Law360, New York (May 04, 2012, 9:11 PM ET) -- A former Charles Schwab YieldPlus portfolio manager on Thursday sought to trim claims against him in a U.S. Securities and Exchange Commission fraud suit, citing the U.S. Supreme Court's Janus ruling in arguing that he can't be held liable for several misleading statements at issue because he was not the "maker" of the statements.
Kimon Daifotis sought summary judgment on half of more than 60 false or misleading statements attributed to him in a January 2011 SEC complaint alleging he and former Schwab Executive Vice President...
Ex-Schwab Exec Seeks To Trim SEC Suit Based On Janus
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