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00-60 Nominees 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

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 to Members (see Attachment A) have been nominated for three-year terms on the District Committees and for one-year terms on the District Nominating Committees starting in January 2001. These nominees will be considered duly elected on October 2, 2000, unless an election is contested in accordance with the procedures 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 will revisit this process next year.

Contested Election Procedures

If an officer, director, or employee of a National Association of Securities Dealers, Inc. (NASD®) member is interested in being considered as an additional candidate, he/she must indicate his/her interest to the District Director by September 15, 2000. If an additional candidate does not come forward by that date, the election of committee members is final.

If, however, an additional candidate(s) does come forward by that date, the candidate has until October 2, 2000 to submit a petition to the District Nominating Committee with signatures from at least 10 percent of Executive Representatives of members eligible to vote in the District.

If no additional candidates submit petitions by October 2, 2000, then the candidates nominated by the District Nominating Committee shall be considered elected, and the District Committee shall certify the election to the Board of Directors of NASD Regulation.

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 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 Nominees

District 1

Elisabeth P. Owens, District Director
525 Market Street, Suite 300
San Francisco, CA 94105
(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
2000 District Nominating Committee Chairperson
John E. Schmidt
Credit Suisse First Boston Corporation
San Francisco, CA
District Committee Nominees District Nominating Committee Nominees
Carol Van Bruggen
Securities Service Network, Inc.
Sacramento, CA
Steven R. Aaron
Hambrecht & Quist LLC
San Francisco, CA
Susan K. Campbell
Protected Investors of America
San Francisco, CA
Stephen R. Adams
First Security Van Kasper
San Francisco, CA
William C. Pack
Salomon Smith Barney Inc.
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
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
2000 District Nominating Committee Chairperson
Robert L. Winston
American Funds Distributors, Inc.
Los Angeles, CA
District Committee Nominees District Nominating Committee Nominees
James E. Biddle
The Securities Center Incorporated
Chula Vista, CA
Murray L. Finebaum
Trading Edge, Inc.
Santa Monica, CA
Chris M. Kanoff
Jefferies & Company, Inc.
Los Angeles, CA
Jerry M. Gluck
Jefferies & Company, Inc.
Los Angeles, CA
Steven K. McGinnis
National Planning Corporation
Santa Monica, CA
James B. Guillou
Sutro & Co., Incorporated
La Jolla, CA
Neal E. Nakagiri
Associated Securities Corporation
Los Angeles, 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
Arizona, Colorado, New Mexico, Utah, and Wyoming
James G. Dawson, District Director
Two Union Square
601 Union Street, Suite 1616
Seattle, WA 98101-2327
(206) 624-0790
Alaska, Idaho, Montana, Oregon, and Washington
2000 District Nominating Committee Chairperson
Anthony Petrelli
Neidiger, Tucker, Bruner, Inc.
Denver, CO
District Committee Nominees District Nominating Committee Nominees
Richard B. Bequett
CUE
Phoenix, AZ
J. Wendell Garrett
J.W. Garrett & Company
Phoenix, AZ
George Diachok
Multi-Financial Securities Corp.
Denver, CO
Thomas R. Hislop
Peacock, Hislop, Staley & Given, Inc.
Phoenix, AZ
John M. Rose
Seattle-Northwest Securities Corp.
Seattle, WA
John Morton
Morton Clarke Fu & Metcalf, Inc.
Seattle, WA
Kathryn A. Supko
Robert W. Baird & Co., Inc.
Boise, ID
Thomas Petrie
Petrie Parkman & Co., Inc.
Denver, CO
  Douglas Strand
Strand, Atkinson, Williams & York, Inc.
Portland, OR

