an additional candidate(s) comes forward by that date, the candidate has until December 3, 2001 to 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.

If no additional candidates submit petitions by December 3, 2001, then the candidates nominated by the District Nominating Committee shall be considered elected, and the District Committee shall certify the election to the Board of Directors of NASD Regulation.

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: barbara.sweeney@nasd.com


ATTACHMENT A

District 1

District Committee And District Nominating Committee Nominees

Elisabeth P. Owens, District Director  
525 Market Street, Suite 300, San Francisco, CA 94105 (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  

2001 District Nominating Committee Chair
Nicholas C. Cochran American Investors Company Dublin, CA
District Committee Nominees
Raymond J. Cyphers UBS PaineWebber, Inc. San Jose, CA
Allan L. Herzog Prudential Securities, Inc. San Francisco, CA
Robert A. Muh Sutter Securities, Inc. San Francisco, CA
District Nominating Committee Nominees
Stephen R. Adams Wells Fargo Van Kasper San Francisco, CA
Janet W. Campbell Protected Investors of America Walnut Creek, CA
Glenn M. Colacurci Salomon Smith Barney San Francisco, CA
John C. Helmer Caldwell Securities, Inc. Danville, CA
Jerry D. Phillips Sutro & Co. San Francisco, CA

District 2

District Committee And District Nominating Committee Nominees

Lani M. Woltmann, District Director  
300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071 (213) 627-2122
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  

2001 District Nominating Committee Chair
Jerry M. Gluck Jefferies & Company, Inc. Los Angeles, CA
District Committee Nominees
Kevin J. Hart Sentra Securities Corp. c/o SunAmerica Financial Network, Inc. Woodland Hills, CA
Joan A. Payden Payden & Rygel Los Angeles, CA
Joel H. Ravitz Quincy Cass Associates, Inc. Los Angeles, CA
Guy W. Williams Merrill Lynch Pierce Fenner & Smith, Inc. Laguna Hills, CA
District Nominating Committee Nominees
George H. Casey Crowell Weedon & Co. Los Angeles, CA
Murray L. Finebaum Market Axess, Inc. Santa Monica, CA
James B. Guillou Tucker Anthony Sutro, Inc La Jolla, CA
Dean A. Holmes American General Financial Group Anaheim, CA
Robert L. Winston American Funds Distributors, Inc. Los Angeles, CA

District 3

District Committee And District Nominating Committee Nominees

Frank J. Birgfeld, 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, Suite 1616, Seattle, WA 98101-2327 (206) 624-0790
Alaska, Idaho, Montana, Oregon, and Washington  

2001 District Nominating Committee Chair
Douglas Strand Strand, Atkinson, Williams & York, Inc. Portland, OR
District Committee Nominees
Gregory R. Anderson TIAA/CREF Individual & Institutional Services, Inc. Denver, CO
Robert E. Frey, Jr. KMS Financial Services, Inc. Seattle, WA
John F. York Strand, Atkinson, Williams & York, Inc. Portland, OR
District Nominating Committee Nominees
Thomas R. Hislop Peacock, Hislop, Staley & Given, Inc. Phoenix, AZ
John Morton Morton Clarke Fu & Metcalf, Inc. Seattle, WA
William G. Papesh WM Fund Distributor, Inc. Seattle, WA
Thomas Petrie Petrie Parkman & Co., Inc. Denver, CO
James E. Stark Charles Schwab & Co., Inc. Phoenix, AZ

District 4

District Committee And District Nominating Committee Nominees

Thomas D. Clough, District Director  
120 W. 12th Street, Suite 900, Kansas City, MO 64105 (816) 421-5700
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota  

2001 District Nominating Committee Chair
Wayne H. Pererson USALLANZ Investor Services, LLC Minneapolis, MN
District Committee Nominees
William R. Giovanni Ameritas Investment Corp. Lincoln, NE
Frank H. Kirk First Union Securities, Inc. Kansas City, MO
James H. Warner The Warner Group, Inc. Sioux City, IA
District Nominating Committee Nominees
Robert M. Chambers Robert W. Baird & Co. Incorporated Des Moines, IA
Cheryl Cook-Schneider Edward Jones St. Louis, MO
Norman Frager Flagstone Securities St. Louis, MO
John R. Lepley Princor Financial Services Corp. Des Moines, IA
Brent M. Weisenborn Security Investment Company of Kansas City Kansas City, MO

