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Comments on:
Roundtable Discussion Regarding Rule 12b-1
[File No. 4-538]
Links to comments on File No. 4-538 will be indicated on this page as they are available.
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| Comments have been received from individuals and entities using the following Letter Type A: 258 |
| Comments have been received from individuals and entities using the following Letter Type B: 737 |
| Aug. 4, 2008 | Patrick K. Elmore, Financial Advisor, Elmore Financial Group, Inc. |
| Jun. 19, 2008 | Daniel A. Driscoll, Executive Vice President, National Futures Association |
| Jun. 18, 2008 | Jeffrey T. Lester, Financial Advisor, MHM Wealth Management, LLC |
| Jun. 18, 2008 | Kishore Shah,
Securities America, Inc. |
| Jun. 18, 2008 | Darrell C. Clayotr,
Registered Representative, Securities America, Inc. |
| Jun. 17, 2008 | Sean Berger, CFP, Adirondack Retirement Specialists |
| Jun. 17, 2008 | David Cutshall, CFP, Multi-Financial Securities |
| Jun. 17, 2008 | James Christian, President, Jim Christian Inc. |
| Jun. 17, 2008 | Lynn Hendricks,
Owner, Hendricks Financial |
| Jun. 17, 2008 | Randal Nicholls |
| May 22, 2008 | Tim H. Cooper, CRFA |
| May 8, 2008 | Eric Sjodin |
| Mar. 6, 2008 | James D. Weddle, Managing Partner, Edward Jones |
| Mar. 4, 2008 | Jeff White, CFP |
| Feb. 12, 2008 | Robert Hammon, President, First Asset Financial, Inc., Salina, Kansas |
| Jan. 25, 2008 | Robert Hammon, President, First Asset Financial, Inc., Salina, Kansas |
| Jan. 17, 2008 | Paul Marrella, J.D., CFP, CLTC, Raymond James Financial Services, Inc. |
| Jan. 17, 2008 | Pamela S. Fritz, CSCP, CCO, MWA Financial Services, Inc. |
| Jan. 9, 2008 | Walter Rentz, Personal Financial Rep., Allstate |
| Dec. 21, 2007 | Erin F. Donnelly, Managing Director, Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| Nov. 20, 2007 | Jim Thiele, Financial Network Investment Corporation, Anchorage, Alaska |
| Nov. 7, 2007 | Richard Dehner, CLU, Dehner Financial Services |
| Nov. 2, 2007 | Henry Asher, President, The Northstar Group, Inc. |
| Nov. 2, 2007 | Richard Dehner, CLU, Dehner Financial Services |
| Oct. 31, 2007 | Karen Burneff, OSJ Branch Manager, Financial Network Investment Corp. |
| Oct. 30, 2007 | John Robert Austin, CFP, Registered Principal lnvestment Advisor Representative, Financial Network Investment Corp. |
| Oct. 30, 2007 | Herbert N. Messick, CFP, CLU, ChFC, AAMS, CMFC, CRPC, Financial Network |
| Oct. 30, 2007 | Tom Fayen, Registered Representative, Financial Network Invetment Corp. |
| Oct. 26, 2007 | Emilia Kato, OSJ, Girard Securities |
| Oct. 22, 2007 | Mike Moffitt, ChFC, Cornerstone Financial Group |
| Oct. 18, 2007 | Elizabeth Sullivan |
| Oct. 11, 2007 | Melanie S. diCenso, CFP |
| Oct. 9, 2007 | Bernard Smit, CFP, ChFC, Financial Network Investment Corp., Moraga, California |
| Oct. 4, 2007 | Jerry Maloney, Branch Manager, Raymond James Financial Services Inc. |
| Sep. 26, 2007 | Benedicto M. Gallo, San Francisco, California |
| Sep. 10, 2007 | Michelle Dixon, Registered Representative |
| Sep. 10, 2007 | Mr. Donald W. Hadley, Jr., President, Capital Analysts of NC Inc., Zebulon, North Carolina |
| Sep. 6, 2007 | Victor Simon, Wealth Care Advisor, Capital Analysts Inc. |
| Sep. 3, 2007 | Travis Yager |
| Aug. 27, 2007 | Matthew Giles, Vice President, Old National Investments, Henderson, Kentucky |
| Aug. 27, 2007 | Bill Darrah |
| Aug. 27, 2007 | Marc Tomberg |
| Aug. 21, 2007 | Marc Lallier |
| Aug. 21, 2007 | David Noakes, Eufaula, Alabama |
| Aug. 21, 2007 | Raj Mithyh |
| Aug. 17, 2007 | Robert F. Perreault, Seekonk, Massachusetts |
