Notice to Members 02-37

NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections

Published Date:

June 17, 2002

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 inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating Committees.

Information on District Committee and District Nominating Committee members serving through 2003, 2004, and 2005 is included in Attachment A. Information on District Election Procedures is included in Attachment B. A candidate profile sheet is included in Attachment C.

Nomination Process

Individuals from member firms of all sizes and segments of the industry are encouraged to submit names for consideration for membership on the 11 District Committees and District Nominating Committees. Members are requested to submit candidates' names to the appropriate District Nominating Committee Chairman or to the District Director by submitting a cover letter and the candidate profile sheet (Attachment C) by August 5.

Completed forms will be provided to all District Nominating Committee members for review. It is anticipated that the District Nominating Committees will certify their nominees to the District Committees on or about September 23.

Members are reminded of the importance to accurately maintain their Executive Representative name and e-mail address information, as well as their firm's main postal address. This will ensure that member mailings, such as election information, will be properly directed. Failure to keep this information accurate may jeopardize the member's ability to participate in District elections as well as other member votes. To update the Executive Representative name and e-mail address, firms should access their NASD Member Firm Contact Questionnaire (NMFCQ) located on the NASD Web Site (www.nasdr.com/disclaimer.asp).

To update postal address information, the firm must file a Form BD Amendment via the Web CRD system. For assistance updating either of these systems, you may contact our Call Center at (301) 590-6500.

Questions/Further Information

Questions concerning this Special Notice may be directed to the District Director noted or to Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, NASD, at (202) 728-8062 or via e-mail at [email protected].

Attachment A

District 1 Committee And District Nominating Committee Members

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

District 1 Committee — Chair: Sally G. Aelion

Members to be elected to terms expiring January 2006: 3

Member to be elected to term expiring January 2005: 1

Committee members 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
Nicholas C. Cochran	American Investors Company	Dublin, CA
Committee members to serve until January 2004
S. Katherine Campbell	Protected Investors of America	San Francisco, CA
William C. Pack	Salomon Smith Barney	Saratoga, CA
Carol Van Bruggen	Securities Service Network, Inc.	Sacramento, CA
Committee members to serve until January 2005
Allan L. Herzog	Prudential Securities, Inc.	San Francisco, CA
Robert A. Muh	Sutter Securities, Inc.	San Francisco, CA
Vacancy

District 1 Nominating Committee — Chair: Stephen R. Adams

Committee members to be elected to terms expiring January 2004: 5

Committee members
Stephen R. Adams	Wells Fargo Investments, LLC	San Francisco, CA
Janet W. Campbell	Protected Investors of America	Walnut Creek, CA
Glenn M. Colacurci	Salomon Smith Barney	San Francisco, CA
John C. Helmer	Caldwell Securities, Inc.	Danville, CA
Jerry D. Phillips	RBC Dain Rauscher, Inc.	San Francisco, CA

District 2 Committee And District Nominating Committee Members

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

District 2 Committee — Chair: James R. Kruger

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
Kellen M. Flanigan	Wells Fargo Securities, Inc.	Beverly Hills, CA
William H. Howard, Jr.	Seidler Companies	Irvine, CA
James R. Kruger	Dreyfus Brokerage Services, Inc.	Los Angeles, CA
Committee members to serve until January 2004
James E. Biddle	The Securities Center, Incorporated	Chula Vista, CA
Chris M. Kanoff	Jefferies and Company, Inc.	Los Angeles, CA
Steven K. McGinnis	National Planning Corporation	Santa Monica, CA
Neal E. Nakagiri	Associated Planners Securities Corporation	Los Angeles, CA
Committee members to serve until January 2005
Joan A. Payden	Payden & Rygel	Los Angeles, CA
Joel H. Ravitz	Quincy Cass Associates	Los Angeles, CA
Guy W. Williams	Merrill Lynch Pierce Fenner & Smith, Inc.	Costa Mesa, CA

District 2 Nominating Committee — Chair: George H. Casey

Committee members to be elected to terms expiring January 2004: 5

Committee members
George H. Casey	Crowell Weedon & Co.	Los Angeles, CA
Murray F. Finebaum	Trading Edge, Inc.	Santa Monica, CA
James B. Guillou, Sr.	RBS Dean Raucher, Inc.	La Jolla, CA
Dean A. Holmes	American General Financial Group	Anaheim, CA
Robert L. Winston	American Funds Distributors, Inc.	Los Angeles, CA

District 3 Committee And District Nominating Committee Members

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, Suite 1616, Seattle, WA 98101-2327 (206) 624-0790