District 5

District Committee And District Nominating Committee Nominees

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  

2001 District Nominating Committee Chair
Jerry Roberts Sterne, Agee & Leach, Inc. Little Rock, AR
District Committee Nominees
John J. Dardis Jack Dardis & Associates, Ltd. Metairie, LA
J. Timothy Rice Rice, Voelker, LLC Mandeville, LA
James T. Ritt Morgan Keegan & Company, Inc. Memphis, TN
District Nominating Committee Nominees
Carl W. Busch Prudential Securities Incorporated Oklahoma City, OK
William T. Griggs, II Dupree & Company, Inc. Lexington, KY
V. Hugo Marx, III Hugo Marx & Co., Inc. Birmingham, AL
Dene R. Shipp SunTrust Equitable Securities, Inc. Nashville, TN
William L. Tedford, Jr. Stephens Inc. Little Rock, AR

District 6

District Committee And District Nominating Committee Nominees

Bernerd E. Young, District Director  
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243 (972) 701-8554
Texas  

2001 District Nominating Committee Chair
William D. Connally Greenman Parker Connally, Greenman, Inc. Fort Worth, TX
District Committee Nominees
Donaldson D. Frizzell First Command Securities Corporation Fort Worth, TX
Sennett Kirk, III Kirk Securities Corporation Denton, TX
V. Keith Roberts American General Distributors, Inc. Houston, TX
Daniel P. Son Penson Financial Services, Inc. Dallas, TX
District Nominating Committee Nominees
Daniel C. Dooley Maplewood Investment Advisors, Inc. Dallas, TX
Kenneth R. Hanks SWS Securities, Inc. Dallas, TX
William H. Lowell Lowell & Company, Inc. Lubbock, TX
Fredrick W. McGinnis UBS PaineWebber, Inc. Houston, TX
Jim G. Rhodes Rhodes Securities, Inc. Fort Worth, TX

District 7

District Committee And District Nominating Committee Nominees

Alan M. Wolper, District Director  
One Securities Centre, Suite 500, 3490 Piedmont Road, N.E., Atlanta, GA 30305 (404) 239-6100
Florida, Georgia, North Carolina, South Carolina, Virginia, Puerto Rico, the Canal Zone, and the Virgin Islands  

2001 District Nominating Committee Chair
R. Charles Shufeldt SunTrust Banks, Inc. Atlanta, GA
District Committee Nominees
Jeffrey P. Adams Balentine & Company Atlanta, GA
Richard G. Averitt, III Raymond James Financial Services, Inc. Atlanta, GA
Harold F. Corrigan Merrill Lynch, Pierce, Fenner & Smith, Inc. Palm Beach, FL
District Nominating Committee Nominees
M. Anthony Greene Raymond James Financial Services, Inc. Atlanta, GA
James W. Hamilton, Jr. Morgan Keegan & Co. Atlanta, GA
Edward R. Hipp, III Centura Securities, Inc. Rocky Mount, NC
Raymond W. Snow Merrill Lynch, Pierce, Fenner & Smith, Inc. West Palm Beach, FL
Roark A. Young Young, Stovall & Company Miami, FL

District 8

District Committee And District Nominating Committee Nominees

Carlotta A. Romano, District Director  
55 West Monroe Street, Suite 2700, Chicago, IL 60603 (312) 899-4400
Illinois, Indiana, Michigan, and Wisconsin  
William H. Jackson, Jr., District Director  
Renaissance on Playhouse Square, 1350 Euclid Avenue, Suite 650, Cleveland, OH 44115 (216) 592-2950
Ohio and part of upstate New York (the counties of Monroe, Livingston, and Steuben, and the remainder of the state west of such counties)  

