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02-65 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 terms1 on the District Committees and for one-year terms on the District Nominating Committees starting in January 2003. These nominees will be considered duly elected on October 11, 2002, 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 NASD member is interested in being considered as an additional candidate, he/she must indicate his/her interest to the District Director by October 11, 2002. If an additional candidate(s) comes forward by that date, the candidate has until November 10, 2002 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 November 10, 2002, 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.


Endnote

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, 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

2002 District Nominating Committee Chair
Stephen R. Adams Wells Fargo Investments LLC San Francisco, CA
 
District 1 Nominees
Steven R. Aaron J.P. Morgan Securities (one-year term) San Francisco, CA
Gerard P. Gloisten GBS Financial Corporation (two-year term) Santa Rosa, CA
Warren E. Gordon Charles Schwab & Co., Inc. San Francisco, CA
William P. Hayes Wells Fargo Investments LLC San Francisco, CA
Francis X. Roche, II RBC Dain Rauscher, Inc. San Francisco, CA
 
District 1 Nominating Committee Nominees
Sally G. Aelion Emmett A. Larkin Company, Inc. San Francisco, CA
John H. Chung Alliant Partners Santa Clara, CA
Glenn M. Colacurci Salomon Smith Barney San Francisco, CA
James D. Klein UBS PaineWebber, Inc. San Francisco, CA
Jerry D. Phillips RBC Dain Rauscher, Inc. 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) 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

2002 District Nominating Committee Chair
George H. Casey Crowell Weedon & Co. Los Angeles, CA
 
District 2 Nominees
A. William Cohen Integrated Trading and Investments, Inc. Las Vegas, NV
Don S. Dalis USB PaineWebber Inc. Newport Beach, CA
Donna Bartlett Lawson First Allied Securities, Inc. San Diego, CA
 
District 2 Nominating Committee Nominees
Margaret M. Black Morgan Stanley Dean Witter Los Angeles, CA
George H. Casey Crowell Weedon & Co. Los Angeles, CA
Miles Z. Gordon Financial Network Investment Corporation Torrance, CA
Dean A. Holmes Valic Financial Advisors, Inc. Glendale, CA
Robert L. Winston American Funds Distributors, Inc. Los Angeles, CA


District Committee And District Nominating Committee Nominees

District 3

Joseph M. McCarthy, 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

2002 District Nominating Committee Chair
Thomas Petrie Petrie Parkman & Co., Inc. Denver, CO
 
District 3 Nominees
Gene G. Branson Partners Investment Network, Inc. Spokane, WA
Bridget Gaughan SunAmerica Securities, Inc. Phoenix, AZ
John W. Goodwin Goodwin Browning & Luna Securities Inc. Albuquerque, NM
 
District 3 Nominating Committee Nominees
L. Hoyt DeMers Wells Fargo Investments LLC Seattle, WA
J. David Griswold Frank Russell Securities, Inc. Tacoma, WA
Martin Nelson, Jr. Martin Nelson & Co., Inc. Seattle, WA
William G. Papesh WM Funds Distributor, Inc. Seattle, WA
Anthony Petrelli Neidiger, Tucker, Bruner, Inc. Denver, CO


District Committee And District Nominating Committee Nominees

District 4

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

2002 District Nominating Committee Chair
Cheryl Cook-Schneider Edward Jones St. Louis, MO
 
District 4 Nominees
Deborah M. Castiglioni Cutter & Company, Inc. Chesterfield, MO
Terry L. Lister Cambridge Investment Research, Inc. Fairfield, IA
Richard J. Miller Walnut Street Securities, Inc. St. Louis, MO
 
District 4 Nominating Committee Nominees
Norman Frager Flagstone Securities, Inc. St. Louis, MO
E. John Moloney Moloney Securities Co., Inc. St. Louis, MO
Rodger O. Riney Scottrade, Inc. St. Louis, MO
Jeffrey A. Schuh Marquette Financial Group, Inc. Minneapolis, MN
Gail Werner-Robertson GWR Investments, Inc. Omaha, NE


District Committee And District Nominating Committee Nominees

District 5

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

2002 District Nominating Committee Chair
Dene R. Shipp SunTrust Equitable Securities, Inc. Nashville, TN
 
District 5 Nominees
Victor E. Blaylock BancorpSouth Investment Services, Inc. Jackson, MS
Carolyn R. May Benchmark Investments, Inc. Arkadelphia, AR
F. Eugene Woodham Sterne, Agee & Leach, Inc. Birmingham, AL
 
District 5 Nominating Committee Nominees
Carl W. Busch Prudential Securities Incorporated Oklahoma City, OK
E. Douglas Johnson, Jr. Johnson Rice & Company New Orleans, LA
James M. Rogers J.J.B. Hilliard, L.L. Lyons, Inc. Louisville, KY
William L. Tedford, Jr. Stephens Inc. Little Rock, AR
Duncan F. Williams Duncan-Williams, Inc. Memphis, TN


District Committee And District Nominating Committee Nominees

District 6

Bernerd E. Young, District Director

12801 N. Central Expressway, Suite 1050, Dallas, TX 75243
(972) 701-8554

Texas

2002 District Nominating Committee Chair
Daniel C. Dooley Maplewood Investment Advisors, Inc. Dallas, TX
 
District 6 Nominees
Brent T. Johnson IFG Network Securities, Inc. Houston, TX
John R. Muschalek First Southwest Company Dallas, TX
Robert L. Nash SWS Securities, Inc. Dallas, TX
 
