Securities & Insurance Expert Witness

Securities Expert Witness | FINRA Arbitration | Options Expert Witness

Bob Lawson, AIF®, MRFC®, CFE®, LUTCF®

FINRA Arbitration Chair  |  NFA Arbitrator – Chair Qualified  |  FINRA Mediator 

Robert D. Lawson is an experienced and accomplished securities professional, Expert Witness, Chief Compliance Officer, Master Registered Financial Consultant, (MRFC®), Accredited Investment Fiduciary, (AIF®), Certified Fraud Examiner (CFE®), and a Life Underwriter Training Council Fellow, (LUTCF®) with nearly 40 years of experience in the securities and insurance industries.

In addition to being the President and Chief Compliance Officer (CCO) of a Registered Investment Advisory firm that he established in 1988, he is also the President and Managing Principal of a full-service Securities and Insurance Litigation Consulting firm with 12 experienced financial services testifying and consulting experts.

For decades, he has worked in the brokerage industry as a FINRA Registered Securities and Options Principal, Registered Representative, Investment Fiduciary, and Insurance Agent. Mr. Lawson proudly serves as a FINRA Arbitrator & Mediator, NFA Arbitrator (Chair-Qualified), and Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice (Adjudicative/Evaluative).

Mr. Lawson serves as a Director, Board Member, and / or Member for the following organizations:

  • Securities Experts Roundtable – Practice Management & Mentorship Chair

  • Master Registered Financial Consultants (MRFC®) – Vice-Chair

  • International Association of Registered Financial Consultants (IARFC®) – Member

  • Twin Cities Chapter Certified Fraud Examiners (CFE) – Board Member

  • Association of Certified Fraud Examiners (ACFE®) – Member

  • Minnesota State Bar Association ADR Section – Membership Chair

  • Chartered Financial Analyst Institute (CFA®) – Member

  • CFA® Society of Minnesota – Member

​Mr. Lawson speaks with clarity and precision and his expert opinions are founded upon his years of experience and a thorough understanding of Industry Rules, Standards of Professional Conduct, and the Codes of Ethics for the brokerage, investment management, and insurance industries.

Contact:

Direct: 952-835-1000

Toll Free Direct: 800-741-0704

Email: BLawson@Barrington-Inc.com

Annuities & Life Insurance
  •  Fixed Annuities​
  • Fixed Indexed Annuities 
  • Variable Annuities​
  • Indexed Universal Life
  • Variable Universal Life
  • ​Underwriting Procedures
  • ​Suitability Considerations
  • ​Independent Marketing Organizations (IMO) Liability
  • ​Annuity Replacements
  • Long-Term Care Insurance
  • ​Failure to Disclose​
  • Annuity Churning 
Securities & Institutions
  • Breach of Fiduciary Duty
  • Broker-Dealer Disputes & Investment Adviser Disputes
  • Employment Issues
  • Options Trading​
  • Failure to Supervise​
  • Investor Suitability​
  • Concentrated Portfolios​​
  • Compliance Obligations​
  • Securities Fraud​
  • Selling Away​
  • Promissory Notes​
  • Private Placements
  • Selling Away & OBAs
FINRA & Court Proceedings
  •  Expert Testimony
  • White Collar Crime
  • Initial Case Evaluation
  • Filing a Claim
  • Discovery Guidance
  • Party Identification
  • Document Review​
  • Assistance with Pleadings & Responses
  • Expert Reports & Affidavits
  • Damage Analysis
  • Registered Representative Patterns of Abuse​
  • ​FINRA Sanctions 
Qualified to Present Expert Testimony, Representative but not Inclusive:
Modern Office Building

For general inquiries or a complimentary case analysis by Bob Lawson, please use our contact form:

Bob Lawson, AIF®, MRFC®, CFE®, LUTCF®

Direct: 952-835-1000

Toll Free Direct: 800-741-0704

Email: BLawson@Barrington-Inc.com

Our Experts    |    Services    |    FINRA Arbitration    |    Mediation    |      Pro Bono Services    |    Contact

Barrington Financial Consulting Group, Inc.

952-835-1000   |   800-741-0704   |   E-mail


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