FINRA Awards for Emily B. Boote

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-02892	12/06/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Patrick G. King Respondent(s): Christopher Johnson, Randall Johnson Respondent Lawyers(s): Steven M. Phillips Arbitrator(s): Robert E. Robertson, Emily B. Boote, Douglas J. Nesbit Hearing Site: Minneapolis, MN
13-02929	09/23/2014	Claimant(s): James Kirk Claimant Lawyers(s): Christopher P. Parrington Respondent(s): Frank Mccarthy, Ameriprise Financial Services. Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Gerald M. Gifford, Emily B. Boote, Robert S. Burk Hearing Site: Minneapolis, MN
12-03529	03/21/2013	Claimant(s): LPL Financial LLC Claimant Lawyers(s): Jeffrey K. Compton Respondent(s): Brenda Aslyn Respondent Lawyers(s): Brenda R. Aslyn Arbitrator(s): Emily B. Boote Hearing Site: Minneapolis, MN
11-04056	01/25/2013	Claimant(s): Craig Gould Claimant Lawyers(s): J. Jackson Respondent(s): Respondent Lawyers(s): Arbitrator(s): Emily B. Boote, Leo G. Stern, Kathleen Sweeney Tillotson Hearing Site: Minneapolis, MN
12-00857	10/12/2012	Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Scott T. Earl Respondent(s): Peter Ryan Respondent Lawyers(s): Peter Remington Ryan Arbitrator(s): Emily B. Boote Hearing Site: Minneapolis, MN