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FINRA Awards for Herbert H. Neuer

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0379310/16/2013Claimant(s): Marise Engel, Richard Engel, Richard J. and Marise A. Engel
Claimant Lawyers(s): Richard Engel
Respondent(s): Brion Collins, Gary Tsoumas, Jack Kapinus, Todd Sivak, MML Investors Services
Respondent Lawyers(s): Beth A. Dodson, Fred N. Knopf, Patrick J. Lubenow, Ross A. Anderson
Arbitrator(s): Herbert H. Neuer, Terry F. Peppard, James Richard Carlson
Hearing Site: Milwaukee, WI
Checkmark Icon$0
08-0424305/06/2011Claimant(s): Kenneth Willenson, Layton Property.
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Mark McCloskey, Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): Herbert H. Neuer, Robert F. O'Keef, Gerald J. Thain
Hearing Site: Milwaukee, WI
Checkmark IconStipulated Award and Expungement

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