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
With over 35 years of financial services experience, Bob Lawson, AIF®, MRFC®, CFE® is an experienced Securities Expert Witness and Litigation Support Consultant for FINRA arbitration, Civil/Federal/Criminal Court proceedings, and mediation.
In 1988, Mr. Lawson founded Barrington Capital Management, Inc., a Registered Investment Advisory firm and serves as the President and Chief Compliance Officer. He is an Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Master Registered Financial Consultant (MRFC®), and a Life Underwriter Training Council Fellow (LUTCF®). In addition, he serves as the President of Barrington Financial Consulting Group, Inc., a nationally-recognized securities litigation consulting firm.
His breadth of securities experience includes managing and supervising FINRA broker-dealer branch offices as a Registered Securities Principal, Options Principal, and is currently the President and CCO Barrington Capital Management, Inc., a Registered Investment Advisory firm that he established in 1988. As a former branch manager of nationally-recognized broker-dealers and an active CCO of a Registered Investment Adviser, Mr. Lawson possesses special expertise in supervisory, standard of care, compliance, investment fiduciary matters, and investment securities. He also has considerable supervisory and field underwriting experience with insurance products including variable and fixed indexed annuities and life insurance.
Mr. Lawson presides as a FINRA & NFA Arbitrator (FINRA Chair-Qualified) and FINRA Mediator for disputes concerning investors, financial services professionals, broker-dealers, intra-industry disputes, U-5s, and dually-registered investment advisers. Claims often arise regarding breach of fiduciary obligations, employment disputes, conflicts of interest, churning, unsuitable investments, and failure to supervise. The written awards of panels for which he has sat are published on www.FINRA.org and Westlaw.
Bob is the Vice-Chairman of the Master Registered Financial Consultants (MRFC®) organization, which is a division of the International Association of Registered Financial Consultants (IARFC®). In addition, he serves as a Board Member and Practice Management Chair for the Securities Experts Roundtable (SER), Membership Chair for the Minnesota State Bar Association (MSBA) ADR section. He is recognized by the Minnesota Supreme Court as a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice as a Civil Facilitative/Hybrid Mediator and Adjudicative/Evaluative Arbitrator.
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
