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Biotech / Medical : GUMM - Eliminate the Common Cold -- Ignore unavailable to you. Want to Upgrade?

To: Eric Fader who wrote (3022)	11/5/2000 7:12:42 PM
From: StockDung	Read Replies (2) \| Respond to of 5582

Did you notice that Schneider makes a market in GUMM? That broker, according to schneider-securities.com is CRD# 717728 ROGER PARKER MAY According to NASDR, he's clean. Has worked at Schneider's Denver office (the main one?) since 1985. (Not sure how clean that makes him, since he's been around the whole time the firm was accumulating their 15 NASDR Violations) Other brokers of interest from that list: The team of Brad Donner and Dave Mura came over from HJ Meyers. Nice pedigree. They currently work out of the Rochester office of Schneider. David James Mura CRD#2238675. 6 days after he left HJM, he started at SSEC. Bradley John Donner CRD#1861531 left HJM same day, started at SSEC same day as Mura. Mura has a few disclosure items, mainly a string of bad check writing. Nothing too fascinating there, although he appears to be a nightclub owner. Another well pedigreed pal is David Keith VanHouten CRD#1833025 He too works out of the main Denver office, since 1996. Before that he was at R A F Financial (CRD 1398), a brokerage house that changes names every time it gets caught violating regulations; about once every 2 years. VanHouten cut his teeth at Hibbard Brown. Not a bad place to learn 'the trade'. R A F Financial is currently known as American Fronteer Financial Corporation. According to NASDR, thats the correct spelling. here's a direct paste from the disclosure events, which are a good read: Applicant Name on Form BD: AMERICAN FRONTEER FINANCIAL CORPORATION SEC Number: 8-018200 Prior Business Names: E. J. PITTOCK & CO., INCORPORATED PITTOCK FINANCIAL CORPORATION R A F FINANCIAL CORPORATION RAFCO FINANCIAL CORPORATION Business Phone Number: 303-860-1700 Main Office Address Located in NASD District: 3-Denver 1700 LINCOLN ST. STE. 3200 DENVER, CO 80203 Criminal Actions: 0 Regulatory Actions: 20 Civil Judicial Actions: 1 Arbitrations: 26 Bonds: 0 Bankruptcies: 0 Judgment/Liens: 0 Other SSEC brokers that have worked at Denver-based R A F Financial; Donna Marie MaxwellSmith CRD# 1666900 Scott Brian Olson CRD# 812929 Quite the crew, arent they CHUMPS?