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05-62 Nominees for District Committee and District Nominating Committee

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INFORMATIONAL

District Elections

SUGGESTED ROUTING

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Executive Representatives
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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.1 The individuals identified in this Special Notice (see Attachment A) have been nominated for three-year terms2 on the District Committees or for one-year terms on the District Nominating Committees starting in January 2006. These nominees will be considered duly elected on October 12, 2005, 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 may wish to revisit this process next year.

Contested Election Procedures

If an officer or director of, or individual who is registered with, an NASD member who meets the qualifications of Sections 8.2 or 8.9, as applicable, of the NASD Regulation By-Laws, has not been nominated by the District Nominating Committee as a candidate or alternate and wants to be considered for election to the District Committee or the District Nominating Committee, he or she must deliver a written notice to the District Director within 14 calendar days of the date of this Special Notice, or by October 11, 2005.

Please be advised that due to Hurricane Katrina, NASD's District 5 office in New Orleans is temporarily closed. Any individuals wishing to be considered for election to the District Committee or the District Nominating Committee for District 5 must deliver written notice by October 11, 2005 to:

Virginia F. M. Jans
District Director, District 6
12801 N. Central Expressway, Suite 1050
Dallas, TX 75243
(972) 701-8554

If an additional candidate or candidates come forward by October 11, 2005, the Corporate Secretary will provide each additional candidate with a list of members who are eligible to vote in the District. In order to be considered for nomination, within 30 calendar days of receipt of the list of members eligible to vote, an additional candidate must 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.

Additional information pertaining to the District Election Procedures can be found in Article VIII of the NASD Regulation By-Laws.

Questions/Further Information

Questions concerning this Special Notice may be directed to the District Director noted in Attachment A or to Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, NASD, at (202) 728-8062 or via email at barbara.sweeney@nasd.com.


1 In addition to nominating a slate of candidates for each of these committees, each District Nominating Committee may nominate one alternate candidate for each committee. The nomination of alternate candidates is permitted under recent amendments to Section 8.17 of the NASD Regulation By-Laws. Attachment A identifies each District Nominating Committee's slate of nominees, plus alternate candidates (if any).

2 Some nominees are filling existing vacancies and therefore may serve less than a three-year term, as indicated on Attachment A.


ATTACHMENT A

District Committee and District Nominating Committee Nominees
District 1
Elisabeth P. Owens, Regional 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
2005 District Nominating Committee Chair
L. Robert McKulla Wachovia Securities, LLC Walnut Creek, CA
District 1 Nominees
Christopher D. Charles Wulff, Hansen & Company San Francisco, CA
Kevin T. Kitchin Wachovia Securities, LLC San Francisco, CA
Edward M. Stephens FSC Securities Corporation Santa Rosa, CA
Alternate Candidate
James H. Williams Financial Telesis San Rafael, CA
District 1 Nominating Committee Nominees
S. Katherine Campbell Protected Investors of America Berkeley, CA
Nicholas C. Cochran American Investors Company San Ramon, CA
Gerard P. Gloisten GBS Financial Corporation Santa Rosa, CA
Robert A. Muh Sutter Securities, Inc. San Francisco, CA
Francis X. Roche, II RBC Dain Rauscher, Inc. San Francisco, CA
Alternate Candidate
Warren Gordon Charles Schwab & Co., Inc. San Francisco, CA


District Committee and District Nominating Committee Nominees
District 2
Lani M. Sen Woltmann, District Director
300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071 (213) 229-2300
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
2005 District Nominating Committee Chair
Richard B. Gunter Wedbush Morgan Securities Los Angeles, CA
District 2 Nominees
Steven K. Klein Farmers Financial Solutions, LLC Simi Valley, CA
Ismael Manzanares, Jr. WFP Securities San Diego, CA
Gary A. Martino brokersXpress, LLC Thousand Oaks, CA
Alternate Candidate
Daniel A. Murphy PlanMember Securities, Corp. Carpinteria, CA
District 2 Nominating Committee Nominees
M. LaRae Bakerink WBB Securities, LLC San Diego, CA
James E. Biddle The Securities Center, Inc. Chula Vista, CA
Don Dalis UBS Financial Services, Inc. Newport Beach, CA
Barbara A. Kelley Pacific Global Fund Distributors, Inc. Glendale, CA
Joel H. Ravitz Quincy Cass Associates Los Angeles, CA
Alternate Candidate
A. William Cohen Integrated Trading and Investments Las Vegas, NV


