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Our research and testimony frequently result in awards, decisions and orders. See what our experts have been working on.

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$3.9 Million UBS YES Award

In May 2022, a FINRA arbitration panel in Houston, TX ordered UBS Financial Services to pay $2,896,972 in compensatory damages and prejudgment interest and $965,657 in attorneys' fees. Craig McCann testified on liability and damages related to UBS's YES options overlay strategy.

$1.375 Million UBS YES Award

In March 2022, a FINRA arbitration panel in Houston, TX ordered UBS Financial Services to pay $1,375,371 in compensatory damages and pre-judgement interest. Eddie O'Neal testified on liability and damages related to UBS's YES options overlay strategy.

$2,660,000 First Allied Nontraded REIT, Energy DPP & Annuity Award

In March 2022, a FINRA panel in Phoenix, AZ ordered First Allied Securities to pay $2,660,000 in compensatory damages, attorneys' fees and costs. Craig McCann testified on liability and damages over First Allied sales of Ridgewood Energy, Griffin Capital Essential, Griffin-American Healthcare REIT III, ARC Healthcare Trust II, ARC Hospitality Trust, Global Net REIT, Northstar Healthcare, Cole Capital and annuities from Metlife, Midland, Jackson Life and AXA.

$1,874,637 UBS YES Award

In February 2022, a FINRA arbitration panel in Boca Raton, FL ordered UBS Financial Services to pay $1,874,637 in damages, prejudgment interest and expert witness fees. Craig McCann testified on liability and damages over UBS's YES options overlay strategy.

$300,000 UBS YES Award

In December 2021, a FINRA arbitration panel in Washington, DC ordered UBS Financial Services to pay $300,000 in compensatory damages, attorneys fees and costs. Eddie O'Neal testified on liability and damages.

$4 Million JPMorgan Foreign Currency / Leverage Award

In December 2021, a FINRA Panel in Houston, TX ordered JP Morgan to pay $4 million in a case involving investments in junk bonds and preferred stocks leveraged through foreign currency transactions. Craig McCann testified on liability and damages behalf of the Claimant.

$6.875 Million Popular Securities Award

In October 2021, a FINRA arbitration panel in San Juan, Puerto Rico ordered Popular Securities to pay $6,876,103 in compensatory damages and costs. Eddie O'Neal testified on liability and damages over Popular's recommendation of leveraged Puerto Rican municipal bond funds.

$921,000 UBS YES Award

In September 2021, a FINRA arbitration panel in Boca Raton ordered UBS Financial Services to pay $921,000 in compensatory damages, interest and expert witness fees. You can read the award here. Eddie O'Neal testified on liability and damages.

$900,000 Oriental Financial Services Award

In August 2021, a FINRA arbitration panel in San Juan, Puerto Rico ordered Oriental Financial Services to pay $700,000 in compensatory damages plus approximately $200,000 in interest since the filing of the case. Eddie O'Neal testified on liability and damages over Oriental's recommendation of leveraged Puerto Rican municipal bond funds.

$370,000 UBS YES Award

In March 2021, a FINRA arbitration panel in Columbus, OH ordered UBS Financial Services to pay $342,127 in compensatory damages, plus approximately $28,000 in expert witness fees. Craig McCann testified on liability and damages over UBS's YES options overlay strategy.

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