Financial Mediation Services

Bob Lawson - Mediation & FINRA Arbitration Dispute Resolution

Mr. Bob Lawson of Barrington Financial Consulting Group, Inc. 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 and adheres to the highest ethical standard. This allows him to moderate court-appointed pre-settlement hearings and general business disputes.

Bob's experience encompasses 35 years in many sectors of the financial services industry ranging from: Financial Adviser, Registered Securities & Option Principal, Executive Management, Supervisory, and Money Laundering. He is a member of the Association of Certified Fraud Examiners and has earned the designations Certified Fraud Examiner (CFE®) and Accredited Investment Fiduciary (AIF®).

Professional Background

Bob is the founder and President of Barrington Capital Management, Inc., a MN-based Registered Investment Adviser and Litigation Consulting firm that he established in 1988.  In addition, Bob proudly serves as FINRA Mediator and Arbitrator. He is an unbiased and impartial neutral, rendering binding decisions between disputing parties in securities and insurance matters. He is also on the National Futures Association roster as an Industry Arbitrator and serves in a similar capacity regarding the commodities markets and futures contracts. He is an active Mediator for the Better Business Bureau and Minnesota and the Dakotas (BBB) and Community Mediation and Restorative Services. He also serves as a Mediator for the Better Business Bureau of Minnesota and Community Mediation and Restorative Services, Inc. in Minneapolis, MN. Bob serves as a volunteer for the Better Business Bureau (BBB)of Minnesota and for Community Mediation and Restorative Services, Inc. (CMRS) in Minneapolis, MN. Bob is an effective and skilled Mediator and passionate about helping parties settle their disputes.

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.


Fees
Mediation fees will be commensurate based upon the time, complexity, and underlying topic of the dispute and fully disclosed. Bob also provides pro bono mediation in certain situations, where time permits. He offers a limited number of pro-bono mediation sessions without charge.

Training

  • Mitchell Hamline School of Law: Arbitration - 2011

  • Mitchell Hamline School of Law: Mediation - 2014

  • Hamline Law School: MN Rule 114 Qualified Neutral Training - 2011

  • Association of Certified Fraud Examiners (CFE®) - 2014

  • CMRS, Inc.: Restorative Justice Training - 2014

  • fi360: Accredited Investment Fiduciary (AIF®) - 2015

  • CMRS, Inc.: Mediation | Ethics | Confidentiality - 2015

  • Financial Industry Regulatory Authority: Qualified through the National Arbitration and Mediation Committee as a FINRA Arbitrator - 2009

  • AAA: Making the Most of Med-Arbitration - 2017

  • AAA: People Skills and Mediation - Avoiding Chaos - 2017

  • MN State Bar Association - ADR Section: Managing Values-Based Disputes - 2017

  • MN State Bar Association - ADR Section: Tips for Interacting with Diverse Humans - 2017

  • MN State Bar Association - ADR Section: How to Avoid an Ethics Complaint as a Neutral - 2017

  • National Future Association (NFA): Arbitration Chairperson Examination - 2017

  • MN State Bar Association - ADR Section: Keeping Your Cool When Clients Get Heated - 2017

  • MN State Bar Association - ADR Section: Practice Tips for Mediation and Arbitration - 2017

  • MN State Bar Association - ADR Section: Preparing for a Productive Mediation - 2017

  • MN State Bar Association - ADR Section: Best Practices in Conducting Arbitrations - 2017

  • MN State Bar Association - ADR Section: Is Arbitration Getting a Bad Name? (Presenter) - 2017

  • AAA: The Preliminary Hearing - 2017

  • AAA: Recommendations from a Lifetime in Arbitration - 2017

  • National Futures Association: Conducting Pre-hearing Conference Calls - 2017

  • MN State Bar Association ADR Section: Handling Difficult Questions - 2017

  • MN State Bar Association ADR Section: 8 Ways to Make the Most of Arbitration - 2017

  • FINRA: Request to Amend a Brokers CRD - 2017

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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