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April 02, 2026
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3:26-cv-30055
Massachusetts
Securities/Commodities
Mark G. Mastroianni
Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.Additional or older documents may be available in Pacer.
The U.S. Securities and Exchange Commission filed suit Thursday against the estate of an investment adviser and his advisory firm, claiming they stole $1.7 million worth of client funds to pay for personal and business expenses.
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