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05-74 NASD Announces Election Results for District Committees and District Nominating Committees

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District Elections



Legal & Compliance
Senior Management
District Elections

Executive Summary

Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The candidates nominated to the District Committees have been duly elected in all districts with the exception of District 7, which will have a contested election to determine the members of its District Committee. The candidates nominated to the District Nominating Committees have been duly elected in all districts. The newly elected District Committee members will serve until January 2009,1 and the newly elected District Nominating Committee members will serve until January 2007.

In District 7, an additional candidate has satisfied the requirements of Article VIII of the NASD Regulation By-Laws to contest the District Committee election. The outcome of this contested election will be announced in a Notice issued in January 2006.

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 email at

1 Some District Committee members were elected to fill existing vacancies and therefore may serve less than a three-year term, as indicated on Attachment A.


District Committees and District Nominating Committees—
2006 Incoming Members

District 1

Elisabeth P. Owens, Regional Director

525 Market Street, Suite 300, San Francisco, CA 94105-2711
(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

District 1 Committee Incoming Members
Christopher D. Charles Wulff, Hansen & Company San Francisco, CA
Kevin T. Kitchin Wachovia Securities, LLC San Francisco, CA
Edward M. Stephens FSC Securities Corporation Santa Rosa, CA

District 1 Nominating Committee Incoming Members
S. Katherine Campbell Protected Investors of America Berkeley, CA
Nicholas C. Cochran American Investors Company San Ramon, CA
Gerard P. Gloisten GBS Financial Corporation Santa Rosa, CA
Robert A. Muh Sutter Securities, Inc. San Francisco, CA
Francis X. Roche, II RBC Dain Rauscher, Inc. San Francisco, CA

District 2

Lani M. Sen Woltmann, District Director

300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071
(213) 229-2300

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

District 2 Committee Incoming Members
Steven K. Klein Farmers Financial Solutions, LLC Simi Valley , CA
Ismael Manzanares, Jr. WFP Securities San Diego, CA
Gary A. Martino brokersXpress, LLC Thousand Oaks, CA

District 2 Nominating Committee Incoming Members
M. LaRae Bakerink WBB Securities, LLC San Diego, CA
James E. Biddle The Securities Center, Inc. Chula Vista, CA
Don Dalis UBS Financial Services, Inc. Newport Beach, CA
Barbara A. Kelle Pacific Global Fund Distributors, Inc. Glendale, CA
Joel H. Ravitz Quincy Cass Associates Los Angeles, CA

District 3

Joseph M. McCarthy, District Director

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

District 3 Committee Incoming Members
David Director McAdams Wright Ragen, Inc. Seattle, WA
Daniel Lind Wells Fargo Investments Tucson, AZ
Stephen Youhn M Holdings Securities, Inc. Portland, OR

District 3 Nominating Committee Incoming Members
Gregory R. Anderson MCL Financial Group, Inc. Denver, CO
L. Hoyt DeMers Wells Fargo Investments, LLC Seattle, WA
Bridget Gaughan AIG Financial Advisors, Inc. Phoenix, AZ
John Goodwin Goodwin Browning & Luna Securities, Inc. Albquerque, NM
C. Fredrick Roed McAdams Wright Ragen, Inc. Bellevue, WA

District 4

Thomas D. Clough, District Director

120 West 12th Street, Suite 900, Kansas City, MO 64105
(816) 421-5700
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota

District 4 Committee Incoming Members
Steven F. McWhorter Securities America, Inc. Omaha, NE
Arthur S. Montgomery1 Walnut Street Securities, Inc. St. Louis, MO
Brian D. Murphy Woodbury Financial Services, Inc. Woodbury, MN
Andrew C. Small Scottrade, Inc. St. Louis, MO

District 4 Nominating Committee Incoming Members
Deborah M. Castiglioni Cutter & Company, Inc Chesterfield, MO
Robert M. Chambers A.G. Edwards & Sons, Inc. West Des Moines, IA
Frank H. Kirk Wachovia Securities, LLC Kansas City, MO
Kevin P. Maas PrimeVest Financial Services, Inc. St. Cloud, MN
Jeffrey A. Schuh Residential Funding Securities Corp. Minneapolis, MN

1 Mr. Montgomery has been elected to serve the remaining year of the term of Richard M. Hurwitz, who resigned from the District Committee

District 5

Warren A. Butler, Jr., Regional Director

1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-08022
(504) 522-6527
Alabama, Arkansas, Louisiana, Mississippi, Oklahoma, and Tennessee

District 5 Committee Incoming Members
Curtis F. Bradbury, Jr. Stephens Inc. Little Rock, AR
William A. Geary Morgan Keegan & Company, Inc. Jackson, MS
Jefferson G. Parker Howard Weil Incorporated New Orleans, LA

District 5 Nominating Committee Incoming Members
John J. Dardis Jack Dardis & Associates, Ltd. Metairie, LA
Carolyn R. May Simmons First Investment Group, Inc. Little Rock, AR
Douglas W. McQueen The Baker Group, LP Oklahoma City, OK
LeRoy H. Paris, II InvestLinc Securities, L.L.C. Jackson, MS
David W. Wiley, III Wiley Bros., Aintree Capital, L.L.C. Nashville, TN

2 Please be advised that due to Hurricane Katrina, NASD's District 5 Office in New Orleans is temporarily closed. NASD has established a temporary office at 1125 Highway 43 North, Suites C & D, Picayune, Mississippi 39466. The phone number at this location is (601) 799-4894.

