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Subject:  Re: Broker issue Date:  4/1/2013  6:47 PM
Author:  SaraW946 Number:  71642 of 90548

Wonderful, thanks for the info. Yes, I know I won't recover money due to market fluctuations, but I am concerned about the fees and the fact she appears to have taken two thirds of my gains. I am very sure that she did not disclose to me any fees early on. I just opened the account, gave her a check, and a few days later, she sent me a statement listing the funds she bought for me and the balance which was about 4% down. The statement gave only information on the balance and the funds, nothing else in terms of fees, apart from the annual fee for the brokerage, not the broker. Nothing on her compensation. I did read all her statements and, naturally, before doing anything, I will go over all the literature and correspondence that I keep in a neatly organized folder. :)

Whether anyone will read my recorded complaint is up to them. And even partial recovery of fees is important. I am not under the illusion that she'll lose her license as a result of any Quixotic moves on my part. :)
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