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FINRA Awards for Michael C. Farkas

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0001607/13/2023Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Fitzpatrick
Respondent(s): Ahmad Maklouf
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Denise L. Quarles
Hearing Site: New York, NY
08-0403906/10/2011Claimant(s): Alaina Spilkevitz
Claimant Lawyers(s): Michael C. Farkas
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Robert S. Whitman
Arbitrator(s): Roger J. Hawke, William G. Binckes, Nicholas Brunero
Hearing Site: New York, NY
Expungement
09-0197002/04/2010Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jason Warner
Respondent(s): Adam Wachtel
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Susan C. Lushing, Martin L. Feinberg, J. Scott Colesanti
Hearing Site: New York, NY

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