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Biotech / Medical : GUMM - Eliminate the Common Cold
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To: Sir Auric Goldfinger who wrote (3030)11/5/2000 9:22:08 PM
From: StockDung   of 5582
 
NASD Registered Person: SCOTT BRIAN OLSON
CRD Number: 812929
******** CUSTOMER COMPLAINT (2 of 2) ********


Reporting Source: Regulator (Form U-6)

Date Reported: 03/20/1997

Case Filed With: NASD

Date Initiated: 03/20/1997

Case Number: 97-00248

Employing Firm: SCHNEIDER SECURITIES, INC.

Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE;
OTHER; BRCH OF FIDUCIARY DT

Alleged Damages: $200,000.00

Pending?: Yes

Disposition
Details: PENDING Not Provide


***********************************
Reporting Source: Broker (Form U-4)

Date Reported: 04/11/1997

Date Received:

NASDR Public Disclosure Program November 03, 2000 Page 7
This information is current as of: 11/03/2000
________________________________________________________________________________
NASD Registered Person: SCOTT BRIAN OLSON
CRD Number: 812929

CUSTOMER COMPLAINTS(cont.)


Employing Firm: SCHNEIDER SECURITIES, INC.

Allegations: BREACH OF CONTRACT, NEGLIGENCE, FRAUD, FRAUDULENT CONCEALMENT,
BREACH OF FIDUCIARY DUTY AND SECURITIES FRAUD. ALLEGED
DAMAGING OF $200,000.

Alleged Damages: $200,000.00

Action Pending?: No

Resolution: Arbitration/Reparation

Resolution
Date:

Arbitration/Reparation
Details: National Assoc. of Securities Dealers; 97--00248

Service Date: 03/20/1997

Pending?: Yes

Disposition
Details: N/A I INTEND TO DENY ALL ALLEGATIONS.
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