Bob Lawson, AIF®, CFE®, RFC®, LUTCF®

Bob Lawson, AIF®, CFE®, RFC®, LUTCF®

Robert Lawson is a Bates Group consultant with over 33 years of financial experience in securities, investments, insurance and commodities. In a professional capacity, Mr. Lawson has served as a financial advisor, supervisor and managing principal. He is currently the President and Chief Investment Officer of Barrington Capital Management, a Registered Investment Advisory firm and insurance agency.

Mr. Lawson proudly serves as a FINRA and NFA Dispute Resolution Arbitrator, where he presides over industry disputes pertaining to monetary losses, business damages and employees of securities firms. He renders final and binding decisions after carefully weighing the facts of each case. He is also a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice in mediation and arbitration.

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. Retaining counsel is supported by extensive research, expert witness reports and testimony, fraud investigations, and decades of industry experience. He is an articulate and persuasive speaker with a thorough understanding of FINRA, SEC and NFA rules and regulations.

Mr. Lawson is dedicated and knowledgeable in the financial services industry with numerous nationally-recognized certifications. He has conducted over 500 presentations, classes, and workshops on financial matters for industry professionals and the investing public.


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Bob Lawson, AIF®, CFE®, RFC®, LUTCF®

A Consultant and subject matter expert in these services:

Credentials

EXPERIENCE 

Barrington Capital Management, Naples, FL, Branch Manager, 2015 - 2016

Securities & Insurance Litigation Consultant, Litigation support, expert witness services & case analysis, 2010 - Present

FINRA Dispute Resolution Arbitrator, Aug 2009 - Present

  • Active Industry FINRA Arbitrator, Non-Public
  • Preside Over FINRA Arbitration Cases
  • Qualified Through the National Arbitration and Mediation Committee

National Futures Association (NFA) Dispute Resolution Arbitrator, Feb 2012 - Present

  • Active Industry NFA Arbitrator, Non-Public
  • Preside over NFA Arbitration Cases Involving Investors, Member Firms, Customers, and Employees Regarding Futures, Commodities, and Forex Issues Disputes

Broker-Dealer & Registered Investment Adviser Consultant, Private Consultant for Compliance, Ethics, Business Development, and Operational Matters for Broker-Dealers and Registered Investment AdvisersJun 2006 - Present

Your Financial Roadmap, Inc., President  & Founder, Dec 2015 - Present

Gardner Financial Services, Inc., Registered Securities & Options Principal, Apr 2014 - Sep 2014, Compliance Consultant, Sep 2015 - Nov 2015

MB Trading, Registered Securities & Options Principal | Branch Manager, Feb 2011 - Apr 2012

Thinkorswim, Inc. / TD Ameritrade, Inc., Registered Securities & Options Principal / Branch Manager, Jun 2006 - Aug 2010

Raymond James Financial Services, Inc. / Robert Thomas Securities, Inc., Registered Securities Principal | Branch Manager, Oct 1998 - Jun 2004

Midwest Discount Brokers, Inc., Registered Securities Principal & Registered Representative | Branch Manager, Apr 1996 - Oct 1998

Securities Service Network, Inc., Registered Securities Principal & Registered Representative | Branch Manager, Aug 1994 - Feb 1995

Securities America, Inc., Registered Securities Principal & Registered Representative | Branch Manager, Nov 1993 - Mar 1994

Walnut Street Securities, Inc., Registered Securities Principal & Registered Representative | Branch Manager, Jan 1990 - Jan 1993

Financial Network Investment Corporation, Registered Securities Principal & Registered Representative | Branch Manager, Nov 1987 - Jan 1990

Shearson Lehman Brothers, Inc. / American Express, Vice President / Fixed Income Specialist, Aug 1986 - Dec 1987

American Capital Financial Services, Inc., Registered Representative | District Manager, Sep 1983 - Aug 1986

EDUCATION

Hamline University Law School; St. Paul, MN

  • Arbitration Certificate (2011)
  • U.S. Arbitration Law and Practice; Course covered the following topics: U.S. Arbitration Law, Arbitration Agreements, Enforcement of Awards, U.S. Statutes on Arbitration, Arbitration and Federalism, Freedom of Contract, Arbitrator Sovereignty, and Statutory Arbitrability, Forms of Arbitration, Enforcement of Arbitration Awards
  • Minnesota ADR Rule 114 and applicable MN Statutes | Arbitration
  • Civil Adjudicative
  • Evaluative Arbitration

Mediation Certificate (2014)

  • Practice, Policy, and Ethics
  • Minnesota ADR Rule 114 and applicable MN Statues | Mediation
  • Civil Facilitative & Hybrid Mediation
  • Restorative Justice Training (CMRS, Inc.)

Fi360, Inc. - Center for Fiduciary Studies ™

  • Accredited Investment Fiduciary Training (2014)
  • Fiduciary Standards of Care
  • Global Fiduciary Precepts
  • Defined Investment Process Substantiated by Law, Regulations and Industry Best Practices
  • ERISA Named Beneficiaries
  • Fiduciary Responsibilities – Investment Advisers | Investment Stewards | Investment Managers

SEAK, Inc.

  • Expert Witness & Litigation Support Training & Seminars
  •  Direct Examination: What Lawyers Want from their Expert
  •  Effective Use of Demonstrative Evidence
  •  Expert Witness Preparation for Trial: Direct and Cross-Examination
  •  How and Why Expert Witnesses Get Disqualified
  •  How to Write an Exceptional Expert Witness Report
  •  Experts Going on the Offensive During Cross-Examination
  •  How to Survive and Thrive in Large & Complex Cases: Trials and Tribulations
  • Credibility: Creating It; Keeping It Under Cross-Examination

The American College

  • Life Underwriter Training Council Fellow (LUTCF®, 1983-2001)
  • Financial Planning & Risk Management
  • Life Insurance & Annuities
  • Retirement Planning
  • Estate Planning
  • Employer-Based Insurance Products
  • Disability Income Insurance
  • Long Term Care Insurance
  • Applications for Business Owners 
INDUSTRY EXAMINATIONS & LICENSES

Series 24 – General Securities Principal Examination*

Series 4 – Registered Options Principal Examination*

Series 7 – General Securities Representative Examination*

Series 51 – Municipal Fund Securities Limited Principal Examination*

Series 66 – Uniform Combined State Law Examination*

Series 63 – Uniform Securities State Law Examination*

Series 3 – National Commodities Futures Examination*

Minnesota Department of Commerce – Insurance Agency License (Barrington Capital Management, Inc.): License # 20093989 - Issued: 03/20/2001 

Minnesota Department of Commerce – Resident Insurance Producer: Life & Health – License # 1008439 Issued 10/27/1982

CRD #117046

PROFESSIONAL CERTIFICATIONS

Accredited Investment Fiduciary, AIF®

  • Certified Fraud Examiner, CFE®
  • Securities Fraud Investigation
  • Fraud Prevention and Deterrence
  • Financial Transactions and Fraud Schemes
  • General Fraud Investigation
  • Law

Registered Financial Consultant, RFC®

Life Underwriter Training Council Fellow, LUTCF®

Qualified Neutral Under MN Rule 114Civil Adjudicative/Evaluative (Arbitration) – ADR ID #6172

Qualified Neutral Under MN Rule 114Civil Facilitative/Hybrid (Mediation) – ADR ID #6172

FINRA Dispute Resolution Arbitrator

NFA Dispute Resolution Arbitrator 

PROFESSIONAL AFFILIATIONS

Securities Experts Roundtable (SER) – Voting Member

Association of Certified Fraud Examiners (ACFE)

Twin Cities Chapter of the Association of Certified Fraud Examiners (TCCFE)

Securities Industry and Financial Markets Association (SIFMA) – Compliance & Legal Society

Minnesota State Bar Association (MSBA) – Alternative Dispute Resolution Section

Thomson Reuters Expert Witness

Minnesota Society of Certified Public Accountants (MNCPA)

Financial Planning Association of Minnesota and National Chapters (FPA of MN)

Automat:ee