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
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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