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Securities And Exchange Commission v. Daifotis et al
Case Number:
3:11-cv-00137
Court:
Nature of Suit:
Judge:
Firms
Companies
Sectors & Industries:
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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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May 04, 2012
Ex-Schwab Exec Seeks To Trim SEC Suit Based On Janus
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.
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August 02, 2011
Janus Doesn't Apply To Schwab Execs' Fraud Case: Judge
The U.S. Supreme Court's decision in Janus doesn't apply to securities laws at issue in the U.S. Securities and Exchange Commission's suit against two Charles Schwab & Co. Inc. executives, a California federal judge ruled Monday.