Kimon Daifotis — Ex-Officer at Charles Schwab Proceeds to Trial Re YieldPlus (TLR Note: Is Fear of Blowing Whistle Re YieldPlus Behind Alleged Retaliation Against Dan Dydzak By Which 1- Charles Schwab Allegedly Bribed David Werdegar/IOA 2 – Pressured Howard Rice to “Fix” Case Against Dydzak Similar to Howard Rice “Fix” In Favor of Client Thomas Girardi in Ninth Circuit Matter of In Re Girardi?)
A San Francisco federal judge on Tuesday narrowed the U.S. Securities and Exchange Commission’s case against a former Charles Schwab Corp. executive related to the marketing of the ill-fated YieldPlus short bond fund. But the ruling by U.S. District Judge William Alsup clears the way for a big chunk of the SEC’s case against Kimon Daifotis, the former chief investment officer for fixed income at Schwab’s investment management unit, to proceed to trial next month.
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