January 10, 2011

Securities And Exchange Commission v. Daifotis et al

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Case Number:

3:11-cv-00137

Court:

California Northern

Nature of Suit:

Securities/Commodities

15:78m(a) Securities Exchange Act

Judge:

William Alsup

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Companies

Sectors & Industries:

Securities And Exchange Commission v. Daifotis et al

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News Coverage, Answers, Appeals, Complaints, Motions, Orders, Trial Notes

Complaint

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. June 12, 2012

    Ex-Schwab Exec Gets Claims Pared From SEC's YieldPlus Suit

    A California federal judge on Tuesday trimmed a U.S. Securities and Exchange Commission suit against a former Charles Schwab Corp. YieldPlus portfolio manager, dismissing securities fraud claims based on a dozen purportedly misleading statements ahead of a July 9 jury trial.

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