Expertise
FINRA® Arbitration Expert Witness | Certified Financial Fiduciary® | 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 | Certified Financial Fiduciary® | 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)
Bob Lawson is a securities industry professional with more than four decades of supervisory, compliance, fiduciary, and investment-management experience, including service as an active investment adviser, former supervisory principal, and FINRA Chair-qualified arbitrator. He provides neutral, conduct-based analysis of financial-professional behavior, supervisory practices, and fiduciary obligations to assist arbitrators, courts, and counsel in resolving complex securities-related disputes.
Areas of Expertise
Conduct-Based Fiduciary and Regulatory Analysis
Conduct-based fiduciary framework, including episodic versus continuous advisory relationships; SEC Fiduciary Interpretation (IA-5248); Regulation Best Interest and fiduciary-duty distinctions; Investment Advisers Act Section 202(a)(11) threshold analysis; fiduciary standards of care and loyalty applicable to broker-dealers, investment advisers, and insurance professionals.
Supervision, Compliance, and Industry Standards
Failure to supervise; supervisory systems and controls under FINRA Rules 3110, 3120, and 3130; written supervisory procedures; compliance governance, risk assessment, and monitoring; conflicts of interest; communications with the public; ethical obligations; FINRA investigations, sanctions, and disciplinary considerations; outside business activities and private securities transactions.
Financial-Professional Conduct and Customer Harm Allegations
Breach of fiduciary duty; fraud, misrepresentation, and omission of material facts; churning, excessive trading, and switching; sales of unregistered securities; selling away; manipulative or deceptive devices; financial exploitation of seniors and vulnerable adults; compensation and employment-related disputes.
Products, Strategies, and Complex Investments
Options and related supervision; leveraged and inverse ETFs; structured investments; limited partnerships, direct participation programs, and non-traded REITs; alternative investments
Curriculum Vitae
SER Voting Member
