FINRA Awards for Kimon Daifotis

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-02820	02/27/2013	Claimant(s): Kimon Daifotis, Charles Schwab & Co.. Claimant Lawyers(s): Audette Paul Morales Respondent(s): Robert Rose, Russell Brautigam, Russel D. Brautigam Roth Conv. IRA, Tom L. Poe and Margie Elaine Poe JT TEN, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD Respondent Lawyers(s): Thomas F. Shine Arbitrator(s): Randall T. Stack, Patricia Gunn, Ronald A. Isackson Hearing Site: Tampa, FL		Expungement
12-01548	11/16/2012	Claimant(s): Kimon Daifotis, Charles Schwab & Co.. Claimant Lawyers(s): Audette P. Morales Respondent(s): Daniel J. Lancaster, Jr. IRA Respondent Lawyers(s): Thomas D. Mauriello Arbitrator(s): Helen Marinak Blohm, Jeffrey Schubert, Shawn Ridgell Hearing Site: San Francisco, CA		Expungement
12-01677	10/19/2012	Claimant(s): Kimon Daifotis, Charles Schwab & Co.. Claimant Lawyers(s): Audette P. Morales Respondent(s): Don Miller, Donald C. Miller Cust IRA Rollover, Donald C. Miller Cust Roth Contrib, IRA Respondent Lawyers(s): Thomas F. Shine Arbitrator(s): James N. D'Orso, Jerold R. Babin, Linda M. McCoy Hearing Site: San Francisco, CA		Expungement