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Displaying 11-15 out of 15 results

Williams v MCM - $1,218,969 Hedge Fund Award

In March 2015, a AAA arbitration panel in Los Angeles, CA ordered Montecito Capital Management to pay the Claimant $1,218,969 over the sale of the hedge funds. The AAA panel found that the Respondent was negligent in its excessive recommendation of hedge funds. Dr. McCann testified on behalf of the Claimant.

Glen Lyon v Interactive Brokers - $666,618 Margin Liquidation Award

In February 2015, an arbitration panel in Richmond, VA ordered Interactive Brokers to pay its former client $666,618 in compensatory damages, interest and expert witness fees. The Claimant alleged that Interactive Brokers failed to liquidate the portfolio pursuant to a margin call in a commercially reasonable manner. Dr. McCann testified at the final hearing on behalf of the Claimant.

LaBolle v Oppenheimer et al - $300,000 Churning Award

In February 2015, a FINRA arbitration panel in Detroit, MI ordered Oppenheimer & Co. to pay $299,858 in compensatory damages, attorneys' fees, expert witness fees and filing fees after a hearing wherein the Claimant alleged Respondents churned the Claimant's accounts. Dr. McCann testified to the egregiousness of the churning and damages on behalf of the Claimant.

Felter v National Planning Corporation - $1.22 Million TIC Award

In February 2015, a FINRA panel in Des Moines, IA ordered Respondents to pay the Claimant $1.22 Million in compensatory damages and expert witness costs after a hearing in which Claimant alleged that the TIC sold did not pass a reasonable basis suitability test. Dr. McCann testified on behalf of the Claimant.

Cerisano v Interactive Brokers - $2.4 Million Negligence Award

In January 2015, an arbitration panel in Newark, NJ ordered Interactive Brokers to pay its former client $2.4 Million in compensatory damages. The case dealt with the risk and other material features of futures contracts on the VIX index. Dr. McCann testified at the final hearing on behalf of the Claimant.

15 Results

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