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Administrative/Regulatory

Jun. 4, 2011

Schwab Execs Move to Dismiss SEC Charges

Two Charles Schwab executives on Thursday moved to dismiss a U.S. Securities and Exchange Commission lawsuit that claims they misled customers who invested in a fund tied to mortgage-backed securities.


By Jill Redhage


Daily Journal Staff Writer


SAN FRANCISCO - Two executives of Charles Schwab Corp. subsidiaries moved Thursday to dismiss a U.S. Securities and Exchange Commission lawsuit that claims they misled customers who invested in a fund tied to mortgage-backed securities.


In a complaint filed in January, regulators accuse portfolio manager Kimon P. Daifotis and trustee Randall Merk of signing off on marketing efforts that promoted the f...

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