Expertise
FINRA Arbitration Expert Witness | Wire House Expert | FINRA Broker-Dealer Expert | Securities Expert | Investment Adviser Expert | Fiduciary Expert | Securities Fraud & Omission Expert | Ponzi Schemes | Options Expert | Complex Case Expert | Annuities | Certified Securities Compliance Professional (CSCP®) BD/IA Qualified, FINRA Arbitrator & Mediator, Code of FINRA Arbitration Procedures, Manipulation, Deception, Omission and the Use of Fraudulent Devices, FINRA Sanctions, Conflicts of Interests, Breach of Fiduciary Duty, Standards of Commercial Honor and Principles of Trade, Supervision, Alternative Investments, Annuities - Fixed & Variable, ETF's & Mutual Funds, Fiduciary Standard of Care & Responsibility, Elder Financial Exploitation, Leverage and Inverse ETFs, Failure to Supervise, Supervision FINRA 3110, and Supervisory Control Systems - FINRA 3120, Know Your Customer - FINRA Rule 2090, Limited Partnerships, Non-Traded REITs, Private Placements, Promissory Notes and Selling Away.
(For search purposes, not intended to be a comprehensive list)
Expertise
FINRA Arbitration Expert Witness | Wire House Expert | FINRA Broker-Dealer Expert | Securities Expert | Investment Adviser Expert | Fiduciary Expert | Securities Fraud & Omission Expert | Ponzi Schemes | Options Expert | Complex Case Expert | Annuities | Certified Securities Compliance Professional (CSCP®) BD/IA Qualified, FINRA Arbitrator & Mediator, Code of FINRA Arbitration Procedures, Manipulation, Deception, Omission and the Use of Fraudulent Devices, FINRA Sanctions, Conflicts of Interests, Breach of Fiduciary Duty, Standards of Commercial Honor and Principles of Trade, Supervision, Alternative Investments, Annuities - Fixed & Variable, ETF's & Mutual Funds, Fiduciary Standard of Care & Responsibility, Elder Financial Exploitation, Leverage and Inverse ETFs, Failure to Supervise, Supervision FINRA 3110, and Supervisory Control Systems - FINRA 3120, Know Your Customer - FINRA Rule 2090, Limited Partnerships, Non-Traded REITs, Private Placements, Promissory Notes and Selling Away.
(For search purposes, not intended to be a comprehensive list)
As a FINRA and Securities Expert Witness and Certified Securities Compliance Professional (CSCP®) for both Broker-Dealers and Investment Advisers, Bob Lawson has advanced proficiency in securities, options, investment fiduciary, and annuity compliance practices. He is the President and Chief Compliance Officer of Barrington Capital Management, Inc., a Registered Investment Adviser (RIA) that he established in 1988. He also serves as the President and Managing Principal of Barrington Financial Consulting Group, Inc., a full-service securities and insurance litigation support firm with 20 experienced testifying and consulting experts.
As a Securities & Insurance Expert Witness and Litigation Support Consultant, he is retained by both claimants and respondents for FINRA arbitrations, mediations, and court settings. He speaks with clarity and precision and his expert opinions are founded upon his years of experience and a thorough understanding of industry rules, ethical standards of professional conduct, conflicts of interest, and regulatory risk management.
Retaining counsel is supported by extensive research, well documented expert witness reports, persuasive testimony, and four decades of industry, brokerage, supervisory and fiduciary experience.
Mr. Lawson proudly serves as a FINRA and NFA Arbitrator (FINRA Chair-Qualified) and a FINRA Mediator where he presides over industry and public disputes pertaining to breach of fiduciary duties, negligence, failure to supervise, misrepresentation, breach of contract, monetary damages, and employment issues. As an unbiased Arbitrator, he renders final and binding decisions after carefully weighing the facts of each case. As a skilled mediator, he remains impartial and motivated to assist the parties in resolving their dispute from multiple perspectives.
Mr. Lawson has been awareded numerous nationally recognized certifications including securities law and financial institutions & regulations.
Curriculum Vitae
SER Voting Member
