FINRA Expert Witness | Securities Expert Witness | Annuity Expert Witness
Securities & Insurance Expert Witness
Bob Lawson, CSCP®, AIF®, MRFC®, CFE®, LUTCF®
FINRA Expert Witness | FINRA Arbitrator & Mediator
With 40 years of financial services experience, Bob Lawson, CSCP®, AIF®, MRFC®, CFE®, LUTCF® is an experienced FINRA & Securities Expert Witness and Litigation Support Consultant for FINRA and AAA arbitration, Civil/Federal/Criminal court proceedings, and mediation.
In 1988, Mr. Lawson founded Barrington Capital Management, Inc., a Registered Investment Advisory firm and continues to serve as the President and Chief Compliance Officer. He has earned his Certified Securities Compliance Professional, CSCP®, Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Master Registered Financial Consultant (MRFC®), and Life Underwriter Training Council Fellow (LUTCF®) professional designations. In addition, he serves as the President of Barrington Financial Consulting Group, Inc., a full-service securities, insurance, and bank trust litigation support consulting firm.
Mr. Lawson’s breadth of securities and investment fiduciary experience includes managing and supervising FINRA broker-dealer branch offices, Investment Adviser Representatives, and is currently the President and CCO Barrington Capital Management, Inc., a Registered Investment Advisory firm that he established in 1988. Mr. Lawson possesses special expertise in FINRA, supervisory, standard of care, compliance, investment fiduciary matters, and investment securities. He also has considerable supervisory and field underwriting experience with insurance products including variable and fixed indexed annuities.
Mr. Lawson presides as a FINRA & NFA Arbitrator (FINRA Chair-Qualified) and FINRA Mediator for disputes concerning investors, financial services professionals, broker-dealers, intra-industry disputes, U-5s, 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 and he renders all cases with an unbiased lens.
Bob proudly serves at the Chairman and Board Member of the Master Registered Financial Consultants (MRFC®) organization, which is a division of the International Association of Registered Financial Consultants (IARFC®). In addition, he serves as the Practice Management Chair and Director for Securities Experts Roundtable (SER). Finally, Lawson 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.
Qualified to Present Expert Testimony, Representative but not Inclusive:
Annuities & Life Insurance
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Fixed Annuities
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Fixed Indexed Annuities
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Variable Annuities
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Indexed Universal Life
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Variable Universal Life
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Underwriting Procedures
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Suitability Considerations
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Independent Marketing Organizations (IMO) Liability
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Annuity Replacements
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Long-Term Care Insurance
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Failure to Disclose
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Annuity Churning
Securities & Institutions
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Broker-Dealer & Investment Adviser Disputes
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Breach of Fiduciary Duty
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Employment Issues
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Options Trading
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Failure to Supervise
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Investor Suitability
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Concentrated Portfolios
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Compliance Obligations
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Securities Fraud
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Alternative Investments
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Promissory Notes
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Private Placements
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Selling Away & OBAs
FINRA & Civil Proceedings
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Expert Testimony
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White Collar Crimes
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Initial Case Evaluation
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Filing a Claim
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Identifying Parties
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Assistance with Pleadings & Responses
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Discovery Guidance
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Document Review
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Expert Reports & Affidavits
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Damage Analysis
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Registered Representative Patterns of Abuse
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FINRA Sanctions
For general inquiries or a complimentary case analysis by Bob Lawson, please use our contact form:
Professional Experience
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Barrington Capital Management, Inc. – (February 1995 - Present)
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President, Founder, & Chief Compliance Officer - A Registered Investment Adviser | IARD # 115603
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Insurance Agency Principal
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Barrington Financial Consulting Group, Inc. – (June 2017 - Present)
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President & Founder
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Mediation, Arbitration, & Litigation Support Consulting
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Minnesota State Bar Association (MSBA) ADR Section Council Membership Chair - (July 2017 - August 2022
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FINRA Dispute Resolution Arbitrator Chairperson ID: A57294 – (August 2009 - Present)
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FINRA Chair Qualified - 2018
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FINRA Mediator ID: A57294 – (November 2017 - Present)
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Qualified Through the National Arbitration and Mediation Committee
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National Futures Association (NFA) Dispute Resolution Arbitrator – (February 2012 - Present)
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Futures, Commodities, and Forex Disputes Involving Investors, Member Firms, and Employees
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Securities & Insurance Expert Witness & Litigation Support Consultant – (2010 - Present)
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Litigation Support, Expert Witness Services, & Case Analysis
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Master Registered Financial Consultant (MRFC®); Division of International Association of Registered Financial Consultants (IARFC®)
