View Whole SectionText only Print Print Manager Link
Previous Next

02-37 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections

View PDF File

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 inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating Committees.

Information on District Committee and District Nominating Committee members serving through 2003, 2004, and 2005 is included in Attachment A. Information on District Election Procedures is included in Attachment B. A candidate profile sheet is included in Attachment C.

Nomination Process

Individuals from member firms of all sizes and segments of the industry are encouraged to submit names for consideration for membership on the 11 District Committees and District Nominating Committees. Members are requested to submit candidates' names to the appropriate District Nominating Committee Chairman or to the District Director by submitting a cover letter and the candidate profile sheet (Attachment C) by August 5.

Completed forms will be provided to all District Nominating Committee members for review. It is anticipated that the District Nominating Committees will certify their nominees to the District Committees on or about September 23.

Members are reminded of the importance to accurately maintain their Executive Representative name and e-mail address information, as well as their firm's main postal address. This will ensure that member mailings, such as election information, will be properly directed. Failure to keep this information accurate may jeopardize the member's ability to participate in District elections as well as other member votes. To update the Executive Representative name and e-mail address, firms should access their NASD Member Firm Contact Questionnaire (NMFCQ) located on the NASD Web Site (www.nasdr.com/disclaimer.asp).

To update postal address information, the firm must file a Form BD Amendment via the Web CRD system. For assistance updating either of these systems, you may contact our Call Center at (301) 590-6500.

Questions/Further Information

Questions concerning this Special 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 e-mail at barbara.sweeney@nasd.com.


Attachment A

District 1 Committee And District Nominating Committee Members

Elisabeth P. Owens, District Director
525 Market Street, Suite 300, San Francisco, CA 94105      (415) 882-1200

District 1 Committee — Chair: Sally G. Aelion

Members to be elected to terms expiring January 2006: 3

Member to be elected to term expiring January 2005: 1

Committee members to serve until January 2003
Sally G. Aelion Emmett A. Larkin Co., Inc. San Francisco, CA
David A. Baylor Thomas Weisel Partners LLC San Francisco, CA
Nicholas C. Cochran American Investors Company Dublin, CA
Committee members to serve until January 2004
S. Katherine Campbell Protected Investors of America San Francisco, CA
William C. Pack Salomon Smith Barney Saratoga, CA
Carol Van Bruggen Securities Service Network, Inc. Sacramento, CA
Committee members to serve until January 2005
Allan L. Herzog Prudential Securities, Inc. San Francisco, CA
Robert A. Muh Sutter Securities, Inc. San Francisco, CA
Vacancy    

District 1 Nominating Committee — Chair: Stephen R. Adams

Committee members to be elected to terms expiring January 2004: 5

Committee members
Stephen R. Adams Wells Fargo Investments, LLC 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 RBC Dain Rauscher, Inc. San Francisco, CA

District 2 Committee And District Nominating Committee Members

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

District 2 Committee — Chair: James R. Kruger

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
Kellen M. Flanigan Wells Fargo Securities, Inc. Beverly Hills, CA
William H. Howard, Jr. Seidler Companies Irvine, CA
James R. Kruger Dreyfus Brokerage Services, Inc. Los Angeles, CA
Committee members to serve until January 2004
James E. Biddle The Securities Center, Incorporated Chula Vista, CA
Chris M. Kanoff Jefferies and Company, Inc. Los Angeles, CA
Steven K. McGinnis National Planning Corporation Santa Monica, CA
Neal E. Nakagiri Associated Planners Securities Corporation Los Angeles, CA
Committee members to serve until January 2005
Joan A. Payden Payden & Rygel Los Angeles, CA
Joel H. Ravitz Quincy Cass Associates Los Angeles, CA
Guy W. Williams Merrill Lynch Pierce Fenner & Smith, Inc. Costa Mesa, CA

