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$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.

$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.

$2,660,000 First Allied Nontraded REIT, Energy DPP & Annuity Award

In March 2022, a FINRA panel in Phoenix, AZ ordered First Allied Securities to pay $2,660,000 in compensatory damages, attorneys' fees and costs. Craig McCann testified on liability and damages over First Allied sales of Ridgewood Energy, Griffin Capital Essential, Griffin-American Healthcare REIT III, ARC Healthcare Trust II, ARC Hospitality Trust, Global Net REIT, Northstar Healthcare, Cole Capital and annuities from Metlife, Midland, Jackson Life and AXA.

$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.

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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.

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.

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.

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.

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.

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.

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.

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.

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.

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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.

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.

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.

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.

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.

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.

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.

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.

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.

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