| Aug. 14, 2007 | Carolyn Cash, CFP, President, Cash Financial Group, Chesterfield, Missouri |
| Aug. 14, 2007 | Rick Balmaseda, First Vice President-Investments |
| Aug. 14, 2007 | Patricia H. Bevis |
| Aug. 13, 2007 | F.W. Snoddy |
| Aug. 9, 2007 | Charles D. Waites, INVEST Financial Corporation |
| Aug. 8, 2007 | Trevor Conlon, Bear, Delaware |
| Aug. 8, 2007 | Paul Soper, INVEST Financial |
| Aug. 8, 2007 | Laura Schultz, Registered Representative,
NIS Financial Services, Inc. |
| Aug. 8, 2007 | David Hellman, Ozark National Life, NIS Financial Services |
| Aug. 8, 2007 | David Langner |
| Aug. 7, 2007 | Paul R. Massa, CFP, INVEST Financial Corporation |
| Aug. 7, 2007 | Tim Legamaro, President, Legamaro Financial Services |
| Aug. 7, 2007 | Tim Legamaro, President, Legamaro Financial Services |
| Aug. 6, 2007 | Patrick O'Halloran, Independent Financial Advisor,
SII Investments |
| Aug. 6, 2007 | Jill Shannon |
| Aug. 6, 2007 | T. Brian Brandt |
| Aug. 6, 2007 | Steve Wiands, San Diego, California |
| Aug. 6, 2007 | Bonnie Determan, Ozark National Life/NIS Financial Services |
| Aug. 3, 2007 | David Silver |
| Aug. 3, 2007 | Dale E. Brown, CAE, President & CEO |
| Aug. 2, 2007 | Drake Q. Dawson, NIS Financial Services |
| Aug. 1, 2007 | Kenneth A. Hahn, CLU, ChFC, LUTCF, East Peoria, Illinois |
| Aug. 1, 2007 | Dan Lucas |
| Jul. 31, 2007 | John Bergstrom |
| Jul. 31, 2007 | Howard L. Bregman, Ph.D., CRPC®, Financial Advisor, Ameriprise Financial Services, Inc. |
| Jul. 30, 2007 | Kathleen Deroche, NIS Financial Services |
| Jul. 30, 2007 | Alexandra Kaid |
| Jul. 30, 2007 | Richard C. Osman |
| Jul. 30, 2007 | Leon Hess, NIS & CNS Licensed Agent |
| Jul. 27, 2007 | John P. Freeman |
| Jul. 27, 2007 | Greg Miller |
| Jul. 27, 2007 | Richard Wyatt |
| Jul. 26, 2007 | David Koll, LUTCF, Registered Represenative, Mutual of Omaha |
| Jul. 26, 2007 | Linda S. Hoffman, DIS |
| Jul. 25, 2007 | Robert Avery |
| Jul. 24, 2007 | Laurie Daven, Principal Financial Group, Portland, Oregon |
| Jul. 24, 2007 | Janet Heitzig, CLU, RFC, Chesterfield, Missouri |
| Jul. 23, 2007 | Gregory S. Wolff, CFP |
| Jul. 23, 2007 | Gerald Thebeau, Royal Alliance |
| Jul. 23, 2007 | Paul Magnano, CLU, ChFC |
| Jul. 23, 2007 | Michael Ulanich, Chesapeake, Virginia |
| Jul. 20, 2007 | Andrew Reyburn, Bowers Manufacturing 401k Committee, Galesburg, Michigan |
| Jul. 20, 2007 | Larry Mccarty, Financial Advisor, Diversified Investment Services |
| Jul. 20, 2007 | Larry Mccarty, Financial Advisor, Diversified Investment Services |
| Jul. 20, 2007 | Tom Dice, President, Dice Financial Services Group |
| Jul. 20, 2007 | Kevin Monroe, ChFC, FIC, hartered Financial Consultant, Monroe Financial, District Representative, Modern Woodmen of America |
| Jul. 20, 2007 | Todd D. Shepard, CFP |
| Jul. 20, 2007 | Thomas Hoban, Broker, Royal Alliance |
| Jul. 20, 2007 | Curtis Mohr, Registered Rep., Royal Alliance Associates |
| Jul. 19, 2007 | Robert A. Hazard, Registered Representative, Gold Coast Securities, Inc., Thousand Oaks, California |
| Jul. 19, 2007 | James O. Davis, The Financial Advisory Group, San Francisco, California |
| Jul. 19, 2007 | Charles WN Thompson, Jr., Lawyer, Santa Fe, New Mexico |
| Jul. 19, 2007 | Jim Van Hollebeke, Shelgren Financial Group, Inc., Bremerton, Washington |
| Jul. 19, 2007 | Mark Hemphill, Lincoln Investment Planning Inc., Bethlehem Pennsylvania |
| Jul. 19, 2007 | Lois Anthonisen, President, LAFC Advisory Corp., Flossmoor Illinois |
| Jul. 19, 2007 | Adam Van Dyke, Wall Street Financial Group, Inc., Huntington Beach, California |
| Jul. 19, 2007 | Michael J. Sharp, General Counsel, Citi Global Wealth Management |
