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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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Wendling v Merrill Lynch - $1.73 Million Exercise & Hold Award

In October 2003 an NASD arbitration panel in Seattle awarded a husband and wife $1.73 Million arising out of claims against Merrill Lynch over the exercise of Ariba non-qualified employee stock options.

Cote v Edward Jones - $90,367 Exercise & Hold Award

In August 2003, an NASD arbitration panel in Dallas, TX ordered Edward Jones to pay Claimant $90,367 including costs and prejudgment interest. Dr. McCann testified that the exercise and hold strategy was deeply flawed and should never have been implemented.

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