District 2 Nominating Committee — Chair: George H. Casey

Committee members to be elected to terms expiring January 2004: 5

Committee members
George H. Casey Crowell Weedon & Co. Los Angeles, CA
Murray F. Finebaum Trading Edge, Inc. Santa Monica, CA
James B. Guillou, Sr. RBS Dean Raucher, 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 Committee And District Nominating Committee Members

Frank J. Birgfeld, District Director
Republic Plaza Building, 370 17th Street, Suite 2900, Denver, CO 80202-5629      (303) 446-3100

James G. Dawson, District Director
Two Union Square, 601 Union, Suite 1616, Seattle, WA 98101-2327      (206) 624-0790

District 3 Committee — Chair: Kathryn A. Supko

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
Steven M. Fishbein United Securities Alliance, Inc. Greenwood Village, CO
J. David Griswold Frank Russell Company Tacoma, WA
Vacancy    
Committee members to serve until January 2004
Richard B. Bequette CUE Financial Group, Inc. Phoeniz, AZ
George T. Diachok   Denver, CO
John M. Rose Seattle-Northwest Securities Corporation Seattle, WA
Kathryn A. Supko Northwest Mutual Investment Services Boise, ID
Committee members to serve until January 2005
Gregory R. Anderson TIAA/CREF Denver, CO
Robert E. Frey, Jr. KMS Financial Services, Inc. Seattle, WA
John F. York Strand, Atkinson, Williams & York, Inc. Portland, OR

District 3 Nominating Committee — Chair: Thomas Petrie

Committee members to be elected to terms expiring January 2004: 5

Committee members
Thomas R. Hislop Peacock, Hislop, Staley & Given, Inc. Phoenix, AZ
John Morton Morton Clarke Fu & Metcalf, Inc. Seattle, WA
William G. Papesh WM Funds Distributor, Inc. Seattle, WA
Thomas Petrie Petrie Parkman & Co., Inc. Denver, CO
James E. Stark Charles Schwab & Co., Inc. Phoenix, AZ

District 4 Committee And District Nominating Committee Member

Thomas D. Clough, District Director
120 W. 12th Street, Suite 900, Kansas City, MO 64105     (816) 421-5700

District 4 Committee — Chair: E. John Moloney

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
E. John Moloney Moloney Securities Company, 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
Committee members to serve until January 2004
Gene M. Diedrich A.G. Edwards & Sons, Inc. Overland Park, KS
Timothy J. Lyle Trusted Securities Advisors Corp. Minneapolis, MN
Pamela K. Ziermann Dougherty & Company Minneapolis, MN
Committee members to serve until January 2005
William R. Giovanni Ameritas Investment Corp. Lincoln, NE
Frank H. Kirk First Union Securities Kansas City, MO
James H. Warner The Warner Group Sioux City, IA

District 4 Nominating Committee — Chair: Cheryl Cook-Schneider

Committee members to be elected to terms expiring January 2004: 5

Committee Members
Robert M. Chambers Robert W. Baird & Co. Incorporated West Des Moines, IA
Colleen Curran American Express Financial Advisors, Inc. Minneapolis, MN
Norman Frager Flagstone Securities, LLC Clayton, MO
John R. Lepley Princor Financial Services Corp. Des Moines, IA
Cheryl Cook-Schneider Edward Jones St. Louis, MO

District 5 Committee And District Nominating Committee Members

Warren A. Butler, Jr., District Director
1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802      (504) 522-6527

District 5 Committee — Chair: James M. Rogers

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
David A. Daugherty James Baker & Associates, A Limited Partnership Oklahoma City, OK
James M. Rogers J.J.B. Hilliard, W.L. Lyons, Inc. Louisville, KY
William Lucas Simons, Jr. UBS PaineWebber Inc. Nashville, TN
Committee members to serve until January 2004
David A. Knight Stephens Inc. Little Rock, AR
Lawrence J. Sisung Sisung Securities Corporation New Orleans, LA
David W. Wiley, III Wiley Bros., Aintree Capital, LLC Nashville, TN
Committee members to serve until January 2005
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 5 Nominating Committee — Chair: Dene R. Shipp

