Subject: FILE #4-606

August 29, 2010

My mother had a broker, he was a crook... I tried to sue and you turned me down...I had graphs and charts showing how often he turned my Mom's funds from one account to another and lost well over $50,000 with him until I stepped in...You and the lawyers of no help at all, I lost money again..

I had an investment adviser, thinking he would keep me updated on my funds (what a joke), the market crashed without any warning from him, so I took it all out of the market. Now I know I'm saving what I was paying him and without him doing one thing with this one account, he got paid every month, now its mine again..

The SEC is for the brokers/financial guys, you are not for the little people. As you can see I am very unhappy with all brokers, financial advisers, dealers, the SEC, mine and my mother's best interests have never been protected... So now I will do it myself....

Thanks for the opportunity to vent.


Maria E. Carignan