In September 2021, a FINRA arbitration panel in Boca Raton ordered UBS Financial Services to pay $921,000 in compensatory damages, interest and expert witness fees. You can read the award here. Eddie O'Neal testified on liability and damages.
In March 2021, a FINRA arbitration panel in Columbus, OH ordered UBS Financial Services to pay $342,127 in compensatory damages, plus approximately $28,000 in expert witness fees. Craig McCann testified on liability and damages over UBS's YES options overlay strategy.
In March 2021, a FINRA arbitration panel in Denver, CO ordered UBS Financial Services to pay $1,044,242 in compensatory damages, plus approximately $53,442 in interest.
Craig McCann testified on liability and damages over UBS's YES options overlay strategy.