Committee members to be elected to terms expiring January 2004: 5

Committee members
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 Robinson Humphrey Capital Markets Nashville, TN
William L. Tedford, Jr. Stephens Inc. Little Rock, AR

District 6 Committee And District Nominating Committee Members

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

District 6 Committee — Chair: Bryan T. Forman

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
G. Clyde Buck Sanders Morris Harris, Inc. Houston, TX
Bryan T. Forman First Avantus Securities, Inc. Austin, TX
Daniel P. Son Penson Financial Services, Inc. Dallas, TX
Committee members to serve until January 2004
Christopher R. Allison M.E. Allison & Co., Inc. San Antonio, TX
David W. Turner First Union Securities, Inc. Ft. Worth, TX
R. Dwayne Whitehead Coastal Securities L.P. Houston, TX
Committee members to serve until January 2005
Donaldson D. Frizzell First Command Securities Corporation Fort Worth, TX
Sennett Kirk, III Kirk Securities Corporation Denton, TX
V. Keith Roberts American General Distributors Houston, TX

District 6 Nominating Committee — Chair: Daniel C. Dooley

Committee members to be elected to terms expiring January 2004: 5

Committee members
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 Committee And District Nominating Committee Members

Alan M. Wolper, District Director
One Securities Centre, Suite 500, 3490 Piedmont Road, N.E., Atlanta, GA 30305      (404) 239-6100

District 7 Committee — Chair: Michael D. Hearn, Esq.

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
Michael D. Hearn, Esq.   Charlotte, NC
Collie W. Lehn A.G. Edwards & Sons, Inc. Laurens, SC
John W. Waechter William R. Hough & Co. St. Petersburg, FL
Committee members to serve until January 2004
Kenneth W. McGrath Popular Securities, Inc. Hato Rey, PR
C. John O'Bryant, III Legg Mason Wood Walker, Inc. Raleigh, NC
Charles R. Roberts RBC Dain Rauscher, Inc. Richmond, VA
Committee members to serve until January 2005
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 7 Nominating Committee — Chair: M. Anthony Greene

Committee members to be elected to terms expiring January 2004: 5

Committee members
M. Anthony Greene Raymond James Financial Services, Inc. Atlanta, GA
James W. Hamilton, Jr. Morgan Keegan & Co. Atlanta, GA
Edward R. Hipp, III Legg Mason Wood Walker, Inc. Williamsburg, VA
Raymond W. Snow Merrill Lynch West Palm Beach, FL
Roark A. Young Young, Stovall and Company Miami, FL

District 8 Committee And District Nominating Committee Members

Carlotta A. Romano, District Director
55 West Monroe Street, Suite 2700, Chicago, IL 60603      (312) 899-4400

William H. Jackson, Jr., District Director
Renaissance on Playhouse Square, 1350 Euclid Avenue, Suite 650, Cleveland, OH 44115      (216) 592-2950

District 8 Committee — Chair: Gregory W. Goelzer

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
Carol Podesta Foley Podesta & Company Chicago, IL
Renee M. Rombaut Sage, Rutty & Co., Inc. Rochester, NY
Committee members to serve until January 2004
George E. Bates Bates Securities, Inc. Rockford, IL
Gregory W. Goelzer Goelzer Investment Management, Inc. Indianapolis, IN
Jay B. Mackenzie Prudential Securities Incorporated Kalamazoo, MI
Committee members to serve until January 2005
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 8 Nominating Committee — Chair: David Slavik

Committee members to be elected to terms expiring January 2004: 5

Committee members
Wallen L. Crane Salomon Smith Barney, Inc. Toledo, OH
William F. Faulkner Continental Capital Securities, Inc. Sylvania, OH
Thomas Harenburg Carl M. Hennig, Inc. Oshkosh, WI
David Slavik Pershing Division of Donaldson, Lufkin & Jenrette Securities Corp. Oak Brook, IL
L. Gene Tanner NatCity Investments, Inc. Indianapolis, IN

