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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.

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