District 3 Committee — Chair: Kathryn A. Supko

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
Steven M. Fishbein	United Securities Alliance, Inc.	Greenwood Village, CO
J. David Griswold	Frank Russell Company	Tacoma, WA
Vacancy
Committee members to serve until January 2004
Richard B. Bequette	CUE Financial Group, Inc.	Phoeniz, AZ
George T. Diachok		Denver, CO
John M. Rose	Seattle-Northwest Securities Corporation	Seattle, WA
Kathryn A. Supko	Northwest Mutual Investment Services	Boise, ID
Committee members to serve until January 2005
Gregory R. Anderson	TIAA/CREF	Denver, CO
Robert E. Frey, Jr.	KMS Financial Services, Inc.	Seattle, WA
John F. York	Strand, Atkinson, Williams & York, Inc.	Portland, OR

District 3 Nominating Committee — Chair: Thomas Petrie

Committee members to be elected to terms expiring January 2004: 5

Committee members
Thomas R. Hislop	Peacock, Hislop, Staley & Given, Inc.	Phoenix, AZ
John Morton	Morton Clarke Fu & Metcalf, Inc.	Seattle, WA
William G. Papesh	WM Funds Distributor, Inc.	Seattle, WA
Thomas Petrie	Petrie Parkman & Co., Inc.	Denver, CO
James E. Stark	Charles Schwab & Co., Inc.	Phoenix, AZ

District 4 Committee And District Nominating Committee Member

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

District 4 Committee — Chair: E. John Moloney

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
E. John Moloney	Moloney Securities Company, Inc.	St. Louis, MO
Rodger O. Riney	Scottrade, Inc.	St. Louis, MO
Jeffrey A. Schuh	Marquette Financial Group, Inc.	Minneapolis, MN
Gail Werner-Robertson	GWR Investments, Inc.	Omaha, NE
Committee members to serve until January 2004
Gene M. Diedrich	A.G. Edwards & Sons, Inc.	Overland Park, KS
Timothy J. Lyle	Trusted Securities Advisors Corp.	Minneapolis, MN
Pamela K. Ziermann	Dougherty & Company	Minneapolis, MN
Committee members to serve until January 2005
William R. Giovanni	Ameritas Investment Corp.	Lincoln, NE
Frank H. Kirk	First Union Securities	Kansas City, MO
James H. Warner	The Warner Group	Sioux City, IA

District 4 Nominating Committee — Chair: Cheryl Cook-Schneider

Committee members to be elected to terms expiring January 2004: 5

Committee Members
Robert M. Chambers	Robert W. Baird & Co. Incorporated	West Des Moines, IA
Colleen Curran	American Express Financial Advisors, Inc.	Minneapolis, MN
Norman Frager	Flagstone Securities, LLC	Clayton, MO
John R. Lepley	Princor Financial Services Corp.	Des Moines, IA
Cheryl Cook-Schneider	Edward Jones	St. Louis, MO

District 5 Committee And District Nominating Committee Members

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

District 5 Committee — Chair: James M. Rogers

Members to be elected to terms expiring January 2006: 3

Committee members 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
William Lucas Simons, Jr.	UBS PaineWebber Inc.	Nashville, TN
Committee members to serve until January 2004
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
Committee members to serve until January 2005
John J. Dardis	Jack Dardis & Associates, Ltd.	Metairie, LA
J. Timothy Rice	Rice, Voelker, LLC	Mandeville, LA
James T. Ritt	Morgan Keegan & Company, Inc.	Memphis, TN

District 5 Nominating Committee — Chair: Dene R. Shipp

Committee members to be elected to terms expiring January 2004: 5

Committee members
Carl W. Busch	Prudential Securities Incorporated	Oklahoma City, OK
William T. Griggs, II	Dupree & Company, Inc.	Lexington, KY
V. Hugo Marx, III	Hugo Marx & Co., Inc.	Birmingham, AL
Dene R. Shipp	SunTrust Robinson Humphrey Capital Markets	Nashville, TN
William L. Tedford, Jr.	Stephens Inc.	Little Rock, AR

District 6 Committee And District Nominating Committee Members

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

District 6 Committee — Chair: Bryan T. Forman

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
G. Clyde Buck	Sanders Morris Harris, Inc.	Houston, TX
Bryan T. Forman	First Avantus Securities, Inc.	Austin, TX
Daniel P. Son	Penson Financial Services, Inc.	Dallas, TX
Committee members to serve until January 2004
Christopher R. Allison	M.E. Allison & Co., Inc.	San Antonio, TX
David W. Turner	First Union Securities, Inc.	Ft. Worth, TX
R. Dwayne Whitehead	Coastal Securities L.P.	Houston, TX
Committee members to serve until January 2005
Donaldson D. Frizzell	First Command Securities Corporation	Fort Worth, TX
Sennett Kirk, III	Kirk Securities Corporation	Denton, TX
V. Keith Roberts	American General Distributors	Houston, TX

