GUMM - Eliminate the Common Cold Message Board

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Biotech / Medical : GUMM - Eliminate the Common Cold

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To: Mike M who wrote ()	5/22/2003 10:51:54 PM
From: StockDung	of 5582

NASD Member Firm: SCHNEIDER SECURITIES, INC. CRD Number: 16434 This firm's registration with the NASD was terminated as of 11/21/2002. Disclosure information on terminated firms may occasionally be reported to and captured by NASD; however, such disclosure information has not been reviewed by the firm, and there is no regulatory requirement that terminated firms report any information to NASD. Criminal Actions: 0 Regulatory Actions: 18 Civil Judicial Actions: 0 Arbitrations: 30 Bonds: 0 Bankruptcies: 0 Judgment/Liens: 0 ****** REGULATORY ACTION (2 of 18) ****** Reporting Source: Firm (Form BD) Date Reported: 10/11/2002 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 09/27/2002 Docket/ Case Number: D-02445-A Allegations: THE FIRM RECEIVED NOTICE THAT SEC STAFF INTENDS TO RECOMMMEND AN ACTION AGAINST THE FIRM AN CERTAIN INDIVIDUALS, THE FIRM AND THE INDIVIDUALS INTEND TO VIGOROUSLY DEFEND THIS MATTER Current Status: Pending Summary:

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