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Bob Lawson - Mediation & Arbitration Dispute Resolution

Financial Services Expert Witness | Securities & Annuity Expert Witness | FINRA Arbitration

Mediation Services

Bob Lawson of Barrington Capital Management, Inc. is recognized by the Minnesota Supreme Court as a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice as a Mediator and Arbitrator and adheres to the highest ethical standard. This allows him to moderate court appointed pre-settlement hearings and general business disputes. 

 

Bob's experience encompasses over 35 years in many sectors of the financial services industry ranging from: Financial Adviser, Registered Securities & Option Principal, Executive Management, Supervisory, and Money Laundering. He is a member of the Association of Certified Fraud Examiners and has earned the designations of Master Registered Financial Consultant (MRFC®), Certified Fraud Examiner (CFE®) and Accredited Investment Fiduciary (AIF®).

Professional Background
Bob is the founder and President of Barrington Capital Management, Inc., a MN-based Registered Investment Adviser and Litigation Consulting firm that he established in 1988.  In addition, 
Bob proudly serves as FINRA Mediator and Arbitrator. He is an unbiased and impartial neutral, rendering binding decisions between disputing parties in securities and insurance matters. He is also on the National Futures Association roster as an Industry Arbitrator and serves in a similar capacity regarding the commodities markets and futures contracts. He is an active Mediator for the Better Business Bureau and Minnesota and the Dakotas (BBB) and Community Mediation and Restorative Services. He also serves as a Mediator for the Better Business Bureau of Minnesota and Community Mediation and Restorative Services, Inc. in Minneapolis, MN. Bob serves as a volunteer for the Better Business Bureau (BBB) of Minnesota and for Community Mediation and Restorative Services, Inc. (CMRS) in Minneapolis, MN. Bob is an effective and skilled Mediator and passionate about helping parties settle their disputes.

 

Description of Practice

Bob's role is to guide parties through the mediation process and facilitate the exchange of perspectives and information while helping both parties achieve their objectives in mediation. Bob helps the parties reach solutions collaboratively and respectively without going to court. He listens to the facts carefully and provides the participants an opportunity to be heard, in addition to asking important questions to get to the heart of the matter.

 

His goal is to provide an affordable, less stressful alternative to litigation while keeping the parties in control of their own futures. The goal to this approach is to ensure that everyone involved feels satisfied about the outcome. Bob advances respectful communication, self-determination and creative solutions to problems by acting as a facilitator to the process and allowing the parties to develop their own solutions based upon common needs or interests. Typically, he avoids suggesting outcomes, believing that the best agreements are those crafted by the parties themselves. Such collaborative agreements are more likely to meet the parties’ substantive, procedural and psychological interests.

 

Bob is recognized by the Minnesota Supreme Court as a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice as a Mediator and Arbitrator, which entitles him to moderate court-appointed pre-settlement hearings.

Approach
Bob's objective as a Mediator is to fully understand both sides of a dispute and build trust with both parties in order to establish a sound foundation to build upon. He has the interpersonal skills to connect early in the process with the parties to make them feel comfortable. His approach to a successful mediation combines traditional and innovative techniques which foster a positive environment. As an effective listener, he ensures the participants fully express their views and objectives while carefully and respectfully advancing productive communication. Initially, he uses a facilitative approach with a caucus method to discuss the case privately with each side. If requested by all parties, he will offer an impartial opinion on how the dispute may be interpreted by an arbitration panel and provide possible solutions for the parties to consider.

 

As a skilled mediator with broad securities experience, Bob remains objective and impartial to assist the parties to evaluate their case from multiple perspectives. He promotes a productive and respectful environment to aid in the resolution of the dispute. His extensive knowledge and experience of financial industry rules, regulations, in addition to the FINRA Code of Mediation, facilitates the process with a high degree of success. He remains fully committed and engaged with both sides until the underlying matter is resolved. As a strong advocate of mediation, Bob believes parties will benefit from the process with the assistance of a skilled mediator who clearly understands the FINRA arbitration and mediation process and the securities industry.