District 4

Thomas Clough, District Director
120 W. 12th Street, Suite 900
Kansas City, MO 64105
(816) 421-5700
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota
2000 District Nominating Committee Chairperson
Todd W. Miller
Miller, Johnson & Kuehn, Incorporated
Minneapolis, MN
District Committee Nominees District Nominating Committee Nominees
Gene M. Diedrich
A.G. Edwards & Sons, Inc.
Overland Park, KS
Antonio J. Cecin
U.S. Bancorp Piper Jaffray Inc.
Minneapolis, MN
Jonathan M. Harris
Dain Rauscher, Inc.
Minneapolis, MN
John D. Cleland
Security Distributors, Inc.
Topeka, KS
Timothy J. Lyle
Trusted Securities Advisors Corp.
Minnetonka, MN
Cheryl Cook-Schneider
Edward Jones
St. Louis, MO
Pamela Kay Reinitz Ziermann
Dougherty & Company
Minneapolis, MN
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
Alabama, Arkansas, Kentucky, Louisiana, Mississippi, Oklahoma, and Tennessee
2000 District Nominating Committee Chairperson
Jerry Roberts
Sterne, Agee & Leach, Inc.
Little Rock, AR
District Committee Nominees District Nominating Committee Nominees
Norman Frager
Capital West Securities, Inc.
Oklahoma City, OK
Benjamin D. Capshaw, III
Morgan Stanley Dean Witter
New Orleans, LA
David A. Knight
Stephens Inc.
Little Rock, AR
V. Hugo Marx, III
Hugo Marx & Co., Inc.
Birmingham, AL
Lawrence J. Sisung
Sisung Securities Corporation
New Orleans, LA
Colin A. P. McNease
PaineWebber Incorporated
Jackson, MS
David W. Wiley, III
Wiley Bros., Aintree Capital, LLC
Nashville, TN
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
Texas
2000 District Nominating Committee Chairperson
William B. Madden
Madden Securities Corporation
Dallas, TX
District Committee Nominees District Nominating Committee Nominees
Christopher R. Allison
M.E. Allison & Co. Inc.
San Antonio, TX
Jane E. Bates
The Variable Annuity Marketing Company
Houston, TX
David W. Turner
First Union Securities Inc.
Fort Worth, TX
William D. Connally
Greenman Parker Connally Greenman, Inc.
Fort Worth, TX
R. Dwayne Whitehead
Coastal Securities, L.P.
Houston, 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
Florida, Georgia, North Carolina, South Carolina, Virginia, Puerto Rico, the Canal Zone, and the Virgin Islands
2000 District Nominating Committee Chairperson
Franklin C. Golden
James M. Myer & Co., Inc.
Charlotte, NC
District Committee Nominees District Nominating Committee Nominees
Kenneth W. McGrath
Popular Securities, Inc.
Hato Rey, PR
Robert M. Balentine
Balentine & Co.
Atlanta, GA
Sharon K. Milligan
Morgan Stanley Dean Witter
Tampa, FL
Robert J. Brietz
Marion Bass Securities Corp.
Charlotte, NC
C. John O'Bryant, III
Legg Mason Wood Walker, Inc.
Raleigh, NC
M. Anthony Greene
Raymond James Financial Services, Inc.
Atlanta, GA
Charles R. Roberts
Branch, Cabell & Co., Inc.
Richmond, VA
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
Illinois, Indiana, Michigan, and Wisconsin
William H. Jackson, Jr., District Director
Renaissance on Playhouse Square
1350 Euclid Avenue, Suite 650
Cleveland, OH 44115
(216) 694-4545
Ohio and part of upstate New York (the counties of Monroe, Livingston, and Steuben, and the remainder of the state west of such counties)
2000 District Nominating Committee Chairperson
Paul E. Murin
David A. Noyes & Company
Chicago, IL
District Committee Nominees District Nominating Committee Nominees
George E. Bates
Bates Securities, Inc.
Rockford, IL
Leonard L. Anderson
Stifel Nicolaus & Company, Incorporated
Grand Haven, MI
Gregory W. Goelzer
Goelzer Investment Management, Inc.
Indianapolis, IN
David L. Baker
Baker & Company, Inc.
Cleveland, OH
John A. Hawke
Howe Barnes Investments, Inc.
Chicago, IL
Thomas Harenburg
Carl M. Hennig, Inc.
Oshkosh, WI
Jay B. MacKenzie
Prudential Securities Incorporated
Kalamazoo, MI
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
1835 Market Street, Suite 1900
Philadelphia, PA 19103
(215) 665-1180
Delaware, Pennsylvania, West Virginia, District of Columbia, Maryland, and the part of southern New Jersey in the immediate Philadelphia vicinity
Gary K. Liebowitz, District Director
581 Main Street, 7th Floor
Woodbridge, NJ 07095
(732) 596-2000
New Jersey (except southern New Jersey in the immediate Philadelphia vicinity)
2000 District Nominating Committee Chairperson
Mark W. Cresap
Cresap, Inc.
Radnor, PA
District Committee Nominees District Nominating Committee Nominees
Jerry V. Duhovic
Datek Online Brokerage Services LLC
Iselin, NJ
Philip S. Cottone
Rutherford, Brown & Catherwood, LLC
Philadelphia, PA
Kimberly Tillotson Fleming
Hefren-Tillotson, Inc.
Pittsburgh, PA
Victor M. Frye
Calvert Distributors, Inc.
Bethesda, MD
Howard B. Scherer
Janney Montgomery Scott LLC
Philadelphia, PA
Allen S. Jacobson
Gibraltar Securities Co., a division of Tucker Anthony Incorporated
Florham Park, NJ
Mark Thomas Whaley
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
The five boroughs of New York City, and Long Island
2000 District Nominating Committee Chairperson
Joan S. Green
BT Brokerage Corporation
New York, NY
District Committee Nominees District Nominating Committee Nominees
Constantine Gus Economos
Sandler O'Neill & Partners LP
New York, NY
Arthur S. Ainsberg
Brahman Securities, Inc.
New York, NY
Ruth S. Goodstein
Paine Webber Inc.
New York, NY
Laurence H. Bertan
Sanford C. Bernstein & Co. Inc.
New York, NY
Patrick Remmert
Credit Suisse First Boston Corporation
New York, NY
Frank F. DiGregorio
Credit Suisse First Boston Corporation
New York, NY
Charles V. Senatore
Merrill Lynch Pierce Fenner & Smith Inc.
New York, NY
Harold G. Ognelodh
Salomon Smith Barney Inc.
New York, NY
Jeffrey Zuckerman
Salomon Smith Barney Inc.
New York, NY
Vicki Z. Holleman
Loeb Partners Corporation
New York, NY

District 11

Fred McDonald, District Director
260 Franklin Street, 16th Floor
Boston, MA 02110
(617) 261-0800
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont, and New York (except for the counties of Monroe, Livingston, and Steuben; and the five boroughs of New York City, and Long Island)
2000 District Nominating Committee Chairperson
Edward L. Sherr
Carl P. Sherr & Company
Worcester, MA
District Committee Nominees District Nominating Committee Nominees
Stephen Anikewich, Jr.
Warburg Dillon Read LLC
Stamford, CT
Harry H. Branning
Advest, Inc.
Hartford, CT
John I. Fitzgerald
American General Funds Distributors, Inc.
Boston, MA
Stephanie Brown
Linsco/Private Ledger Corp.
Boston, MA
Robert V. Rodia
People's Securities, Inc.
Bridgeport, CT
Sheldon Fechtor
Fechtor, Detwiler & Co., Inc.
Boston, MA
Gregory D. Teese
Equity Services Inc.
Montpelier, VT
Arthur F. Grant
Cadaret, Grant & Co., Inc.
Syracuse, NY
  Frank V. Knox, Jr.
Fidelity Distributors Corporation
Boston, MA


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