2001 District Nominating Committee Chair
Leonard L. Anderson Stifel Nicolaus & Company, Inc. Grand Haven, MI
District Committee Nominees
Bernard A. Breton Carillon Investments, Inc. Cincinnati, OH
Donald A. Carlson B.C. Ziegler and Company Chicago, IL
William K. Curtis M & I Brokerage Services, Inc. Milwaukee, WI
Gerald L. Oaks Legg Mason Wood Walker, Inc. Cincinnati, OH
Jill R. Powers Oberlin Financial Corporation Bryan, OH
District Nominating Committee Nominees
Wallen L. Crane, Jr. Salomon Smith Barney, Inc. Toledo, OH
William L. Faulkner Continental Capital Securities, Inc. Sylvania, OH
Thomas Harenburg Carl M. Hennig, Inc. Oshkosh, WI
David Slavik Pershing Division of Donaldson, Lufkin & Jenrette Oak Brook, IL
L. Gene Tanner NatCity Investments, Inc. Indianapolis, IN

District 9

District Committee And District Nominating Committee Nominees

John P. Nocella, District Director  
Eleven Penn Center, 1835 Market Street, Suite 1900, Philadelphia, PA 19103 (215) 665-1180
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) 596-2000
New Jersey (except southern New Jersey in the immediate Philadelphia vicinity)  

2001 District Nominating Committee Chair
James J. Malespina Herzog, Heine, Geduld, Inc. Jersey City, NJ
District Committee Nominees
James E. Bickley Cresap, Inc. Radnor, PA
Michael B. Row Donaldson, Lufkin & Jenrette Securities Corporation Jersey City, NJ
Frank D. Ruscetti Harvest Financial Corporation Pittsburgh, PA
District Nominating Committee Nominees
Philip S. Cottone Rutherford, Brown & Catherwood, LLC Philadelphia, PA
A. Louis Denton Philadelphia Corporation for Investment Services Philadelphia, PA
Jerome J. Murphy Janney Montgomery Scott LLC Philadelphia, PA
Joseph S. Rizzello Pershing Trading Company, L.P. Jersey City, NJ
Gregory R. Zappala RRZ Public Markets, Inc. Cranberry Township, PA

District 10

District Committee And District Nominating Committee Nominees

Cathleen Shine, District Director  
33 Whitehall Street, New York, NY 10004 (646) 441-3000
The five boroughs of New York City, and Long Island  

2001 District Nominating Committee Chair
Laurence H. Bertan Sanford C. Bernstein & Co., LLC New York, NY
District Committee Nominees
Jennifer A. Connors ITG Inc. New York, NY
Joan E. Hoffman Deutsche Banc Alex. Brown Inc. New York, NY
Nathalie P. Maio Bear, Stearns & Co. Inc. New York, NY
Bertram J. Riley, Sr. Petersen Investments, Inc. New York, NY
Mark W. Ronda Prime Charter Ltd. New York, NY
District Nominating Committee Nominees
William P. Behrens Northeast Securities, Inc. New York, NY
Laurence H. Bertan Sanford C. Bernstein & Co., LLC New York, NY
Philip V. Oppenheimer Oppenheimer & Close, Inc. New York, NY
Eugene A. Schlanger Nomura Securities International, Inc. New York, NY
Tom M. Wirtshafter American Portfolios Financial Services, Inc. Holbrook, NY

District 11

District Committee And District Nominating Committee Nominees

Frederick F. McDonald, District Director  
260 Franklin Street, 16th Floor, Boston, MA 02110 (617) 261-0800
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)  

2001 District Nominating Committee Chair
Stephanie Brown Linsco/Private Ledger Corp. Boston, MA
District Committee Nominees
Michael C. Braun Moors & Cabot, Inc. Boston, MA
Andrew F. Detwiler Fechtor, Detwiler & Co. Inc. Boston, MA
Thomas J. Horack John Hancock Life Insurance Company Boston, MA
District Nominating Committee Nominees
Harry Branning Linsco/Private Ledger Corp. Glastonbury, CT
Stephen O. Buff Fleet Securities, Inc. Boston, MA
Sheldon Fechtor Fechtor, Detwiler & Co., Inc. Boston, MA
Arthur F. Grant Cadaret, Grant & Co., Inc. Syracuse, NY
Dennis Surprenant Cantella & Co., Inc. Boston, MA

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