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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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Displaying 11-20 out of 232 results

$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.

$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.

$347,000 Breach of Fiduciary Duty and Negligence Award

In June 2022, a FINRA arbitration panel in Providence, RI ordered Barrett & Company to pay $347,000 in compensatory and punitive. Craig McCann testified on liability and damages related to the risks of microcap stocks.

$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.

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