Results

Our research and testimony frequently result in awards, decisions and orders. See what our experts have been working on.

Displaying 21-30 out of 145 results

$2 Million Pagan v Merrill Lynch Puerto Rico Award

In January 2020, a FINRA arbitration panel in San Juan, PR ordered Merrill Lynch to pay Claimants at least $2,022,071 in compensatory damages, interest and costs including expert costs. Dr. O'Neal testified on liability and damages over Merrill Lynch's sale of UBS Puerto Rico municipal closed end bond funds and Puerto Rican municipal bonds.

$2.6 Million National Planning Corporation Non-traded REIT and Variable Annuity Award

In January 2020, a FINRA panel in St. Louis, MO ordered National Planning Corporation to pay $2,629,273 in well managed account damages, punitive damages and costs. Dr. McCann testified on liability and damages over NPC's sale of non-traded REITs and variable annuities.

$5.88 Million Blanco v UBS of Puerto Rico Award

In August 2019, a FINRA arbitration panel in San Juan, PR ordered UBS Financial Services and UBS Financial Services of Puerto Rico to pay $4,250,000 in compensatory damages, plus interest of $1,460,937 and costs of $170,000. Dr. McCann testified on liability and damages over UBS Puerto Rico's sale of UBS PR closed end funds and individual Puerto Rico municipal bonds.

$3.3 Million Torres v Morgan Stanley Award

In July 2019, a FINRA arbitration panel in Miami, FL ordered Morgan Stanley to pay $3,231,421 including $3 Million in monetary sanctions for discovery abuse. Dr. McCann testified on liability and damages over Puerto Rico closed end funds and municipal bonds.

$4.8 Million Mudafort v UBS Award

In July 2019, a FINRA arbitration panel in San Juan, PR ordered UBS Financial Services and UBS Financial Services of Puerto Rico to pay $4,813,161 in capital losses calculated from February 2013 through March 2019 and $67,969 in expert costs. Dr. O'Neal testified on liability and damages over UBS Puerto Rico's sale of UBS Puerto Rico municipal closed end bond funds and Puerto Rican municipal bonds.

$8.3 Million Move.Inc v Citigroup ARS Award

In May 2019, a FINRA arbitration panel in Los Angeles, CA ordered Citigroup to pay Move.inc $8.3 Million as compensation for losses on auction rate securities. The award was made after a hearing wherein the Claimants alleged that Respondents breached fiduciary duties and misrepresented the ARS. This fascinating case arose out of events in 2008 and earlier. Craig McCann testified on behalf of the Claimant.

$148,000 Aguayo v Santander Securities Award

In February 2019, a FINRA arbitration panel in San Juan, PR ordered Santander Securities to pay at least $148,000 in compensatory damages, interest and costs. Dr. McCann testified on liability and damages over Santander's sale of Puerto Rico closed end funds and municipal bonds.

$343,000 Porter v RMK Award

In December 2018, a FINRA arbitration panel in Birmingham, AL ordered Morgan Keegan to pay $343,000 in compensatory damages, interest and costs to Claimant. Dr. O'Neal testified on the risks of structured finance, high yield bonds, closed end funds and damages over Morgan Keegan's sale of four risky funds that held concentrated positions in structured finance investments.

$276,000 Medeiros v Quest Capital Strategies Woodbridge Mortgage Investment Funds Award

In January 2019, a FINRA arbitration panel in Boca Raton, FL ordered Quest Capital Strategies to pay $235,000 in compensatory damages and $41,226 in costs to Claimant. Dr. O'Neal testified on private real estate risk, projected bankruptcy recovery in a Ponzi scheme, and damages over Quest's sale of four promissory notes of the Woodbridge Mortgage Investment Funds.

$177,500 Ionta v Mid Atlantic Capital Private Placement Award

In December 2018, a FINRA arbitration panel in Los Angeles, CA ordered Mid Atlantic Capital Group to pay $177,500 in compensatory damages. Dr. McCann testified on liability and damages over Mid Atlantic's sale of an illiquid loan fund, Sonoma Ridge Partners.

145 Results

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