District Committee and District Nominating Committee Nominees
District 3
Joseph M. McCarthy, District Director 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
370 17th Street, Suite 2900
Denver, CO 80202-5629
(303) 446-3100

Arizona, Colorado, New Mexico, Utah
and Wyoming
2005 District Nominating Committee Chair
Kathryn A. Supko Northwestern Mutual
Investment Services, LLC
Boise, ID
District 3 Nominees
David Director McAdams Wright Ragen, Inc. Seattle, WA
Daniel Lind Wells Fargo Investments Tucson, AZ
Stephen Youhn M Holdings Securities, Inc. Portland, OR
Alternate Candidate
Patrick Elliott RBC Dain Rauscher, Inc. Bainbridge Island, WA
District 3 Nominating Committee Nominees
Gregory R. Anderson MCL Financial Group, Inc. Denver, CO
L. Hoyt DeMers Wells Fargo Investments, LLC Seattle, WA
Bridget Gaughan AIG Financial Advisors, Inc. Phoenix, AZ
John Goodwin Goodwin Browning & Luna Securities, Inc. Albuquerque, NM
C. Fredrick Roed McAdams Wright Ragen, Inc. Bellevue, WA
Alternate Candidate
Gene Branson Partner's Investment Network, Inc. Spokane, WA


District Committee and District Nominating Committee Nominees
District 4
Thomas D. Clough, District Director (816) 421-5700
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota and South Dakota
2005 District Nominating Committee Chair
Pamela R. Ziermann Dougherty & Company LLC Minneapolis, MN
District 4 Nominees
Steven F. McWhorter Securities America, Inc. Omaha, NE
Arthur S. Montgomery1
(One-Year Term)
Walnut Street Securities, Inc. St. Louis, MO
Brian D. Murphy Woodbury Financial Services, Inc. Woodbury, MN
Andrew C. Small Scottrade, Inc. St. Louis, MO
Alternate Candidate
Daniel J. May Financial Network Investment Corporation Minneapolis, MN
District 4 Nominating Committee Nominees
Deborah M. Castiglioni Cutter & Company, Inc Chesterfield, MO
Robert M. Chambers A.G. Edwards & Sons, Inc. West Des Moines, IA
Frank H. Kirk Wachovia Securities, LLC Kansas City, MO
Kevin P. Maas PrimeVest Financial Services, Inc. St. Cloud, MN
Jeffrey A. Schuh Residential Funding Securities Corp. Minneapolis, MN

1 Mr. Montgomery has been appointed to serve the remaining year of the term of Richard M. Hurwitz, who has resigned from the District Committee.



District Committee and District Nominating Committee Nominees
District 5
Warren A. Butler, Jr., Regional Director
Alabama, Arkansas, Louisiana, Mississippi, Oklahoma and Tennessee
Note: Please be advised that due to Hurricane Katrina, NASD's District 5 office in
New Orleans is temporarily closed. Any individuals wishing to be considered
for election to the District Committee or the District Nominating Committee
for District 5 must deliver written notice by October 11, 2005 to:


Virginia F. M. Jans, District Director, District 6 (972) 701-8554
12801 N. Central Expressway, Suite 1050
Dallas, TX 75243
2005 District Nominating Committee Chair
David A. Knight Stephens Inc. Little Rock, AR
District 5 Nominees
Curtis F. Bradbury, Jr. Stephens Inc. Little Rock, AR
William A. Geary Morgan Keegan & Company, Inc. Jackson, MS
Jefferson G. Parker Howard Weil Incorporated New Orleans, LA
Alternate Candidate
Charles C. Hollinger, Jr. Johnson Rice & Company, L.L.C. New Orleans, LA
District 5 Nominating Committee Nominees
John J. Dardis Jack Dardis & Associates, Ltd. Metairie, LA
Carolyn R. May Simmons First Investment Group, Inc. Little Rock, AR
Douglas W. McQueen The Baker Group, LP Oklahoma City, OK
LeRoy H. Paris, II InvestLinc Securities, L.L.C. Jackson, MS
David W. Wiley, III Wiley Bros., Aintree Capital, L.L.C. Nashville, TN
Alternate Candidate
Joseph C. Weller Morgan Keegan & Company, Inc. Memphis, TN