District 6 Nominating Committee — Chair: Daniel C. Dooley

Committee members to be elected to terms expiring January 2004: 5

Committee members
Daniel C. Dooley	Maplewood Investment Advisors, Inc.	Dallas, TX
Kenneth R. Hanks	SWS Securities, Inc.	Dallas, TX
William H. Lowell	Lowell & Company, Inc.	Lubbock, TX
Fredrick W. McGinnis	UBS PaineWebber Inc.	Houston, TX
Jim G. Rhodes Rhodes	Securities, Inc.	Fort Worth, TX

District 7 Committee And District Nominating Committee Members

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

District 7 Committee — Chair: Michael D. Hearn, Esq.

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
Michael D. Hearn, Esq.		Charlotte, NC
Collie W. Lehn	A.G. Edwards & Sons, Inc.	Laurens, SC
John W. Waechter	William R. Hough & Co.	St. Petersburg, FL
Committee members to serve until January 2004
Kenneth W. McGrath	Popular Securities, Inc.	Hato Rey, PR
C. John O'Bryant, III	Legg Mason Wood Walker, Inc.	Raleigh, NC
Charles R. Roberts	RBC Dain Rauscher, Inc.	Richmond, VA
Committee members to serve until January 2005
Jeffrey P. Adams	Balentine & Company	Atlanta, GA
Richard G. Averitt, III	Raymond James Financial Services, Inc.	Atlanta, GA
Harold F. Corrigan	Merrill Lynch, Pierce, Fenner & Smith, Inc.	Palm Beach, FL

District 7 Nominating Committee — Chair: M. Anthony Greene

Committee members to be elected to terms expiring January 2004: 5

Committee members
M. Anthony Greene	Raymond James Financial Services, Inc.	Atlanta, GA
James W. Hamilton, Jr.	Morgan Keegan & Co.	Atlanta, GA
Edward R. Hipp, III	Legg Mason Wood Walker, Inc.	Williamsburg, VA
Raymond W. Snow	Merrill Lynch	West Palm Beach, FL
Roark A. Young	Young, Stovall and Company	Miami, FL

District 8 Committee And District Nominating Committee Members

Carlotta A. Romano, District Director
55 West Monroe Street, Suite 2700, Chicago, IL 60603 (312) 899-4400

William H. Jackson, Jr., District Director
Renaissance on Playhouse Square, 1350 Euclid Avenue, Suite 650, Cleveland, OH 44115 (216) 592-2950

District 8 Committee — Chair: Gregory W. Goelzer

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
Carol Podesta Foley	Podesta & Company	Chicago, IL
Renee M. Rombaut	Sage, Rutty & Co., Inc.	Rochester, NY
Committee members to serve until January 2004
George E. Bates	Bates Securities, Inc.	Rockford, IL
Gregory W. Goelzer	Goelzer Investment Management, Inc.	Indianapolis, IN
Jay B. Mackenzie	Prudential Securities Incorporated	Kalamazoo, MI
Committee members to serve until January 2005
Bernard A. Breton	Carillon Investments, Inc.	Cincinnati, OH
Donald A. Carlson	B.C. Ziegler and Company	Chicago, IL
William K. Curtis	M & I Brokerage Services, Inc.	Milwaukee, WI
Gerald L. Oaks	Legg Mason Wood Walker, Inc.	Cincinnati, OH
Jill R. Powers	Oberlin Financial Corporation	Bryan, OH

District 8 Nominating Committee — Chair: David Slavik

Committee members to be elected to terms expiring January 2004: 5

Committee members
Wallen L. Crane	Salomon Smith Barney, Inc.	Toledo, OH
William F. Faulkner	Continental Capital Securities, Inc.	Sylvania, OH
Thomas Harenburg	Carl M. Hennig, Inc.	Oshkosh, WI
David Slavik	Pershing Division of Donaldson, Lufkin & Jenrette Securities Corp.	Oak Brook, IL
L. Gene Tanner	NatCity Investments, Inc.	Indianapolis, IN

District 9 Committee And District Nominating Committee Members

John P. Nocella, District Director
Eleven Penn Center, 1835 Market Street, Suite 1900, Philadelphia, PA 19103 (215) 665-1180

