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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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$4.3 Million Bender v UBS of Puerto Rico Award

In June 2018, a FINRA arbitration panel in San Juan, PR ordered UBS Financial Services and UBS Financial Services of Puerto Rico to pay $4,20,000.00 in compensatory damages, plus costs of $100,000. Dr. McCann testified on liability and damages over UBS Puerto Rico's sale of Puerto Rico municipal bonds.

$220,000 Nelson v Stifel, Nicolaus Churning & Overconcentration Award

In June 2018, a FINRA arbitration panel in Omaha, NE ordered Stifel, Nicolaus & Co. to pay the Claimant $144,967 in compensatory damages, $47,839 in attorneys' fees and $23,384 in costs including expert witness costs over the concentration of his accounts in speculative securities and alleged churning. The panel also assessed all hearing costs to the Respondent. Dr. McCann on liability and damages.

$1.9 Million Medero-Fernandez v UBS of Puerto Rico Award

In March 2018, a FINRA arbitration panel in San Juan, PR ordered UBS Financial Services and UBS Financial Services of Puerto Rico to pay $1,880,000.00 in compensatory damages. Dr. McCann testified on liability and damages over UBS Puerto Rico's sale of UBS Puerto Rico municipal closed end bond funds.

District Court Order Confirming $1 Million Bien v Mid Atlantic Award

In March 2018, the US District Court for the District of Colorado confirmed an arbitration award against Mid Atlantic. Previously in December 2016, a FINRA panel in Denver, CO ordered Mid Atlantic to pay at least $1,037,000 including $3 Million in monetary sanctions for discovery abuse. You can read that award on our website. Dr. McCann testified on liability and damages over Mid Atlantic's sale of a non-traded KBS REIT and illiquid loan fund, Sonoma Ridge Partners.

$2.3 Million Auguillard IRA et al v IMS Securities et al non-traded REIT Award

In November 2017, a FINRA arbitration panel in Houston, TX ordered IMS Securities and two individual Respondents to pay at least $2,304,000 in compensatory damages. Dr. McCann testified on liability and damages over IMS's sale of a non-traded REITs and private placements to the Claimants.

$569,000 Benitone v Hilliard Lyons & Breitburn Energy Award

In September 2017, a FINRA arbitration panel in St. Louis, MO ordered Hilliard Lyons to pay the Claimants $450,000 in compensatory damages, $100,000 in punitive damages and $18,699 in costs over the concentration of their accounts in Breitburn Energy Partners stock in 2015. Dr. McCann testified on liability and damages.

$207,000 Hoffman v Gilford Securities et al Award

In July 2017, a FINRA arbitration panel in New York, NY ordered Gilford Securities and the broker to pay at least $207,000 in compensatory damages and interest. Dr. McCann testified on liability and damages.

Brown v. Morgan Stanley and Citigroup - $150,000 Award

In June 2017, a FINRA arbitration panel in Detroit, Michigan ordered Morgan Stanley Smith Barney, LLC and Citigroup Global Markets, Inc to pay $150,000 in compensatory damages plus costs and fees. Dr. O'Neal testified to the unsuitability of the exchange fund sold to the client and to damages emanating from the exchange fund transaction.

$4.4 Million Cummings v UBS of Puerto Rico Award

In March 2017, a FINRA arbitration panel in San Juan, PR ordered UBS Financial Services and UBS Financial Services of Puerto Rico to pay $3,919,359 in compensatory damages, $61,499 in costs and $442,318 in attorneys' fees. In addition, the panel voided debts claimed by the Respondents. Dr. O'Neal testified on liability and damages over UBS Puerto Rico's sale of UBS Puerto Rico municipal closed end bond funds.

$9 Million Romero v UBS PR Award

In February 2017, a FINRA arbitration panel in San Juan, PR ordered UBS Financial Services and UBS Financial Services of Puerto Rico to pay $7,983,230 in net compensatory damages and $1 Million in punitive damages. Dr. McCann testified on liability and damages over UBS Puerto Rico's sale of UBS Puerto Rico municipal closed end bond funds.

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