Financial Expert Witness - Securities Expert Witness, FINRA Expert Witness
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Securities Expert Witness | FINRA Arbitration | Annuity Expert Witness

Securities & Insurance Expert Witness

Bob Lawson, AIF®, MRFC®, CFE®, LUTCF®

FINRA & NFA Arbitration Chairperson | FINRA Mediator

With over 35 years of financial services experience, Mr. Bob Lawson is a Securities and Insurance Expert Witness and Litigation Support Consultant for FINRA arbitration, mediation, and Civil/Federal/Criminal Court proceedings.

Mr. Lawson presides as a FINRA & NFA Arbitration Chairperson and FINRA Mediator for disputes concerning investors, financial services professionals, broker-dealers, intra-industry disputes, and dually-registered investment advisers. Claims often arise regarding breach of fiduciary obligations, employment disputes, conflicts of interest, churning, unsuitable investments, and failure to supervise. The written awards of panels for which he has sat are published on www.FINRA.org and Westlaw.

 

In 1988, Mr. Lawson founded Barrington Capital Management, Inc., a Registered Investment Advisory firm and Insurance Agency, and serves as the President and Chief Compliance Officer. He is an Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Master Registered Financial Consultant (MRFC®), and a Life Underwriter Training Council Fellow (LUTCF®). In addition, he serves as the President of Barrington Financial Consulting Group, Inc., a securities litigation consulting firm.

His breadth of securities experience includes managing and supervising FINRA broker-dealer branch offices as a Registered Securities Principal, Options Principal, and Chief Compliance Officer. As a former branch manager of a nationally-recognized broker-dealer, Mr. Lawson possesses special expertise with options trading and investing, including complex options spreads, hedging, and risk-defined strategies. Mr. Lawson also has considerable supervisory and field underwriting experience with insurance products including variable annuity contracts, fixed and indexed annuities, long term care, and life insurance.

Bob is the Membership Chair for the Minnesota State Bar Association ADR and is a Board Member for the Securities Experts Roundtable, an organization of securities experts in the United States. He is recognized by the Minnesota Supreme Court as a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice as a Civil Facilitative/Hybrid Mediator and Adjudicative/Evaluative Arbitrator. He is an active mediator with the Better Business Bureau (BBB) of Minnesota and the Dakotas and member of the American Arbitration Association Mediation Section.

Securities Expert Witness
Securities Expert Witness
Securities Expert Witness
Securities Expert Witness

Qualified to Present Expert Testimony, Representative but not Inclusive:

 

Annuities & Life Insurance

  • Fixed Annuities

  • Fixed Indexed Annuities 

  • Variable Annuities​

  • Indexed Universal Life

  • Variable Universal Life

  • Underwriting Procedures

  • Suitability Considerations

  • Independent Marketing Organizations (IMO) Liability

  • Annuity Replacements

  • Long-Term Care Insurance

  • Failure to Disclose

  • Annuity Churning

Securities & Institutions

  • Breach of Fiduciary Duty

  • Broker-Dealer & Investment Adviser Disputes

  • Employment Issues

  • Options Trading

  • Failure to Supervise

  • Investor Suitability

  • Concentrated Portfolios

  • Compliance Obligations

  • Securities Fraud

  • Alternative Investments

  • Promissory Notes

  • Private Placements

  • Selling Away & OBAs

FINRA & Civil Proceedings

  • Expert Testimony

  • White Collar Crimes

  • Initial Case Evaluation

  • Filing a Claim

  • Identifying Parties

  • Assistance with Pleadings & Responses

  • Discovery Guidance

  • Document Review

  • Expert Reports & Affidavits

  • Damage Analysis

  • Registered Representative Patterns of Abuse​

  • FINRA Sanctions

Bob Lawson,  AIF®, MRFC®, CFE®, LUTCF®
​​Direct: (952) 857-2411
Toll Free Direct: (800) 741-0704
Email: Bob@BarringtonCap.com
Barrington Capital Management, Inc.
3800 American Boulevard West
Suite 1110
Bloomington, MN 55431-4460

