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:
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Securities Experts Roundtable – Practice Management & Mentorship Chair
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Master Registered Financial Consultants (MRFC®) – Vice-Chair
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International Association of Registered Financial Consultants (IARFC®) – Member
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Twin Cities Chapter Certified Fraud Examiners (CFE) – Board Member
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Association of Certified Fraud Examiners (ACFE®) – Member
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Minnesota State Bar Association ADR Section – Membership Chair
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Chartered Financial Analyst Institute (CFA®) – Member
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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.


Annuities & Life Insurance
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Fixed Annuities
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Fixed Indexed Annuities
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Variable Annuities
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Indexed Universal Life
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Variable Universal Life
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Underwriting Procedures
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Suitability Considerations
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Independent Marketing Organizations (IMO) Liability
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Annuity Replacements
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Long-Term Care Insurance
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Failure to Disclose
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Annuity Churning
Securities & Institutions
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Breach of Fiduciary Duty
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Broker-Dealer Disputes & Investment Adviser Disputes
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Employment Issues
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Options Trading
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Failure to Supervise
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Investor Suitability
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Concentrated Portfolios
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Compliance Obligations
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Securities Fraud
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Selling Away
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Promissory Notes
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Private Placements
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Selling Away & OBAs
FINRA & Court Proceedings
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Expert Testimony
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White Collar Crime
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Initial Case Evaluation
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Filing a Claim
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Discovery Guidance
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Party Identification
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Document Review
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Assistance with Pleadings & Responses
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Expert Reports & Affidavits
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Damage Analysis
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Registered Representative Patterns of Abuse
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FINRA Sanctions