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Vice-Chairman and Board Member
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MRFC® Certification Program
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Your Financial Roadmap, Inc. – (December 2015 - December 2021)
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President & Founder
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Gardner Financial Services, Inc. – (April 2014 - September 2014)
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Registered Securities & Options Principal / Branch Manager
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MB Trading – (February 2011 - April 2012)
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Registered Securities & Options Principal / Branch Manager
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Thinkorswim, Inc. / TD Ameritrade, Inc. – (June 2006 - August 2010)
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Registered Securities & Options Principal / Branch Manager
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Raymond James Financial Services, Inc. / Robert Thomas Securities, Inc. (Division of Raymond James) – (January 1999 - June 2004)
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Registered Securities Principal; Branch Manager
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Robert Thomas Securities, Inc. (Division of Raymond James –(October 1998 - January 1999)
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Registered Securities Principal; Branch Manager
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Midwest Discount Brokers, Inc. – (April 1996 - October 1998)
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Registered Securities Principal & Registered Representative / Branch Manager
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Securities Service Network, Inc. – (August 1994 - February 1995)
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Registered Securities Principal & Registered Representative / Branch Manager
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Securities America, Inc. – (November 1993 - March 1994)
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Registered Securities Principal & Registered Representative / Branch Manager
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Walnut Street Securities, Inc. – (January 1990 - January 1993)
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Registered Securities Principal & Registered Representative / Branch Manager
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Barrington Capital Management – (August 1988 - February 1995)
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Owner & Chief Investment Officer - A Registered Investment Adviser | IARD # 115603
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Licensed Insurance Agent
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Financial Network Investment Corporation – (November 1987 - January 1990)
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Registered Securities Principal & Registered Representative / Branch Manager
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Shearson Lehman Brothers, Inc. / American Express – (August 1986 – December 1987)
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Vice President / Fixed Income Specialist
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Serviced Rural Banks and Insurance Companies with Investment Solutions
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American Capital Financial Services, Inc. – (September 1983 - August 1986)
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Registered Representative / District Manager
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Director, Board Member, & Organizational Affiliations
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Master Registered Financial Consultants (MRFC®) - Former Chairman and Board Member
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CFA Society of Minnesota - Member
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CFA Institute - Member
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CFA Steering Committee - Former Board Member
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Securities Experts Roundtable (SER) – Practice Management Chair | Director
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National Society of Compliance Professionals (NSCP) – Member
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Association of Certified Fraud Examiners (ACFE) – Member
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Twin Cities Chapter Certified Fraud Examiners (TCCFE) – Member and Former Board Member
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Minnesota State Bar Association (MSBA) ADR Section – Member (Former Chair from 2017-2022)
Industry Examinations & Licenses
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Series 24 – General Securities Principal Examination* (CRD #: 1170465)
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Series 4 – Registered Options Principal Examination*
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Series 7 – General Securities Representative Examination*
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Series 51 – Municipal Fund Securities Limited Principal Examination*
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Series 66 – Uniform Combined State Law Examination
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Series 63 – Uniform Securities State Law Examination*
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Series 3 – National Commodities Futures Examination*
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Minnesota Department of Commerce – Insurance Agency License (Barrington Capital Management, Inc.): License # 20093989 - Issued: 03/20/2001
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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
Cornell Law School – Ithaca, NY 2022
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Securities Law and Financial Institutions & Regulation Certificates – Expected completion - May 2023
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Defining Security
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Securities Registration
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Registration Requirements Exemptions
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Key Securities Law Liabilities and Principal Underwriting Documents
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Financial Regulation: Law and Policy
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Principles of Financial Regulation
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UCLA Extension – Los Angeles, CA 2022
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This course focused on the ethical issues confronting financial professionals, including extensive coverage of the recent financial crisis and the very latest developments affecting ethics within the financial world. Instruction includes an overview of the ethical standards in finance, including the primary elements necessary to make proper ethical decisions. The course also covered key definitions, issues, and general theories of business and finance ethics, citing examples from the recent scandals that have shaken public confidence in Wall Street and the world financial markets. Main topic areas include overview and fundamentals of ethics in finance, the retail customer, investments, financial markets, and financial management.
