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Securities
Expungement

Charles Schwab & Co. v. Charles S. Hoyt & Nancy C. Hoyt, Charles S. Hoyt IRA, Charles S. Hoyt SEP-IRA

Published: Dec. 8, 2012 | Result Date: Nov. 8, 2012 | Filing Date: Jan. 1, 1900 |

Case number: 12-01549 Arbitration –  Expungement

Court

FINRA


Attorneys

Claimant

Kirstin L. Ericson

Audette Paul Morales
(Gordon & Rees LLP)


Respondent

Thomas D. Mauriello
(Mauriello Law Firm APC)


Facts

Claimant brought an action seeking an order of expungement for Kimon P. Daifotis from the records of an investment-related sales case.

Result

The panel recommended the expungement of Kimon P. Daifotis' central registration depository records. The panel found that Daifotis was not involved in the alleged forgery, theft, or misappropriation.

Other Information

ARBITRATORS: Laurel L. Gothelf, Michael L. Garcia, Jerold R. Babin.


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