| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
| 14-01704 | 09/18/2015 | Claimant(s): Buckman, Buckman & Reid.
Claimant Lawyers(s): Michael D. Handelsman
Respondent(s): Apex Clearing Corporation
Respondent Lawyers(s): Robert W. Hamburg
Arbitrator(s): Alan James Jacoby, Theodore Moreines, Brian A. Carlis
Hearing Site: Newark, NJ
| | |
| 12-02002 | 04/23/2015 | Claimant(s): Grace Financial Group LLC
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Apex Clearing Corporation, Penson Financial Services.
Respondent Lawyers(s): John P. Bevilacqua, Mark G. Hanchet
Arbitrator(s): W. Jeffrey Weinlandt, Renee La Verne Ross CFP, Richard Bryce Nesson
Hearing Site: New York, NY
| | |