Fees
Mediation fees will be commensurate based upon the time, complexity, and underlying topic of the dispute and fully disclosed. Bob also provides pro bono mediation in certain situations, where time permits. He offers a limited number of pro-bono mediation sessions without charge.

Areas of Practice

  • Securities

  • FINRA Arbitration

  • FINRA Mediation

  • Registered Investment Advisers (RIAs)

  • Insurance

  • Business

  • Employment

  • Estate Planning

  • Landlord - Tenant

Training

  • Mitchell Hamline School of Law: Arbitration - 2011

  • Mitchell Hamline School of Law: Mediation - 2014

  • Hamline Law School: MN Rule 114 Qualified Neutral Training - 2011

  • Association of Certified Fraud Examiners (CFE®) - 2014

  • CMRS, Inc.: Restorative Justice Training - 2014

  • fi360: Accredited Investment Fiduciary (AIF®) - 2015

  • CMRS, Inc.: Mediation | Ethics | Confidentiality - 2015

  • Financial Industry Regulatory Authority: Qualified through the National Arbitration and Mediation Committee as a FINRA Arbitrator - 2009

  • AAA: Making the Most of Med-Arbitration - 2017

  • AAA: People Skills and Mediation - Avoiding Chaos - 2017

  • MN State Bar Association - ADR Section: Managing Values-Based Disputes - 2017

  • MN State Bar Association - ADR Section: Tips for Interacting with Diverse Humans - 2017

  • MN State Bar Association - ADR Section: How to Avoid an Ethics Complaint as a Neutral - 2017

  • National Future Association (NFA): Arbitration Chairperson Examination - 2017

  • MN State Bar Association - ADR Section: Keeping Your Cool When Clients Get Heated - 2017

  • MN State Bar Association - ADR Section: Practice Tips for Mediation and Arbitration - 2017

  • MN State Bar Association - ADR Section: Preparing for a Productive Mediation - 2017

  • MN State Bar Association - ADR Section: Best Practices in Conducting Arbitrations - 2017

  • MN State Bar Association - ADR Section: Is Arbitration Getting a Bad Name? (Presenter) - 2017

  • AAA: The Preliminary Hearing - 2017

  • AAA: Recommendations from a Lifetime in Arbitration - 2017

  • National Futures Association: Conducting Pre-hearing Conference Calls - 2017

  • MN State Bar Association ADR Section: Handling Difficult Questions - 2017

  • MN State Bar Association ADR Section: 8 Ways to Make the Most of Arbitration - 2017

  • FINRA: Request to Amend a Brokers CRD - 2017

  • MN State Bar Association - ADR Section - Cultural Considerations, Norms, and Expectations in Mediation - 2018

  • American Institute of Mediation - It's Time for Heavy Metal Mediation - 2018

  • American Institute of Mediation - Mediation and the Challenges in Today’s World - 2018

  • American Institute of Mediation - Seeing and Hearing New Things in the Same Old Rooms - 2018

  • American Institute of Mediation - Rethinking the Mediator’s Opening - 2018

  • MN State Bar Association - How you can use ADR to help with your CBA's - 2018

  • MN State Bar Association - Comparative Mediation Processes: Civil, Community and Family - 2018

  • MN State Bar Association - How you can use ADR to help with your CBA's - 2018

  • MN State Bar Association - All Conflict is Relational - 2018

  • MN State Bar Association - ADR Career Paths in Law - 2018

  • MN State Bar Association - Addressing the Elephant in the Room: Unconscious Bias and Its Impact on the Profession - 2018

  • MN State Bar Association - Arbitration and Summary Judgement - 2018

  • MN State Bar Association - The Evolution of Commercial Mediation: Where is it and where is it going? - 2019

  • MN State Bar Association - Recognizing and Navigation Violence in the Context of ADR - 2019

