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FINRA Awards for David Harvey Failer

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0290305/26/2023Claimant(s): Alan Daniels
Claimant Lawyers(s): Alan J. Daniels
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): Robert D. Sussin, David Harvey Failer, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
Checkmark IconDismissed with Rule 12504
21-0192911/02/2022Claimant(s): Richard Sholty
Claimant Lawyers(s): Zachary Morse
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sarah Malik
Arbitrator(s): Jeffrey E. Skogsbergh, Edith N. Dinneen, David Harvey Failer
Hearing Site: Los Angeles, CA
20-0203006/30/2022Claimant(s): Irwin Schaeffer, Schaeffer Family Trust
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, David Harvey Failer, Hiro N Aragaki
Hearing Site: Los Angeles, CA
Checkmark Icon$0
20-0335004/09/2021Claimant(s): Iouri Bobrov
Claimant Lawyers(s): Iouri Bobrov
Respondent(s): Fidelity Brokerage Services LLC, UMB Financial Services.
Respondent Lawyers(s): Eric. D. Martin, Noah D. Sorkin
Arbitrator(s): Kendall C. Reed, Andrea Luise Halperin, David Harvey Failer
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12212

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