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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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$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.

$300,000 UBS YES Award

In December 2021, a FINRA arbitration panel in Washington, DC ordered UBS Financial Services to pay $300,000 in compensatory damages, attorneys fees and costs. Eddie O'Neal testified on liability and damages.

$921,000 UBS YES Award

In September 2021, a FINRA arbitration panel in Boca Raton ordered UBS Financial Services to pay $921,000 in compensatory damages, interest and expert witness fees. You can read the award here. Eddie O'Neal testified on liability and damages.

$370,000 UBS YES Award

In March 2021, a FINRA arbitration panel in Columbus, OH ordered UBS Financial Services to pay $342,127 in compensatory damages, plus approximately $28,000 in expert witness fees. Craig McCann testified on liability and damages over UBS's YES options overlay strategy.

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