The Soreide Law Group is investigating the Mariner Access Fund and Mariner 2X Access Fund, sold by Merrill Lynch, Pierce, Fenner & Smith, Inc. Merrill Lynch raised millions of dollars from their investors in private sales. Investors in these funds have had enormous losses, in some cases over 75%. The Mariner Access Fund and Mariner […]

The following informative and clever list, comes from interviews by Michelle Crouch of several financial consultants. They share some of the secrets of their trade. "1. Certified financial planners and NAPFA-registered financial advisers take a pledge to put their clients' interests ahead of their own, but traditional stockbrokers aren't held to the same standard, even […]

It was reported on FINRA's BrokerCheck that in October of 2012, Clyde Marshall Thornburg, CRD# 1065161, was permanently barred from association with any FINRA member in any capacity by FINRA. Thornburg allegedly traded UITs (Unit Investment Trusts), corporate debt obligations, and mutual funds in his customers’ accounts. FINRA found that Thornburg executed trades that were […]