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FINRA Awards for Lindsay Keller

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0084512/17/2021Claimant(s): Brian Smith
Claimant Lawyers(s): Bruce C. Recher
Respondent(s): Royal Jaros
Respondent Lawyers(s): Charlie R. Alden
Arbitrator(s): Mark S. Gleason, John Carl Bjork, Lindsay Keller
Hearing Site: Minneapolis, MN
18-0336903/16/2020Claimant(s): Thomas Mayberry
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): John B. Orenstein, Steven M. Bialick, Lindsay Keller
Hearing Site: Minneapolis, MN
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18-0346111/04/2019Claimant(s): Jeffrey Rathmanner
Claimant Lawyers(s): Brooke D. Anthony
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Thomas J. Gmeinder, Michael Herring, Lindsay Keller
Hearing Site: Minneapolis, MN

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