Gary K. Liebowitz, District Director
581 Main Street, 7th Floor, Woodbridge, NJ 07905 (732) 596-2000

District 9 Committee — Chair: James D. Lamke

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
James D. Lamke	Spear, Leeds & Kellogg, L.P.	Jersey City, NJ
John P. Meegan	Parker/Hunter Incorporated	Pittsburgh, PA
Lance A. Reihl	1717 Capital Management Company	Berwyn, PA
Lenda P. Washington	GRW Capital Corporation	Washington, DC
Committee members to serve until January 2004
Jerry V. Duhovic	Datek OnLine Holdings Corp.	Jersey City, NJ
Kimberly Tillotson Fleming	Hefren-Tillotson, Inc.	Pittsburgh, PA
Howard B. Scherer	Janney Montgomery Scott LLC	Philadelphia, PA
Mark Thomas Whaley	RBC Dain Rauscher Inc.	Florham Park, NJ
Committee members to serve until January 2005
James E. Bickley	Cresap, Inc.	Radnor, PA
Michael B. Row	Donaldson, Lufkin & Jenrette Securities Corporation	Jersey City, NJ
Frank D. Ruscetti	Harvest Financial Corporation	Pittsburgh, PA

District 9 Nominating Committee — Chair: Philip S. Cottone

Committee members to be elected to terms expiring January 2004: 5

Committee members
Philip S. Cottone	Rutherford, Brown & Catherwood, LLC	Philadelphia, PA
A. Louis Denton	Philadelphia Corporation for Investment Services	Philadelphia, PA
Jerome J. Murphy	Janney Montgomery Scott LLC	Philadelphia, PA
Joseph S. Rizzello	Pershing Trading Company, L.P.	Jersey City, NJ
Gregory R. Zappala	RRZ Public Markets, Inc. Cranberry	Township, PA

District 10 Committee And District Nominating Committee Members

Cathleen F. Shine, District Director
One Liberty Plaza, 165 Broadway, New York, NY 10006 (212) 858-4180

District 10 Committee — Chair: Judith R. MacDonald

Members to be elected to terms expiring January 2006: 4

Committee members 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
Committee members to serve until January 2004
Ruth S. Goodstein	PaineWebber 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 R. Zuckerman	Salomon Smith Barney Inc.	New York, NY
Committee members to serve until January 2005
Jennifer A. Connors	ITG Inc.	New York, NY
Joan E. Hoffman	Deutsche Banc Alex Brown Inc.	New York, NY
Nathalie P. Maio	Bear, Stearns & Co., Inc.	New York, NY
Bertram J. Riley Sr.	Petersen Investments, Inc.	New York, NY
Mark W. Ronda	Fahnestock & Co. Inc.	New York, NY

District 10 Nominating Committee — Chair: Eugene A. Schlanger

Committee members to be elected to terms expiring January 2004: 5

Committee members
William P. Behrens	Northeast Securities, Inc.	New York, NY
Laurence H. Bertan	Sanford C. Bernstein & Co., LLC	New York, NY
Philip V. Oppenheimer	Oppenheimer & Close, Inc.	New York, NY
Eugene A. Schlanger	Nomura Securities International, Inc.	New York, NY
Tom M. Wirtshafter	American Portfolios Financial Services, Inc.	Holbrook, NY

District 11 Committee And District Nominating Committee Members

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

District 11 Committee — Chair: John D. Lane

Members to be elected to terms expiring January 2006: 3

Committee members to serve until January 2003
John D. Lane	Lane Capital Markets, LLC	Fairfield, CT
Deborah G. Ullman	Phoenix Equity Planning Corporation	Hartford, CT
Peter T. Wheeler	Commonwealth Financial Network	Waltham, MA
Committee members to serve until January 2004
John I. Fitzgerald	Leerink Swann & Company	Boston, MA
Robert V. Rodia	People's Securities, Inc.	Bridgeport, CT
Gregory D. Teese	Equity Services, Inc.	Montpelier, VT
Committee members to serve until January 2005
Michael C. Braun	Moors & Cabot, Inc.	Boston, MA
Andrew F. Detwiler	Vandham Securities Corp.	Plymouth, MA
Thomas J. Horack	John Hancock Life Insurance Company	Boston, MA

District 11 Nominating Committee — Chair: Arthur F. Grant

Committee members to be elected to terms expiring January 2004: 5

Committee members
Harry Branning	Linsco/Private Ledger Corp.	Glastonbury, CT
Stephen O. Buff	Fleet Securities, Inc.	Boston, MA
Sheldon Fechtor	Fechtor, Detwiler & Co., Inc.	Boston, MA
Arthur F. Grant	Cadaret, Grant & Co., Inc.	Syracuse, NY
Dennis R. Surprenant	Cantella & Co., Inc.	Boston, MA

Attachment B

District Election Procedures for District Committees and District Nominating Committees

Regular Election

1. Each NASD District shall maintain a District Nominating Committee in the manner specified in Article VIII of the By-Laws of NASD Regulation, Inc.

