Securities
Expungement
Charles Schwab & Co. Inc., Kimon Peter Daifotis v. Daniel J. Lancaster Jr. IRA Rollover
Published: Dec. 22, 2012 | Result Date: Nov. 16, 2012 | Filing Date: Jan. 1, 1900 |Case number: 12-01548 Arbitration – Expungement
Court
FINRA
Attorneys
Claimant
Audette Paul Morales
(Gordon & Rees LLP)
Respondent
Thomas D. Mauriello
(Mauriello Law Firm APC)
Facts
Charles Schwab & Co. Inc. filed suit against Daniel Lancaster, seeking expungement of a FINRA arbitration styled Lancaster v. Charles Schwab & Co. from Kimon Daifotis's registration records. Lancaster took no position in support or opposition of Charles Schwab's action seeking expungement.
Result
The arbitration panel recommended the expungement.
Other Information
ARBITRATORS: Helen M. Blohm, Shawn Ridgell, Jeffrey Schubert.
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