Expertise
FINRA Arbitration Expert Witness | FINRA & CBOE Options Rules Expert | Retail Brokerage Expert | Standard of Care Expert | FINRA Broker-Dealer & Investment Advisor Expert | Securities & Investment Adviser Expert | Investment Fiduciary Expert | Securities Fraud & Omission Expert | Complex Case Expert | Annuities | Certified Securities Compliance Professional (CSCP®) BD/IA Qualified, FINRA Arbitrator (15 years), FINRA 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, 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 | FINRA & CBOE Options Rules Expert | Retail Brokerage Expert | Standard of Care Expert | FINRA Broker-Dealer & Investment Advisor Expert | Securities & Investment Adviser Expert | Investment Fiduciary Expert | Securities Fraud & Omission Expert | Complex Case Expert | Annuities | Certified Securities Compliance Professional (CSCP®) BD/IA Qualified, FINRA Arbitrator (15 years), FINRA 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, Non-Traded REITs, Private Placements, Promissory Notes and Selling Away.
(For search purposes, not intended to be a comprehensive list)
As a FINRA, Securities and Options Expert Witness and Certified Securities Compliance Professional (CSCP®) for both BDs 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 confidence 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, portfolio construction, and BD and RIA compliance.
Retaining counsel is supported by extensive research, well documented expert witness reports, persuasive testimony, and four decades of industry, retail 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 completed numerous nationally recognized certifications on securities law, financial institutions and regulations from Cornell Law School.
Curriculum Vitae
SER Voting Member