College of St. Thomas School of Law; St. Paul, MN – 2022
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The Certified Securities Compliance Professional (CSCP) is a graduate-level program for experienced services compliance professionals, offered the University of St. Thomas Law School in collaboration with the National Society of Compliance Professionals (NSCP). Granted the CSCP designation for Investment Advisers and Broker Dealers. (IA – BD)
Mitchell Hamline School of Law; St. Paul, MN
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Arbitration Certificate – 2011
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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
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Minnesota ADR Rule 114 and applicable MN Statutes | Arbitration
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Civil Adjudicative
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Evaluative Arbitration
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Mediation Certificate – 2014
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Practice, Policy, and Ethics
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Minnesota ADR Rule 114 and applicable MN Statues | Mediation
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Civil Facilitative & Hybrid Mediation
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The American College of Financial Services - 1983-1991
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Life Underwriter Training Council Fellow (LUTCF®)
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Financial Planning & Risk Management
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Life Insurance & Annuities
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Retirement & Estate Planning
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Employer-Based Insurance Products
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Lectures & White Papers
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Public Investors Advocate Bar Association (PIABA): Panelist - What to Know about Options Cases: What to Look for at the Intake Stage through Discovery and What to Show the Triers of Fact – September 2024
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Preparing for Deposition or Cross Examination – Securities Experts Roundtable Annual Conference - 2023
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Recognizing the Implications of Being a Security – Part One (White Paper) 2022
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Recognizing Factors Considered in Determining if There is a Security – Part Two White Paper – 2022
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The Core Framework: U.S. Bank Regulation – October 2022
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Investment Funds: Risk and Regulatory Challenges - 2022
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Business Models and the Legal Forms are Constantly Unfolding – 2022
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Does Basel III Address the Failings of Basel I and II – 2022
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Insurance Companies and Systemic Risk – 2022
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Regulating the Shadow Payment System – 2022
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Changes in the U.S. Financial System over the Past 50 Years – 2022
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Securities Expert Roundtable (SER) Moderator and Presenter: Incorporating Mediation in Your Expert Practice June 2022
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Securities Experts Roundtable (SER) Moderator: “Best Practice Tips to Manage Your Expert Witness Business”
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New York State Bar Association (NYSBA) Presenter: “How to Survive and Potentially Thrive as a Neutral in these Volatile Times” – May 2020
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Minnesota State Bar Association (MSBA) Presenter: “How to Survive and Potentially Thrive as a Neutral in these Volatile Times” – April 2020
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Securities Experts Roundtable (SER) – Presenter: “Best Practices for Expert Witnesses – Practice Management Techniques” – Washington, DC – July 2018
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Steel County Bar Association – Speaker: “Solving for ‘X’ – Financial Planning Tips for Attorneys” – 2018
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Minnesota State Bar Association (MSBA) – Presenter: “Is Arbitration Getting a Bad Name?” – 2017
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Fi360 AIF® Qualified Instructor - Fiduciary Essentials for Defined Contribution Plans (FEDC)
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Understanding the Important Role and Responsibilities as Plan Fiduciaries
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Reducing Compliance and Litigation Risks Associated with the Management of Retirement Plans
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Implementing an Effective and Prudent Fiduciary Decision-Making Process
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Creating Training Documentation for the Fiduciary File and Potential DOL Audits
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Presented the following presentations to Attorneys, Financial Professionals, Investors, and Plan Stewards:
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Prudent Practices for Investment Fiduciaries – 2017
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How to Avoid Arbitration: "A Look into the Future of Financial Services Industry" – 2016
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Transitioning Your Practice from a Commission to Fee-Based Model – 2015
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Retirement Planning Course: “The Rules Have Changed": Normandale Community College – 2013
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Social Security Planning: Normandale Community College – 2013
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Retirement Planning for Baby Boomers: Normandale Community College – 2013
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Advanced Investing Techniques Course: Wayzata School District – 2013
