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04-05 NASD Announces Election Results for District Committees and District Nominating Committees

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INFORMATIONAL

District Elections

SUGGESTED ROUTING

KEY TOPICS

Legal and Compliance
Operations
Registration
Senior Management

District Elections

Executive Summary

Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until January 2007.1

District 10 (New York) had an additional candidate come forward for consideration for that District Committee. Ballots were submitted and counted on January 9, 2004. The originally proposed slate of candidates for District 10 (New York) received the largest number of votes and is declared elected.

The members of the incoming District Committees and the District Nominating Committees are identified 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 barbara.sweeney@nasd.com.


1 Some newly elected District Committee members are filling existing vacancies and, therefore, will serve less than a three-year term, as indicated in Attachment A.


Attachment A

District Committee and District Nominating Committee 2004 Incoming Members

District 1

Elisabeth P. Owens, District 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

2004 District 1 Incoming Members
William A. Evans Stone & Youngberg LLC San Francisco, CA
Mansoor Kisat Citigroup Global Markets, Inc. Santa Rosa, CA
Arthur E. Raitano Hoefer & Arnett, Incorporated San Francisco, CA
 
2004 District 1 Nominating Committee Incoming Members
Stephen R. Adams Wells Fargo Investments, LLC San Francisco, CA
Sally G. Aelion Emmett A. Larkin Company, Inc. San Francisco, CA
Robert S. Basso Correspondent Services Corporation San Francisco, CA
James D. Klein UBS Financial Services, Inc. San Francisco, CA
L. Robert McKulla Wachovia Securities, LLC Walnut Creek, CA

District Committee and District Nominating Committee 2004 Incoming Members

District 2

Lani M. Sen Woltmann, District Director

300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071 (213) 627-2122

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

2004 District 2 Incoming Members
Stephen B. Benton Financial Network Investment Corp. Torrance, CA
James M. S. Dillahunty Fixed Income Securities, LP San Diego, CA
John D. Lewis JDL Securities Corp. Newport Beach, CA
 
2004 District 2 Nominating Committee Incoming Members
James E. Biddle The Securities Center Incorporated Chula Vista, CA
Margaret M. Black Morgan Stanley Dean Witter, Inc. Los Angeles, CA
Diane P. Blakeslee Blakeslee & Blakeslee, Inc. San Luis Obispo, CA
Miles Z. Gordon Financial Network Investment Corporation Indian Wells, CA
Steven K. McGinnis Keystone Capital Corporation San Diego, CA

District Committee and District Nominating Committee 2004 Incoming Members

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 3 Incoming Members
Curtis J. Hammond Morgan Stanley Dean Witter, Inc. Bellevue, WA
J. Keith Kessel AFS Brokerage, Inc. Greenwood Village, CO
Arlene M. Wilson D.A. Davidson & Co. Great Falls, MT
 
2004 District 3 Nominating Committee Incoming Members
Elyssa S. Baltazar Morgan Stanley Dean Witter, Inc. Denver, CO
L. Hoyt DeMers Wells Fargo Investments, LLC Seattle, WA
Steven Larson Richards, Merrill & Peterson, Inc. Spokane, WA
Anthony B. Petrelli Neidiger, Tucker, Bruner, Inc. Denver, CO
Kathryn A. Supko Northwestern Mutual Investment Services, LLC Boise, ID

District Committee and District Nominating Committee 2004 Incoming Members

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 4 Incoming Members
Michael D. Burns
(2-Year Term)
USAllianz Securities, Inc. Minneapolis, MN
Joseph D. Fleming Piper Jaffray & Co. Minneapolis, MN
Richard M. Hurwitz Benefit Finance Securities, LLC St. Louis, MO
Mark T. Lasswell Wells Fargo Brokerage Services, L.L.C. Minneapolis, MN
Kevin P. Maas
(2-Year Term)
PrimeVest Financial Services, Inc. St. Cloud, MN
 
2004 District 4 Nominating Committee Incoming Members
Gene M. Diederich A.G. Edwards & Sons, Inc. Overland Park, KS
Timothy J. Lyle Cambridge Investment Research, Inc. Fairfield, IA
E. John Moloney Moloney Securities Co., Inc. St. Louis, MO
L.C. (Jack) Petersen Kirkpatrick, Pettis, Smith, Polian, Inc. Omaha, NE
Pamela R. Ziermann Dougherty & Company, LLC Minneapolis, MN

District Committee and District Nominating Committee 2004 Incoming Members

District 5

Warren A. Butler, Jr., District Director

1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802 (504) 522-6527

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

2004 District 5 Incoming Members
Jennifer Carty Scola Carty & Company, Inc. Memphis, TN
R. Patrick Shepherd Avondale Partners, LLC Nashville, TN
Donald R. Winton Crews & Associates, Inc. Little Rock, AR
 
2004 District 5 Nominating Committee Incoming Members
David A. Daugherty James Baker & Associates Oklahoma City, OK
James S. Holbrook, Jr. Sterne, Agee & Leach, Inc. Birmingham, AL
E. Douglas Johnson, Jr. Johnson Rice & Company L.L.C. New Orleans, LA
Tom R. Steele Equitable Advisors, Inc. Nashville, TN
Duncan F. Williams Duncan-Williams, Inc. Memphis, TN

District Committee and District Nominating Committee 2004 Incoming Members

District 6

Virginia F.M. Jans, District Director

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

Texas

2004 District 6 Incoming Members
Karen Banks Frost Brokerage Services, Inc. San Antonio, TX
Cynthia E. Besek Maplewood Investment Advisors, Inc. Dallas, TX
Darryl W. Traweek RBC Dain Rauscher Inc. Houston, TX
 