| Jul. 19, 2007 | J. Alan Kerby, Kerby Financial Services, Escondido, California |
| Jul. 19, 2007 | David J. Lutz Jr., Financial Advisor, Ameritas Investment Corp., Pittsburgh, Pennsylvania |
| Jul. 19, 2007 | Brian J. McMahon, President & Chief Investment Officer, Thornburg Investment Management |
| Jul. 19, 2007 | Michael Williams, Williams Financial Management, Carmel Valley, California |
| Jul. 19, 2007 | Erik M. Lindgren, CFP ChFC, Financial Dimensions Group, Inc., St. Anthony, Minnesota |
| Jul. 19, 2007 | Barry Phillips, Royal Alliance Associates, Kew Gardens Hills, New York |
| Jul. 19, 2007 | Marie Coyle, CFP |
| Jul. 19, 2007 | Anthony Reguero, Chairman, Actions Inc. |
| Jul. 19, 2007 | Gloria Foote, Partner, Financial Focus |
| Jul. 19, 2007 | Donald H. Pratt, Independent Chairman, American Century Funds |
| Jul. 19, 2007 | Mary S. Podesta, Acting General Counsel, Investment Company Institute |
| Jul. 19, 2007 | Mike Mulcahy, Bridgeway Funds, Inc., Bridgeway Capital Management, Inc. |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Tim Cooper, CRFA, Creative Wealth Systems |
| Jul. 19, 2007 | Richard Brown, CPA, RL Brown Financial |
| Jul. 19, 2007 | Randal Fields, Registered Representative,
Royal Alliance Associates, Inc. |
| Jul. 19, 2007 | Dexter Phillips |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Howard Kramer, President, H. A. Kramer & Associates, PA |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
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| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Robert Lyons, OSJ, Beacon Capital Management |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Sutherland Asbill & Brennan LLP |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Anonymous |
| Jul. 19, 2007 | Cheryl Janik |
| Jul. 19, 2007 | Kris Cloyd, Financial Planner, Successful Financial Strategies |
| Jul. 19, 2007 | Robert W. Uek, Chair, IDC Governing Council, Independent Directors Council |
| Jul. 19, 2007 | Ira D. Hammerman, Senior Managing Director
and General Counsel, Securities Industry and Financial Markets Association |
| Jul. 19, 2007 | Fred L. Huse CLU, ChFC, Investment Adviser Representative |
| Jul. 19, 2007 | Sandra Pohutsky |
| Jul. 19, 2007 | Daryl R. Nitkowski, CFP, Phoenix, Arizona |
| Jul. 19, 2007 | James J. Dolan, Chairman and CEO, Access Data Corp.
|
| Jul. 18, 2007 | Matt D' Arcy, Greybridge Financial Group |
| Jul. 18, 2007 | Charlotte Rodriguez, Registered Rep., ING Financial Partners, Inc |
| Jul. 18, 2007 | Robert D. Lowrey, CLU, ChFC, Northwestern Mutual Financial Network, Sioux Falls, South Dakota |
| Jul. 18, 2007 | Pam McNelly, Northwestern Mutual Financial Network, Pittsfield, Illinois |
| Jul. 17, 2007 | Robert A. Pierce, CLU, ChFC, CFP, MSFS, Winning Money Strategies LLC |
| Jul. 17, 2007 | Edwin P. Morrow, CLU, ChFC, CFP, RFC, Chairman and CEO, IARFC |
| Jul. 17, 2007 | Richard Bellmer, Chair, NAPFA and Ellen Turf, CEO, NAPFA |
| Jul. 17, 2007 | Larry H. Goldbrum, Esq., The SPARK Institute |
| Jul. 16, 2007 | George Lambrix, CLU, Chartered Financial Consultant, Napa, California |
| Jul. 16, 2007 | John Morris, Senior Vice President, Charles Schwab & Co., Inc. |
| Jul. 16, 2007 | Donald K. Kirk, CLU, ChFC, Northwestern Mutual Financial Network, Pittsfield, Illinois |
| Jul. 16, 2007 | Francis J. Clement, Northwestern Mutual Financial Network, Fairport, New York |
| Jul. 16, 2007 | Erin Freize, Financial Representative, Strategic Planning Associates, Commack, New York |
| Jul. 15, 2007 | Dean Koci, The Northwestern Mutual Financial Network, San Diego, California |