District 6

Virginia F. M. Jans, District Director

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

District 6 Committee Incoming Members
Alan K. Goldfarb Oakbrook Financial Group, LLC Dallas, TX
Brent T. Johnson3 Multi-Financial Securities Corporation Houston, TX
John Christopher Melton Coastal Securities, L.P. Houston, TX
Ralph E. Poppell Stanford Group Company Houston, TX

District 6 Nominating Committee Incoming Members
William D. Felder Southwest Securities, Inc. Dallas, TX
Sennett Kirk, III Kirk Securities Corporation Denton, TX
Gary V. Murray Murray Traff Securities Tyler, TX
John R. Muschalek First Southwest Company Dallas, TX
V. Keith Roberts Stanford Group Company Houston, TX

3 Mr. Johnson has been elected to serve the remaining year of the term of Darryl W. Traweek, who resigned from the District Committee.

District 7

Daniel J. Stefak, District Director

One Securities Centre, Suite 500, 3490 Piedmont Road, NE, Atlanta, GA 30305
(404) 239-6100
Georgia, North Carolina, and South Carolina

Mitchell C. Atkins, District Director

2500 N. Military Trail, Suite 302, Boca Raton, FL 33431
(561) 443-8000
Florida, Puerto Rico, the Canal Zone, and the Virgin Islands

District 7 Committee Incoming Members

To be Announced

District 7 Nominating Committee Incoming Members
Richard G. Averitt, III Raymond James Financial Services, Inc. St. Petersburg, FL
Joseph B. Gruber FSC Securities Corporation Atlanta, GA
Dennis S. Kaminski Mutual Service Corporation West Palm Beach, FL
James A. Klotz FMSBonds, Inc. North Miami Beach, FL
Ruark A. Young Young, Stovall & Company Miami, FL

District 8

Carlotta A. Romano, Regional Director

55 West Monroe Street, Suite 2700, Chicago, IL 60603-5052
(312) 899-4400
Illinois, Indiana, Kentucky, Michigan, Ohio, and Wisconsin

District 8 Committee Incoming Members
Stephen F. Anderson Waterstone Financial Group Itasca, IL
Eric A. Bederman Bernardi Securities, Inc. Chicago, IL
Mari Buechner4 Coordinated Capital Securities Inc. Madison, WI
Barbara A. Turner The O.N. Equity Sales Company Cincinnati, OH

District 8 Nominating Committee Incoming Members
George E. Bates Bates Securities, Inc. Rockford, IL
Bernard A. Breton Carillon Investments, Inc. Cincinnati, OH
Carol P. Foley Podesta & Company Chicago, IL
Jill R. Powers Oberlin Financial Corporation Bryan, OH
James J. Roth Pershing LLC Oak Brook, IL

4 Ms. Buechner has been elected to serve the remaining year of the term of Lora Rosenbaum, who resigned from the District Committee.

District 9

Gary K. Liebowitz, Regional Director

581 Main Street, 7th Floor, Woodbridge, NJ 07095
(732) 596-2000
New Jersey and New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City)

John P. Nocella, District Director

Eleven Penn Center, 1835 Market Street, 19th Floor, Philadelphia, PA 19103
(215) 665-1180
Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia

District 9 Committee Incoming Members
Michael T. Corrao5 Knight Equity Markets LP Jersey City, NJ
Wayne F. Holly6 Sage Rutty & Co., Inc. Rochester, NY
John M. Ivan Janney Montgomery Scott LLC Philadelphia, PA
Brand F. Meyer Wachovia Securities, LLC Richmond, VA
Thomas T. Wallace Johnston, Lemon & Co. Incorporated Washington, DC

District 9 Nominating Committee Incoming Members
Richard Grobman Oppenheimer & Co. Inc. Philadelphia, PA
W. Dean Karrash Burke, Lawton, Brewer & Burke Spring House, PA
Gregg A. Kidd Pinnacle Investments Inc. East Syracuse, NY
Michael S. Mortensen PNC Investments Pittsburgh, PA
Michael B. Row Pershing, LLC Jersey City, NJ

5 Mr. Corrao has been elected to serve the remaining two years of the term of Dorothy G. Sanders, who resigned from the District Committee.

6 Mr. Holly has been elected to serve the remaining year of the term of Barry M. Cash, who resigned from the District Committee.

District 10

Hans Reich, Regional Director

One Liberty Plaza, New York, NY 10006
(212) 858-4000
New York (the counties of Nassau and Suffolk, and the five boroughs of New York City)

District 10 Committee Incoming Members
Barry M. Cash Citigroup Global Markets, Inc. Citigroup Global Markets, Inc.
Joseph DeBellis Sanford C. Bernstein & Co., LLC New York, NY
Robyn Jeffrey Oppenheimer & Co., Inc. New York, NY
Allen Meyer Credit Suisse First Boston LLC New York, NY

District 10 Nominating Committee Incoming Members
Margaret M. Caffrey Schonfeld & Company, LLC Jericho, NY
Jennifer A. Connors Lehman Brothers Inc. New York, NY
Raymond C. Holland, Jr. Triad Securities Corp. New York, NY
Richard J. Paley Carey Financial Corporation New York, NY
Mark Ronda Oppenheimer & Co., Inc. New York, NY

District 11

Frederick F. McDonald, District Director

99 High Street, Suite 900, Boston, MA 02110
(617) 532-3400
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont

District 11 Committee Incoming Members
Martin W. Courage Bank of America Investment Services Boston, MA
Todd A. O'Connor Investors Securities Services, LLC Boston, MA
Robert J. Reilly Piper Jaffray & Co. Boston, MA

District 11 Nominating Committee Incoming Members
Michael C. Braun Moors & Cabot, Inc. Boston, MA
Andrew F. Detwiler Virtua Research, an Affiliate of Vandham Securities Corp. Boston, MA
Mark R. Hansen State Street Global Markets, LLC Boston, MA
Lee G. Kuckro Advest, Inc. Hartford, CT
Wilson G. Saville Barrett & Company Providence, RI

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