Results

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

Displaying 10 out of 14 results

$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.

$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.

$5.2 Million UBS YES Award

In September 2022, a FINRA arbitration panel in Boca Raton, FL ordered UBS Financial Services to pay $5,215,030 in compensatory damages, interest and costs. Craig McCann testified on liability and damages related to UBS's YES options overlay strategy.

$1.34 Million UBS YES Award

In June 2022, a FINRA arbitration panel in Atlanta, GA ordered UBS Financial Services to pay $1,342,118 in compensatory damages, punitive damages, attorneys' fees and costs. Craig McCann testified on liability and damages related to UBS's YES options overlay strategy.

$975,000 UBS YES Award

In June 2022, a FINRA arbitration panel in New Orleans, LA ordered UBS Financial Services to pay $975,181 in compensatory damages, prejudgment interest, attorneys' fees and costs. Craig McCann testified on liability and damages related to UBS's YES options overlay strategy.

$1.2 Million UBS YES Award

In June 2022, a FINRA arbitration panel in Los Angeles, CA ordered UBS Financial Services to pay $1,181,718 in compensatory damages, attorneys' fees and costs. Craig McCann testified on liability and damages related to UBS's YES options overlay strategy.

$1.45 Million UBS YES Award

In May 2022, a FINRA arbitration panel in Albuquerque, NM ordered UBS Financial Services to pay $1,446,663 in compensatory damages, pre-judgement interest, attorneys' fees and expert witness costs. Craig McCann testified on liability and damages related to UBS's YES options overlay strategy.

$3.9 Million UBS YES Award

In May 2022, a FINRA arbitration panel in Houston, TX ordered UBS Financial Services to pay $2,896,972 in compensatory damages and prejudgment interest and $965,657 in attorneys' fees. Craig McCann testified on liability and damages related to UBS's YES options overlay strategy.

$1.375 Million UBS YES Award

In March 2022, a FINRA arbitration panel in Houston, TX ordered UBS Financial Services to pay $1,375,371 in compensatory damages and pre-judgement interest. Eddie O'Neal testified on liability and damages related to UBS's YES options overlay strategy.

$1,874,637 UBS YES Award

In February 2022, a FINRA arbitration panel in Boca Raton, FL ordered UBS Financial Services to pay $1,874,637 in damages, prejudgment interest and expert witness fees. Craig McCann testified on liability and damages over UBS's YES options overlay strategy.

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