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Are You a Daredevil with Your Investments?: Bloomington School District – 2013
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A Disciplined Approach to Selecting & Monitoring Stocks, ETF’s, Mutual Funds, and Managing Risk – 2008
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Sector Rotation – 2007
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Point & Figure Technical Analysis – 2007
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A Disciplined Approach to Selecting Stocks and Managing Risk – 2006
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Risk Management & Portfolio Hedging – 2006
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The ABCs of Long Term Care Insurance – 1998
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Presented the following Options Industry Council (OIC) Courses:
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Covered Calls – 2007
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Options Basics – 2007
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Options Intermediate – 2008
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Advanced Options – 2008
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Credit & Debit Option Spreads – 2008
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Option Volatility – 2008
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Awards & Honors
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Mitchell Hamline School of Law – Mediation Judge for Law Students in National Competition
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Minnesota State Bar Association (MSBA) – ADR Ambassador for Mitchell-Hamline School of Law students
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Minnesota Lawyer: Voted in the "Top Three Best Litigation Consulting Firms for 2022" (Barrington Financial Consulting Group, Inc.)
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Minnesota Lawyer: Voted "Best Litigation Consulting Firm" for 2020 (Barrington Financial Consulting Group, Inc.)
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Minnesota Lawyer: Voted Among the "Top Three Best Litigation Consulting Firms" - 2017 & 2019 (Barrington Financial Consulting Group, Inc.)
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A.M. Best Company: Client Recommended Expert Service Provider - 2013-2017
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Better Business Bureau of Minnesota and North Dakota: Judge - Students of Integrity Scholarship - 2016
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Better Business Bureau of Minnesota and North Dakota: Judge - Torch Awards for Ethics - 2015
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Better Business Bureau of Minnesota and North Dakota: Business Ethics Award Nomination - 2010, 2011 & 2012
Securities & Insurance Litigation Support Services
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Expert Witness Testimony
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Unbiased Case Analysis
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Discovery Review & Recommendations
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High-Impact Demonstrative Exhibits
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Strategy and Tactics Conferences
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Mediation Consulting
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Portfolio Risk Reports
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Damage Calculations*
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Cash Flow Analysis Reports*
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Margin and Options Account Analysis*
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Market Adjusted Damages & Analysis*
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Detailed Transaction Reports*
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Profit and Loss Analysis*
*May be prepared by a third-party firm
Affiliations
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CFA Institute - Member
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CFA Society of Minnesota - Member
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National Society of Compliance Professionals (NSCP)
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Financial Industry Regulatory Authority (FINRA) - Alternative Dispute Resolution
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National Futures Association (NFA) - Alternative Dispute Resolution
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Master Registered Financial Consultant (MRFC®) - Former Chair of the MRFC® Certification Program
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International Association of Registered Financial Consultants (IARFC)
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Securities Expert Roundtable (SER) - Former Practice Management Chair - Board Member
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Association of Certified Fraud Examiners (ACFE) - Member
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Twin Cities Chapter of the Association of Certified Fraud Examiners (TCCFE) - Member
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Minnesota State Bar Association (MSBA) ADR Section – Member
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Thomson Reuters Expert Witness - Member
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Rubin Anders Expert Witness
Volunteer Experience
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Member: Investment Sub-Committee: Little Brothers - Friends of the Elderly
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Little Brothers - Friends of the Elderly is a non-profit volunteer-based organization committed to relieving isolation and loneliness among the elderly.
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Volunteer Mediator: Better Business Bureau (BBB) of Minnesota & North Dakota
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Resolve disputes through the mediation process.
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Judge: BBB of Minnesota & North Dakota Students of Integrity Scholarship – October 2016
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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.
