23-02192 | 06/20/2024 | Claimant(s): Apex Clearing Corporation Claimant Lawyers(s): Jonathan D. Neerman Respondent(s): Elevated Principles Inc. d/b/a Flyte Respondent Lawyers(s): David Williams Hannes Arbitrator(s): Mary Elizabeth Skelnik, Dianne Connally Betts, Will Pryor Hearing Site: Dallas, TX
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22-00508 | 05/20/2024 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Trace Schmeltz Respondent(s): Apex Clearing Corporation, Webull Financial LLC Respondent Lawyers(s): Jonathan D. Neerman, Ryan K. Bakhtiari Arbitrator(s): Mark Aaron Jones, Mary Mackey, Page R Barnes Hearing Site: San Francisco, CA
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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 |
22-02011 | 10/24/2023 | Claimant(s): Qwikt Global Securities LLC Claimant Lawyers(s): Robert Maguire Respondent(s): Apex Clearing Corporation Respondent Lawyers(s): Jonathan D. Neerman Arbitrator(s): Rosemary Rachael, Michele N. O'Brien, Mary O'Connor Hearing Site: Dallas, TX
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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 |
18-01938 | 11/07/2019 | Claimant(s): Samco Capital Markets. Claimant Lawyers(s): Jason M. Hopkins Respondent(s): Apex Clearing Corporation Respondent Lawyers(s): Jonathan D. Neerman Arbitrator(s): Harry J Saginaw, Richard Frederick Schaufert, Oddur Sigurdsson Hearing Site: Dallas, TX
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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 |