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00-74 NASD Announces Election Results For District Committees And District Nominating Committees

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INFORMATIONAL

District Elections

SUGGESTED ROUTING

KEY TOPICS

Legal & Compliance
Operations
Registration
Senior Management

District Elections



Executive Summary

Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until 2004.

The members of the 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 Joan Conley, Senior Vice President and Corporate Secretary, NASD, at (202) 728-8381 or via e-mail at: joan.conley@nasd.com.


Attachment A

District Committee And District Nominating Committee Members

District 1
Elisabeth P. Owens, District Director
525 Market Street, Suite 300
San Francisco, CA 94105
(415) 882-1200

District 1 Committee

Committee Members

To Serve Until January 2001
Steven R. Aaron Chase Securities Inc., San Francisco, CA
Janet W. Campbell Protected Investors of America, Walnut Creek, CA
Douglas C. Heske U.S. Bancorp Piper Jaffray, Inc., San Francisco, CA
To Serve Until January 2002
John H. Chung First Security Van Kasper, San Francisco, CA
Steven D. Piper Epoch Securities, Inc., San Francisco, CA
To Serve Until January 2003
Sally G. Aelion Emmett A. Larkin Co., Inc., San Francisco, CA
David A. Baylor Thomas Weisel Partners LLC, San Francisco, CA
Henry W. Carter E*Trade Securities, Inc., Menlo Park, CA
To Serve Until January 2004 (newly elected members)
Carol Van Bruggen Securities Service Network, Inc., Sacramento, CA
Susan K. Campbell Protected Investors of America, San Francisco, CA
William C. Pack Salomon Smith Barney Inc., San Francisco, CA

District 1 Nominating Committee

Committee Members

Steven R. Aaron Chase Securities Inc., San Francisco, CA
Stephen R. Adams First Security Van Kasper, San Francisco, CA
Nicholas C. Cochran American Investors Company, Dublin, CA
John C. Helmer Caldwell Securities, Inc., Danville, CA
William A. Svoboda Morgan Stanley Dean Witter Reynolds, San Jose, CA


District 2
Lani M. Sen Woltmann, District Director
300 South Grand Avenue, Suite 1600
Los Angeles, CA 90071
(213) 627-2122

District 2 Committee

Committee Members

To Serve Until January 2001
James B. Guillou, Sr. Sutro & Co., Incorporated, La Jolla, CA
Andrew E. Haas Bear Stearns & Co., Inc., Los Angeles, CA
Richard E. Wiseley CIBC Oppenheimer & Co., Inc., Los Angeles, CA
Richard P. Woltman Spelman & Co., Inc., San Diego, CA
To Serve Until January 2002
Margaret M. Black Morgan Stanley Dean Witter, Beverly Hills, CA
Diane P. Blakeslee Blakeslee and Blakeslee, Inc., San Luis Obispo, CA
Jack R. Handy, Jr. Financial Network Investment Corporation, Torrance, CA
Dean A. Holmes American General Financial Group, Anaheim, CA
To Serve Until January 2003
Kellen M. Flanigan Dabney Flanigan, LLC, Los Angeles, CA
William H. Howard, Jr. Hagerty, Stewart & Associates, Irvine, CA
James R. Kruger Dreyfus Brokerage Services, Inc., Beverly Hills, CA
Stephen P. Maguire Maguire Investments, Inc., Santa Maria, CA
To Serve Until January 2004 (newly elected members)
James E. Biddle The Securities Center Incorporated, Chula Vista, CA
Chris M. Kanoff Jefferies & Company, Inc., Los Angeles, CA
Steven K. McGinnis National Planning Corporation, Santa Monica, CA
Neal E. Nakagiri Associated Securities Corporation, Los Angeles, CA

District 2 Nominating Committee

Committee Members

Murray L. Finebaum Trading Edge, Inc., Santa Monica, CA
Jerry M. Gluck Jefferies & Company, Inc., Los Angeles, CA
James B. Guillou Sutro & Co., Incorporated, La Jolla, CA
Joan B. Seidel Morton Seidel & Company, Inc., Beverly Hills, CA
Kaye M. Woltman Girard Securities, Inc., San Diego, CA


District 3  
Frank J. Birgfeld, District Director
Republic Plaza Building
370 17th Street, Suite 2900
Denver, CO 80202-5629
(303) 446-3100
James G. Dawson, District Director
Two Union Square
601 Union Street, Suite 1616
Seattle, WA 98101-2327
(206) 624-0790

