The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against James Leroy Henneman (CRD#2408674) regarding allegations made regarding the following:

Claim(s) Made Against James Leroy Henneman:

Claim Date: 3/23/2020

“A client alleges that the rollover of IRA funds to a fixed annuity was not suitable at the time of sale based on allegations that he was not advised of the contractual restrictions regarding withdrawals and surrender of the product.”

This claim, as of this posting, is currently Denied with a claim amount of $250,000.00 .

See more information on FINRA’s BrokerCheck site for James Leroy Henneman.

Were you a client of James Leroy Henneman?

If you were a client of James Leroy Henneman and NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC from Naperville, IL, and experienced any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. are interested in discussing the possibility of a claim with you. Brokerage firms have the responsibility to oversee all representatives who are registered with their firm, including James Leroy Henneman, and must ensure that they adhere to all securities rules, regulations, and internal policies. If a brokerage firm fails to do so, it may be held responsible for investment losses sustained by customers due to a lack of supervision.

The Securities Lawyers have recovered millions of dollars for investors across the United States and are currently investigating the possibility of representing individual or group investors who have suffered losses. If you were a customer of James Leroy Henneman and NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC and suffered investment losses, please contact the Securities Lawyers. We will only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It’s important to note that there may be time limits or statutes of limitations that apply to your claim, so it’s crucial to speak with an attorney as soon as possible.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.