| 12-01670 | 11/27/2012 | Claimant(s): Kimon Peter Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ashley Nobili UFLUTMA, Corinne Nobili UFLUTMA, Raul Nobili Trust U/A dtd 11/02/99
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Sterling N. Frost, James R. Dickson, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | Expungement |
| 09-05757 | 03/14/2012 | Claimant(s): Paul McDonough & Ellen McDonough, JT TEN
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette P. Morales
Arbitrator(s): Susan K. Franz, Mark L Miller, Richard R. Bicek
Hearing Site: Chicago, IL
|  | Expungement |
| 10-05129 | 02/03/2012 | Claimant(s): Steven Firestone, Steven N. Firestone UTA Charles Schwab &, Steven N. Firestone, MD Charles Schwab &
Claimant Lawyers(s): Steven N. Firestone
Respondent(s): Alfonso Portillo, Bari Havlik, Carrie Dwyer, Catherine Macgregor, Cathy Sabo, Charles Schwab, Evelyn Dilsaver, George Pereira, Jan Hier-King, Jeffrey Mortimer, Joseph Martinetto, Kenneth Salinger, Kimon Peter Daifotis, Koji Felton, Charles Schwab & Co.., Matthew Hastings, Michael Haydel, Randall Fillmore, Randall Merk, Ronald Carter, et al
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Benjamin F. Breslauer, Robert Dean McKinley, John R Sustersic
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02167 | 05/06/2011 | Claimant(s): Kimon Peter Daifotis
Claimant Lawyers(s): Kendra S. Canape
Respondent(s): Jinni A. Harrigan Trust U/A dtd 4/26/02
Respondent Lawyers(s): Thomas Mauriello
Arbitrator(s): Linda M. McCoy, Philip Aaron Tymon, Janet Marie Krug
Hearing Site: San Francisco, CA
| | Expungement |
| 08-04462 | 01/20/2011 | Claimant(s): Alphonse Matt, Alphonse J.Matt,Jr. (Bene) IRA Rollover
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Lawrence J. Welte, James A. Lundberg, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 09-02939 | 01/07/2011 | Claimant(s): Roger Maurer, Shay Lindemann, Maurer and Associates Capital Management
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Dennis R. Frohlich, Jerome C. Zackroff, Leonard M. Goldstein
Hearing Site: Denver, CO
| | Expungement |
| 10-00267 | 12/08/2010 | Claimant(s): Gary Maag
Claimant Lawyers(s): Irwin Stein
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Michael T. West
Arbitrator(s): David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-06878 | 11/17/2010 | Claimant(s): Bruce Firestone
Claimant Lawyers(s): Bruce M. Firestone
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Kimon Peter Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | Expungement |
| 09-04864 | 10/11/2010 | Claimant(s): Steve Miura
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Kimon Peter Daifotis
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Carlos Richard Mangum, Jonathan H. Krotinger, Hadden Wing Roth
Hearing Site: San Francisco, CA
| | $0 |
