Bob Lawson, AIF®, CFE®, RFC®, LUTCF®
President and Chief Compliance Officer, Barrington Capital Management, Inc.
3800 American Boulevard W. Suite 1110
Bloomington, MN 55431
Work: (800) 741-0704
Cell: (612) 418 9292
FINRA Expert Witness | Securities Expert Witness | FINRA Arbitrator
FINRA Expert Witness, Alternative Investments, Annuities - Fixed & Variable, Breach of Fiduciary Duty, Communications with the Public -
FINRA Rule 2210, Exchanged Traded Funds (ETFs) and Mutual Funds, Fiduciary Standard of Care & Responsibility, Financial Exploitation of Seniors and Vulnerable Adults, Fixed Income - Corporate Debt & U.S. Gov't Treasuries, Insurance - Term, Whole, Universal Life, Leverage and Inverse ETFs, Know Your Customer - FINRA Rule 2090, Limited Partnerships, Direct Participation Programs - FINRA Rule 2310, Non-Traded REITs, Omission of Facts, Options - Equity & Index, OTC Bulletin Board & Penny Stocks, Outside Business Activities - FINRA Rule 3270, Private Placements / Regulation D, Promissory Notes, Securities Fraud, Selling Away, Structured Investments, Suitability - FINRA Rule 2111, FINRA Rule Supervision 3110, Target Date Funds.
Bob proudly serves as a FINRA and NFA Arbitrator, Certified Fraud Examiner®, and Accredited Investment Fiduciary®.
Bob proudly serve as the President and Chief Compliance Officer of Barrington Capital Management, Inc. a Registered Investment Advisory Firm that he established in 1988. He is an Accredited Investment Fiduciary - AIF ®, FINRA & NFA Dispute Resolution Arbitrator, Certified Fraud Examiner - CFE®, and is active as a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice (Civil Adjudicative/Evaluative Arbitration & Civil Facilitative/Hybrid Mediation). Membership Chair - Minnesota State Bar Association ADR Section Council and Board Member of the Securities Experts Roundtable.
He has a deep understanding of publicly traded securities, listed options, debt instruments and FINRA rules and regulations. Bob has taught numerous classes on investing to individual and professional investors on a wide variety of topics over the past 30+ years.
Awards & Honors
• A. M. Best Company Recommended Expert Service Provider – 2013 - Present
• Director - Little Brothers - Friends of the Elderly
• Barrington Capital Management, Inc. is a 14-year Accredited member from the BBB of Minnesota and the Dakotas
• Nominated for the 2010, 2011 and 2012 Minnesota Business Ethics Award
Industry Licenses (Past & Present)
• Registered Securities Principal – FINRA Series 24
• Registered Options Principal – FINRA Series 4
• Registered Representative – FINRA Series 7
• Municipal Securities Fund Principal – FINRA Series 51
• Uniform Combined State Law – FINRA Series 66
• Uniform Securities Agent State Law – FINRA Series 63
• Futures & Commodities – NFA Series 3
• Insurance Agency License – Minnesota Department of Commerce (Barrington Capital Management) License # 20093989 | Issued: 03/20/2001
• Minnesota Department of Commerce - License No: 1008439 | Issued 10/27/1982 - Resident Insurance Producer: Life & Health
* No longer registered with FINRA or the National Futures Association (NFA)