| Jul. 14, 2007 | Clifford E. Marstiller, Westminster Financial Securities, Inc., Dayton, Ohio |
| Jul. 14, 2007 | Jennifer Baron, Registered Representative, New York |
| Jul. 13, 2007 | Michael J. Downer, Paul G. Haaga and Paul F. Roye, Capital Research and Management Company, First Command Financial Planning, Inc. |
| Jul. 13, 2007 | Craig J. Lindholm, Wealth Management Advisor, Newport Beach, California |
| Jul. 13, 2007 | Hugh A. Simpson, General Counsel, and Adán D. Araujo, Chief Compliance Officer, First Command Financial Planning, Inc., Fort Worth, Texas |
| Jul. 13, 2007 | Chris Hassett, ChFC, ARPC, Financial Adviser, Eagle Strategies Corp., Arvada, Colorado |
| Jul. 13, 2007 | Robert A. DiCola, CLU, ChFC |
| Jul. 13, 2007 | Gary A. Sanders, Senior Counsel, Law and Government Relations, National Association of Insurance and Financial Advisors |
| Jul. 12, 2007 | Kim R. Seymour; Seymour, Richards, Cady and Associates |
| Jul. 12, 2007 | Matt Miller, CLU, ChFC, CFP, CFS, CSA, Registered Representative, MML Investors Services, Inc., Massachusetts Mutual |
| Jul. 12, 2007 | Todd J. Miller, Financial Advisor, Ameriprise Financial Services, Inc. |
| Jul. 12, 2007 | Deborah D. Schmitt, CLTC, CSA, FIC, Thrivent Investment Management Inc. |
| Jul. 12, 2007 | Ann-Marie J. McCoy |
| Jul. 11, 2007 | Kenneth Theel, Theel Insurance & Financial Services, Emporia, Kansas |
| Jul. 11, 2007 | David Watson, President, D.A. Watson & Co. |
| Jul. 11, 2007 | Joseph R. D'Alessio |
| Jul. 11, 2007 | Jim MacDonald, CFP, Reed & Company, P.C. |
| Jul. 11, 2007 | Kent E. Schiner,CLU,ChFC,CLTC |
| Jul. 11, 2007 | Domna Del Rio, Registered Representative, Royal Alliance Associates, Inc. |
| Jul. 11, 2007 | Todd W. Knutsen, CLU, ChFC, North Star Resource Group |
| Jul. 11, 2007 | Robert H. FitzSimmons, CFP, President, Bob FitzSimmons, Inc. |
| Jul. 10, 2007 | Dan Goldberg, CFP, ChFC, Lutz, Florida |
| Jul. 10, 2007 | Warren K. Nelson, MA, LUTCF, Investment Advisor Representative, Napa, California |
| Jul. 10, 2007 | Jack E. Tosetti, Financial Representative |
| Jul. 10, 2007 | Douglas J. Weisenberger, CFP, CLU, ChFC, Senior Partner, North Star Resource Group |
| Jul. 10, 2007 | Jim Roehrenbach, Agent, State Farm Insurance |
| Jul. 10, 2007 | Hal Nickle,CLU, Registered Rep. MMLISI |
| Jul. 10, 2007 | Richard W. Walsh, CFP, Walsh Financial Services, Inc. |
| Jul. 10, 2007 | Robert Farabaugh |
| Jul. 10, 2007 | Reginald N. Rabjohns, CLU, ChFC, Managing Partner
Rabjohns Financial Group/New England Financial |
| Jul. 10, 2007 | Scott Christensen, Managing Partner, Northwestern Mutual Financial Network |
| Jul. 10, 2007 | Amy Frisch, Branch Manager, Investment Advisor Representative, Woodbury Financial Services, Centennial, Colorado |
| Jul. 10, 2007 | Gary T. Wolff |
| Jul. 10, 2007 | Anthony D. Miller, MSFS, CFP, Billings, Montana |
| Jul. 10, 2007 | Edward Riley, Chairman and CEO, EK Riley Investments, LLC |
| Jul. 10, 2007 | Stan Webb |
| Jul. 9, 2007 | Andrew J. Barnett |
| Jul. 9, 2007 | Keven P. Prather, CFBS, CSA, Skylight Financial Group |
| Jul. 9, 2007 | William C. Fallon, CLU, Sullivan, Garrity & Donnelly, Worcester, Massachusetts |
| Jul. 9, 2007 | Kimberly Madsen, AAMS, CRPC, Senior Financial Advisor, An Ameriprise Platinum Financial Services practice |
| Jul. 9, 2007 | Tom Bienkowski |
| Jul. 9, 2007 | Greg Soulsburg, Director of Client Services, Miceli Financial Partners, Mass Mutual Financial Group |
| Jul. 9, 2007 | Rick R. Staggs, CFP, RiverPark Financial Group |
| Jul. 9, 2007 | John L. Johnson, Financial Representative, Northwestern Mutual Financial Network |
| Jul. 9, 2007 | Michael J. Rogero, CLU, ChFC, Financial Design Associates |
