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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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