Securities Expert Witness | FINRA Arbitration | Options Expert Witness

After 27 years as a Registered Securities and Options Principal in the financial services industry, Bob Lawson founded Barrington Financial Consulting Group, Inc. in 2017. This firm specializes in securities and insurance litigation consulting where he oversees a team of 20 experienced experts who provide both testifying and consulting services. 

 

Bob’s extensive qualifications, which include being an active Certified Financial Fiduciary, Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Certified Securities Compliance Professional (CSCP®), and Master Registered Financial Consultant (MRFC®), along with his background as a former NASD and FINRA Securities and Options Principal, grant him a unique perspective in this increasingly dynamic and complex financial services industry. As a FINRA Arbitration Expert Witness, he possesses advanced knowledge in securities, insurance, and compliance practices, with a particular expertise in stock and index options rules and regulations.

 

Bob's supervisory responsibilities included communication with both domestic and international clients, as well as reviewing and overseeing compliance with regulations set by self-regulatory organizations (SROs), securities statutes, internal written supervisory procedures, and industry practices. He is also the President and Chief Compliance Officer of the Registered Investment Advisory firm Barrington Capital Management, Inc. that he established in 1988. As a FINRA and Securities Expert Witness and Litigation Support Consultant, he is retained by both claimants and respondents for FINRA arbitrations, mediations, and court cases. He communicates with clarity and precision, and his expert opinions are based on years of experience and a thorough understanding of industry rules, standards of professional conduct, ethics, conflicts of interest, and regulatory risk management.

 

Counsel that retains him benefits from extensive research using Lexis Nexis, well-documented expert witness reports, persuasive testimony, and decades of experience in the brokerage industry, supervision, and investment fiduciary responsibilities.

 

Bob proudly serves as an arbitrator for FINRA and NFA (FINRA Chair-Qualified) and as a mediator for FINRA, where he handles industry disputes related to breach of fiduciary duties, negligence, failure to supervise, misrepresentation, breach of contract, monetary damages, and employment issues. As an impartial arbitrator, he delivers final and binding decisions after carefully considering the facts of each case. As a skilled mediator, he remains neutral and aims to assist the parties in resolving their disputes from various perspectives. He fosters a productive and respectful environment to facilitate the resolution process. He has conducted over 500 presentations, CLEs, and workshops for attorneys, financial services professionals, and individual investors.

 

Bob’s passion to serve has been demonstrated throughout the decades as a financial professional, consultant, teacher, arbitrator, mediator, and expert witness.

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

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• Securities Experts Roundtable (SER) Former Practice Management Chair and Director – Current Member

• Minnesota State Bar Association – Former ADR Chair and Current Member

• Master Registered Financial Consultants (MRFC®) Former Chair and Current Member

• International Association of Registered Financial Consultants (IARFC)

• CFA Institute - Member

• CFA Society of Minnesota - Member​

• National Society of Compliance Professionals (NSCP) – Member

• Association of Certified Fraud Examiners (ACFE) – Member

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

• Member Thomson Reuters Expert Witness

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