District 3 Committee

Committee Members

To Serve Until January 2001
Thomas R. Hislop Peacock, Hislop, Staley & Given, Inc., Phoenix, AZ
Gerald Meyer D. A. Davidson & Co., Great Falls, MT
John Morton Morton Clarke Fu & Metcalf, Inc., Seattle, WA
Terry Lee Richards PaineWebber, Inc., Salt Lake City, UT
To Serve Until January 2002
James Barnyak Salomon Smith Barney Inc., Seattle, WA
David Griswold Frank Russell Securities, Inc., Tacoma, WA
James E. Stark Charles Schwab & Co., Phoenix, AZ
To Serve Until January 2003
J. Pamela Dawson WM Financial Services, Inc., Seattle, WA
Steven M. Fishbein American Fronteer Financial Corporation, Denver, CO
Bruce Kramer Prudential Securities Incorporated, Seattle, WA
To Serve Until January 2004 (newly elected members)
Richard B. Bequette CUE, Phoenix, AZ
George Diachok Multi-Financial Securities Corp., Denver, CO
John M. Rose Seattle-Northwest Securities Corp., Seattle, WA
Kathryn A. Supko Robert W. Baird & Co., Inc., Boise, ID

District 3 Nominating Committee

Committee Members

J. Wendell Garrett J.W. Garrett & Company, Phoenix, AZ
Thomas R. Hislop Peacock, Hislop, Staley & Given, Inc., Phoenix, AZ
John Morton Morton Clarke Fu & Metcalf, Inc., Seattle, WA
Thomas Petrie Petrie Parkman & Co., Inc., Denver, CO
Douglas Strand Strand, Atkinson, Williams & York, Inc., Portland, OR


District 4
Thomas D. Clough, District Director
120 W. 12th Street, Suite 900
Kansas City, MO 64105
(816) 421-5700

District 4 Committee

Committee Members

To Serve Until January 2001
Antonio J. Cecin U.S. Bancorp Piper Jaffray, Inc., Minneapolis, MN
Cheryl Cook-Schneider Edward Jones, St. Louis, MO
Brent M. Weisenborn Security Investment Company of Kansas City, Kansas City, MO
Vacancy  
To Serve Until January 2002
Robert M. Chambers Robert W. Baird & Co. Incorporated, Des Moines, IA
John R. Lepley Princor Financial Services Corporation, Des Moines, IA
William M. Lyons American Century Investment Services, Inc., Kansas City, MO
To Serve Until January 2003
E. John Moloney Moloney Securities Co., Inc., St. Louis, MO
Rodger O. Riney Scottsdale Securities, Inc., St. Louis, MO
Jeffrey A. Schuh Marquette Financial Group, Inc., Minneapolis, MN
Gail Werner-Robertson GWR Investments, Inc., Omaha, NE
To Serve Until January 2004 (newly elected members)
Gene M. Diedrich A.G. Edwards & Sons, Inc., Overland Park, KS
Jonathan M. Harris Dain Rauscher, Inc., Minneapolis, MN
Timothy J. Lyle Trusted Securities Advisors Corp., Minnetonka, MN
Pamela Kay Reinitz Ziermann Dougherty & Company, Minneapolis, MN

District 4 Nominating Committee

Committee Members

Antonio J. Cecin U.S. Bancorp Piper Jaffray Inc., Minneapolis, MN
John D. Cleland Security Distributors, Inc., Topeka, KS
Cheryl Cook-Schneider Edward Jones, St. Louis, MO
Wayne H. Peterson Cap Pro Brokerage Services, Inc., Minneapolis, MN
Brent Weisenborn Security Investment Company of Kansas City, Kansas City, MO


District 5
Warren A. Butler, Jr., District Director
1100 Poydras Street
Energy Centre, Suite 850
New Orleans, LA 70163-0802
(504) 522-6527