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Judge: BBB of Minnesota & North Dakota Torch Awards for Ethics – October 2015
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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.
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Volunteer Mediator: Community Mediation & Restorative Services, Inc.
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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.
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Professional Certifications
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Financial Institutions & Regulations - Certificate, Cornell Law School
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Securities Law - Certificate, Cornell Law School
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Accredited Investment Fiduciary (AIF®)
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Certified Fraud Examiner (CFE®)
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Master Registered Financial Consultant (MRFC®)
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Life Underwriter Training Council Fellow (LUTCF®)
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Certified Securities Compliance Professional (CSCP®), University of St. Thomas School of Law
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Qualified Neutral Under MN Rule 114 – Civil Adjudicative/Evaluative (Arbitration)
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Qualified Neutral Under MN Rule 114 – Civil Facilitative/Hybrid (Mediation) - MN ADR I.D. # 6172
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Certified Mediator – Mediate.com
Areas of Expertise
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Alternative Investments
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Annuities - Fixed & Variable
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Breach of Fiduciary Duty
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Broker-Dealer & Registered Representative Sanctions
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Broker & Investment Adviser Fraud
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Churning / Excessive Transactions or Switching
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Code of FINRA Arbitration Procedure - Section 10000
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Compensation Disputes
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Compliance Program Management Including Risk Assessment and Risk Management
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Communication with Public - FINRA Rule 2210
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Conflicts of Interest
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Developing, Monitoring, and Testing Policies and Procedures
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Employment Termination
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Ethical Considerations
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Exchange Traded Funds (ETFs) & Mutual Funds
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Failure to Supervise
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Fiduciary Standard of Care & Responsibility
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Financial Exploitation of Seniors & Vulnerable Adults
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FINRA Sanctions
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Fraud, Misrepresentations, or Omissions of Facts - FINRA Rules 2020 and 2010
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Insurance - Term, Whole, Universal, & Index Life
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Insurance - Long Term Care
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Investigations and Sanctions - FINRA Section 8000
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Leveraged & Inverse ETFs
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Limited Partnerships & Direct Participation Programs
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Misrepresentation
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Non-Traded REITs
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Omission of Facts
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Options - Equity & Index
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OTC Bulletin Board / Penny Stocks / Low-Priced Securities
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Outside Business Activities ("OBAs") - FINRA 3270
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Private Securities Transactions
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Promissory Notes
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Sales of Unregistered Securities - Section 5 of the Securities Act of 1933
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SEC Investment Advisers Act of 1940
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Securities Fraud
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Selling Away
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Standard of Care – RIAs, RRs, and Ins. Agents
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Structured Settlements
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Suitability - FINRA Rules 2090 & 2111
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Supervision - FINRA Rules 3110 & 3120
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Supervisory Procedures – Deficient WSPs
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Target-Date Funds
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Unauthorized Transactions
Skills in Controversy
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Account Related - Breach of Contract, Dividends, & Transfers
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Executions - Price, Limit/Stop/Market Orders, Discretion, & Time and Sales
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Employment - Breach of Contract, Commissions, Compensation, Discrimination, Training Contracts, Wrongful Termination, Clearing Disputes, & Recruitment Disputes
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Trading Disputes - Buy In, Mark-ups, Stock Loans, Selling Away, Misrepresentation, & Wrap Accounts
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Standard Securities Industry Procedures - Omission of Facts, Managed/Discretionary, & Negligence
Skills in Securities
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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
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PIABA Annual Conference – September 24-27, 2024
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Securities Expert Roundtable Annual Conference – July 25-27
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Unveiling the Hidden: Understanding the Human Crime and Financial Indicators for Investigations – ACFE 2024
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Ethics for Legal Professional when Using Technology – Lexis Nexis – August 2024
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Artificial Intelligence and its Impact on Our Practices – PIABA 2024
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FINRA Annual Conference – May 16-18, 2023
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FINRA Annual Conference – May 16-18, 2022
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FINRA Annual Conference – May 18-20, 2021
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Twin Cities Chapter of Certified Fraud Examiners (TCCFE) – 2019
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Financial Fraud – May 2019
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Securities Experts Roundtable (SER)
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Death of the DOL / Birth of the SEC Best Interest – 2019
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Due Diligence Standards on Alternative Investments – 2019
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FINRA Updates and Securities ADR Developments - 2019
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Association of Certified Fraud Examiners (ACFE) – 2019
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Elder Financial Exploitation – 2019
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The CFE® as an Expert Witness – 2019
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Master Registered Financial Consultant (MRFC®) – 2018
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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.
