Expertise
FINRA Arbitration Expert Witness | Suitability & Fiduciary Expert Witness | Annuity Expert Witness | Certified Securities Compliance Professional (CSCP) BD/IA Qualified, FINRA Arbitrator & Mediator, Code of FINRA Arbitration Procedures, Securities Fraud, 10b, 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, Insurance - Indexed Universal Life, 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, Options, Private Placements, Promissory Notes, and Selling Away
Robert D. Lawson   AIF®, CSCP, CFE®, MRFC®, LUTCF®

FINRA Arbitration Expert Witness , Barrington Financial Consulting Group, Inc.
3800 American Boulevard W. Suite 1500
Bloomington, MN 55438

Work: (952) 952-835-1000
Cell: (612) 418-9292
blawson@barrington-inc.com
www.barrington-inc.com
LinkedIn
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FINRA Expert Witness | Certified Securities Compliance Professional
Expertise
FINRA Arbitration Expert Witness | Suitability & Fiduciary Expert Witness | Annuity Expert Witness | Certified Securities Compliance Professional (CSCP) BD/IA Qualified, FINRA Arbitrator & Mediator, Code of FINRA Arbitration Procedures, Securities Fraud, 10b, 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, Insurance - Indexed Universal Life, 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, Options, Private Placements, Promissory Notes, and Selling Away

As a FINRA Expert Witness and Certified Securities Compliance Professional (CSCP®), Robert Lawson has advanced proficiency in securities, fiduciary, and insurance compliance practices. He is the President and Chief Compliance Officer of Barrington Capital Management, Inc., a Registered Investment Adviser (RIA) and Insurance Agency that he established in 1988. He also serves as the President and Managing Principal of Barrington Financial Consulting Group, Inc., a securities and insurance litigation support firm with 15 experienced testifying and consulting experts.

As a Securities & Insurance Expert Witness and Litigation Support Consultant, Mr. Lawson 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 thorough understanding of industry rules, standards of professional conduct, ethics and conflicts of interests, regulatory risk management, and books and records. Retaining counsel is supported by extensive research, well documented expert witness reports, persuasive testimony, and 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, Mr. Lawson remains impartial and motivated to assist the parties in resolving their dispute from multiple perspectives. He promotes a productive and respectful environment to aid in the resolution of the dispute.

Mr. Lawson is knowledgeable in the financial services industry with numerous nationally recognized certifications.

Curriculum Vitae