Professional Experience​​​

  • Barrington Capital Management, Inc. – (February 1995 - Present)

    • President, Founder, & Chief Compliance Officer - A Registered Investment Adviser | IARD # 115603

    • Insurance Agency Principal

  • Barrington Financial Consulting Group, Inc. – (June 2017 - Present)

    • President & Founder

    • Mediation, Arbitration, & Litigation Support Consulting

  • Minnesota State Bar Association ADR Section - (July 2017 - Present)

    • Membership Chair - Alternative Dispute Resolution Section

  • FINRA Dispute Resolution Arbitrator Chairperson ID: A57294 – (August 2009 - Present)

    • FINRA Chair Qualified - 2018

  • FINRA Mediator ID: A57294  – (November 2017 - Present)

    • Qualified Through the National Arbitration and Mediation Committee

  • National Futures Association (NFA) Dispute Resolution Arbitrator Chairperson – (February 2012 - Present)

    • Futures, Commodities, and Forex Disputes Involving Investors, Member Firms, and Employees

    • NFA Chair Qualified - 2018

  • Securities & Insurance Expert Witness & Litigation Support Consultant – (2010 - Present)

    • Litigation Support, Expert Witness Services, & Case Analysis

  • Master Registered Financial Consultant (MRFC®); Division of International Association of Registered Financial Consultants (IARFC®)

    • Secretary and Board Member​

    • MRFC® Certification Program

  • Your Financial Roadmap, Inc. – (December 2015 - Present)

    • President & Founder

  • Gardner Financial Services, Inc. – (April 2014 - September 2014)

    • Registered Securities & Options Principal / Branch Manager

  • MB Trading – (February 2011 - April 2012)

    • Registered Securities & Options Principal / Branch Manager

  • Thinkorswim, Inc. / TD Ameritrade, Inc. – (June 2006 - August 2010)

    • Registered Securities & Options Principal / Branch Manager

  • Raymond James Financial Services, Inc. / Robert Thomas Securities, Inc. – (January 1999 - June 2004)

    • Registered Securities Principal; Branch Manager

  • Robert Thomas Securities, Inc. – (October 1998 - January 1999)

    • Registered Securities Principal; Branch Manager

  • Midwest Discount Brokers, Inc. – (April 1996 - October 1998)

    • Registered Securities Principal & Registered Representative / Branch Manager

  • Securities Service Network, Inc. – (August 1994 - February 1995)

    • Registered Securities Principal & Registered Representative / Branch Manager

  • Securities America, Inc. – (November 1993 - March 1994)

    • Registered Securities Principal & Registered Representative / Branch Manager

  • Walnut Street Securities, Inc. – (January 1990 - January 1993)

    • Registered Securities Principal & Registered Representative / Branch Manager

  • Barrington Capital Management – (August 1988 - February 1995)

    • Owner & Chief Investment Officer - A Registered Investment Adviser | IARD # 115603

    • Licensed Insurance Agent

  • Financial Network Investment Corporation – (November 1987 - January 1990)

    • Registered Securities Principal & Registered Representative / Branch Manager

  • Shearson Lehman Brothers, Inc. / American Express – (August 1986 – December 1987)

    • Vice President / Fixed Income Specialist

    • Serviced Rural Banks and Insurance Companies with Investment Solutions

  • American Capital Financial Services, Inc. – (September 1983 - August 1986)

    • Registered Representative / District Manager

 

Board Memberships

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

    • Marketing and Communications Committee

  • Securities Experts Roundtable (SER)

    • Mentorship Chairman​

  • Master Registered Financial Consultants (MRFC®)​

    • Secretary & Education Curriculum Member​

  • Minnesota State Bar Association  (MSBA) ADR Section

    • Membership Chair​

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

 

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

 

Education

Mitchell Hamline School of Law; St. Paul, MN

  • Arbitration Certificate  1991

    • 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, 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

