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

Displaying 4 out of 4 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.

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