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 

Mr. Robert Lawson has nearly 40 years of experience in the financial services industry with securities, investments, retirement plans, and insurance and in a professional capacity as a registered representative, financial advisor, investment fiduciary, supervisor, securities, and options principal. He is the President and Chief Compliance Officer of Barrington Capital Management, Inc., a Registered Investment Advisory (RIA) firm he established in 1988. He also serves as the President and Managing Principal of Barrington Financial Consulting Group, Inc., a securities and insurance litigation consulting firm with 12 experienced testifying and consulting experts.

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Mr. Lawson proudly serves as a FINRA and NFA Arbitrator (FINRA Chair-Qualified) and a FINRA Mediator where he presides over industry and public disputes pertaining to breach of fiduciary duties, negligence, failure to supervise, misrepresentation, breach of contract, monetary damages, and employment issues. As an unbiased Arbitrator, he renders final and binding decisions after carefully weighing the facts of each case. As a skilled mediator, Mr. Lawson remains impartial and motivated to assist the parties in resolving their dispute from multiple perspectives. He promotes a productive and respectful environment to aid in the resolution of their dispute.

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As a Securities & Insurance Expert Witness and Litigation Support Consultant, Mr. Lawson is retained by both claimants and respondents for FINRA arbitrations, mediations, and court settings. He speaks with clarity and precision and his expert opinions are founded upon his years of experience and thorough understanding of industry rules, standards of professional conduct, and the codes of ethics for the brokerage, investment management, and insurance industries. Retaining counsel is supported by extensive research, expert witness reports, persuasive testimony, and decades of industry, brokerage, supervisory and fiduciary experience. 

Mr. Lawson is knowledgeable in the financial services industry with numerous nationally recognized certifications and has conducted over 500 presentations, CLE’s, and workshops for attorneys, financial services professionals, and retail investors.

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

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• CFA® Institute – Global Industry Standards (GIS) Steering Committee

• Securities Experts Roundtable (SER) Practice Management and Mentorship Chair – Member

• Master Registered Financial Consultants (MRFC®) - Vice-Chairman and Board Member

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

• Minnesota State Bar Association (MSBA) ADR Section – Membership Chair

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Contact:

Direct: 952-857-2411

Toll Free Direct: 800-741-0704

Email: BLawson@Barrington-Inc.com

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Mr. Lawson's Curriculum Vitae

FINRA Rules Resource Guide

White Paper: Selling Away

White Paper: FINRA Dispute Resolution Essentials

Annuities & Life Insurance
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•  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
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• 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​

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•  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: