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06-40 Nominees for District Committee and District Nominating Committee

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INFORMATIONAL

District Elections

SUGGESTED ROUTING

KEY TOPICS

Executive Representatives
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.1 The individuals identified in this Special Notice (see Attachment A) have been nominated for three-year terms2 on the District Committees, and for one-year terms on the District Nominating Committees, starting in January 2007. These nominees will be considered duly elected on September 1, 2006, unless an election is contested in accordance with the procedures summarized below.

Also identified in Attachment A is the total number of candidates for the District Committee and/or the District Nominating Committee in each district. We appreciate the substantial interest shown by all of the candidates participating in the District Elections, and thank everyone for their continuing support of the self-regulatory process.

Contested Election Procedures

If an officer or director of, or individual who is registered with, an NASD member who meets the qualifications of Sections 8.2 or 8.9, as applicable, of the NASD Regulation By-Laws, has not been nominated by the District Nominating Committee as a candidate or alternate and wants to be considered for election to the District Committee or the District Nominating Committee, he or she must deliver a written notice to the District Director or Regional Director within 14 calendar days of the date of this Special Notice, or by August 31, 2006.

If an additional candidate or candidates come forward by August 31, 2006, the Corporate Secretary will provide each additional candidate with a list of members who are eligible to vote in the District. In order to be considered for nomination, within 30 calendar days of receipt of the list of members eligible to vote, an additional candidate must 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.

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

Questions/Further Information

Questions concerning this Special Notice may be directed to the District Office contact noted in Attachment A, or to Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, NASD at (202) 728-8062 or via email at barbara.sweeney@nasd.com.


1 In addition to nominating a slate of candidates for each of these committees, each District Nominating Committee may nominate one alternate candidate for each committee. The nomination of alternate candidates is permitted under Section 8.17 of the NASD Regulation By-Laws. Attachment A identifies each District Nominating Committee's slate of nominees, plus alternate candidates (if any).

2 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
Debra J. Pohlson, Acting District Director
525 Market Street, Suite 300, San Francisco, CA 94105-2711 (415) 882-1203
(415) 546-6991 Fax
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
2006 District Nominating Committee Chair
Nicholas C. Cochran American Investors Company San Ramon, CA
Number of Candidates: 23
District 1 Nominees
Leonard Berry Backstrom McCarley Berry & Co., LLC San Francisco, CA
Scott Cook Charles Schwab & Co., Inc. San Francisco, CA
James Williams Financial Telesis, Inc. San Rafael, CA
Alternate Candidate
Christopher Aguilar Merriman Curhan Ford & Co. San Francisco, CA
District 1 Nominating Committee Nominees
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 Morgan Stanley San Francisco, CA
William Svoboda Sutter Securities, Inc. Palo Alto, CA
Alternate Candidate
Warren Gordon Charles Schwab & Co., Inc. San Francisco, CA

District 2
Lani M. Sen Woltmann, District Director
300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071-3126 (213) 613-2601
(213) 617-3156 Fax
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
2006 District Nominating Committee Chair
Don Dalis UBS Financial Services, Inc. Newport Beach, CA
Number of Candidates: 28
District 2 Nominees
Benjamin J. Prince Banc of America Investment Services Newport Beach, CA
Jeffrey P. Shackett RH Investment Corp. Encino, CA
Craig R. Watanabe Western International Securities Pasadena, CA
Alternate Candidate
Maureen M. Maloney Associated Securities Corp. Los Angeles, CA
District 2 Nominating Committee Nominees
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
Alternate Candidate
Diane P. Blakeslee Blakeslee & Blakeslee, Inc. San Luis Obispo, CA

District 3
Joseph M. McCarthy, District Director
370 17th Street, Suite 2900 Denver, CO 80202-5629 (303) 446-3100
(303) 620-9450 Fax
Arizona, Colorado, New Mexico, Utah and Wyoming
Michael E. Lewis, District Director
601 Union Street, Suite 1616
Seattle, WA 98101-2327
(206) 624-0790
(206) 623-2518 Fax
Alaska, Idaho, Montana, Oregon and Washington
2006 District Nominating Committee Chair
Bridget M. Gaughan AIG Financial Advisors, Inc. Phoenix, AZ
Number of Candidates: 28
District 3 Nominees
James Cannon AIG Financial Advisors, Inc. Phoenix, AZ
Patrick Elliott RBC Dain Rauscher Bainbridge Island, WA
Chester Hebert CIM Securities, LLC Greenwood Village, CO
Alternate Candidate
Elyssa Baltazar Citigroup Global Markets, Inc. Denver, CO
District 3 Nominating Committee Nominees
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 W. 12th Street, Suite 800, Kansas City, MO 64105 (816) 421-5700
(816) 421-5029 Fax
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota and South Dakota
2006 District Nominating Committee Chair
Jeffrey A. Schuh Residential Funding Securities Corporation Minneapolis, MN
Number of Candidates: 33
District 4 Nominees
Kenneth M. Cherrier1 Fintegra, LLC Minneapolis, MN
Richard D. Link Edward Jones St. Louis, MO
Daniel J. May Financial Network Investment Corporation Minneapolis, MN
Arthur S. Montgomery2 Walnut Street Securities, Inc. St. Louis, MO
Alternate Candidate
Jo Ann Zellmer Northland Securities, Inc. Minneapolis, MN
District 4 Nominating Committee Nominees
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


1 Mr. Cherrier has been nominated to serve the remaining year of the term of Stephen R. Oliver, who has resigned from the District Committee.

2 Mr. Montgomery is currently serving the remaining year of the term of Richard M. Hurwitz, who resigned from the District Committee. Mr. Montgomery has been nominated to serve a three-year term on the District Committee, commencing January 2007.


District 5
Keith E. Hinrichs, District Director
1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802 (504) 522-6527
(504) 522-4077 Fax
Alabama, Arkansas, Louisiana, Mississippi, Oklahoma and Tennessee
2006 District Nominating Committee Chair
John J. Dardis Jack Dardis & Associates, Ltd. Metairie, LA
Number of Candidates: 27
District 5 Nominees
Hal J. Brown BOSC, Inc. Oklahoma City, OK
Michael J. Mungenast ProEquities, Inc. Birmingham, AL
Gary K. Wunderlich, Jr. Wunderlich Securities, Inc. Memphis, TN
Alternate Candidate
Rush F. Harding, III Crews & Associates, Inc. Little Rock, AR
District 5 Nominating Committee Nominees
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
Alternate Candidate
Donald (Don) Winton Crews & Associates, Inc. Little Rock, AR

District 6
Virginia F. M. Jans, Regional Director, South Region
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243 (972) 701-8554
(972) 716-7646 Fax
Texas
2006 District Nominating Committee Chair
V. Keith Roberts Stanford Group Company Houston, TX
Number of Candidates: 33
District 6 Nominees
Kennard (Ken) R. George VSR Financial Services, Inc. Dripping Springs, TX
William C. Rea Banc of America Investment Services, Inc. Dallas, TX
Fenner R. Weller, Jr. Weller Anderson & Co., Ltd. Houston, TX
Alternate Candidate
Joan H. (Dorothy) Peurifoy Financial Network Investment Corporation Dallas, TX
District 6 Nominating Committee Nominees
Karen Banks Frost Brokerage Services, Inc. San Antonio, TX
Cynthia E. Besek Maplewood Investment Advisors, 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
Alternate Candidate
Sennett Kirk, III Kirk Securities Corporation Denton, TX

District 7
Daniel J. Stefek, District Director
One Securities Centre
3490 Piedmont Road, NE, Suite 500
Atlanta, GA 30305
(404) 239-6128
(404) 237-9290 Fax
Georgia, North Carolina and South Carolina
Mitchell C. Atkins, District Director
Crystal Corporate Center
2500 N. Military Trail, Suite 302
Boca Raton, FL 33431
(561) 443-8010
(561) 443-7995 Fax
Florida, Puerto Rico, the Canal Zone and the Virgin Islands
2006 District Nominating Committee Chair
Roark A. Young Young, Stovall & Company Miami, FL
Number of Candidates: 37
District 7 Nominees
Jed E. Bandes Mutual Trust Company of America Securities Clearwater, FL
Valerie G. Brown Multi-Financial Services Corporation Atlanta, GA
Raymond H. Smith, Jr.3 Smith, Brown & Groover, Inc. Macon, GA
Dennis W. Zank Raymond James & Associates, Inc. St. Petersburg, FL
Alternate Candidate
Thomas A. Kicak SunTrust Capital Markets, Inc. Atlanta, GA
District 7 Nominating Committee Nominees
Susan J. Hechtlinger Banc 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
Alternate Candidate
Kenneth W. McGrath Popular Securities, Inc. San Juan, PR


3 Mr. Smith has been nominated to serve the remaining year of the term of Erick R. Holt, who has resigned from the District Committee.


