Securities & Insurance Expert Witness

Securities Expert Witness | FINRA Arbitration | Options Expert Witness

Bob Lawson - Securities & FINRA Expert Witness

Bob Lawson, AIF®, MRFC®, CFE®, LUTCF®

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

Investment Fiduciary Expert Witness
Financial Fraud Expert Witness
Financial Expert Witness
Securities Expert Witness

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, or Member for the following organizations:

  • CFA® Institute – Global Industry Standards (GIS) Steering Committee  - Term beginning on Sept 1, 2021

  • Securities Experts Roundtable (SER) - Practice Management & Mentorship Chair​

  • Master Registered Financial Consultants (MRFC®) - Vice-Chair, Secretary & Education Curriculum Member

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

  • Minnesota State Bar Association ADR Section – Membership Chair

​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.


Direct: 952-835-1000

Toll Free Direct: 800-741-0704


FINRA Mediation
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