Bob Lawson

About Bob Lawson

I am an experienced and accomplished FINRA and Securities Expert Witness, Chief Compliance Officer, Certified Securities Compliance Professional (CSCP) Master Registered Financial Consultant,(MRFC®), Accredited Investment Fiduciary, AIF®, Certified Fraud Examiner (CFE®), Life Underwriter Training Council Fellow,(LUTCF®) with nearly 40 years of experience in the securities and insurance industries. In addition to being the President and Chief Compliance Officer (CCO) of a Registered Investment Advisory firm that I established in 1988, I am also the President and Managing Principal of a full-service Securities and Insurance Litigation Consulting firm with 12 experienced financial services testifying and consulting experts. For nearly four decades, I have worked in the financial services industry as a FINRA Registered Securities and Options Principal, Registered Representative, Investment Fiduciary, and Insurance Agent. I proudly serves as a FINRA Arbitrator & Mediator, NFA Arbitrator,(Chair-Qualified) and is a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice (Adjudicative/Evaluative). I serve as a Director, Board Member, and / or Member for the following organizations: • Securities Experts Roundtable – Board Member & Practice Management Chair • Master Registered Financial Consultants (MRFC®) – Chair and Board Member • National Society of Compliance Professionals - Member • Certified Fraud Examiner (CFE®) – Member • Association of Certified Fraud Examiners (ACFE®) Member • Minnesota State Bar Association ADR Section – Member and Former Membership Chair • Chartered Financial Analyst Institute -(CFA®)- Member • CFA® Society of Minnesota – Member I speak with clarity and precision and my unbiased expert opinions are founded upon my years of experience and a thorough understanding of FINRA and SEC Rules, Standards of Professional Conduct, and the Code of Ethics for the brokerage, investment management, and insurance industries.

Experience

1. Finra Dispute Resolution Arbitrator - Chair

   FINRA

   Sep 2009 — Present · Minneapolis, MN, US

   I serve as a panelist on customer disputes against industry members, and intra-industry disputes. The written awards of panels on which I have sat are published at As an active Industry (non-public) FINRA Arbitrator, I preside over cases across the United States. I render final and binding decisions after carefully weighing the facts of each case. FINRA provides a fair, impartial, and efficient system of dispute resolution. FINRA operates the largest securities disputes resolution forum in the world and handles some 90% of all such arbitrations and mediations in the United States. FINRA Dispute Resolution facilitates the resolution of disputes often pertaining to monetary losses, business damages, and employees of securities firms. I was approved as a FINRA Dispute Resolution Arbitrator in July 2009 and am qualified through the National Arbitration and Mediation Committee.

Education

• Cornell Law School

  Financial Institutions and Regulations Certificate, Financial Regulation and Law Policy

• UCLA Extension

  Ethics, Ethics in Finance

• FINRA

  Completed (3) Supervisory Examinations, (1) Industry Examination, (2) Securities Law Examinations, Branch Management, Compliance, Securities, Options, and Anti-Money Laundering

  1983 — 2008

• The American College of Financial Services

  Life Underwriter Training Council Fellow, Practice Management | Insurance and Investment Products | Risk Management

  1983 — 1991

• Cornell Law School

  Securities Law Certificate, Securities Laws

• University of St. Thomas School of Law

  CSCP, Broker Dealer and Investment Adviser Compliance Professional

• University of St. Thomas School of Law

  Certified Securities Compliance Professional , Broker-Dealer & Registered Investment Advisor Compliance

• International Association of Registered Financial Consultants

  Master Registered Financial Consultant (MRFC), Financial Planning and Services

  1997 — 1997

• University of St. Thomas School of Law

  Certified Securities Compliance Professional (CSCP) - Broker Dealers | Investment Advisers , Broker Dealer and Registered Investment Adviser Compliance

• FINRA

  FINRA Dispute Resolution Arbitrator & FINRA Mediator, Dispute Resolution

  2009 — 2009

• Mitchell Hamline School of Law

  Arbitration & Mediation Certificates - Dispute Resolution Institute, U.S. Arbitration Law and Practice | Mediation