Expertise
Certified Securities Compliance Professional (CSCP) BD/IA Qualified, FINRA Expert Witness, FINRA Arbitrator & Mediator, Code of FINRA Arbitration Procedures, Securities Fraud, 10b-5, Manipulation, Deception, Omission, and the Use of Fraudulent Devices, FINRA Sanctions, Unauthorized Trading, 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, Suitability - Failure to Supervise, Supervision FINRA 3110, and Supervisory Control Systems - FINRA 3120, Know Your Customer - FINRA Rule 2090, Limited Partnerships, Non-Traded REITs, Options, Outside Business Activities - FINRA Rule 3270, FINRA 4530 - Reporting Requirements, Private Placements, Promissory Notes, Selling Away, Risk Assessment and Risk Management.
Robert D. Lawson   AIF®, CSCP, CFE®, MRFC®, LUTCF®

FINRA Expert Witness | Certified Fraud Examiner, 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
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FINRA Expert Witness | Certified Securities Compliance Professional
Expertise
Certified Securities Compliance Professional (CSCP) BD/IA Qualified, FINRA Expert Witness, FINRA Arbitrator & Mediator, Code of FINRA Arbitration Procedures, Securities Fraud, 10b-5, Manipulation, Deception, Omission, and the Use of Fraudulent Devices, FINRA Sanctions, Unauthorized Trading, 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, Suitability - Failure to Supervise, Supervision FINRA 3110, and Supervisory Control Systems - FINRA 3120, Know Your Customer - FINRA Rule 2090, Limited Partnerships, Non-Traded REITs, Options, Outside Business Activities - FINRA Rule 3270, FINRA 4530 - Reporting Requirements, Private Placements, Promissory Notes, Selling Away, Risk Assessment and Risk Management.

ROBERT LAWSON is an experienced and accomplished FINRA and Securities Expert Witness. He is an active CEO and CCO of an RIA that he established in 1988. His credentials include: Certified Securities Compliance Professional, Master Registered Financial Consultant, (MRFC®), Accredited Investment Fiduciary, (AIF®), Certified Fraud Examiner, (CFE®), FINRA Mediator/Arbitrator, a Certified Mediator, and a Life Underwriter Training Council Fellow, (LUTCF®).

Lawson is the President and Managing Principal of Barrington Financial Consulting Group, a full-service Securities and Insurance Litigation Support Consulting firm with a team of 12 experienced financial services testifying and consulting experts.

For nearly 40 years, Lawson has worked in the brokerage industry as a FINRA Registered Securities and Options Principal, Registered Representative, Investment Fiduciary, and Insurance Agent.

Mr. Lawson serves as a FINRA Arbitrator & Mediator, A Certified Mediator, NFA Arbitrator (Chair-Qualified), and Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice (Adjudicative/Evaluative).

Mr. Lawson serves as a Director, Board Member or Committee Member for the following organizations:

• Securities Experts Roundtable – Practice Management Chair
• Master Registered Financial Consultants (MRFC®) – Chair
• National Society of Compliance Professionals (NSCP)
• Twin Cities Chapter Certified Fraud Examiners (CFE)
• Association of Certified Fraud Examiners (ACFE®) - Member
• Minnesota State Bar Association ADR Section – Membership Chair
• Chartered Financial Analyst Institute (CFA®) - Member
• CFA® Society of Minnesota – Member
* Former CFA Steering Committee Member

Mr. Lawson speaks with clarity and precision and his opinions are founded upon his years of experience and thorough understanding of Industry Rules, RIA and BD WSP's, Standards of Professional Conduct and the Code of Ethics for the brokerage, investment management, and insurance industry.

Curriculum Vitae