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04-82 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 Districts 2 through 9, and in District 11. 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 2008,1 and the newly elected District Nominating Committee members will serve until January 2006.

In District 1 (San Francisco) and District 10 (New York), an additional candidate has satisfied the requirements of Article VIII of the By-Laws of NASD Regulation to contest the District Committee election. The outcome of these contested elections will be announced in a Notice to Members issued in January 2005.

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:

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 — 2005 Incoming Members

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

District 1 Committee Incoming Members

To Be Announced

District 1 Nominating Committee Incoming Members

Robert S. Basso National Financial Services, LLC San Francisco, CA
L. Robert McKulla Wachovia Securities, Inc. Walnut Creek, CA
Robert A. Muh Sutter Securities, Inc. San Francisco, CA
G. Stuart Spence UBS Financial Services, Inc. San Francisco, CA
Samuel Yates RBC Dain Rauscher 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

Kenneth R. Hyman Partnervest Securities, Inc. Santa Barbara, CA
Ismael Manzanares, Jr.
(1-Year Term)
Foresters Equity Securities, Inc. San Diego, CA
Bryan R. Plank Merrill Lynch San Diego, CA
Valorie Seyfert CUSO Financial Services, L.P. San Diego, CA

District 2 Nominating Committee Incoming Members

James E. Biddle The Securities Center Incorporated Chula Vista, CA
Terry L. Chase Wachovia Securities, Inc. Pasadena, CA
Richard B. Gunter Wedbush Morgan Securities Los Angeles, CA
Steven K. McGinnis
Irvine, CA
Joel H. Ravitz Quincy Cass Associates Los Angeles, CA

District 3

Joseph M. McCarthy, District Director James G. Dawson, District Director
370 17th Street, Suite 2900 Two Union Square, 601 Union Street
Denver, CO 80202-5629 Suite 1616, Seattle, WA 98101-2327
(303) 446-3100 (206) 624-0790

Arizona, Colorado, New Mexico, Utah, and Wyoming Alaska, Idaho, Montana, Oregon, and Washington

District 3 Committee Incoming Members

Kathryn M. Dominick TCAdvisors Network, Inc. Englewood, CO
Craig A. Jackson Northwest Consulting, LLC Roseburg, OR
Harry L. Striplin Paulson Investment Company, Inc. Portland, OR

District 3 Nominating Committee Incoming Members

Gregory R. Anderson TIAA-CREF Individual & Institutional Services, LLC Denver, CO
Elyssa S. Baltazar Morgan Stanley Dean Witter, Inc. Denver, CO
Thomas R. Hislop Peacock, Hislop, Staley & Given, Inc. Phoenix, AZ
Clarence Fredrick Roed RBC Dain Rauscher Bellevue, WA
Kathryn A. Supko Northwestern Mutual Investment Services, LLC Boise, ID

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

Allen J. Moore SMITH HAYES Financial Services Lincoln, NE
Stephen R. Oliver Gold Capital Management, Inc. Overland Park, KS
Minoo Spellerberg Princor Financial Services Corporation Des Moines, IA

District 4 Nominating Committee Incoming Members

Frank H. Kirk Wachovia Securities LLC Kansas City, MO
Timothy J. Lyle Cambridge Investment Research Fairfield, IA
Jeffrey A. Schuh Residential Funding Securities Corp. Minneapolis, MN
James H. Warner The Warner Group Sioux City, IA
Pamela R. Ziermann Dougherty & Company LLC Minneapolis, MN

District 5

Warren A. Butler, Jr., Regional Director, South Region

1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802

(504) 522-6527

Alabama, Arkansas, Louisiana, Mississippi, Oklahoma, and Tennessee

District 5 Committee Incoming Members

Philip J. Dorsey Dorsey & Company, Inc. New Orleans, LA
Fred G. Eason Delta Trust Investments, Inc. Little Rock, AR
Harold L. Gladney Vining Sparks IBG, L.P. Memphis, TN

District 5 Nominating Committee Incoming Members

John J. Dardis Jack Dardis & Associates, Ltd. Metairie, LA
David A. Knight Stephens, Inc. Little Rock, AR
LeRoy H. Paris, II Invest Linc Securities, Inc. Jackson, MS
Tom R. Steele Equitable Advisors, Inc. Nashville, TN
David W. Wiley, III Wiley Bros., Aintree Capital, LLC Nashville, TN

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

Bryan T. Emerson Starlight Investments, LLC Houston, TX
Michael A. Pagano 1st Global Capital Corporation Dallas, TX
William H. Lowell Lowell & Co., Inc. Lubbock, TX

