Publications

• FINRA Essentials
• Selling Away

Specialties & Experience of this Expert Witness

Additional Information

Mr. Robert Lawson has 40 years of experience in the financial services industry with securities, investments, retirement plans, and insurance and in a professional capacity as a registered representative, financial advisor, investment fiduciary, branch manager, securities, and options principal. He is the President and Chief Compliance Officer of Barrington Capital Management, Inc., a Registered Investment Advisory (RIA) firm he established in 1988. He also serves as the President and Managing Principal of Barrington Financial Consulting Group, Inc., a securities and insurance litigation consulting firm with experienced testifying and consulting experts. 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 their dispute. 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, and the codes of ethics for the brokerage, investment management, and insurance industries. Retaining counsel is supported by extensive research, expert witness reports, persuasive testimony, and decades of industry, brokerage, supervisory and fiduciary experience. Mr. Lawson is knowledgeable in the financial services industry with numerous nationally recognized certifications and has conducted over 500 presentations, CLE’s, and workshops for attorneys, financial services professionals, and individual investors. Mr. Lawson serves as a Director, Board Member, or Member for the following organizations: * CFA Institute - Member * CFA Society of Minnesota - Member​ * National Society of Compliance Professionals (NSCP) – Member * Master Registered Financial Consultants (MRFC®) - Chair of the MRFC® Certification Program * International Association of Registered Financial Consultants (IARFC) Lectures & White Papers • Recognizing the Implications of Being a Security – Part One (White Paper) 2022 • Recognizing Factors Considered in Determining if There is a Security – Part Two White Paper – 2022 May 15, 2023 Page 5 of 9 CV: Robert Lawson • The Core Framework: U.S. Bank Regulation – October 2022 • Investment Funds: Risk and Regulatory Challenges - 2022 • Business Models and the Legal Forms are Constantly Unfolding – 2022 • Does Basel III Address the Failings of Basel I and II – 2022 • Insurance Companies and Systemic Risk – 2022 • Regulating the Shadow Payment System – 2022 • Changes in the U.S. Financial System over the Past 50 Years – 2022 • Securities Expert Roundtable (SER) Moderator and Presenter: Incorporating Mediation in Your Expert Practice June 2022 • Securities Experts Roundtable (SER) Moderator: “Best Practice Tips to Manage Your Expert Witness Business” • New York State Bar Association (NYSBA) Presenter: “How to Survive and Potentially Thrive as a Neutral in these Volatile Times” – May 2020 • Minnesota State Bar Association (MSBA) Presenter: “How to Survive and Potentially Thrive as a Neutral in these Volatile Times” – April 2020 • Securities Experts Roundtable (SER) – Presenter: “Best Practices for Expert Witnesses – Practice Management Techniques” – Washington, DC – July 2018