| Jul. 9, 2007 | Deborah P. Reed, Financial Advisor, Ameriprise Financial Services, Inc. |
| Jul. 9, 2007 | Al Lopez |
| Jul. 9, 2007 | Jim Mitchell |
| Jul. 9, 2007 | Sally Lassen-Krzykos, CLU |
| Jul. 9, 2007 | Colin Fitzpatrick Smith, The Retirement Company |
| Jul. 9, 2007 | Jeffrey A. Czerwinski, CFP, Financial Adviser |
| Jul. 9, 2007 | David Dye, CLU, Dye Financial Services |
| Jul. 9, 2007 | Alan Flake, Reg. Rep., VSR Financial Services, Inc. |
| Jul. 9, 2007 | J. Flatt, MML Investors Services, Inc. |
| Jul. 9, 2007 | William A. Caplin, CLU, ChFC, IAR |
| Jul. 9, 2007 | Dean J. Ripley CLU, Financial Advisor, Investment Specialist, Northwestern Mutual Financial Network |
| Jul. 9, 2007 | Jon D. Cross, Financial Representative & College Unit Director, Northwestern Mutual Financial Network |
| Jul. 9, 2007 | Aaron M. Bockman |
| Jul. 9, 2007 | Aaron Marberg |
| Jul. 9, 2007 | Mary Ann Johnson, FIC, District Representative, Modern Woodmen of America |
| Jul. 9, 2007 | Pete Newman, Germania Life Insurance Company, Brenham, Texas |
| Jul. 9, 2007 | J. Herbert Scheer |
| Jul. 9, 2007 | Randy Davis |
| Jul. 9, 2007 | Lindsey R. Hanley, Branch Manager, Woodbury Financial Services, Burlingame, California |
| Jul. 9, 2007 | Gene R. Auriemma |
| Jul. 9, 2007 | Herbert Wayne Harrell, CLU, Dallas, Texas |
| Jul. 9, 2007 | James Harbridge |
| Jul. 9, 2007 | Michael Priganc |
| Jul. 9, 2007 | Troy Thompson, DBA Thompson Financial, Boone, Iowa |
| Jul. 9, 2007 | Frank McLane, Jr., The McLane Agency, Inc., Tomball, Texas |
| Jul. 9, 2007 | Benjamin J. Harvey, Colorado Springs, Colorado |
| Jul. 9, 2007 | Johnathan T. West |
| Jul. 9, 2007 | Chad Courtois |
| Jul. 9, 2007 | Mario A. Santos, CLU |
| Jul. 9, 2007 | Rick G. Wentz, FICF |
| Jul. 9, 2007 | James Owen Davidson ChFC,CLU, Central Financial Services, Lincoln, Nebraska |
| Jul. 9, 2007 | Kate Thome, LUTCF, Princor Registered Representative, Neenah, Wisconsin |
| Jul. 9, 2007 | JoNell Hermanson, M Financial Group, Portland, Oregon |
| Jul. 9, 2007 | Cindy Jones, Account Representative, The Horace Mann Companies |
| Jul. 9, 2007 | Jon M. Black |
| Jul. 9, 2007 | Kenny Divelbiss, Wealth Management Advisor, Oklahoma City, Oklahoma |
| Jul. 9, 2007 | Steve P. Hagan |
| Jul. 9, 2007 | Jerald Hoffner |
| Jul. 9, 2007 | Mike Weaver |
| Jul. 9, 2007 | John E. Jeannot, LUTCF, Registered Representative, Jeannot and Company Financial Services, Mattawan, Michigan |
| Jul. 9, 2007 | Steve Van Scoik, Registered Representative, Elkhart, Indiana |
| Jul. 9, 2007 | John B. Haynes |
| Jul. 9, 2007 | William H. Belk |
| Jul. 9, 2007 | Harry Dorman, FIC, LUTCF, Financial Advisor, MassMutual Financial Group |
| Jul. 9, 2007 | Gary Young |
| Jul. 9, 2007 | Mike Kennedy, OSJ Branch Manager, InterSecurities, Inc., Cedar Rapids, Iowa |
| Jul. 9, 2007 | Daniel Ekblad, Principal Financial Group, Eau Claire, Wisconsin |
| Jul. 9, 2007 | Oscar F. Martinez FICF, LUTCF |
| Jul. 9, 2007 | Daniel B. Jones, CLU. ChFC, Financial Representative, Northwestern Mutual Financial Network |
| Jul. 9, 2007 | Bob Adler, Registered Representative, Princor Financial Services Corporation |
| Jul. 9, 2007 | Jennifer M. Urgonski, MBA, Investment Advisor Representative, John Hancock Financial Network |
| Jul. 9, 2007 | Carl Camillo, Certified Financial Planner Professional, Plancorp, Inc. |
| Jul. 9, 2007 | Edward C. Auble, Managing Partner, Broker Resource Center, Paoli, Pennsylvania |
| Jul. 9, 2007 | Michael Yopko |
| Jul. 7, 2007 | Howard Townsend, CFP, CLU, ChFC, Townsend & Townsend |
| Jul. 7, 2007 | Suzanne Seay |
| Jul. 6, 2007 | Ken George, Executive VP, VSR Financial Services, Inc. |
