View Whole SectionText only Print Print Manager Link
Previous Next

04-67 Nominees for District Committee and District Nominating Committee

View PDF file

INFORMATIONAL

District Elections

SUGGESTED ROUTING KEY TOPICS
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. The individuals identified in this Special Notice (see Attachment A) have been nominated for three-year terms1 on the District Committees and for one-year terms on the District Nominating Committees starting in January 2005. These nominees will be considered duly elected on October 1, 2004, unless an election is contested in accordance with the procedures set forth in Article VIII of the By-Laws of NASD Regulation, as summarized below.

We appreciate the interest shown by many of you in participating in the District Committees and thank everyone for their continuing support of the self-regulatory process. We look forward to your participation in the matters of the Districts during the coming year, as well as hope that those who were not selected this year consider revisiting this process next year.

Contested Election Procedures

If an officer, director, or employee of an NASD member who meets the qualifications set forth in Article VIII of the By-Laws of NASD Regulation is interested in being considered as an additional candidate, he/she must indicate his/her interest in writing to the District Director by September 30, 2004. If an additional candidate or candidates come forward by that date, the Corporate Secretary will provide each additional candidate with a list of members that are eligible to vote in the District, their mailing addresses, and their Executive Representatives. In order to be considered for nomination, within 30 calendar days after the date the Corporate Secretary mails the list of members eligible to vote, an additional candidate must submit a petition to the District Nominating Committee containing signatures from at least 10 percent of the Executive Representatives of members eligible to vote in the District.

If no additional candidates submit petitions by November 1, 2004, then the candidates nominated by the District Nominating Committee shall be considered elected as of October 1, 2004, and the Corporate Secretary will announce the election results to the Executive Representatives of NASD members.

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

Questions/Further Information

Questions concerning this Special Notice may be directed to the District Director noted in Attachment A 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.


1 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

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

2004 District Nominating Committee Chair

James D. Klein    UBS PaineWebber, Inc.    San Francisco, CA

District 1 Nominees

Howard Bernstein     Pacific Growth Equities, LLC     San Francisco, CA

Kevin T. Kitchin    Wachovia Securities, Inc.    San Francisco, CA

Bruce Nollenberger     Nollenberger Capital Partners, Inc.     San Francisco, CA

District 1 Nominating Committee Nominees

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 Committee and District Nominating Committee Nominees

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 the counties of Esmeralda and Nye), and the former U.S. Trust Territories

2004 District Nominating Committee Chair

Margaret M. Black    Morgan Stanley    Century City, CA

District 2 Nominees

Kenneth R. Hyman   Partnervest Securities, Inc.   Santa Barbara, CA

Ismael Manzanares, Jr.1 (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 Nominees

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

Joel H. Ravitz     Quincy Cass Associates     Los Angeles, CA

District Committee and District Nominating Committee Nominees

District 3

Joseph M. McCarthy, District Director James G. Dawson, District Director
370 17th Street, Suite 2900
Denver, CO 80202-5629
(303) 446-3100
Two Union Square, 601 Union Street
Suite 1616, Seattle, WA 98101-2327
(206) 624-0790
Arizona, Colorado, New Mexico,
Utah, and Wyoming
Alaska, Idaho, Montana, Oregon, and
Washington

2004 District Nominating Committee Chair

Anthony B. Petrelli     Neidiger, Tucker, Bruner, Inc.     Denver, CO

District 3 Nominees

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 Nominees

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 Committee and District Nominating Committee Nominees

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

2004 District Nominating Committee Chair

L.C. (Jack) Petersen     Kirkpatrick, Pettis, Smith, Polian, Inc.     Omaha, NE

District 4 Nominees

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 Nominees

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 Committee and District Nominating Committee Nominees

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

2004 District Nominating Committee Chair

Duncan F. Williams     Duncan-Williams, Inc.     Memphis, TN

District 5 Nominees

Philip J. Dorsey2    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 Nominees

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 Committee and District Nominating Committee Nominees

District 6

Virginia F. M. Jans, District Director

12801 N. Central Expressway, Suite 1050, Dallas, TX 75243

(972) 701-8554

Texas

2004 District Nominating Committee Chair

Edward M. Milkie     Milkie/Ferguson Investments, Inc.     Dallas, TX

District 6 Nominees

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 Nominees

Christopher R. Allison     M.E. Allison & Company, 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 Committee and District Nominating Committee Nominees

District 7

David Paulukaitis, Associate 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

2004 District Nominating Committee Chair

Michael D. Hearn, Esq. Banc of America Investment Services, Inc. Charlotte, NC

District 7 Nominees

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 Nominees

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

Roark A. Young     Young, Stovall & Company     Miami, FL

District Committee and District Nominating Committee Nominees

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

2004 District Nominating Committee Chair

Mary D. Esser     Cressman Esser Securities, Inc.     Naperville, IL

District 8 Nominees

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 Nominees

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 Committee and District Nominating Committee Nominees

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

2004 District Nominating Committee Chair

Lenda P. Washington     GRW Capital Corporation     Washington, DC

District 9 Nominees

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) 3     Janney Montgomery Scott LLC     Philadelphia, PA

Harold N. Peremel (2-Year Term) 4     Peremel & Co., Inc.     Baltimore, MD (2-Year Term)

Dorothy G. Sanders     Fred Alger & Company, Incorporated     Jersey City, NJ

District 9 Nominating Committee Nominees

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 Committee and District Nominating Committee Nominees

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)

2004 District Nominating Committee Chair

Judith R. MacDonald     Rothschild, Inc.     New York, NY

District 10 Nominees

Margaret M. Caffrey5 (1-Year Term)     Schonfeld & Company, LLC     New York, NY (1-Year Term)

Tracy E. Calder     UBS Financial Services, Inc.     Weehawken, NJ

Clifford H. Goldman     Marco Polo Securities, Inc.     New York, NY

Jeffrey T. Letzler     Instinet, LLC     New York, NY

Michael Santo     Banc of America Securities LLC     New York, NY

District 10 Nominating Committee Nominees

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 Committee and District Nominating Committee Nominees

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

2004 District Nominating Committee Chair

John D. Lane     Lane Capital Markets, LLC     Fairfield, CT

District 11 Nominees

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. Saville6 (1-Year Term)     Barrett & Company     Providence, RI

District 11 Nominating Committee Nominees

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


1 Mr. Manzanares has been nominated to serve the remaining one-year term of James E. Biddle, who will resign from the District Committee in January 2005.

2 Mr. Dorsey was appointed to serve the remaining one-year term of J. Timothy Rice, who resigned from the District Committee in November 2003. Mr. Dorsey's term expires in January 2005. Mr. Dorsey has been nominated to serve a three-year term on the District Committee commencing in January 2005.

3 Mr. Murphy has been nominated to serve the remaining one-year term of Robert M. Berson, who has resigned from the District Committee.

4 Mr. Peremel has been nominated to serve the remaining two-year term of John Bluher, who has resigned from the District Committee.

5 Ms. Caffrey has been nominated to serve the remaining one-year term of Vicki Holleman, who has resigned from the District Committee.

6 Mr. Saville has been nominated to serve the remaining one-year term of Gregg A. Kidd, who has resigned from the District Committee.


Previous Next