2004 District 6 Nominating Committee Incoming Members
Christopher R. Allison M.E. Allison & Co., Inc. San Antonio, TX
C. Ronald Baker The (Wilson) Williams Financial Group Lubbock, TX
William B. Madden Madden Securities Corporation Dallas, TX
Edward M. Milkie Milkie/Ferguson Investments, Inc. Dallas, TX
David W. Turner Wachovia Securities, LLC Fort Worth, TX

District Committee and District Nominating Committee 2004 Incoming Members

District 7

Alan M. Wolper, 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

2004 District 7 Incoming Members
Susan J. Hechtlinger Banc of America Investment Services, Inc. Charlotte, NC
Landrum H. Henderson, Jr. Legg Mason Wood Walker, Inc. Charlotte, NC
Alan L. Maxwell, Jr. Wachovia Capital Markets, LLC Charlotte, NC
Roark A. Young
(One-Year Term)
Young, Stovall and Company Miami, FL
 
2004 District 7 Nominating Committee Incoming Members
Michael D. Hearn, Esq. Banc of America Investment Services, Inc. Charlotte, NC
Kenneth W. McGrath Popular Securities, Inc. Hato Rey, PR
C. John O'Bryant, III PowellJohnson, Private Asset Management Raleigh, NC
Glenn R. Oxner Scott & Stringfellow, Inc. Greenville, SC
John W. Waechter William R. Hough & Co. St. Petersburg, FL

District Committee and District Nominating Committee 2004 Incoming Members

District 8

Carlotta A. Romano, District Director William H. Jackson, Jr., District Director
55 West Monroe Street, Suite 2700
Chicago, IL 60603-5051
(312) 899-4400
Renaissance on Playhouse Square
1350 Euclid Avenue, Suite 650
Cleveland, OH 44115
(216) 592-2950
Illinois, Indiana, Kentucky, Michigan, and Wisconsin Ohio

2004 District 8 Incoming Members
Michael E. Bosway City Securities Corporation Indianapolis, IN
Robert J. Michelotti Ferris, Baker Watts Incorporated Auburn Hills, MI
Lora Rosenbaum Northwestern Mutual Investment Services, LLC Milwaukee, WI
 
2004 District 8 Nominating Committee Incoming Members
William C. Alsover, Jr. Centennial Securities Company, Inc. Grand Rapids, MI
Mary D. Esser Cressman Esser Securities, Inc. Naperville, IL
Gregory Goelzer Goelzer Investment Management Indianapolis, IN
Rodney Trautvetter Harris Investor Services, LLC Chicago, IL
Bruce J. Young Mesirow Financial, Inc. Chicago, IL

District Committee and District Nominating Committee 2004 Incoming Members

District 9

Gary K. Liebowitz, District Director John P. Nocella, District Director
581 Main Street, 7th Floor
Woodbridge, NJ 07905
(732) 596-2000
Eleven Penn Center, 1835 Market Street
Suite 1900, 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 9 Incoming Members
John Bluher Knight Equity Markets, L.P. Jersey City, NJ
Barry M. Cash UBS Financial Services, Inc. Fishkill, NY
Peter P. Jenkins Credit Suisse First Boston LLC Baltimore, MD
 
2004 District 9 Nominating Committee Incoming Members
J. Lee Keiger, III Davenport & Company, LLC Richmond, VA
John P. Meegan Parker/Hunter Incorporated Pittsburgh, PA
Lance A. Reihl 1717 Capital Management Company Newark, DE
Howard B. Scherer Janney Montgomery Scott LLC Philadelphia, PA
Lenda P. Washington GRW Capital Corporation Washington, DC

District Committee and District Nominating Committee 2004 Incoming Members

District 10

Robert B. Kaplan, Acting District Director

One Liberty Plaza, 49th Floor, 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 10 Incoming Members
Richard Berenger Sky Capital, LLC New York, NY
Lon T. Dolber American Portfolios Financial Services, Inc. Holbrook, NY
George T. Mimura Nomura Securities International, Inc. New York, NY
Howard R. Plotkin Lehman Brothers Inc. New York, NY
 
2004 District 10 Nominating Committee Incoming Members
William Behrens Northeast Securities, Inc. New York, NY
Ruth S. Goodstein UBS Financial Services, Inc. New York, NY
Judith R. MacDonald Rothschild, Inc. New York, NY
Charles V. Senatore Fidelity Brokerage Services, LLC New York, NY
Stephen C. Strombelline BNP Paribas Securities Corp. New York, NY

District Committee and District Nominating Committee 2004 Incoming Members

District 11

Frederick F. McDonald, District Director

260 Franklin Street, 16th Floor, Boston, MA 02110 (617) 261-0800

Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont

2004 District 11 Incoming Members
David K. Booth Jefferson Pilot Securities Corp. Concord, NH
Thomas F. Hollenbeck J.P. Morgan Invest, LLC Boston, MA
Curtis L. Snyder, Jr. American Technology Research, Inc. Old Greenwich, CT
 
2004 District 11 Nominating Committee Incoming Members
Richard J. DeAgazio Boston Capital Services, Inc. Boston, MA
John I. Fitzgerald Leerink Swann & Company Boston, MA
John D. Lane Lane Capital Markets LLC Fairfield, CT
Robert V. Rodia People's Securities, Inc. Bridgeport, CT
Gregory D. Teese Equity Services, Inc. Montpelier, VT


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