District 9 Committee And District Nominating Committee Members

John P. Nocella, District Director
Eleven Penn Center, 1835 Market Street, Suite 1900, Philadelphia, PA 19103      (215) 665-1180

Gary K. Liebowitz, District Director
581 Main Street, 7th Floor, Woodbridge, NJ 07905      (732) 596-2000

District 9 Committee — Chair: James D. Lamke

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
James D. Lamke Spear, Leeds & Kellogg, L.P. Jersey City, NJ
John P. Meegan Parker/Hunter Incorporated Pittsburgh, PA
Lance A. Reihl 1717 Capital Management Company Berwyn, PA
Lenda P. Washington GRW Capital Corporation Washington, DC
Committee members to serve until January 2004
Jerry V. Duhovic Datek OnLine Holdings Corp. Jersey City, NJ
Kimberly Tillotson Fleming Hefren-Tillotson, Inc. Pittsburgh, PA
Howard B. Scherer Janney Montgomery Scott LLC Philadelphia, PA
Mark Thomas Whaley RBC Dain Rauscher Inc. Florham Park, NJ
Committee members to serve until January 2005
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 9 Nominating Committee — Chair: Philip S. Cottone

Committee members to be elected to terms expiring January 2004: 5

Committee members
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 Committee And District Nominating Committee Members

Cathleen F. Shine, District Director
One Liberty Plaza, 165 Broadway, New York, NY 10006      (212) 858-4180

District 10 Committee — Chair: Judith R. MacDonald

Members to be elected to terms expiring January 2006: 4

Committee members to serve until January 2003
Kevin J. Browne Banc of America Securities New York, NY
Judith R. MacDonald Rothschild, Inc. New York, NY
Stephen C. Strombelline Barclays Capital Inc. New York, NY
Committee members to serve until January 2004
Ruth S. Goodstein PaineWebber Inc. New York, NY
Patrick Remmert Credit Suisse First Boston Corporation New York, NY
Charles V. Senatore Merrill Lynch Pierce Fenner & Smith Inc. New York, NY
Jeffrey R. Zuckerman Salomon Smith Barney Inc. New York, NY
Committee members to serve until January 2005
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 Fahnestock & Co. Inc. New York, NY

District 10 Nominating Committee — Chair: Eugene A. Schlanger

Committee members to be elected to terms expiring January 2004: 5

Committee members
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 Committee And District Nominating Committee Members

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

District 11 Committee — Chair: John D. Lane

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
John D. Lane Lane Capital Markets, LLC Fairfield, CT
Deborah G. Ullman Phoenix Equity Planning Corporation Hartford, CT
Peter T. Wheeler Commonwealth Financial Network Waltham, MA
Committee members to serve until January 2004
John I. Fitzgerald Leerink Swann & Company Boston, MA
Robert V. Rodia People's Securities, Inc. Bridgeport, CT
Gregory D. Teese Equity Services, Inc. Montpelier, VT
Committee members to serve until January 2005
Michael C. Braun Moors & Cabot, Inc. Boston, MA
Andrew F. Detwiler Vandham Securities Corp. Plymouth, MA
Thomas J. Horack John Hancock Life Insurance Company Boston, MA

District 11 Nominating Committee — Chair: Arthur F. Grant

Committee members to be elected to terms expiring January 2004: 5

Committee members
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 R. Surprenant Cantella & Co., Inc. Boston, MA


Attachment B

District Election Procedures for District Committees and District Nominating Committees

