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


Violations Alleged

Securities Act
Sec 17(a)(2)
Section 34(b) Investment Company Act


First Resolution Date

Related Documents:

34-67454 18-Jul-2012 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of Charles Schwab Investment Management; Charles Schwab & Co., Inc; and Schwab Investments
SEC v. Charles Schwab Investment Management, Inc.; Charles Schwab & Co., Inc; and Schwab Investments
SEC v. Kimon P. Daifotis and Randall Merk
In the Matter Randall Merk