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

Displaying 5 out of 5 results

$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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