September 14, 2004
My letter is to encourage the SEC to do make the right decision in support of small investors, such as myself, who are using stockbrokers who may be providing advice while working on the behalf of their clients without my knowledge.
It's unfortunate that small business owners have to continue to be cautious in dealings with brokers because of the many loopholes. In recent years, I have been overly cautious and conservative due to the constant negative occurrences/activities regarding Wall Street, brokers and publicly held companies.
I am very concerned about the outcome of this rule and your decision will be just one additional factor (hopefully positive) in determining when and to what extent I will begin to feel better about the intergrity of the system to protect small investors.
Respectfully submitted,
Domineca Neal
Owner
Solo Holdings Co.