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Roberts v ThinkEquity - $1.475 million ARS Award

In October 2012, a FINRA arbitration panel in New York, NY ordered ThinkEquity to redeem at par $1.475 million of auction rate securities remaining in the Claimant's accounts. The award was made after a hearing wherein the Claimant alleged that Respondents breached fiduciary duties and misrepresented the ARS. Dr. McCann testified on behalf of the Claimant.

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Craig J. McCann
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