Regular Election

1. Each NASD District shall maintain a District Nominating Committee in the manner specified in Article VIII of the By-Laws of NASD Regulation, Inc.
2. The Secretary of NASD ("the Corporation") will notify in writing the Chairman of each District Committee and the Chairman of the District Nominating Committee of the upcoming vacancies on both the District Committee and the District Nominating Committee, and the procedures to follow to fill the vacancies. A copy of these letters will be provided to the District Directors.
The District Nominating Committee will be provided by NASD staff with information considered relevant to the nominating process, including statistical data pertaining to the District membership.
3. The Secretary of NASD will remind all members of their responsibility and obligation to keep current and accurate information on their Executive Representatives and branch office addresses. This reminder will contain a reference to the NASD Web Site (www.nasd.com) and detail the process for changing a firm's Executive Representative. Please note that failure to keep this information accurate may jeopardize the member's ability to participate in District elections as well as other member votes.
4. The Secretary of NASD on behalf of the District Committee Chairmen will send a Notice to Members announcing the forthcoming elections to the Executive Representative and each branch office of all members eligible to vote in that District. The Notice to Members will contain: a) the number of vacancies for each District; and b) the remaining members of each District Committee. Members interested in serving on the District Committee or District Nominating Committee will be requested to complete the candidate profile sheet and submit it to the District Nominating Committee Chairman or the District Director. The completed candidate profile sheet will be provided to all Nominating Committee members for review.
5. The District Nominating Committee will endeavor to secure appropriate and fair representation on the District Committee and on the District Nominating Committee of the various sizes and types of NASD members engaged in the investment banking or securities business within the District.
6. The District Nominating Committee will review the background and qualifications of the proposed candidates and the profile information provided by staff, and will determine its slate of candidates for the election.
7. The District Nominating Committee will certify to the District Committee each candidate nominated by the District Nominating Committee.
8. Within five (5) calendar days after this certification, a Notice to Members shall be sent to Executive Representatives, communicating the nominees for the vacancies on the District Committees and Nominating Committees.
9. If an officer, director, or employee of an NASD member is interested in being considered as an additional candidate by contesting the election, he/she must indicate his/her interest to the District Director within fourteen (14) calendar days of the date of the Notice to Members referenced in #8 above. The District Director shall make a written record of the time and date of such notification and the process will continue as described in #10 - #12.

If an additional candidate does not come forward within 14 days, the election of committee members is complete.
10. Additional candidate(s) may be nominated if a petition signed by the Executive Representative of at least 10 percent of the members eligible to vote in the District is filed with the District Nominating Committee within 30 calendar days from the mailing date of the Notice to Members referenced in #8, unless the Secretary of NASD grants additional time for good cause shown.
11. If no additional candidate(s) are nominated within the 30-calendar day period, then the candidates nominated by the District Nominating Committee shall be considered duly elected, and the District Committee shall certify the election to the Board of Directors of NASD Regulation.
12. If any additional candidate(s) are nominated, the procedures outlined in the Contested Election Procedures will apply.

Additional information pertaining to the District Election Procedures can be found in Article VIII of the By-Laws of NASD Regulation.

Candidate Profile Sheet

Current Employment
Name: CRD#:
Firm: #RRs at Firm:
Title/Primary Responsibility:
Address:
City: State: Zip:
Phone: Fax:
E-mail:
Prior Employment (List the most recent first. Feel free to include extra pages if necessary.)
Firm:
Title/Primary Responsibility:
Firm:
Title/Primary Responsibility:

General Areas of Expertise (please check all that apply) Product Expertise (please check all that apply)
  Compliance/Legal   Investment Advisory   Corporate Bonds   Investment Company
  Corporate Finance   Retail Sales   Direct Participation   Options
  Financial/Operational   Trading/Market Making   Programs   Variable Contracts Securities
  Institutional Sales   Other   Equity Securities   Other
  _______________
________________
  Municipal/Government Securities _______________
________________

Memberships/Positions Held in Trade or Business Organizations
 
 
 
Past NASD Experience and Dates of Service (please check all that apply)
Committee Member (Identify committee: ) Approx. Dates:
Arbitrator Approx. Dates:
Mediator Approx. Dates:
Expert Witness (arbitrations; disciplinary proceedings): Approx. Dates:
Other: Approx. Dates:
Educational Background
School: Degree:
School: Degree:

Previous Next