District Committee and District Nominating Committee Nominees
District 6
Virginia F. M. Jans, District Director  
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243 (972) 701-8554
Texas
2005 District Nominating Committee Chair
William B. Madden Madden Securities Corporation Dallas, TX
District 6 Nominees
Alan K. Goldfarb Oakbrook Financial Group, LLC Dallas, TX
Brent T. Johnson2
(One-Year Term)
Multi-Financial Securities Corporation Houston, TX
John Christopher Melton Coastal Securities, L.P. Houston, TX
Ralph E. Poppell Stanford Group Company Houston, TX
Alternate Candidate
Kennard R. George VSR Financial Services, Inc. Richardson, TX
District 6 Nominating Committee Nominees
William D. Felder Southwest Securities, Inc. Dallas, TX
Sennett Kirk, III Kirk Securities Corporation Denton, TX
Gary V. Murray Murray Traff Securities Tyler, TX
John R. Muschalek First Southwest Company Dallas, TX
V. Keith Roberts Stanford Group Company Houston, TX
Alternate Candidate
Fredrick W. McGinnis RBC Dain Rauscher, Inc. Dallas, TX

2 Mr. Johnson has been nominated to serve the remaining year of the term of Darryl W. Traweek, who has resigned from the District Committee. The District Committee appointed Sennett Kirk, III to fill this vacancy until Mr. Johnson's term commences in January 2006.



District Committee and District Nominating Committee Nominees
District 7
Daniel J. Stefek, District Director Mitchell C. Atkins, District Director
One Securities Centre, Suite 500
3490 Piedmont Road, NE, Atlanta, GA 30305
(404) 239-6100

Georgia, North Carolina and
South Carolina
2500 N. Military Trail, Suite 302
Boca Raton, FL 33431
(561) 443-8000

Florida, Puerto Rico, the Canal Zone and
the Virgin Islands
2005 District Nominating Committee Chair
Kenneth W. McGrath Popular Securities, Inc. Hato Rey, Puerto Rico
District 7 Nominees
Douglas R. Aldridge H & R Block Financial Advisors, Inc. Dunwoody, GA
Valerie G. Brown ING Advisors Network Atlanta, GA
Dennis W. Zank Raymond James & Associates St. Petersburg, FL
Alternate Candidate
Carlos Gonzalez-Stawinski Popular Securities, Inc. San Juan, PR
District 7 Nominating Committee Nominees
Richard G. Averitt, III Raymond James Financial Services, Inc. St. Petersburg, FL
Joseph B. Gruber FSC Securities Corporation Atlanta, GA
Dennis S. Kaminski Mutual Service Corporation West Palm Beach, FL
James A. Klotz FMSBonds, Inc. North Miami Beach, FL
Roark A. Young Young, Stovall & Company Miami, FL
Alternate Candidate
C. John O'Bryant Stifel, Nicolaus & Company, Inc. Raleigh, NC


District Committee and District Nominating Committee Nominees
District 8
Carlotta A. Romano, District Director  
55 West Monroe Street, Suite 2700, Chicago, IL 60603-5052 (312) 899-4400
Illinois, Indiana, Kentucky, Michigan, Ohio and Wisconsin
2005 District Nominating Committee Chair
Bruce J. Young Mesirow Financial, Inc. Chicago, IL
District 8 Nominees
Stephen F. Anderson Waterstone Financial Group Itasca, IL
Eric A. Bederman Bernardi Securities, Inc. Chicago, IL
Mari Buechner3
(One-Year Term)
Coordinated Capital Securities Inc. Madison, WI
Barbara A. Turner The O.N. Equity Sales Company Cincinnati, OH
Alternate Candidate
Matthew H. Turnbull Morgan Stanley DW Inc. Detroit, MI
District 8 Nominating Committee Nominees
George E. Bates Bates Securities, Inc. Rockford, IL
Bernard A. Breton Carillon Investments, Inc. Cincinnati, OH
Carol P. Foley Podesta & Company Chicago, IL
Jill R. Powers Oberlin Financial Corporation Bryan, OH
James J. Roth Pershing LLC Oak Brook, IL
Alternate Candidate
Ruth C. Hannenberg Mesirow Financial, Inc. Chicago, IL

3 Ms. Buechner has been nominated to serve the remaining year of the term of Lora Rosenbaum, who has resigned from the District Committee.