The American College of Financial Services

  • Life Underwriter Training Council Fellow (LUTCF®) - 1983-2001

    • Financial Planning & Risk Management

    • Life Insurance & Annuities

    • Retirement & Estate Planning

    • Employer-Based Insurance Products

 

Lectures & White Papers

  • Securities Experts Roundtable (SER) – Presenter: “Best Practices for Expert Witnesses – Practice Management Techniques” – Washington, DC – July 2018

  • Steel County Bar Association – Speaker: “Solving for ‘X’ – Financial Planning Tips for Attorneys” – 2018

  • Selling Away: May 2017

  • FINRA Dispute Resolution Essentials - September 2017

  • Minnesota State Bar Association (MSBA) – Presenter: “Is Arbitration Getting a Bad Name?” – 2017

  • Fi360 AIF® Qualified Instructor - Fiduciary Essentials for Defined Contribution Plans (FEDC)

    • Understanding the Important Role and Responsibilities as Plan Fiduciaries

    • Reducing Compliance and Litigation Risks Associated with the Management of Retirement Plans

    • Implementing an Effective and Prudent Fiduciary Decision-Making Process

    • Creating Training Documentation for the Fiduciary File and Potential DOL Audits

  • Presented the following presentations to Attorneys, Financial Professionals, Investors, and Plan Stewards:

    • Prudent Practices for Investment Fiduciaries – 2017

    • How to Avoid Arbitration: "A Look into the Future of Financial Services Industry" – 2016

    • Transitioning Your Practice from a Commission to Fee-Based Model – 2015

    • Retirement Planning Course: “The Rules Have Changed":  Normandale Community College – 2013

    • Social Security Planning: Normandale Community College – 2013

    • Retirement Planning for Baby Boomers: Normandale Community College – 2013

    • Advanced Investing Techniques Course: Wayzata School District – 2013

    • Are You a Daredevil with Your Investments?: Bloomington School District – 2013

    • A Disciplined Approach to Selecting & Monitoring Stocks, ETF’s, Mutual Funds, and Managing Risk  – 2008

    • Sector Rotation – 2007

    • ​Point & Figure Technical Analysis – 2007

    • A Disciplined Approach to Selecting Stocks and Managing Risk – 2006

    • Risk Management & Portfolio Hedging – 2006

    • The ABCs of Long Term Care Insurance – 1998

  • Presented the following Options Industry Council (OIC) Courses:

    • Covered Calls – 2007

    • Options Basics – 2007

    • Options Intermediate – 2008

    • Advanced Options – 2008

    • Credit & Debit Option Spreads – 2008

    • Option Volatility – 2008

Awards & Honors

  • American Bar Association (ABA) Alternative Dispute Resolution – Welcome Committee Ambassador 

  • Mitchell Hamline School of Law – Mediation Judge for Law Students in National Competition

  • Minnesota State Bar Association (MSBA) – ADR Ambassador for Mitchell-Hamline School of Law students

  • Minnesota Lawyer: - Voted Among the "Top Three Best Litigation Consulting Firms" - 2017 & 2019

  • A.M. Best Company: Client Recommended Expert Service Provider - 2013-2017

  • Better Business  Bureau of Minnesota and North Dakota: Judge - Students of Integrity Scholarship - 2016

  • Better Business Bureau of Minnesota and North Dakota: Judge - Torch Awards for Ethics - 2015

  • Better Business Bureau of Minnesota and North Dakota: Business Ethics Award Nomination - 2010, 2011 & 2012

 

Securities & Insurance Litigation Support Services

  • Expert Witness Testimony

  • Unbiased Case Analysis

  • Discovery Review & Recommendations

  • High-Impact Demonstrative Exhibits

  • Strategy and Tactics Conferences

  • Mediation Consulting

  • Portfolio Risk Reports

  • Damage Calculations*

  • Cash Flow Analysis Reports*

  • Margin and Options Account Analysis*

  • Market Adjusted Damages & Analysis*

  • Detailed Transaction Reports*

  • Profit and Loss Analysis*

          *May be prepared by a third-party firm

Affiliations

  • Financial Industry Regulatory Authority (FINRA) - Alternative Dispute Resolution

