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, 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.

Contact:

Direct: 952-835-1000

Toll Free Direct: 800-741-0704

Email: BLawson@Barrington-Inc.com

​

Mr. Lawson's Curriculum Vitae

FINRA Rules Resource Guide

White Paper: Selling Away

White Paper: FINRA Dispute Resolution Essentials

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: