Results

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

Displaying 10 out of 236 results

$1.2 Million Goldsmith v UBS Variable Annuity Award

In May 2026, a FINRA arbitration panel in Columbia, SC ordered UBS to pay $1,179,169 in 60/40 well-managed, compensatory damages. You can read the award here. Craig McCann testified on liability and damages related to the variable annuity and other investments.

$743,550 Breglio v Reid & Rudiger Churning Award

In April 2026, a FINRA arbitration panel in Hartford, CT ordered Reid & Rudiger to pay $743,500 in compensatory damages - approximately equal to the commissions incurred adjusted for market returns as explained in our working paper from 25 years ago available here. You can read the award here. Mike Yan testified on liability and damages related to the churning.

$1.3 Million Fidelity Autocallable Structured Products Award

In February 2026, a FINRA arbitration panel in Phoenix, AZ ordered Fidelity to pay $1,287,865 in compensatory damages. You can read the award here. Craig McCann testified on liability and damages related to the autocallable structured products.

$6.14 Million Blackmon v UBS Award: Employee Stock Options and Concentrated Stock

In February 2026, a FINRA arbitration panel in Boca Raton, FL ordered UBS to pay $5,375,000 in compensatory damages, $638,226 in interest, and $125,000 in costs. You can read the award here. Craig McCann testified on liability and damages over Respondents' recommendations related to a concentrated stock position.

$763,868 Barni v UBS Award: Failed to Diversify a Concentrated Stock Position

In July 2025, a FINRA arbitration panel in San Francisco, CA ordered UBS to pay $387,870 in compensatory damages, $95,552 in interest, $87,078 in cost, and $193,369 in attorneys' fees. You can read the award here. Mike Yan testified in person on damages over Respondents' failure to diversify a concentrated stock position.

$2.84 Million USCA Due Diligence Award: EROS Media

In June 2025, a FINRA arbitration panel in Houston, TX ordered USCA Securities, U.S Capital Wealth Advisors, U.S. Capital Advisors and other Respondents to pay $2,071,990 in compensatory damages, $626,413.75 in attorneys' fees and $139,369 in costs. You can read the award here. Craig McCann testified on liability and damages over Respondents' sales of EROS Media to the Claimant.

$121,321 Lakh v Bethel Fisher Award: Illiquid Investments

In May 2025, a FINRA arbitration panel in Phoenix, AZ ordered Berthel Fisher to pay $111,321 in compensatory damages and $10,000 for discovery abuse. You can read the award here. Craig McCann testified on liability and damages over Respondents' sales of NorthStar Healthcare Income REIT, Colony Capital and Cole Office and Industrial REIT to the Claimant.

$133,835 Due Diligence Award: GWG

In May 2025, a FINRA arbitration panel in Albany, NY ordered Lifemark Securities to pay $87,868 in compensatory damages, $26,265 in attorneys' fees and $19,702 in costs. You can read the award here. Craig McCann testified on liability and damages over Respondents' sales of GWG bonds to the Claimant.

$132.5 Million Autocallable Structured Products Award

In March 2025, a FINRA arbitration panel in Boca Raton, FL ordered Stifel, Nicolaus to pay at least $132,521,460 including punitive damages and attorney's fees. You can read the award here. Craig McCann testified on liability and damages over Stifel's recommendation and sales of autocallable structured products.

$167,950 DeSpain v Schwab Award: Autocallable Structured Products

In March 2025, a FINRA arbitration panel in Phoenix, AZ ordered Schwab to pay $167,950 in compensatory damages to the Claimants. You can read the award here. Craig McCann testified on liability and damages over sales of worst-of-basket autocallable structured products to the Claimants.

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