  • National Futures Association (NFA) - Alternative Dispute Resolution

  • American Bar Association (ABA) – Securities in ADR Committee; Mediation Committee; ADR Practice Management, Business and Skills Development Committee

  • Master Registered Financial Consultant (MRFC®); Division of International Association of Registered Financial Consultants (IARFC) – Board Member and oversees the MRFC® Certification Program

  • Securities Expert Roundtable (SER) - Board 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

  • Iowa Association of Mediators – iamediators.org

  • Thompson Reuters Expert Witness

  • Bates Group Expert Witness

  • Rubin Anders Expert Witness

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

Professional Certifications

  • Accredited Investment Fiduciary (AIF®)

  • Certified Fraud Examiner (CFE®)

  • Master Registered Financial Consultant (MRFC®)

  • Life Underwriter Training Council Fellow (LUTCF®)

  • Qualified Neutral Under MN Rule 114 – Civil Adjudicative/Evaluative (Arbitration)

  • Qualified Neutral Under MN Rule 114 – Civil Facilitative/Hybrid (Mediation) - MN ADR I.D. # 6172

  • Certified Mediator – Mediate.com

Areas of Expertise

  • Alternative Investments

  • Anti-Money Laundering (AML) - FINRA Section 3300

  • Annuities - Fixed & Variable

  • Breach of Fiduciary Duty

  • Broker-Dealer & Registered Representative Sanctions

  • Broker & Investment Adviser Fraud

  • Churning / Excessive Transactions

  • Code of FINRA Arbitration Procedure Section 10000

  • Compensation Disputes

  • Compliance Obligations for RIAs & Broker-Dealers

  • Due Diligence

  • Employment Termination

  • Ethical Considerations

  • Exchange Traded Funds (ETFs) & Mutual Funds

  • Failure to Supervise

  • Fiduciary Standard of Care & Responsibility

  • Financial Exploitation of Seniors & Vulnerable Adults

  • Fixed Income - Corporate Debt & U.S. Government Treasuries

  • Insurance - Term, Whole, Universal, & Index Life

  • Insurance - Long Term Care

  • Investigations and Sanctions - FINRA Section 8000

  • Leveraged & Inverse ETFs

  • Limited Partnerships & Direct Participation Programs

  • Margin Investing

  • Misrepresentation

  • Negligence

  • Non-Traded REITs

  • Omission of Facts

  • Options - Equity & Index

  • OTC Bulletin Board / Penny Stocks / Low-Priced Securities

  • Outside Business Activities

  • Private Placements

  • Promissory Notes

  • Securities Fraud

  • Selling Away

  • Structured Settlements

  • Suitability - FINRA Rules 2090 & 2111

  • Supervision - FINRA Rules 3110 & 3120

  • Target-Date Funds

 

Skills in Controversy

  • Account Related - Breach of Contract, Dividends, & Transfers 

  • Executions - Price, Limit/Stop/Market Orders, Discretion, & Time and Sales

  • Employment - Breach of Contract, Commissions, Compensation, Discrimination, Training Contracts, Wrongful Termination, Clearing Disputes, & Recruitment Disputes 

  • Trading Disputes - Buy In, Mark-ups, Stock Loans, Selling Away, Misrepresentation, & Wrap Accounts 

  • Standard Securities Industry Procedures - Omission of Facts, Managed/Discretionary, & Negligence

 

Skills in Securities

  • Auction Rate Securities, Certificates of Deposits, Common Stock, Corporate Bonds, Municipal Bonds, Exchange Traded Funds, Exchanged Traded Notes, Fannie Mae, Freddie Mac, Ginnie Maes, U.S. Government Securities, Market Linked Certificate of Deposits, Mutual Funds, Private Equities, Preferred Stock, Real Estate Investment Trusts, Structured Products, & Warrants / Rights