District 8
Carla A. Romano, Regional Director, Midwest Region
55 West Monroe Street, Suite 2700, Chicago, IL 60603-5052 (312) 899-4324
(312) 899-4399 Fax
Illinois, Indiana, Kentucky, Michigan, Ohio and Wisconsin
2006 District Nominating Committee Chair
Carol P. Foley Podesta & Company Chicago, IL
Number of Candidates: 47
District 8 Nominees
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
Alternate Candidate
Lloyd A. Wennlund Northern Trust Securities, Inc. Chicago, IL
District 8 Nominating Committee Nominees
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
Alternate Candidate
G. Donald Steel Planned Investment Co., Inc. Indianapolis, IN

District 9
Gary K. Liebowitz, Regional Director, North Region
581 Main Street, 7th Floor
Woodbridge, NJ 07095
(732) 596-2025
(732) 596-2001 Fax
New Jersey and New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City)
James J. Flicker, Associate District Director
1835 Market Street, Suite 1900
Philadelphia, PA 19103
(215) 665-1180
(215) 963-7442 Fax
Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia and West Virginia
2006 District Nominating Committee Chair
Michael B. Row Pershing LLC Jersey City, NJ
Number of Candidates: 28
District 9 Nominees
Wayne F. Holly4 Sage, Rutty & Co., Inc. Rochester, NY
James J. Rabenstine PNC Investments LLC Pittsburgh, PA
Timothy L. Smith. Comprehensive Asset Management & Servicing, Inc. Parsippany, NJ
Alternate Candidate
James Clements... Park Avenue Securities LLC Bethlehem, PA
District 9 Nominating Committee Nominees
A. Louis Dentoy 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
Alternate Candidate
Kimberly Tillotson Fleming Hefren-Tillotson, Inc. Pittsburgh, PA


4 Mr. Holly is currently serving the remaining year of the term of Barry M. Cash, who resigned from the District Committee. Mr. Holly has been nominated to serve a three-year term on the District Committee, commencing January 2007.


District 10
Hans L. Reich, Regional Director, New York Region
One Liberty Plaza
49th Floor, 165 Broadway
New York, NY 10006
(212) 858-4180
(212) 858-4078 Fax
Patricia Cappeto, Deputy District Director Long Island Office
Two Jericho Plaza
2nd Floor, Wing A
Jericho, NY 11753
(516) 949-4200
(516) 949-4201 Fax
New York (the counties of Nassau and Suffolk, and the five boroughs of New York City)
2006 District Nominating Committee Chair
Jennifer A. Connors Lehman Brothers Inc. New York, NY+00?u .
Number of Candidates: 23
District 10 Nominees
Alfred R. Berkeley, III Pipeline Trading Systems LLC. New York, NY
Kathryn G. Casparian. CIBC World Markets Corp. New York, NY
Jonathan S. Hurd Terwin Capital, LLC New York, NY
Craig B. Jampol5 Caris & Company New York, NY
James D. Lamke Bear, Stearns & Co. Inc. New York, NY
Alternate Candidate
George Mandl ITG Inc. New York, NY
District 10 Nominating Committee Nominees
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
Alternate Candidate
Judith R. MacDonald Rothschild Inc. New York, NY


5 Mr. Jampol has been nominated to serve the remaining year of the term of Jeffrey T. Letzler, who has resigned from the District Committee.


District 11
Frederick F. McDonald, Jr., District Director
99 High Street, Suite 900, Boston, MA 02110 (617) 532-3401
(617) 451-3524 Fax
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island and Vermont
2006 District Nominating Committee Chair
Mark R. Hansen. Alta Capital Group, LLC. Boston, MA.
Number of Candidates: 21
District 11 Nominees
Michael E. CallaghanĂȘ:i. Harvest Capital Advisors, LLC Wethersfield, CT
Stephen L. Schardin Charles River Brokerage, LLC Burlington, MA
Therese M. Squillacote ING Financial Advisers, LLC Hartford, CT
Alternate Candidate
Steven D. Martino Detwiler, Mitchell, Fenton, and Graves, Inc. Boston, MA
District 11 Nominating Committee Nominees
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 Boston, MA
Thomas J. Horack Sun Life Financial Distributors Wellesley Hills, MA
Wilson G. Saville Barrett & Company Providence, RI
Alternate Candidate
Curtis L. Snyder, Jr. American Technology Research, Inc. Greenwich, CT

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