District 6 Nominating Committee Incoming Members

Christopher R. Allison M.E. Allison & Co., Inc. San Antonio, TX
Sennett Kirk, III Kirk Securities Corporation Denton, TX
William B. Madden Madden Securities Corporation Dallas, TX
V. Keith Roberts Stanford Group Company Houston, TX
David W. Turner Wachovia Securities, Inc. Fort Worth, TX

District 7

Daniel J. Stefak, District Director

One Securities Centre, Suite 500, 3490 Piedmont Road, NE, Atlanta, GA 30305

(404) 239-6100

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

District 7 Committee Incoming Members

Erick R. Holt, Esq. AMVESCAP Atlanta, GA
William G. McMaster Scott & Stringfellow, Inc. Columbia, SC
Charles F. O'Kelley Atlantic Coast Securities Corporation Tampa, FL

District 7 Nominating Committee Incoming Members

Jeffrey P. Adams Balentine & Company Atlanta, GA
Richard G. Averitt, III Raymond James Financial Services, Inc. St. Petersburg, FL
Richard V. McGalliard Wachovia Securities, Inc. Atlanta, GA
Kenneth W. McGrath Popular Securities, Inc. Hato Rey, Puerto Rico
Robert A. Young Young, Stovall & Company Miami, FL

District 8

Carlotta A. Romano, District 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

Richard M. Arceci ValMark Securities, Inc. Akron, OH
Ronald J. Dieckman J.J.B. Hilliard, W.L. Lyons, Inc. Louisville, KY
Julie E. Vander Weele Mesirow Financial, Inc. Chicago, IL

District 8 Nominating Committee Incoming Members

Bernard A. Breton Carillon Investments, Inc. Cincinnati, OH
William K. Curtis M & I Brokerage Service, Inc. Milwaukee, WI
Carol P. Foley Podesta & Company Chicago, IL
Gregory Goelzer Goelzer Investment Management Indianapolis, IN
Bruce J. Young Mesirow Financial, Inc. Chicago, IL

District 9

Gary K. Liebowitz, District Director
581 Main Street, 7th Floor
Woodbridge, NJ 07095
(732) 596-2000
John P. Nocella, District Director
Eleven Penn Center, 1835 Market Street
19th Floor, Philadelphia, PA 19103
(215) 665-1180

New Jersey and New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City) Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia

District 9 Committee Incoming Members

Scott L. Fagin The Jeffrey Matthews Financial Group, L.L.C. Millburn, NJ
Rebecca L. Kohler American Express Financial Advisors Inc. Roanoke, VA
Jerome J. Murphy
(1-Year Term)
Janney Montgomery Scott LLC Philadelphia, PA
Harold N. Peremel
(2-Year Term)
Peremel & Co., Inc. Baltimore, MD
Dorothy G. Sanders Fred Alger & Company, Incorporated Jersey City, NJ

District 9 Nominating Committee Incoming Members

James E. Bickley Cresap, Inc. Horsham, PA
J. Lee Keiger, III Davenport & Company, LLC Richmond, VA
Michael S. Mortensen PNC Investments Pittsburgh, PA
Michael B. Row Pershing, LLC Jersey City, NJ
Howard B. Scherer Janney Montgomery Scott LLC Philadelphia, PA

District 10

Hans Reich, Regional Director, New York Region

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

To Be Announced

District 10 Nominating Committee Incoming Members

William Behrens Northeast Securities, Inc. New York, NY
Jennifer A. Connors ITG Inc. New York, NY
Ruth S. Goodstein UBS Financial Services, Inc. New York, NY
Mark Ronda Oppenheimer & Co., Inc. New York, NY
Charles V. Senatore Fidelity Brokerage Services, LLC 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

Frank L. Chandler Boston Capital Services, Inc. Boston, MA
Joseph Gritzer USI Securities, Inc. Glastonbury, CT
Moira Lowe Tower Square Securities, Inc. Hartford, CT
Wilson G. Saville
(1-Year Term)
Barrett & Company Providence, RI

District 11 Nominating Committee Incoming Members

Michael C. Braun Moors & Cabot, Inc. Boston, MA
Andrew F. Detwiler Vandham Securities Corp. Boston, MA
John I. Fitzgerald Leerink Swann & Company Boston, MA
Thomas J. Horack John Hancock Life Insurance Company Boston, MA
Gregory D. Teese Equity Services, Inc. Montpelier, VT

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