  • MN State Bar Association - Cultural Variation in Mediation - 2019

  • MN State Bar Association - Religion in the Workplace and the Case for Mediation - 2019

  • American Bar Association - Revisiting the National Standards for Court Connected Mediation Programs - 2019

  • American Bar Association - Revamping Arbitration to Serve Clients - 2019

  • American Bar Association - The ABA's Guidelines on the Use of Special Masters in Civil Litigations - 2019

  • American Bar Association - Authentic, Vibrant Self-Introductions that Attract Clients - 2019

  • American Bar Association - Improving Mediation Practice and Results - 2019

  • American Bar Association - Encouraging Settlement in Arbitration: A View from the Trenches - 2019

  • American Bar Association - Mediation Ethics: What Should I Do? - 2019

  • American Bar Association - Strategies and Techniques for Irreconcilable Expert Evidence in Arbitration - 2019

  • MN State Bar Association - Ethics - 2019

Education

  • Hamline Law School - St. Paul, MN Mediation Certificate

  • Hamline Law School - St. Paul, MN Arbitration Certificate

  • Qualified through the National Arbitration and Mediation Committee

  • Association of Certified Fraud Examiners - Certified Fraud Examiner (CFE®)

  • fi360 - Accredited Investment Fiduciary (AIF®)

  • Master Registered Financial Consultant (MRFC®)

  • The American College - Life Underwriters Training Council Fellow (LUTCF®)

  • Completed Eight FINRA Arbitration Courses

  • Completed the FINRA Arbitrator's Chairperson Examination

  • FINRA Registered Options Principal - Series 4*

  • FINRA General Securities Principal - Series 24*

  • FINRA General Securities Representative Examination - Series 7*

  • NASAA Uniform Securities State Law Examination - Series 63*

  • NASAA Investment Adviser Combination Examination - Series 66*

  • NFA - Futures and Commodities Examination - Series 3*

  • MSRB Municipal Fund Securities Limited Principal Examination - Series 51*

         

          * No longer registered or affiliated with FINRA or the National Futures Association (NFA) as a Principal, Registered Representative, or Commodities Representative

Beginning the Process

 

If you would like a free consultation regarding your matter, please fill out the contact form below and you will be contacted within 24 hours. References available upon request.

 

  • Professional Fees

  • Real Estate

  • Trust Management

  • Professional Services

  • Fact-Finder

  • Mediation Consultant

  • Arbitration Consultant

  • Strategic Planning

  • Communication Skills Trainer

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Barrington Capital Management, Inc.  |  3800 American Boulevard West  |  Suite 1110  |  Bloomington, MN  55431

952-835-1000   800-944-2419  |   Fax: 952-835-1504  |  Info@BarringtonCap.com

 

Barrington Capital Management, Inc. only conducts business in states and jurisdictions where it is registered or where an exemption from registration exists. This site and its contents do not constitute investment advice or a solicitation to sell securities. Past performance is not indicative of future results. This website is for informational purposes only and Barrington Capital Management, Inc. reserves the right to modify it at any time without notice. Copies of Barrington Capital Management Inc.’s Form ADV Part 2 are available upon request. Images and photographs are included for the sole purpose of visually enhancing the website. No photographs are of current or former clients and they should not be construed as an endorsement or testimonial from any of the persons in the photograph.

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Investment Advisory services are offered by Barrington Capital Management, Inc., a Registered Investment Adviser in the states of Minnesota and Texas. Barrington Capital Management, Inc. may utilize the services of First Ascent Asset Management, LLC for certain investment portfolios. Insurance products and services are also offered through Barrington Capital Management, Inc. 

 

Disclosure: Barrington Capital Management, Inc. is not a law firm. Robert D. Lawson and his associates are not practicing attorneys. The scope of any activities performed by Robert D. Lawson, subcontractors or employees of Barrington Capital Management, Inc. is limited to litigation consulting and litigation support.​

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