[ by Howard Haykin ]

It's that time of year when voters across the nation study the candidates' track records, consider whom they would like to see as their representative in the white house on the FINRA Board of Governors.  Three (3) seats need to be filled this year - one to represent small firms, one to represent mid-sized firms, and one to represent large firms.  FINRA issued an Election Notice dated 7/9/12, announcing that the election will take place Monday, 8/13/12, during the Annual Meeting of FINRA firms. Candidates. The list of eligible candidates, includes those who were nominated by the FINRA Nominating Committee, along with those persons who successfully petitioned to get on the ballot.  Here are the candidates:

• Seth Waugh, CEO, Deutsche Bank Americas (selected by Nominating Cttee).
• no petition candidates.
• Large Firm Governor Candidate, representing firms that employ 500 or more registered persons.

• Dennis Ferguson, EVP, Director of Clearing, Sterne, Agee & Leech, Inc. (selected by Nominating Cttee).
• no petition candidates.
• Mid-Size Firm Governor Candidates: representing firms that employ at least 151,  and no more than 499, registered persons:

• Kevin Carreno, General Counsel, Int'l Assets Advisory, LLC.
• Stephen Kohn, President and CEO, Stephen A. Kohn & Associates, Ltd.
• Dock David Treece, VP and CCO, Treece Financial Services Corp.
• no candidate selected by Nominating Committee
• Small Firm Governor Candidates: representing firms that employ at least one, and no more than 150, registered persons:

FINRA Staff Contacts. Direct questions regarding the Election Notice to: Marcia Asquith, SVP and Corporate Secretary  -- (202) 728-8949; or  Jennifer Piorko Mitchell, Asst.  Corporate Secretary -- (202) 728-8949. For further details, including complete candidate profiles, go to:  [FINRA Election Notice, 7/9/12].