2. The Secretary of NASD ("the Corporation") will notify in writing the Chairman of each District Committee and the Chairman of the District Nominating Committee of the upcoming vacancies on both the District Committee and the District Nominating Committee, and the procedures to follow to fill the vacancies. A copy of these letters will be provided to the District Directors.

The District Nominating Committee will be provided by NASD staff with information considered relevant to the nominating process, including statistical data pertaining to the District membership.

3. The Secretary of NASD will remind all members of their responsibility and obligation to keep current and accurate information on their Executive Representatives and branch office addresses. This reminder will contain a reference to the NASD Web Site (www.nasd.com) and detail the process for changing a firm's Executive Representative. Please note that failure to keep this information accurate may jeopardize the member's ability to participate in District elections as well as other member votes.

4. The Secretary of NASD on behalf of the District Committee Chairmen will send a Notice to Members announcing the forthcoming elections to the Executive Representative and each branch office of all members eligible to vote in that District. The Notice to Members will contain: a) the number of vacancies for each District; and b) the remaining members of each District Committee. Members interested in serving on the District Committee or District Nominating Committee will be requested to complete the candidate profile sheet and submit it to the District Nominating Committee Chairman or the District Director. The completed candidate profile sheet will be provided to all Nominating Committee members for review.

5. The District Nominating Committee will endeavor to secure appropriate and fair representation on the District Committee and on the District Nominating Committee of the various sizes and types of NASD members engaged in the investment banking or securities business within the District.

6. The District Nominating Committee will review the background and qualifications of the proposed candidates and the profile information provided by staff, and will determine its slate of candidates for the election.

7. The District Nominating Committee will certify to the District Committee each candidate nominated by the District Nominating Committee.

8. Within five (5) calendar days after this certification, a Notice to Members shall be sent to Executive Representatives, communicating the nominees for the vacancies on the District Committees and Nominating Committees.

9. If an officer, director, or employee of an NASD member is interested in being considered as an additional candidate by contesting the election, he/she must indicate his/her interest to the District Director within fourteen (14) calendar days of the date of the Notice to Members referenced in #8 above. The District Director shall make a written record of the time and date of such notification and the process will continue as described in #10 - #12.

If an additional candidate does not come forward within 14 days, the election of committee members is complete.

10. Additional candidate(s) may be nominated if a petition signed by the Executive Representative of at least 10 percent of the members eligible to vote in the District is filed with the District Nominating Committee within 30 calendar days from the mailing date of the Notice to Members referenced in #8, unless the Secretary of NASD grants additional time for good cause shown.

11. If no additional candidate(s) are nominated within the 30-calendar day period, then the candidates nominated by the District Nominating Committee shall be considered duly elected, and the District Committee shall certify the election to the Board of Directors of NASD Regulation.

12. If any additional candidate(s) are nominated, the procedures outlined in the Contested Election Procedures will apply.

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

Candidate Profile Sheet

Current Employment
Name:	CRD#:
Firm:	#RRs at Firm:
Title/Primary Responsibility:
Address:
City:	State:	Zip:
Phone:	Fax:
E-mail:
Prior Employment (List the most recent first. Feel free to include extra pages if necessary.)
Firm:
Title/Primary Responsibility:
Firm:
Title/Primary Responsibility:

General Areas of Expertise (please check all that apply)				Product Expertise (please check all that apply)
	Compliance/Legal		Investment Advisory		Corporate Bonds		Investment Company
	Corporate Finance		Retail Sales		Direct Participation		Options
	Financial/Operational		Trading/Market Making		Programs		Variable Contracts Securities
	Institutional Sales		Other		Equity Securities		Other
		_______________ ________________			Municipal/Government Securities	_______________ ________________

Memberships/Positions Held in Trade or Business Organizations



Past NASD Experience and Dates of Service (please check all that apply)
Committee Member (Identify committee: )	Approx. Dates:
Arbitrator	Approx. Dates:
Mediator	Approx. Dates:
Expert Witness (arbitrations; disciplinary proceedings):	Approx. Dates:
Other:	Approx. Dates:
Educational Background
School:	Degree:
School:	Degree: