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Biotech / Medical : Gum Tech (GUMM)

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From: StockDung	7/5/2007 3:27:04 PM
	of 133

Alexis Jose Rivera (Principal) AWC/#2005002440801/February 2007 Rivera engaged in a fraudulent trade allocation or “cherry picking“ scheme, in that certain of his member firm’s representatives aggregated retail customers’ day trading orders and communicated an opening transaction to Rivera, who would work the order in a firm proprietary account to sometimes allocate a first profitable trade to a relative’s personal account and the resulting loss to the customers’ accounts. Rivera failed to give the affected customers best execution. Alexis Jose Rivera : Barred 216.239.51.104

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