Securities
Breach of Fiduciary Duty
Expungement
Kimon P. Daifotis v. Jinni A. Harrigan Trust U/A DTD 2/26/2002
Published: Jun. 18, 2011 | Result Date: May 6, 2011 | Filing Date: Jan. 1, 1900 |Case number: 10-02167 Arbitration – Expungement
Court
FINRA
Attorneys
Claimant
Audette Paul Morales
(Gordon & Rees LLP)
Respondent
Thomas D. Mauriello
(Mauriello Law Firm APC)
Facts
Kimon Daifotis entered into arbitration with Jinni A. Harrigan Trust regarding a previously settled arbitration case.
Contentions
CLAIMANT'S CONTENTIONS:
Daifotis sought expungement of the previously settled case relating to information contained within his Central Registration Depository record.
Result
The arbitration panel recommended expungement of all reference to the previous arbitration from Daifotis's records.
Other Information
ARBITRATORS: Linda M. McCoy, Philip A. Tymon, J.D., Janet M. Krug.
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