District 5 Committee

Committee Members

To Serve Until January 2001
Benjamin D. Capshaw, III Morgan Stanley Dean Witter, New Orleans, LA
James S. Jones Crews & Associates, Inc., Little Rock, AR
Dene R. Shipp SunTrust Equitable Securities, Nashville, TN
John C. West First Union Securities, Inc., Memphis, TN
To Serve Until January 2002
James D. Hudgins SouthTrust Securities, Inc., Birmingham, AL
LeRoy H. Paris, II Invest Linc Securities, Inc., Jackson, MS
Duncan F. Williams Duncan-Williams, Inc., Memphis, TN
To Serve Until January 2003
David A. Daugherty James Baker & Associates, A Limited Partnership, Oklahoma City, OK
James M. Rogers J.J.B. Hilliard, W.L. Lyons, Inc., Louisville, KY
W. Lucas Simons PaineWebber Incorporated, Nashville, TN
To Serve Until January 2004 (newly elected members)
Norman Frager Capital West Securities, Inc., Oklahoma City, OK
David A. Knight Stephens Inc., Little Rock, AR
Lawrence J. Sisung Sisung Securities Corporation, New Orleans, LA
David W. Wiley, III Wiley Bros., Aintree Capital, LLC, Nashville, TN

District 5 Nominating Committee

Committee Members

Benjamin D. Capshaw, III Morgan Stanley Dean Witter, New Orleans, LA
V. Hugo Marx, III Hugo Marx & Co., Inc., Birmingham, AL
Colin A. P. McNease PaineWebber Incorporated, Jackson, MS
Jerry Roberts Sterne, Agee & Leach, Inc., Little Rock, AR
Dene R. Shipp SunTrust Equitable Securities, Inc., Nashville, TN


District 6
Bernerd Young, District Director
12801 N. Central Expressway, Suite 1050
Dallas, TX 75243
(972) 701-8554

District 6 Committee

Committee Members

To Serve Until January 2001
Daniel C. Dooley Maplewood Investment Advisors, Inc., Dallas, TX
Ronald J. Gard Salomon Smith Barney, Inc., Dallas, TX
Jim G. Rhodes Rhodes Securities, Inc., Ft. Worth, TX
To Serve Until January 2002
Frederick W. McGinnis PaineWebber Inc., Houston, TX
Sue H. Peden SWS Financial Services, Inc., Dallas, TX
Joseph H. Storthz Transamerica Financial Resources, Houston, TX
To Serve Until January 2003
G. Clyde Buck Sanders Morris Harris, Inc., Houston, TX
Bryan T. Forman First Financial Investment Securities, Inc., Austin, TX
Richard L. Sandow Southlake Capital, L.L.C., Southlake, TX
To Serve Until January 2004 (newly elected members)
Christopher R. Allison M.E. Allison & Co., Inc., San Antonio, TX
David W. Turner First Union Securities Inc., Fort Worth, TX
R. Dwayne Whitehead Coastal Securities, L.P., Houston, TX

District 6 Nominating Committee

Committee Members

Jane E. Bates The Variable Annuity Marketing Company, Houston, TX
William D. Connally Greenman Parker Connally Greenman, Inc., Fort Worth, TX
Malcolm L. Cooper Dain Rauscher, Inc., Austin, TX
Daniel C. Dooley Maplewood Investment Advisors, Inc., Dallas, TX
William H. Lowell Lowell & Company, Inc., Lubbock, TX


District 7
Alan M. Wolper, District Director
One Securities Centre, Suite 500
3490 Piedmont Road, NE
Atlanta, GA 30305
(404) 239-6100

District 7 Committee

Committee Members

To Serve Until January 2001
Robert M. Balentine Balentine & Company, Atlanta, GA
James J. Buddle Capital Brokerage Corporation, Richmond, VA
M. Anthony Greene Raymond James Financial Services, Inc., Atlanta, GA
J. Lee Keiger, III Davenport & Company, LLC, Richmond, VA
Raymond W. Snow Deutsch Banc Alex. Brown, Palm Beach, FL
To Serve Until January 2002
James W. Hamilton, Jr. Morgan Keegan & Co., Atlanta, GA
Edward R. Hipp, III Centura Securities, Inc., Rocky Mount, NC
Roark A. Young Young, Stovall and Company, Miami, FL
To Serve Until January 2003
Michael D. Hearn, Esq. Wachovia Securities, Inc., Charlotte, NC
Collie W. Lehn A. G. Edwards & Sons, Inc., Laurens, SC
Charles E. Scarlett, Esq. J. W. Genesis Securities, Inc., Boca Raton, FL
John W. Waechter William R. Hough & Co., St. Petersburg, FL
To Serve Until January 2004 (newly elected members)
Kenneth W. McGrath Popular Securities, Inc., Hato Rey, PR
Sharon K. Milligan Morgan Stanley Dean Witter, Tampa, FL
C. John O'Bryant, III Legg Mason Wood Walker, Inc., Raleigh, NC
Charles R. Roberts Branch, Cabell & Co., Inc., Richmond, VA