| Jul. 6, 2007 | Darrell N. J. Norling |
| Jul. 6, 2007 | Curtis Mohr, Registered Rep., Royal Alliance Associates |
| Jul. 6, 2007 | Allan Wayne Cranfill CFP(r), Registered Rep.,
VSR Financial Services, Inc. |
| Jul. 6, 2007 | Stephen Russell, Executive Vice President, VSR Financial Services, Inc. |
| Jul. 6, 2007 | Scott Bussy, Managing Director, Bearing Financial Advisors, LLC |
| Jul. 6, 2007 | Randy Russell, President, Zahorik Financial Services Inc. |
| Jul. 6, 2007 | Scott Dolitsky, CFP, D&B Strategic Wealth |
| Jul. 6, 2007 | Graham Parsons, Registered Principal, LPL Financial Services |
| Jul. 6, 2007 | Ross Smith, Registered Representative, Investment Officer, Farmers Savings Bank |
| Jul. 5, 2007 | Robert Kailes |
| Jul. 5, 2007 | Martilias Porreca |
| Jul. 5, 2007 | Michael Thomas, Independent Financial Advisor, Thomas Capital Management, LLC |
| Jul. 5, 2007 | Kate Marvel, President, Marvel Financial Planning, Inc. |
| Jul. 5, 2007 | Steven Weinstein, CFP, Registered Rep., Mutual Service Corp. |
| Jul. 5, 2007 | Lily Espinoza |
| Jul. 5, 2007 | John Weibler, Lewiston, Indiana |
| Jul. 5, 2007 | Thomas S. Talbot, Woodbury Financial Services, Inc., Arlington Heights, Illinois |
| Jul. 5, 2007 | David Gasparik, American Portfolios Financial Services Inc., Ossining, New York |
| Jul. 5, 2007 | Veda Cassells-Jones, CFP, AIF, C-J Advisory, Inc., San Jose, California |
| Jul. 5, 2007 | Darla Main, CFP, Main Advisory Inc., Pittsburgh, Pennsylvania |
| Jul. 5, 2007 | James Wiekamp, Director of Investment Services, Home Federal Investment Services, Spring Valley, Minnesota |
| Jul. 5, 2007 | James Sanderson, Armstrong, Backus & Co. P.C., Blackwell, Texas |
| Jul. 5, 2007 | Elinos Whitlock, President, Whitlock WealthCare, Inc., Charlotte, North Carolina |
| Jul. 2, 2007 | Avi Nachmany, Director of Research, Strategic Insight, New York, New York |
| Jul. 1, 2007 | William A. Kristofek, President, Kristofek Financial Corp., Evanston, Illinois |
| Jun. 28, 2007 | David Evans, Financial Consultant, Financial Network, Dallas, Texas |
| Jun. 27, 2007 | Chuck Epstein, Folsom, California |
| Jun. 27, 2007 | Shawn M. Agan, Registered Representative, Bettendorf, Iowa |
| Jun. 27, 2007 | Dan L. Wilburn, CFP, Valparaiso, Indiana |
| Jun. 26, 2007 | Harold Evensky, CFP |
| Jun. 25, 2007 | Jacques Pessah, Financial Consultant, North Ridge Securities |
| Jun. 25, 2007 | Kenneth Bauer, ChFC, Financial Network Invest. Corp. |
| Jun. 25, 2007 | Charles Gallagher, Sr. Partner, GPS Financial Group, LLC |
| Jun. 25, 2007 | Rae-Carole Fischer, Financial Advisor, North Ridge Securities |
| Jun. 25, 2007 | John Hannah, CFP, CPA |
| Jun. 22, 2007 | Thomas Conway, Royal Alliance Associates |
| Jun. 21, 2007 | Karl Hambrecht, Registered Representative, Royal Alliance Associates |
| Jun. 21, 2007 | Christopher Stein, Financial Consultant, LPL Financial Services |
| Jun. 21, 2007 | Roy Fortner, Fortner Finacial Services, Inc. |
| Jun. 21, 2007 | Lawrence Fishman, Financial Consultant, AG Edwards, Newton, Massachusetts |
| Jun. 21, 2007 | Ronald Snell, Certified Financial Planner, Berthel Fisher and Company
|
| Jun. 21, 2007 | Mr. Michael Murray, CFP(R), Foundry Financial Services |
| Jun. 21, 2007 | Gary Giebelhaus |
| Jun. 21, 2007 | Terrence M. Downing, CFP, CPA, Securities offered through Cadaret Grant & Co. Member NASD, SIPC |
| Jul. 20, 2007 | Glen Clemans, CGC Financial Services |
| Jun. 20, 2007 | Mr. Norman Knodt, Branch Manager, Financial Network Investment Corporation |
| Jun. 20, 2007 | Sandra Schneider CPA, CFP |
| Jun. 20, 2007 | Anthony Zambri, Equity Services, Inc.
