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13.

Did you read the material your bank gave

(IF YES TO (12) you?

86 11 3 100

Yes
No
Don't know

14.

(IF OWN A MUTUAL FUND) Now I'd like to ask you about the costs and fees that may be associated with the mutual fund at your bank. As far as you know, which of the following fees are part of your mutual fund? (IF MORE THAN ONE BANK MUTUAL FUND, ASK ABOUT THE ONE PURCHASED MOST RECENTLY)

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14a. (IF OWN A MUTUAL FUND) Did the costs and fees for your

mutual fund turn out to be about what you expected, higher than expected, or lower than expected?

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14b. (IF OWN A MUTUAL FUND) Was this the first time you'd

invested in a mutual fund, or had you invested in mutual funds before you purchased the fund at your bank?

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Top-line Questionnaire

IF NOT "YES" TO Q9f, SKIP TO 020
IF ANSWERED MUTUAL FUND QUESTIONS, Q10b To Q14b, READ BEFORE Q15:
Now I have a few questions about the ANNUITY you purchased at
your bank.

15.

(IF OWN AN ANNUITY, "YES" TO Q9f) can you remember who initially advised you to invest in an annuity at your bank? Was it a bank teller, a bank officer, a personal financial advisor, someone else, or is this something you decided to invest in on your own?

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16.

(IF OWN AN ANNUITY) Thinking back to when you first
invested in an annuity at your bank, did someone at your
bank talk with you about your investment goals, your incone,
and whether an annuity is suitable for you?

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17.

(IF OWN AN ANNUITY) Did your bank give you any written disclosure concerning your annuity, or any material that describes the risk of this kind of investment?

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(IF OWN AN ANNUITY) Now I'd like to ask you about the costs
and fees that may be associated with the annuity at your
bank. As far as you know, which of the following fees are
part of your annuity? (IF MORE THAN ONE BANK ANNUITY, ASK
ABOUT THE ONE PURCHASED MOST RECENTLY)

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la. (IF OWN AN ANNUITY) Did your annuity's costs and fees turn

out to be about what you expected, higher than expected, or lower than expected?

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0.

(IF ANY "YES" TO 09) If you ever were to have a complaint, question, or problem with ANY of the accounts or investments you have at your bank, whom would you contact to complain or get more information? (REQUIRED PROBE UNTIL NO ANSWER: Anyone else?) (RECORD ALL MENTIONS)

82 11

4

Bank
Personal financial advisor
Friend or relative
Personal lawyer
Government agency (local, state or federal)
Consumer organization
Other (SPECIFY)
Don't know

honan

121*

Multiple responses

Pop-line Questionnaire

21. In general, do you believe your bank has ever misled or

misinformed you about the risks involved with your bank accounts or investments, or do you believe your bank has given you good information about investment risks?

Misled or misinformed

Good information 5 Never got this information from bank (VOLUNTEERED) 3 Don't know 100

4 88

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23.

Finally, I'd like to ask you just a few questions for
statistical purposes only. Are you now married, living as
married, widowed, divorced, separated, or are you single?
59 Married
2 Living as married
9 widowed
12 Divorced

1 Separated
16 Single
1 Refused
100

Top-line Questionnaire

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25. What is the last grade or class you completed in school?

7 Less than high school graduate (Grade 11 or lower)
28 High school graduate (including GED certificate)

4 Technical, trade, or business school after high school
27 Some college or university, but no 4-year degree
26 college or university graduate (BA, BS, or other 4-year

degree received)
7 Post-graduate or professional schooling after college

(including work towards an MA, MS, Ph.D, JD, DDS or MD)

Refused 100

26.

What is your race? Are you white, black, Asian, or sone other race?

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Top-line Questionnaire

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