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03-09 NASD Announces Election Results for District Committees and District Nominating Committees

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District Elections

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District Elections

Executive Summary

Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until 2006.

District 10 (New York) had an additional candidate come forward for consideration for that District Committee. Ballots were submitted and counted on January 10, 2003. The originally proposed slate of candidates for District 10 (New York) received the largest number of votes and is declared elected.

The members of the incoming District Committees and the District Nominating Committees are included in Attachment A.

Questions/Further Information

Questions concerning this 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 Committee and District Nominating Committee 2003 Incoming Members

District 1

Elisabeth P. Owens, District Director

525 Market Street, Suite 300, San Francisco, CA 94105
(415) 882-1201

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

2003 District 1 Incoming Members
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
2003 District 1 Nominating Committee Incoming Members
Sally G. Aelion Emmett A. Larkin Company, Inc. San Francisco, CA
John H. Chung SVP Securities 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 2003 Incoming Members

District 2

Lani M. Sen Woltmann, District Director

300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071
(213) 613-2601

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

2003 District 2 Incoming Members
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
2003 District 2 Nominating Committee Incoming Members
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 2003 Incoming Members

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 Street, Suite 1616, Seattle, WA 98101-2327
(206) 624-0790

Alaska, Idaho, Montana, Oregon, and Washington

2003 District 3 Incoming Members
Gene G. Branson Partners Investment Network, Inc. Spokane, WA
Bridget M. Gaughan SunAmerica Financial Network, Inc. Phoenix, AZ
John W. Goodwin Goodwin Browning & Luna Securities, Inc. Albuquerque, NM
2003 District 3 Nominating Committee Incoming Members
L. Hoyt DeMers Wells Fargo Investments, LLC Seattle, WA
J. David Griswold Frank Russell Securities, Inc. Tacoma, WA
Martin O. Nelson, Jr. Martin Nelson & Co., Inc. Seattle, WA
William G. Papesh WM Funds Distributor, Inc. Seattle, WA
Anthony B. Petrelli Neidiger, Tucker, Bruner, Inc. Denver, CO

District Committee and District Nominating Committee 2003 Incoming Members

District 4

Thomas D. Clough, District Director

120 W. 12th Street, Suite 900, Kansas City, MO 64105
(816) 802-4708

Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota

2003 District 4 Incoming Members
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
2003 District 4 Nominating Committee Incoming Members
Norman Frager Flagstone Securities, LLC St. Louis, MO
E. John Moloney Moloney Securities Co., Inc. St. Louis, MO
Rodger O. Riney Scottrade, Inc. St. Louis, MO
Jeffrey A. Schuh Wells Fargo Investment Services Minneapolis, MN
Gail Werner-Robertson GWR Investments, Inc. Omaha, NE

District Committee and District Nominating Committee 2003 Incoming Members

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

2003 District 5 Incoming Members
Victor E. Blaylock BancorpSouth Investment Service, Inc. Jackson, MS
Carolyn R. May Benchmark Investments, Inc. Arkadelphia, AR
F. Eugene Woodham Sterne, Agee & Leach, Inc. Birmingham, AL
2003 District 5 Nominating Committee Incoming Members
Carl W. Busch Prudential Securities Incorporated Edmond, OK
E. Douglas Johnson, Jr. Johnson Rice & Company New Orleans, LA
James M. Rogers J.J.B. Hilliard, W.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 2003 Incoming Members

District 6

Bernerd E. Young, District Director

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

Texas

2003 District 6 Incoming Members
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
2003 District 6 Nominating Committee Incoming Members
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 2003 Incoming Members

District 7

Alan M. Wolper, District Director

One Securities Centre, Suite 500, 3490 Piedmont Road, NE, Atlanta, GA 30305
(404) 239-6128

Florida, Georgia, North Carolina, South Carolina, Virginia, Puerto Rico, the Canal Zone, and the Virgin Islands

2003 District 7 Incoming Members
Joseph B. Gruber FSC Securities Corporation Atlanta, GA
Dennis S. Kaminski Mutual Service Corporation West Palm Beach, FL
James A. Klotz First Miami Securities, Inc. N. Miami Beach, FL
2003 District 7 Nominating Committee Incoming Members
Michael D. Hearn Banc of America Investment Services, Inc. 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 K. Young Young, Stovall & Company Miami, FL

District Committee and District Nominating Committee 2003 Incoming Members

District 8

Carlotta A. Romano, District Director

55 West Monroe Street, Suite 2700, Chicago, IL 60603
(312) 899-4324

Illinois, Indiana, Michigan, and Wisconsin

William H. Jackson, Jr., District Director

Renaissance on Playhouse Square, 1350 Euclid Avenue, Suite 650, Cleveland, OH 44115
(216) 592-2951

Ohio and part of upstate New York (the counties of Monroe, Livingston, and Steuben, and the remainder of the state west of such counties)

2003 District 8 Incoming Members
Thomas M. McDonald McDonald Investments, Inc. Cleveland, OH
James J. Roth Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation Oak Brook, IL
2003 District 8 Nominating Committee Incoming Members
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 2003 Incoming Members

District 9

John P. Nocella, District Director

Eleven Penn Center, 1835 Market Street, Suite 1900, Philadelphia, PA 19103
(215) 963-1992

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) 596-2025

New Jersey (except southern New Jersey in the immediate Philadelphia vicinity)

2003 District 9 Incoming Members
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
2003 District 9 Nominating Committee Incoming Members
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 2003 Incoming Members

District 10

Cathleen F. Shine, District Director

One Liberty Plaza, 49th Floor, New York, NY 10006
(212) 858-4180

The five boroughs of New York City and Long Island

2003 District 10 Incoming Members
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
2003 District 10 Nominating Committee Incoming Members
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 2003 Incoming Members

District 11

Frederick F. McDonald, District Director

260 Franklin Street, Suite 1600, Boston, MA 02110
(617) 261-0805

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)

2003 District 11 Incoming Members
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
2003 District 11 Nominating Committee Incoming Members
Stephen O. Buff Fleet Securities, Inc. Boston, MA
Richard J. DeAgazio Boston Capital Services, Inc. Boston, MA
John D. Lane Lane Capital Markets LLC Fairfield, CT
Dennis R. Surprenant Cantella & Co., Inc. Boston, MA
Peter T. Wheeler Commonwealth Financial Network Waltham, MA


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