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FINRA Awards for Jonathan D. Neerman

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Displaying 21-24 out of 24 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0521609/13/2010Claimant(s): Gary Miles
Claimant Lawyers(s): Wayne G. Johnson
Respondent(s): Gregory Randall, Jac Tomasello, Southwest Securities., U.S. Brokerage.
Respondent Lawyers(s): Gregory A. Randall, Jac G. Tomasello, Jonathan D. Neerman
Arbitrator(s): Thomas H. Barnard, Elena M. Colianni, William L. White
Hearing Site: Pittsburgh, PA
09-0149406/29/2010Claimant(s): Kenneth Iwanicki, Penelope Iwanicki
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie, President
Arbitrator(s): Robert W. Edler, Theodore M. Utchen, Craig D. Cook
Hearing Site: Chicago, IL
Checkmark Icon$0
07-0152103/09/2009Claimant(s): Robert Shepherd
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Marshall Field, Emmett A Larkin Company., Southwest Securities.
Respondent Lawyers(s): Brandon S. Reif, Jonathan D. Neerman, Marshall Field
Arbitrator(s): William J. Adams, Arthur T. Berggren, Daniel R. Brush
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
07-0262102/06/2009Claimant(s): Optionshouse.
Claimant Lawyers(s): Breck Harrison
Respondent(s): Amir Jivani, Daniel Rosenthal, James Halm, Raza Jivani, Robert Baldwin, Tycho Clayton, Interactive Brokers LLC, Penson Financial Services.
Respondent Lawyers(s): Breck Harrison, John J. Nielands, Jonathan D. Neerman, Richard J. Gerace
Arbitrator(s): Michael Hendryx, William Edward Buck, Maurice J. Fallas
Hearing Site: Houston, TX
Checkmark Icon$51,575

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