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FINRA Awards for Jonathan D. Neerman

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Displaying 11-20 out of 24 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0329507/13/2018Claimant(s): William Wolfe
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Hilltop Securities Independent Network I
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Oklahoma City, OK
17-0285403/29/2018Claimant(s): Kent Snodgrass
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
16-0372103/07/2018Claimant(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
Checkmark Icon$0
14-0334306/07/2017Claimant(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
Checkmark Icon$295,513
15-0145212/20/2016Claimant(s): Kimberly Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas F. Ryan, Charles Orlove, Michael J. Rappa
Hearing Site: Chicago, IL
13-0237303/31/2014Claimant(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
Checkmark Icon$3,394
12-0023910/29/2013Claimant(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
Checkmark Icon$50,000
12-0009105/28/2013Claimant(s): Myron Kopin, Dr. Myron Kopin IRA
Claimant Lawyers(s): John Henke
Respondent(s): Adolph Tieppo, Florence Klein, Southwest Securities., American Classic Financial Company
Respondent Lawyers(s): Anthony R. Paesano, Hyman Schaffer, Jonathan D. Neerman, Tiffany Cinquemani
Arbitrator(s): John P. Gouttiere, Lee Hornberger, Lisa Sue Fildes
Hearing Site: Detroit, MI
Checkmark Icon$303,000
12-0119006/12/2012Claimant(s): Jeannette Freeman Shapiro Trust
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Andrew Kang, David Maurer, David Smith, Miles Benickes, Milford Stern, Randall Stern
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Howard B. Brown, Robert Alan Merring, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
10-0503610/21/2011Claimant(s): Douglas Leach
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Gary Purcell, Marco Alfonsi, Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Charles M. O'Rourke, Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Russell H Hairston
Hearing Site: Dallas, TX
Checkmark Icon$0

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