| 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 |
| 09-05950 | 02/14/2012 | Claimant(s): Robert Rose, Russell Brautigam, Tom L. Poe and Margie Elaine Poe, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Evelyn Best
Arbitrator(s): Paul L. Matecki, William F. Glaser, Horace A. Andrews
Hearing Site: Tampa, FL
|  | Expungement |
| 09-02399 | 03/16/2011 | Claimant(s): David Licht, Emanuel Licht
Claimant Lawyers(s): Hartley T. Bernstein
Respondent(s): Glenn Krause, Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Louis H. Miron, Linda T. Pellegrino, Richard W Reilly
Hearing Site: Newark, NJ
| | Expungement |
| 10-00266 | 11/10/2010 | Claimant(s): Sara Reed
Claimant Lawyers(s): Irwin Stein
Respondent(s): Kimon Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | Expungement |
| 09-04240 | 09/14/2010 | Claimant(s): Robert Lewis, Lewis & Associates., Ridgecrest Groves., John Benjamin Lewis & Robert W. Lewis, Barbara Murphy Lewis Trust, Robert Wayne Lewis Revocable Trust
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Patrick D. King, Marilyn K. Dirks, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 09-00415 | 09/07/2010 | Claimant(s): Laurel Blau Revocable Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Robert L. Agusto, James F. Carlson, David M. Fetter
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-01730 | 07/22/2010 | Claimant(s): Mary Ann Prekosovich IRA, Mary Ann Prekosovich, Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Theodore L. Leeb
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 08-02448 | 09/23/2009 | Claimant(s): Ava Doppelt, Carl Napolitano, Herbert Allen, Michael Taylor, Richard Warther, Sandra Kemraj, Stephen Milbrath, 401k PSP & Trust for Employees
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Stan West, Irwin Baron, Mitchel Weiss
Hearing Site: Orlando, FL
| | $0 |
