Defendant Name:
Kimon P. Daifotis
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Kimon P. Daifotis
First Document Date
18-Jul-2012
Initial Filing Format
Administrative Action
File Number
3-14951
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Director—No Specific Position Named in Document at Schwab Investments
- Former: Undetermined at Charles Schwab & Co., Inc.
- Former: Senior Vice President at Charles Schwab Investment Management (Until July 2008)
- Former: Chief Investment Officer for Fixed Income at Charles Schwab Investment Management (Until July 2008)
Violations Alleged
•
Section 34(b) Investment Company Act
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 3 years
- Bar from participating in any penny stock offering for 3 years
First Resolution Date
