NASD Announces Election Results For District Committees And District Nominating Committees

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: [email protected].

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Attachment A

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 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 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 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 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 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 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 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 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 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 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