Seminars & Training

  • Twin Cities Chapter of Certified Fraud Examiners (TCCFE) – 2019

    • Financial Fraud – May 2019

  • Securities Experts Roundtable (SER)

    • Death of the DOL / Birth of the SEC Best Interest – 2019​

    • Due Diligence Standards on Alternative Investments – 2019

    • FINRA Updates and Securities ADR Developments - 2019

  • Association of Certified Fraud Examiners (ACFE) – 2019

    • Elder Financial Exploitation – 2019

    • The CFE® as an Expert Witness – 2019

  • Master Registered Financial Consultant (MRFC®) – 2018

    • MRFC® certificants consist of those individuals who in their mastery as a financial consultant have met certain experiential, educational and licensing requirements in the field of financial planning and services rendered. The MRFC® is an ethical, financial professional who continues to educate themselves and work toward the financial freedom of their clients.

    • The MRFC® is accredited by the National Commission for Certifying Agencies (“NCAA”), the accrediting body of the institute for Credentialing Excellent, ICE.

  • AHIP Medicare Training - 2018

    • Overview of Medicare Program Basics: Choices, Eligibility, and Benefits

    • Medicare and Health Plans

    • Medicare Part D: Prescription Drug Coverage

    • Marketing Medicare Advantage and Part D Plans

    • Enrollment Guidance Medicare Advantages and Part D

    • Nondiscrimination Training

    • Medicare Fraud, Waste, & Abuse

  • Minnesota State Bar Association: ADR Section – Mediation and Arbitration Training

    • Arbitration Options: The Right Fit for the Fight -2019

    • ADR Career Paths in Law – October 2018

    • All Conflict is Relational – September 2018

    • Impartiality in Dispute Resolution: What Does it Really Mean? – May 2018

    • Comparative Mediation Processes: Civil, Community, and Family – April 2018

    • How You Can Use ADR to Help with Your CBAs – March 20

    • ADR and the IRS – February 2018

    • Cultural Considerations, Norms, & Expectations in Mediation – 2018

    • Alternative Dispute Resolution and the IRS – 2018

    • How You can Use ADR to Help with Your CBAs – 2018

    • Comparative Mediation Processes: Civil, Community and Family – 2018

    • Impartiality in Dispute Resolution: What does it Really Mean? – 2018

    • Managing Values-Based Disputes – 2017

    • Tips for Interacting with Diverse Humans – 2017

    • Avoiding Ethical Complaints as an ADR Neutral – 2017

    • Keeping Your Cool When Clients Get Heated – 2017

    • Practice Tips for Mediation & Arbitration – 2017

    • Preparing for a Productive Mediation – 2017

    • Best Practices in Conducting Arbitrations – 2017

    • Handling Difficult Questions – 2017

    • Ethics in Arbitration & Mediation – 2017

    • ADR Neutrals & Ethics Complaints: A View from the Office of Lawyers Professional Responsibility – 2017

  • American Arbitration Association

    • It's Time for Heavy Metal Mediation – 2017

    • Mediation & the Challenges in Today’s World – 2017

    • Seeing & Hearing New Things in the Same Old Rooms – 2017

    • Rethinking the Mediator’s Opening – 2017

    • Making the Most of Med-Arb – 2017

    • People Skills & Mediation: Improving Communications & Avoiding Chaos – 2017

    • The Preliminary Hearing – 2017

    • Recommendations from a Lifetime in Arbitration – 2017
      Making the Most of Med-Arb – 2017

