Financial Mediation Services

Bob Lawson - Mediation & FINRA Arbitration Dispute Resolution

Mr. Bob Lawson proudly serves as a Financial Industry Regulatory (FINRA) Mediator and is qualified through the National Arbitration and Mediation Committee. He is an active  as a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice as a Mediator and Arbitrator (Civil Adjudicative / Evaluative for Arbitration and Facilitative / Hybrid for Mediation).

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Bob's financial services experience encompasses over 35 years in the industry ranging from: Financial Adviser, Registered Securities & Option Principal, Executive Management, Branch Manager, Chief Compliance Officer, Securities Expert Witness to Broker Dealer and Investment Adviser Consultant.  

Professional Background

Bob is the Managing Principal of Barrington Financial Consulting Group, Inc., a 12-person consulting firm that provides dispute resolution services and financial services litigation support to law firms, broker dealers, insurance companies and regulatory agencies. He also serves as the President and Chief Compliance Officer of Barrington Capital Management, Inc., a Minnesota based Registered Investment Adviser (RIA)  firm that he established in 1988. 

He is an Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Master Registered Financial Consultant (MRFC®),  Life Underwriter Training Council Fellow (LUTCF®) and Certified Mediator and regularly serves as a Judge for local and national mediation competition for law students across the United States.

 

Bob is the Membership Chair for the Minnesota State Bar ADR Section, Mentorship Chair and Board Member for the Securities Experts Roundtable, Secretary and Board Member for the Master Registered Financial Consultants, and Board Member of the Twin Cities Chapter of the Certified Fraud Examiners and serves as an investment consultant for a Minneapolis based non-profit organization.  

  

Description of Practice
Bob's role is to guide parties through the mediation process and facilitate the exchange of perspectives and information while helping both parties achieve their objectives in mediation. Bob helps the parties reach solutions collaboratively and respectively without going to court. He listens to the facts carefully and provides the participants an opportunity to be heard, in addition to asking important questions to get to the heart of the matter.

His goal is to provide an affordable, less stressful alternative to litigation while keeping the parties in control of their own futures. The goal to this approach is to ensure that everyone involved feels satisfied about the outcome. Bob advances respectful communication, self-determination and creative solutions to problems by acting as a facilitator to the process and allowing the parties to develop their own solutions based upon common needs or interests. Typically, he avoids suggesting outcomes, believing that the best agreements are those crafted by the parties themselves. Such collaborative agreements are more likely to meet the parties’ substantive, procedural and psychological interests.

Bob is recognized by the Minnesota Supreme Court as a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice as a Mediator and Arbitrator, which entitles him to moderate court-appointed pre-settlement hearings.


Approach
Bob's objective as a Mediator is to fully understand both sides of a dispute and build trust with both parties in order to establish a sound foundation to build upon. He has the interpersonal skills to connect early in the process with the parties to make them feel comfortable. His approach to a successful mediation combines traditional and innovative techniques which foster a positive environment. As an effective listener, he ensures the participants fully express their views and objectives while carefully and respectfully advancing productive communication. Initially, he uses a facilitative approach with a caucus method to discuss the case privately with each side. If requested by all parties, he will offer an impartial opinion on how the dispute may be interpreted by an arbitration panel and provide possible solutions for the parties to consider.

As a skilled mediator with broad securities experience, Bob remains objective and impartial to assist the parties to evaluate their case from multiple perspectives. He promotes a productive and respectful environment to aid in the resolution of the dispute. His extensive knowledge and experience of financial industry rules, regulations, in addition to the FINRA Code of Mediation, facilitates the process with a high degree of success. He remains fully committed and engaged with both sides until the underlying matter is resolved. As a strong advocate of mediation, Bob believes parties will benefit from the process with the assistance of a skilled mediator who clearly understands the FINRA arbitration and mediation process and the securities industry.

 

Bob is an effective and skilled Mediator and passionate about helping parties settle their disputes.

Education

  • Mitchell Hamline Law School - St. Paul, MN Mediation Certificate

  • Mitchell Hamline Law School - St. Paul, MN Arbitration Certificate

  • Qualified through the National Arbitration and Mediation Committee

  • Association of Certified Fraud Examiners - Certified Fraud Examiner (CFE®)

  • fi360 - Accredited Investment Fiduciary (AIF®)

  • Master Registered Financial Consultant (MRFC)

  • The American College - Life Underwriters Training Council Fellow (LUTCF®)

  • Completed Eight FINRA Arbitration Courses

  • Completed the FINRA Arbitrator's Chairperson Examination

  • FINRA Registered Options Principal - Series 4*

  • FINRA General Securities Principal - Series 24*

  • FINRA General Securities Representative Examination - Series 7*

  • NASAA Uniform Securities State Law Examination - Series 63*

  • NASAA Investment Adviser Combination Examination - Series 66*

  • NFA - Futures and Commodities Examination - Series 3*

  • MSRB Municipal Fund Securities Limited Principal Examination - Series 51*

* No longer registered or affiliated with FINRA or the National Futures Association (NFA) as a Principal, Registered Representative, or Commodities Representative

 

Beginning the Process

If you would like a free consultation regarding your matter, please fill out the contact form below and you will be contacted within 24 hours. References available upon request.

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Barrington Financial Consulting Group, Inc.

3800 American Blvd West | Suite 1110 | Bloomington, MN  55431
800-741-0704  |  952-857-2411  |  Fax: 952-835-1504  |  E-mail


Disclosure: Barrington Financial Consulting Group, Inc. is not a law firm and the associates are not practicing attorneys. Neither Barrington Financial Consulting Group, Inc., nor any of their consultants, provide tax or legal advice. Tax and legal advice should only be obtained from a qualified professional. All written content on this site is for informational purposes only.  The scope of any activities performed by employees or subcontractors of Barrington Financial Consulting Group, Inc. is limited to litigation consulting and support.

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