|
| Jun. 20, 2007 | Frank R. Carey, Mutual Service Corp. |
| Jun. 20, 2007 | Richard L Cox, Sr., Chief Investment Manager, Cox Wealth Management, LLC |
| Jun. 20, 2007 | Gilbert Armour, Financial Advisor, AIG Financial Advisors |
| Jun. 20, 2007 | Gene L. Olson, CFP |
| Jun. 20, 2007 | Mary Farrand |
| Jun. 19, 2007 | Joseph R. Russo, Chairman and Chief Executive Officer, Financial Services Institute, Inc. |
| Jun. 19, 2007 | Charles Nelson, Senior Vice President, Great-West Retirement Services
|
| Jun. 19, 2007 | Charles Nelson, Senior Vice President, Great-West Retirement Services
|
| Jun. 19, 2007 | Jane Martin |
| Jun. 19, 2007 | Ron DeLegge, Index Investing Show, San Diego, California |
| Jun. 19, 2007 | Stephen Granger |
| Jun. 19, 2007 | Neil J. McCarthy Jr., CFP, Self employed, state-registered investment advisor, Roswell, Georgia |
| Jun. 19, 2007 | Mark Freeland |
| Jun. 19, 2007 | Weiwen Ng |
| Jun. 19, 2007 | Eric Connors, Mutual Service Corp, Rep # 643, Principal |
| Jun. 19, 2007 | Robert Keenan, CEO, St Bernard Financial Services, Inc., Member NASD & SIPC |
| Jun. 19, 2007 | Mary Centa, Denver, Co. |
| Jun. 19, 2007 | Mike C. Spencer, Financial Advisor , El Dorado, Kansas |
| Jun. 19, 2007 | Tom E. Burns, Financial Advisor, Ameriprise Financial Services, Inc. |
| Jun. 19, 2007 | Jack Thomas |
| Jun. 18, 2007 | Steve Bartlett, President and CEO, The Financial Services Roundtable |
| Jun. 18, 2007 | W. Hardy Callcott, Bingham McCutchen LLP, San Francisco, California |
| Jun. 18, 2007 | Joe Giordano, CFP, Joseph James Financial Services, Inc., Rochester, Michigan |
| Jun. 18, 2007 | Michael E. McCune, JD, CLU, Financial Consultant, Overland Park, Kansas |
| Jun. 18, 2007 | Stan Anderson, CFP, Financial Consultant, Financial Network Investment Corporation, Pasadena, California |
| Jun. 18, 2007 | Wes King, President, Centaurus Financial, Inc. |
| Jun. 18, 2007 | Robert J. McClure, CFP, Independent Registered Investment Advisor, Peoria, Illinois |
| Jun. 18, 2007 | Ted Stephens, Santa Rosa, California |
| Jun. 18, 2007 | Michael E. McCune, JD, CLU, Financial Consultant, Overland Park, Kansas |
| Jun. 18, 2007 | Allan S. Mostoff, President, Mutual Fund Directors Forum, Washington, D.C. |
| Jun. 18, 2007 | Scott M. Triola, Chief Operating Officer, Blue Fang Games, Bedford, Massachusetts |
| Jun. 18, 2007 | Robert T. Corrado, Mutual Securities, Inc., Sonora, California |
| Jun. 18, 2007 | Ron A. Rhoades, JD, CFP, Director of Research, CCO, Joseph Capital Management, LLC, Hernando, Florida |
| Jun. 18, 2007 | Geoffrey F. Foisie, Investments Manager, Shawbrook, Alexandria, Virginia |
| Jun. 18, 2007 | Robert W. Helm, Dechert LLP, Washington, D.C. |
| Jun. 18, 2007 | Tim Longo, Investment Advisor, Trident Partners Ltd. |
| Jun. 16, 2007 | Melvyn H. Mark, La Mesa, California |
| Jun. 16, 2007 | John H. Robinson, Honolulu, Hawaii |
| Jun. 15, 2007 | Eric M. Aanes, Advisor, San Mateo, California |
| Jun. 15, 2007 | Dave Jonsson, Seminole, Florida |
| Jun. 15, 2007 | Carlton Kusunoki and John H. Robinson, Financial Advisors, Honolulu, Hawaii |
| Jun. 15, 2007 | Gary Kirby and John H. Robinson, Financial Advisors, Honolulu, Hawaii |
| Jun. 15, 2007 | Clifton Morris Jr., CLU, ChFC |
| Jun. 15, 2007 | Kristi A. Mandt, Seattle, Washington |
| Jun. 15, 2007 | Robert E. Frey, Jr., President, Lakeside Advisors, Inc., Seattle, Washington |
| Jun. 15, 2007 | Jim McGovern, Financial Integrity Group, Inc., Chicago, Illinois |
| Jun. 15, 2007 | Albert C. Krempa, Jr., Registered Representative, Fountainville, Pennsylvania |
| Jun. 15, 2007 | Dave Scavuzzo, Senior Vice President, Financial Advisor, The MSA Group @ Morgan Stanley |
| Jun. 15, 2007 | James D. Weddle, Managing Partner, ~Edward Jones |
| Jun. 14, 2007 | William Blakely Woodard |
| Jun. 14, 2007 | Don Woodard, CLU, and Blake Woodard, CLU |
| Jun. 14, 2007 | Jim Schneider |
| Jun. 14, 2007 | Scott Dickerson, ChFC, Dickerson Financial Services, Inc. |
| Jun. 14, 2007 | Mark A. Wilden, CFP, CIMA,
Wealth Management Advisor, Vice President, Portfolio Manager PIA Program |
| Jun. 14, 2007 | Charles C. Zhang, Zhang & Associates |
| Jun. 14, 2007 | Seth J. Diener, 1717 Capital Management Company, Horsham, Pennsylvania |
| Jun. 13, 2007 | William G. Hammond, CFP, Hammond Investment Planning Corporation |
| Jun. 13, 2007 | Chris Freeman |
| Jun. 13, 2007 | Michael R. Clancy, CFP, CLU |