District 6 Nominating Committee Nominees
C. Ronald Baker Williams Financial Group Lubbock, TX
Robert A. Estrada Estrada Hinojosa & Company, Inc. Dallas, TX
Fredrick W. McGinnis UBS PaineWebber, Inc. Houston, TX
Edward M. Milkie Milkie/Ferguson Investments, Inc. Dallas, TX
Jim G. Rhodes Rhodes Securities, Inc. Fort Worth, TX


District Committee And District Nominating Committee Nominees

District 7

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

2002 District Nominating Committee Chair
M. Anthony Greene Raymond James Financial Services, Inc. Atlanta, GA
 
District 7 Nominees
Joseph B. Gruber FSC Securities Corp. Atlanta, GA
Dennis S. Kaminski Mutual Service Corporation West Palm Beach, FL
James A. Klotz FMS, Inc. N. Miami Beach, FL
 
District 7 Nominating Committee Nominees
Michael D. Hearn Attorney Charlotte, NC
Edward R. Hipp, III Legg Mason Wood Walker, Inc. Williamsburg, VA
J. Lee Keiger, III Davenport & Company LLC Richmond, VA
John W. Waechter William R. Hough & Co. St. Petersburg, FL
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
(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)

2002 District Nominating Committee Chair
David Slavik Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation Oak Brook, IL
 
District 8 Nominees
Wilbur H. Burch Merrill Lynch, Pierce, Fenner & Smith Incorporated Schaumburg, IL
Thomas M. McDonald McDonald Investments, Inc. Cleveland, OH
James J. Roth Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation Oak Brook, IL
 
District 8 Nominating Committee Nominees
Wallen L. Crane Salomon Smith Barney, Inc. Toledo, OH
Mary D. Esser Cressman Esser Securities, Inc. Naperville, IL
Wayne F. Holly Sage, Rutty & Co., Inc. Rochester, NY
L. Gene Tanner NatCity Investments, Inc. Indianapolis, IN
Rodney Trautvetter Harris Direct Chicago, IL


District Committee And District Nominating Committee Nominees

District 9

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)

2002 District Nominating Committee Chair
Philip S. Cottone Rutherford, Brown & Catherwood LLC Philadelphia, PA
 
District 9 Nominees
Robert M. Berson Ryan, Beck & Co. LLC Livingston, NJ
Richard Grobman Fahnestock & Co. Inc. Philadelphia, PA
W. Dean Karrash Rutherford, Brown & Catherwood LLC Philadelphia, PA
Michael S. Mortensen PNC Investments, a division of J.J.B. Hilliard, W.L. Lyons, Inc. (two-year term) Pittsburgh, PA
 
District 9 Nominating Committee Nominees
A. Louis Denton Philadelphia Corporation for Investment Services Philadelphia, PA
James D. Lamke Goldman, Sachs & Co. Jersey City, NJ
Lance A. Reihl 1717 Capital Management Company Berwyn, PA
Lenda P. Washington GRW Capital Corporation Washington, DC
Gregory R. Zappala RRZ Public Markets, Inc. Cranberry Township, PA


District Committee And District Nominating Committee Nominees

District 10

Robert B. Kaplan, Acting District Director

One Liberty Plaza, New York, NY 10006
(212) 858-4000

The five boroughs of New York City and Long Island

2002 District Nominating Committee Chair
Eugene A. Schlanger Nomura Holding America, Inc. New York, NY
 
District 10 Nominees
Raymond C. Holland, Sr. Triad Securities Corp. New York, NY
Vicki Z. Holleman Loeb Partners Corporation New York, NY
Andrew H. Madoff Bernard L. Madoff Investment Securities LLC New York, NY
Richard J. Paley Fox-Pitt, Kelton Inc. New York, NY
 
District 10 Nominating Committee Nominees
Kevin J. Browne Banc of America Securities New York, NY
Judith R. MacDonald Rothschild, Inc. New York, NY
Eugene A. Schlanger Nomura Holding America, Inc. New York, NY
Stephen C. Strombelline Barclays Capital Inc. New York, NY
Tom M. Wirtshafter American Portfolios Financial Services, Inc. Holbrook, NY


District Committee And District Nominating Committee Nominees

District 11

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)

2002 District Nominating Committee Chair
Arthur F. Grant Cadaret, Grant & Co., Inc. Syracuse, NY
 
District 11 Nominees
Mark R. Hansen State Street Global Markets LLC Boston, MA
Gregg A. Kidd Pinnacle Investments, Inc. East Syracuse, NY
Lee G. Kuckro Advest, Inc. Hartford, CT
 
District 11 Nominating Committee Nominees
Stephen O. Buff Fleet Securities, Inc. Boston, MA
Richard DeAgazio Boston Capital Services, Inc. Boston, MA
John D. Lane Lane Capital Markets LLC Fairfield, CT
Dennis Surprenant Cantella & Co., Inc. Boston, MA
Peter T. Wheeler Commonwealth Financial Network Waltham, MA


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