top of page

Robert D. Lawson, FINRA Expert, Completes the Financial Institutions Regulations and Securities Law


May 16, 2023 – Robert Lawson, an accomplished FINRA Expert and Securities Expert Witness, Certified Securities Compliance Professional (CSCP®), Master Registered Financial Consultant (MRFC®), Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), and Life Underwriter Training Council Fellow (LUTCF®) has completed the Financial Institutions Regulations and Securities Law Certificate Programs at Cornell Law School. (1,2)


The Financial Regulation Certificate program provided a comprehensive analysis of the market architecture of the entire U.S. financial sector, from banks, insurance companies, broker-dealers, asset managers, fintech companies of many types, complex financial conglomerates, and government-sponsored enterprises. The Securities Law Program consisted of four separate courses, which ranged from Defining Security, Securities Registration and Reporting, Registration Requirement Exemptions, and Key Securities Law Liabilities and Principal Underwriting Documents. (3)


According to Mr. Lawson , the coursework represented a significant commitment of his time, but stated, “these two programs are among two best advance training programs that I have completed in my 40-year career in the financial services industry and will help become a better FINRA Arbitrator and FINRA and Securities Expert Witness.”


With extensive experience in the securities and insurance industries, Mr. Lawson serves as the President and Chief Compliance Officer of a Registered Investment Advisory firm that he established in 1988. He is also the President of a full-service Securities and Insurance Litigation Support Consulting firm (www.Barrington-Inc.com), which includes over a dozen of experienced financial services testifying and consulting experts.


In addition to being a former FINRA Registered Securities and Options Principal, Registered Representative, Mr. Lawson proudly serves as a FINRA Arbitrator (Chair-Qualified) & FINRA Mediator, NFA Arbitrator (Chair-Qualified), and is a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice (Adjudicative/Evaluative).


He also serves as a Chair, Board Member, and/or Member for several professional organizations, including the Securities Experts Roundtable (SER), Master Registered Financial Consultants (MRFC®), National Society of Compliance Professionals (NSCP), Certified Fraud Examiner (CFE®), Association of Certified Fraud Examiners (ACFE®), Minnesota State Bar Association ADR Section, Chartered Financial Analyst Institute (CFA®), and CFA® Society of Minnesota.


Mr. Lawson's unbiased expert opinions are founded upon his years of experience, training, education, and a thorough understanding of FINRA and SEC Rules, Standards of Professional Conduct, Standard of Care for the brokerage, investment management, and insurance industries . He speaks with clarity and precision, making him a sought-after expert witness and consultant in complex legal cases involving FINRA, securities, fiduciary and annuities disputes. (4,5)


Completing the Financial Regulations and Securities Law Certificate Programs at Cornell Law School are significant milestones for Mr. Lawson, and he looks forward to using this advanced knowledge in his role to better serve in his capacity as a FINRA Arbitrator and FINRA Expert Witness with the highest level of expertise and unbiased professionalism.


For more information about Mr. Lawson’s professional services, please contact him via email at Blawson@Barrington-Inc.com.


 

Citations:

1. Qualified for Broker-Dealers (BD) and Investment Advisers (IA)

2. Special expertise in securities fraud

3. Financial Regulations: Law and Policy – Third Edition and Principles of Financial Regulation

4. Expertise in insurance limited to variable annuities and life insurance.

5. According to Federal Rule of Evidence 702, Expert Witnesses must have the “knowledge, skill, experience training , and education” which will help the trier of fact to understand the evidence or to determine a fact in the issues.



コメント


bottom of page