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05-15 NASD Announces Election Results for the District Committee for District 1

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District Elections

Legal & Compliance
Senior Management
District Elections

Executive Summary

Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 1. Four candidates were seeking to fill the three open seats on the District Committee for District 1. Three of the candidates were nominated by the District Nominating Committee for District 1. A fourth candidate satisfied the requirements of Article VIII of the By-Laws of NASD Regulation to contest the election.

The Executive Representative of each NASD member eligible to vote in District 1 was asked to vote for up to three of the four candidates listed on the ballot, and to return the ballot postmarked on or before December 7, 2004. The ballots were counted on December 15, 2004, at the District 1 Office by an independent Inspector of Elections. It was determined that the three individuals identified in Attachment A received the largest number of votes cast and were therefore declared elected. The newly elected members of the District Committee for District 1 will serve until January 2008.

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:


District Committee for District 1

Elisabeth P. Owens,   Regional Director,   West Region

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

2005 Incoming Members

Howard Bernstein Pacific Growth Equities, LLC San Francisco, CA
Bruce Nollenberger Nollenberger Capital Partners, Inc. San Francisco, CA
Daniel W. Roberts Roberts & Ryan Investments, Inc. San Francisco, CA

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