District 7 Nominating Committee

Committee Members

Robert M. Balentine Balentine & Co., Atlanta, GA
Robert J. Brietz Marion Bass Securities Corp., Charlotte, NC
M. Anthony Greene Raymond James Financial Services, Inc., Atlanta, GA
R. Charles Shufeldt SunTrust Banks, Inc., Atlanta, GA
Raymond W. Snow Merrill Lynch, Palm Beach, FL


District 8

Carlotta A. Romano, District Director
10 South LaSalle, 20th Floor
Chicago, IL 60603-1002
(312) 899-4400
William H. Jackson, Jr., District Director
Renaissance on Playhouse Square
1350 Euclid Avenue, Suite 650
Cleveland, OH 44115
(216) 694-4545

District 8 Committee

Committee Members

To Serve Until January 2001
William C. Alsover Centennial Securities Company, Inc., Grand Rapids, MI
Wallen L. Crane Salomon Smith Barney, Inc., Ann Arbor, MI
Alan H. Newman J.J.B. Hilliard, W.L. Lyons, Inc., Evansville, IN
Bruce J. Young Mesirow Financial, Inc., Chicago, IL
To Serve Until January 2002
R. Jack Conley VESTAX Securities Corporation, Hudson, OH
Mary D. Esser Cressman Esser Securities, Inc., Naperville, IL
Glen Hackmann Robert W. Baird & Co., Inc., Milwaukee, WI
Robert A. Perrier Butler, Wick & Co., Inc., Cleveland, OH
Kathleen A. Wieland William Blair & Company, LLC, Chicago, IL
To Serve Until January 2003
Carol Podesta Foley Podesta & Company, Chicago, IL
Renee M. Rombaut Sage, Rutty & Co., Inc., Rochester, NY
To Serve Until January 2004 (newly elected members)
George E. Bates Bates Securities, Inc., Rockford, IL
Gregory W. Goelzer Goelzer Investment Management, Inc., Indianapolis, IN
John A. Hawke Howe Barnes Investments, Inc., Chicago, IL
Jay B. MacKenzie Prudential Securities Incorporated, Kalamazoo, MI

District 8 Nominating Committee

Committee Members

Leonard L. Anderson Stifel Nicolaus & Company, Incorporated, Grand Haven, MI
David L. Baker Baker & Company, Inc., Cleveland, OH
Thomas Harenburg Carl M. Hennig, Inc., Oshkosh, WI
David Slavik Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation, Oak Brook, IL
G. Donald Steel Planned Investment Co., Inc., Indianapolis, IN


District 9

John P. Nocella, District Director
11 Penn Center 581
1835 Market Street, Suite 1900
Philadelphia, PA 19103
(215) 665-1180
Gary K. Liebowitz, District Director
Main Street, 7th floor
Woodbridge, NJ 07095
(732) 596-2000

District 9 Committee

Committee Members

To Serve Until January 2001
Victor M. Frye Calvert Distributors, Inc., Bethesda, MD
Jerome J. Murphy Janney Montgomery Scott LLC, Philadelphia, PA
Vacancy  
Vacancy  
To Serve Until January 2002
A. Louis Denton Philadelphia Corporation for Investment Services, Philadelphia, PA
Thomas W. Neumann Sherwood Securities Corp., Jersey City, NJ
Joseph S. Rizzello Vanguard Marketing Corporation, Valley Forge, PA
Gregory R. Zappala RRZ Public Markets, Inc., Cranberry Township, PA
To Serve Until January 2003
James D. Lamke Spear, Leeds & Kellogg Capital Markets, Inc., Jersey City, NJ
John P. Meegan Parker/Hunter Incorporated, Pittsburgh, PA
Lance A. Reihl 1717 Capital Management Co., Newark, DE
Lenda P. Washington GRW Capital Corporation, Washington, DC
To Serve Until January 2004 (newly elected members)
Jerry V. Duhovic Datek Online Brokerage Services LLC, Iselin, NJ
Kimberly Tillotson Fleming Hefren-Tillotson, Inc., Pittsburgh, PA
Howard B. Scherer Janney Montgomery Scott LLC, Philadelphia, PA
Mark Thomas Whaley Gibraltar Securities Co., a division of Tucker Anthony Incorporated, Florham Park, NJ

District 9 Nominating Committee

Committee Members

Philip S. Cottone Rutherford, Brown & Catherwood, LLC, Philadelphia, PA
Victor M. Frye Calvert Distributors, Inc., Bethesda, MD
Allen S. Jacobson Gibraltar Securities Co., a division of Tucker Anthony Incorporated, Florham Park, NJ
James J. Malespina Herzog, Heine, Geduld, Inc., Jersey City, NJ
Jerome J. Murphy Janney Montgomery Scott LLC, Philadelphia, PA


District 10

David A. Leibowitz, District Director
NASD Financial Center
33 Whitehall Street
New York, NY 10004
(212) 858-4000
David A. Leibowitz, District Director
Two Jericho Plaza
Jericho, NY 11753
(516) 949-4200

District 10 Committee

Committee Members

To Serve Until January 2001
Arthur S. Ainsberg Brahman Securities Inc., New York, NY
William P. Behrens Investec Ernst & Co., New York, NY
Laurence H. Bertan Sanford C. Bernstein & Co. Inc., New York, NY
Mark D. Madoff Bernard L. Madoff Investment Securities, New York, NY
Stuart L. Sindell Datek On-Line Brokerage Services Corp., New York, NY
To Serve Until January 2002
John Iachello ING Baring Furman Selz, New York, NY
Philip V. Oppenheimer Oppenheimer & Close Inc., New York, NY
Gary Salamone Schroder & Co. Inc., New York, NY
Eugene A. Schlanger Nomura Securities International Inc., New York, NY
Tom M. Wirtshafter Nathan & Lewis Securities Inc., New York, NY
To Serve Until January 2003
Kevin J. Browne Banc of America Securities, New York, NY
Judith R. MacDonald Rothschild, Inc., New York, NY
Stephen C. Strombelline Barclays Capital Inc., New York, NY
To Serve Until January 2004 (newly elected members)
Constantine Gus Economos Sandler O'Neill & Partners LP, New York, NY
Ruth S. Goodstein Paine Webber Inc., New York, NY
Patrick Remmert Credit Suisse First Boston Corporation, New York, NY
Charles V. Senatore Merrill Lynch Pierce Fenner & Smith Inc., New York, NY
Jeffrey Zuckerman Salomon Smith Barney Inc., New York, NY

District 10 Nominating Committee

Committee Members

Arthur S. Ainsberg Brahman Securities, Inc., New York, NY
Laurence H. Bertan Sanford C. Bernstein & Co. Inc., New York, NY
Frank F. DiGregorio Credit Suisse First Boston Corporation, New York, NY
Vicki Z. Holleman Loeb Partners Corporation, New York, NY
Harold G. Ognelodh Salomon Smith Barney Inc., New York, NY


District 11
Fred McDonald, District Director
260 Franklin Street, 16th Floor
Boston, MA 02110
(617) 261-0800

District 11 Committee

Committee Members

To Serve Until January 2001
Michael J. Dell'Olio Investment Management and Research, Inc., South Portland, ME
Frank V. Knox, Jr. Fidelity Distributors Corporation, Boston, MA
Laurie Lennox SunLife of Canada (U.S.) Distributors, Inc., Boston, MA
Kenneth Unger Boston Capital Services, Inc., Boston, MA
To Serve Until January 2002
Stephen O. Buff Fleetboston Robertson Stephens Inc., Boston, MA
Dennis R. Surprenant Cantella & Co., Inc., Boston, MA
To Serve Until January 2003
Elena Dasaro H.C. Wainwright & Co., Inc., Boston, MA
John D. Lane Mercer Partners Incorporated, Westport, CT
Deborah G. Ullman American Skandia Marketing, Inc., Shelton, CT
Peter T. Wheeler Commonwealth Financial Network, Waltham, MA
To Serve Until January 2004 (newly elected members)
Stephen Anikewich, Jr. Warburg Dillon Read LLC, Stamford, CT
John I. Fitzgerald American General Funds Distributors, Inc., Boston, MA
Robert V. Rodia People's Securities, Inc., Bridgeport, CT
Gregory D. Teese Equity Services Inc., Montpelier, VT

District 11 Nominating Committee

Committee Members

Harry H. Branning Advest, Inc., Hartford, CT
Stephanie Brown Linsco/Private Ledger Corp., Boston, MA
Sheldon Fechtor Fechtor, Detwiler & Co., Inc., Boston, MA
Arthur F. Grant Cadaret, Grant & Co., Inc., Syracuse, NY
Frank V. Knox, Jr. Fidelity Distributors Corporation, Boston, MA


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