| 22-00990 | 05/17/2024 | Claimant(s): Diane Jones, Huxley Richardson, Larry Marple, William Struwe
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas J. LoSavio, Philip Aaron Tymon, Glenn Paul Gilbert
Hearing Site: San Francisco, CA
|  | $0 |
| 22-01012 | 12/13/2023 | Claimant(s): Gary Rabe
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Mark S. Foster, William B. Ross, Charles A. Palmer
Hearing Site: Des Moines, IA
| | $4,529 |
| 23-00833 | 12/06/2023 | Claimant(s): Apex Clearing Corporation
Claimant Lawyers(s): Jonathan D. Neerman
Respondent(s): Hui Zou
Respondent Lawyers(s): Hui Zou
Arbitrator(s): Keely D. Parr, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 22-01025 | 05/08/2023 | Claimant(s): Kenneth Woodfield, Michael Shain
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Howard N. Gorney, Mary E. Bassett, John George Neylon
Hearing Site: Boston, MA
| | $0 |
| 20-00246 | 11/11/2020 | Claimant(s): Nathan Edwards
Claimant Lawyers(s): Nathan Edwards
Respondent(s): Acorns Securities, Apex Clearing Corporation
Respondent Lawyers(s): Jack M McNeily, Jonathan D. Neerman
Arbitrator(s): Ray J. Grzebielski, Myra Christine Mormile-Wolper, Thomas P. Valenti
Hearing Site: Chicago, IL
| | Dismissed |
| 17-02241 | 12/31/2018 | Claimant(s): Thomas Peterson
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Louis J. Weber, Edward Bradbury Cloutman, Larry Adair
Hearing Site: Dallas, TX
| | $0 |
| 16-03721 | 03/07/2018 | Claimant(s): Sterling Huntley
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Apex Clearing Corporation, TradingBlock
Respondent Lawyers(s): Debra A. Jenks, Jonathan D. Neerman
Arbitrator(s): Harvey R. Linder, Deborah Johns Tatum, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | $0 |
| 14-03343 | 06/07/2017 | Claimant(s): Zenaida Gantan
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Apex Clearing Corporation, Freedom Investors Corp., Merrimac Corporate Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Jonathan D. Neerman, Mark Thomes
Arbitrator(s): Robert E. Thompson, Donald S. Green, Stephen A. Field
Hearing Site: San Francisco, CA
| | $295,513 |
| 13-02373 | 03/31/2014 | Claimant(s): James E. Rice, Jr. and Trudy C. Rice
Claimant Lawyers(s): James E. Rice
Respondent(s): Apex Clearing Corporation, Investrade Discount Securities
Respondent Lawyers(s): Gina T. Bokios, Jonathan D. Neerman
Arbitrator(s): Joe E. Manuel
Hearing Site: Columbia, SC
| | $3,394 |
| 12-00239 | 10/29/2013 | Claimant(s): Leonard Jarvis, Monica Jarvis, Leonard E. Jarvis Rollover IRA, Monica A. Jarvis Rollover IRA
Claimant Lawyers(s): Matthew W. Frank
Respondent(s): Adolph Tieppo, Florence Klein, Southwest Securities., American Classic Financial Company
Respondent Lawyers(s): Anthony R. Paesano, Florence Kein, Jonathan D. Neerman
Arbitrator(s): John F. Burns, James Patrick Graven, Thomas W. Lawson
Hearing Site: Detroit, MI
| | $50,000 |
