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March 3, 2008
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Honorable James B. Zagel
Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.Additional or older documents may be available in Pacer.
An investment company that lured the customers of a rival brokerage to transfer $49 million in mutual funds to its control has incurred the wrath of regulators, who have accused the firm of violating federal securities laws.
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