[ by Howard Haykin ]

FINRA issued an Election Notice on Wednesday, 10/16, containing information about the election:  who are the candidates, for what position are they each running, steps that each firm must take when voting for the candidate of their choice, a ballot, and other information including FINRA staff contacts.who can answer your questions or otherwise provide assistance in the process.

This particular Election Notice deals only with the elections of individuals who will represent the North Region and the West Region.  All FINRA member firms are assigned to one or 5 regions - and FINRA covers the voting for the other 3 other geographic regions in a separate Election Notice. 

What States and Locales are Included in the North Region and the Western Region:  

• The North Region includes: (i) Connecticut, (ii) Delaware, (iii) District of Columbia, (iv) Maine, (v) Maryland, (vi) Massachusetts, (vii) New Hampshire, and (viii) New Jersey, New York - except for Nassau and Suffolk Counties, and the 5 boroughs of New York, (ix) Pennsylvania, (x) Rhode Island, (xi) Vernont, (xii) Virginia, and (xiii) West Virginia (Districts 9 and 11).

• The West Region  includes: (i) Alaska, (ii) Arizona, (iii) California, (iv) Colorado, (v) Hawaii,  (vi) Idaho, (vii)  Montana, (vii) Montana,  (viii) Nevada, (ix)  New Mexico, (x)  Oregon, (xi) Utah, (xii) State of Washington, (xiii) Wyoming and (xiv) the former U.S. Trust Territories  - Districts 1, 2 and 3.

Candidates Profiles. Each Region - North and West - will select one of  3 nominated candidates,  Here are their names, titles, and company affiliations.

North Region Candidates (only one will be elected).

• John (Jack) Fitzgerald, Managing Director, Legal & Compliance, for Leerink Swann LLC , in Boston, MA.

• Dennis McCarron, FinOp for Sussman Financial Services, LLC, in Londonderry, NH.

• Terri Rumans,  CCO for Sage, Rutty & Co., Inc. in Rochester, NY.

West Region Candidates (only one will be elected).

• Adam Carmel, President of  Larimer Capital Corporation in Denver, CO.

• Howard Morin, CEO at Conover Securities Corporation in Kirkland, WA.

• Timothy Morton, Managing Director, WBB Securities, LLC  in San Diego, CA.

FINRA Staff Contacts. Direct questions to:  Marcia Asquith, SVP and Corporate Secretary  --- (202) 728-8949;

Jennifer Piorko Mitchell, Asst Corporate Secretary  ---  (202) 278-8949;  or

Chip Jones, SVP, Member Relations  --- (240) 386-4797.

Information about each candidate is available at http://www.finra.org/sfab/candidateprofiles.

For further details, go to:  [FINRA Election Notice, 10/17/12].