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$1 Million Independent Financial Group Non-Traded REITs, Non-Traded BDCs, Unregistered RE, and DSTs

In December 2023, a FINRA arbitration panel in Phoenix, AZ ordered Independent Financial Group to pay $1 million in compensatory damages.Craig McCann testified on liability over Independent Financial Group's sales of non-traded REITs and BDCs, unregistered real estate and DSTs.

$1 Million Independent Financial Group Non-Traded REITs, Non-Traded BDCs, Unregistered RE, and DSTs

In December 2023, a FINRA arbitration panel in Phoenix, AZ ordered Independent Financial Group to pay $1 million in compensatory damages.Craig McCann testified on liability over Independent Financial Group's sales of non-traded REITs and BDCs, unregistered real estate and DSTs.

$1,065,000 GWG L Bond Award

In October 2023, a FINRA arbitration panel in Los Angeles, CA ordered the Respondents to pay $1,065,000 in simple interest damages and costs. Craig McCann testified on liability and damages related to GWG L Bonds.

$3.2 Million UBS YES Award

In October 2023, a FINRA arbitration panel in New York, NY ordered UBS Financial Services to pay $3.2 million in compensatory damages, interest and costs. Craig McCann testified on liability and damages related to UBS's YES options overlay strategy.

$953,000 Crown Capital Securities Non-Traded REITs, Reg D, Oil & Gas DPP and EIA Award

In May 2023, a FINRA panel in San Diego, CA ordered Crown Capital Securities to pay $953,000 in compensatory damages and interest. Craig McCann testified on liability over Crown Capital's sales of nontraded REITs, Reg D REITs, Reg D real estate limited partnerships, oil & gas DPPs, private equity and an equity indexed annuity.

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