  • FINRA Dispute Resolution

    • Discovery, Abuses, & Sanctions – 2017

    • Request to Amend a Brokers CRD – 2017

    • Chairperson Training – 2009

    • Direct Communication Rule – 2009

    • Discovery: Abuses & Sanctions – 2009

    • FINRA Dispute Resolution: Expungement – 2009

    • Arbitration Basic Training – 2009

    • Pre-hearing Stage – 2009

  • 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 - 2012

    • Effective Use of Demonstrative Evidence - 2012

    • Expert Witness Preparation for Trial: Direct and Cross-Examination - 2012

    • How and Why Expert Witnesses Get Disqualified - 2014

    • How to Write an Exceptional Expert Witness Report - 2014

    • Experts Going on the Offensive During Cross-Examination - 2016

    • How to Survive and Thrive in Large & Complex Cases: Trials and Tribulations - 2016

    • Credibility: Creating It; Keeping It Under Cross-Examination - 2016

    • How to Excel at Your Expert Witness Deposition - 2017

    • Effective and Persuasive Presentation of Expert Testimony - 2017

    • Arbitrations, Mediations, and Bench Trials: Delivering Effective Testimony -2017

    • Teaching and Persuading in Court: A Judge’s View on Practical Communication - 2017

    • Writing and Defending Your Expert Report at Deposition and Trial -2017

    • How to Deal with an Aggressive Attorney at Deposition and Trial 2017

  • National Futures Association (NFA®)

    • Arbitration Chair Examination – 2017

    • Pre-Hearing Conference Call Examination – 2017

  • The Briggs Forum on Financial Markets: Securities, Insurance, Litigation & Regulation – 2017

    • Fiduciary Duty Rule: What Now?​

    • Focus on the Regulators: What Can We Expect in Financial Regulation?

    • An Aging Population: Elderly Clients  and Clients with Diminished Capacity

  • SEAK Expert Witness Training - 2012 - 2017

  • Securities Litigation and Enforcement Forum - Briggs & Morgan, PA

  • Restorative Justice Training - CMRS, Inc. – 2015

  • Upper Midwest Securities and Enforcement Forum - June 2011 & 2012

  • FINRA District 4 Office Conference – 2011

  • Business Ethics Summit: College of St. Thomas, St. Paul, MN

 

Volunteer Experience

  • Member: Investment Sub-Committee: Little Brothers - Friends of the Elderly

    • Little Brothers - Friends of the Elderly is a non-profit volunteer-based organization committed to relieving isolation and loneliness among the elderly. 

  • Volunteer Mediator: Better Business Bureau (BBB) of Minnesota & North Dakota

    • Resolve disputes through the mediation process​

  • Judge: BBB of Minnesota & North Dakota Students of Integrity Scholarship – October 2016

    • The Student of Integrity Scholarship is an annual program offered by the BBB of MN to recognize and award scholarships to students who personify the best aspects of high character in their personal choices and actions.​

  • Judge: BBB of Minnesota & North Dakota Torch Awards for Ethics – October 2015

    • The Torch Awards recognize and publicly acknowledge companies who display an outstanding level of ethics, customer service and integrity in all aspects of their operations. ​

  • Volunteer Mediator: Community Mediation & Restorative Services, Inc.

    • Assist Community Mediation and Restorative Services, Inc. (CMRS) in providing the community with a structured confidential process for resolving disputes in a mutually satisfactory manner.​

Professional References

  • Available Upon Request

 About    |    Our Services    |    Financial Planning    |    Employer Retirement Plans    |    Contact

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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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Neither Barrington Capital Management, Inc., nor any of their Investment Adviser Representatives, provide tax or legal advice. Tax and legal advice should only be obtained from a qualified professional. All written content on this site is for informational purposes only. All information and ideas should be discussed in detail with an advisor prior to implementation. Examples from our news feeds, blogs or articles do not take into consideration commissions, investment management fees, miscellaneous transaction fees, tax considerations, or margin requirements, which are factors that may significantly affect the economic consequences of a given strategy. Investors should review transaction costs, margin requirements and tax considerations with their financial or tax advisor before entering into any investment or financial planning strategy. Material presented is believed to be from reliable sources; however, we make no representations as to its accuracy or completeness.

Investment Advisory services are offered by Barrington Capital Management, Inc., a Registered Investment Adviser in the states of Minnesota, California, Texas, and Wisconsin. 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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