District Committee and District Nominating Committee Nominees
District 9
Gary K. Liebowitz, District Director John P. Nocella, District Director
581 Main Street, 7th Floor
Woodbridge, NJ 07095
(732) 596-2000

New Jersey and New York (except for the
counties of Nassau and Suffolk, and the five
boroughs of New York City)
Eleven Penn Center, 1835 Market Street
19th Floor, Philadelphia, PA 19103
(215) 665-1180

Delaware, the District of Columbia, Maryland,
Pennsylvania, Virginia and West Virginia
2005 District Nominating Committee Chair
J. Lee Keiger, III Davenport & Company, LLC Richmond, VA
District 9 Nominees
Michael T. Corrao4
(Two-Year Term)
Knight Equity Markets LP Jersey City, NJ
Wayne F. Holly5
(One-Year Term)
Sage, Rutty & Co., Inc. Rochester, NY
John M. Ivan Janney Montgomery Scott LLC Philadelphia, PA
Brand F. Meyer Wachovia Securities, LLC Richmond, VA
Thomas T. Wallace Johnston, Lemon & Co. Incorporated Washington, DCA
Alternate Candidate
G. Mark Hamby Anderson & Strudwick, Inc. Richmond, VA
District 9 Nominating Committee Nominees
Richard Grobman Oppenheimer & Co. Inc. Philadelphia, PA
W. Dean Karrash Burke, Lawton, Brewer & Burke Spring House, PAA
Gregg A. Kidd Pinnacle Investments Inc. East Syracuse, NY
Michael S. Mortensen PNC Investments Pittsburgh, PA
Michael B. Row Pershing, LLC Jersey City, NJ
Alternate Candidate
Kimberly Tillotson Fleming Hefren-Tillotson, Inc. Pittsburgh, PA

4 Mr. Corrao has been nominated to serve the remaining two years of the term of Dorothy G. Sanders, who has resigned from the District Committee.

5 Mr. Holly has been nominated to serve the remaining year of the term of Barry M. Cash, who has resigned from the District Committee.



District Committee and District Nominating Committee Nominees
District 10
Hans Reich, Regional Director  
One Liberty Plaza, New York, NY 10006 (212) 858-4000
New York (the counties of Nassau and Suffolk, and the five boroughs of New York City)
2005 District Nominating Committee Chair
Charles V. Senatore Fidelity Brokerage Services, LLC New York, NY
District 10 Nominees
Barry M. Cash Citigroup Global Markets, Inc. New York, NY
Joseph DeBellis Sanford C. Bernstein & Co., LLC New York, NY
Robyn Jeffrey Oppenheimer & Co., Inc. New York, NY
Allen Meyer Credit Suisse First Boston LLC New York, NY
Alternate Candidate
George Mandl ITG, Inc. New York, NY
District 10 Nominating Committee Nominees
Margaret M. Caffrey Schonfeld & Company, LLC Jericho, NY
Jennifer A. Connors Lehman Brothers Inc. New York, NY
Raymond C. Holland, Jr. Triad Securities Corp. New York, NY
Richard J. Paley Carey Financial Corporation New York, NY
Mark Ronda Oppenheimer & Co., Inc. New York, NY


District Committee and District Nominating Committee Nominees
District 11
Frederick F. McDonald, District Director  
99 High Street, Suite 900, Boston, MA 02110 (617) 532-3400
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island and Vermont)
2005 District Nominating Committee Chair
John I. Fitzgerald Leerink Swann & Company Boston, MA
District 11 Nominees
Martin W. Courage Bank of America Investment Services Boston, MA
Todd A. O'Connor6 Investors Securities Services LLC Boston, MA
Robert J. Reilly Piper Jaffray & Co. Boston, MA
District 11 Nominating Committee Nominees
Michael C. Braun Moors & Cabot, Inc. Boston, MA
Andrew F. Detwiler Virtua Research, an Affiliate of Vandham
Securities Corp.
Boston, MA
Mark R. Hansen State Street Global Markets, LLC Boston, MA
Lee G. Kuckro Advest, Inc. Hartford, CT
Wilson G. Saville Barrett & Company Providence, RI

6Mr. O'Connor, who was nominated as an alternate candidate for the District Committee, replaces Howard Messias, who withdrew his nomination.


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