| Jun. 13, 2007 | Davis J. Rieman, Jr., Certified Financial Planner |
| Jun. 13, 2007 | David Hubbard, Regional Director, Financial Network Investment Corporation, Crystal Lake, Illinois |
| Jun. 13, 2007 | Alvin C. Steinberg, CFP, Memphis, Tennessee |
| Jun. 13, 2007 | Guy M. Cumbie, Fort Worth, Texas |
| Jun. 13, 2007 | Martavius D. Jones, NASD Registered Representative, Memphis, Tennessee |
| Jun. 13, 2007 | Jeffrey D. Thiele, Branch Manager, A.G. Edwards
|
| Jun. 13, 2007 | Melinda D. Brewer, Second Vice President-Wealth Management, Financial Advisor, Financial Planning Specialist |
| Jun. 13, 2007 | Michael D. Crowder, UBS Financial Services, Inc., Chattanooga, Tennessee |
| Jun. 13, 2007 | H. Michael Finkle, Senior Vice President, Investments, Finkle, Lewis & Kittell Wealth Advisors of Raymond James & Associates |
| Jun. 13, 2007 | A Concerned Representative |
| Jun. 13, 2007 | Gina Duryea, CEO/Registered Principal, Pension Planners Securities, Inc. |
| Jun. 13, 2007 | Rick Sany, Portland, Oregon |
| Jun. 13, 2007 | Alan Morgan |
| Jun. 13, 2007 | Peter Wollesen, Financial Advisor |
| Jun. 13, 2007 | Richard T. Suro, Registered Representative, Richard T. Suro Associates, Inc. |
| Jun. 13, 2007 | William T. Ryan, President, Ryan Financial Inc.,
Member, NASD |
| Jun. 13, 2007 | Gary B. Roth, Financial Advisor, Raymond James & Associates, Inc., Member New York Stock Exchange/SIPC |
| Jun. 13, 2007 | David Forlow, Lake Bluff, Illinois |
| Jun. 13, 2007 | Brett W. Everhart, North Island Credit Union Investment Department, LPL Financial Advisor/LPL Registered Principal, Vice President/CFP (Registered Trademark) |
| Jun. 13, 2007 | John M. Perrette, Freehold, New Jersey |
| Jun. 13, 2007 | William L. Crothers, Jr., Senior Vice President,
Global Wealth Management Group, Morgan Stanley |
| Jun. 13, 2007 | Richard Tate, Registered Representative, FSC Securities, Knoxville, Tennessee |
| Jun. 13, 2007 | Royal Alliance Representative |
| Jun. 13, 2007 | Jonathan M. Pearlstein, CRPC, Associate Financial Advisor with the practice of Richard K. Juergensen |
| Jun. 13, 2007 | Scott E. Cooper, CFP, CFS, Vice President, Economic Concepts, Inc.- Securities America, Inc. |
| Jun. 13, 2007 | John W. Loyd, CFP |
| Jun. 13, 2007 | Sal Rodriguez, Bank of America Investments, Whittier, California |
| Jun. 13, 2007 | Roger Machlin, Student, The University of Tampa |
| Jun. 13, 2007 | David M. Crooks, CFP, CLU, ChFC, RHU, Wealth Management Advisor, Bleakley, Dwyer, Schwartz, Cooney & Finney LLC |
| Jun. 13, 2007 | David Kaplan, Vice President UBS Financial Services, White Plains, New York |
| Jun. 13, 2007 | Louis Hughes, CFP, Investment Centers of America-Taylor, TX |
| Jun. 13, 2007 | Brian Fischer CFP, ChFC, CLU, President, Economic Concepts, Inc. - Securities America, Inc. |
| Jun. 13, 2007 | Michael D. Udoff, Managing Director and Associate General Counsel, New York, New York |
| Jun. 13, 2007 | Matthew P. Fink |
| Jun. 12, 2007 | John R. Kolp, Vice President, Robinson & Robinson, Inc. |
| Jun. 12, 2007 | Eric P. Wilby, Jr., Financial Consultant, Robinson & Robinson, Inc. |
| Jun. 12, 2007 | John P. Malia, Financial Consultant, Robinson & Robinson, Inc. |
| Jun. 12, 2007 | John H. Robinson, Honolulu, Hawaii |
| Jun. 10, 2007 | Debra A. Kerl, Orchard Park, New York |
| Jun. 9, 2007 | Andrew Gross |
| Jun. 8, 2007 | Larry Dorn, President, Dorn & Co., Inc. |
| Jun. 6, 2007 | Michael K. Nakahira, Financial Consultant with First Allied Securities Inc., Sacramento, California |
| Jun. 2, 2007 | Lauren Garland |
| Jun. 1, 2007 | Martin W. Pernoll, Chief Executive Officer and Martin L. Pernoll, Managing Director, Bay Mutual Financial |
| Jun. 1, 2007 | Randolph Gregg |
| Jun. 1, 2007 | Gregory A. Keil, Wealth Management Advisor, Citi Family Office, The Monument Group at Smith Barney, Inc. |
| Jun. 1, 2007 | Kelly Pratas, President, Kuykendall and Schneider, Inc., Lubbock, Texas |
| May 31, 2007 | Hunter Wm. Bailey, Registered Rep., Citrus Heights, California |
| May 31, 2007 | Mark W. Novkov, Certified Financial Planner, Phoenix, Arizona |
| May 31, 2007 | Gregory A. Gallo, CPA/PFS, CRPC, Tinton Falls, New Jersey |
| May 30, 2007 | Oren Peretz, NASD/NYSE Arbitrator/Mediator, Encino, California | May 30, 2007 | Brian Troyer, Millersburg, Ohio |
http://www.sec.gov/comments/4-538/4-538.shtml
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