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The MRFC® is accredited by the National Commission for Certifying Agencies (“NCAA”), the accrediting body of the institute for Credentialing Excellent, ICE.
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AHIP Medicare Training - 2018
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Overview of Medicare Program Basics: Choices, Eligibility, and Benefits
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Medicare and Health Plans
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Medicare Part D: Prescription Drug Coverage
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Marketing Medicare Advantage and Part D Plans
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Enrollment Guidance Medicare Advantages and Part D
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Nondiscrimination Training
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Medicare Fraud, Waste, & Abuse
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Minnesota State Bar Association: ADR Section – Mediation and Arbitration Training
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Make Your Settlement Conference with the Judge a Success – October 2024
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Using Core Concerns to Create Better Outcomes in Mediation – MN State Bar – May 2023
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Solve the Problem! Recommendations for Effective Dispute Resolution through ADR – MN State Bar - June 2023
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Compliance, Supervision and Suitability in IRA, Pension and Other Retirement Accounts – April 2023
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Strategies and Techniques in FINRA Arbitration Involving IRA, Pensions, and Retirement Accounts – April 2023
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Economic & Non-Economic Damages in FINRA Arbitrations involving IRA, Pensions and Ret Accounts – 2023
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Dealing with Death or Incapacity of Your Client – April 2023
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Why Mediations Fail and How to Achieve Better Results – April 2023
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Cutting Edge Mediation and Settlement Strategies – April 2023
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How AI Can Help Every Arbitrator and Mediator – October 2022
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Emerging Ethical Issues - October 2022
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Insurance Coverage Issues for Securities Arbitrators – October 2022
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Synergies Between Class Actions, Individual Cases, and Arbitrators – October 2022
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Settling Securities Disputes – October 2022
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The New Minnesota Rule 114 – December 2022
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Party-Appointed Arbitrators: The Presumption of Bias – September 2021
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Mediation with Experts: Best Practice and Pitfalls
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ADR, ADA, and Covid 19 – November 2020
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Online Dispute Resolution (ODR): Welcome to My Virtual World - September 2020
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Arbitration Options: The Right Fit for the Fight -2019
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ADR Career Paths in Law – October 2018
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All Conflict is Relational – September 2018
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Impartiality in Dispute Resolution: What Does it Really Mean? – May 2018
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Comparative Mediation Processes: Civil, Community, and Family – April 2018
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How You Can Use ADR to Help with Your CBAs – March 20
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ADR and the IRS – February 2018
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Cultural Considerations, Norms, & Expectations in Mediation – 2018
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Alternative Dispute Resolution and the IRS – 2018
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How You can Use ADR to Help with Your CBAs – 2018
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Comparative Mediation Processes: Civil, Community and Family – 2018
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Impartiality in Dispute Resolution: What does it Really Mean? – 2018
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Managing Values-Based Disputes – 2017
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Tips for Interacting with Diverse Humans – 2017
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Avoiding Ethical Complaints as an ADR Neutral – 2017
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Keeping Your Cool When Clients Get Heated – 2017
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Practice Tips for Mediation & Arbitration – 2017
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Preparing for a Productive Mediation – 2017
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Best Practices in Conducting Arbitrations – 2017
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Handling Difficult Questions – 2017
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Ethics in Arbitration & Mediation – 2017
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ADR Neutrals & Ethics Complaints: A View from the Office of Lawyers Professional Responsibility – 2017
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American Arbitration Association
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It's Time for Heavy Metal Mediation – 2017
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Mediation & the Challenges in Today’s World – 2017
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Seeing & Hearing New Things in the Same Old Rooms – 2017
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Rethinking the Mediator’s Opening – 2017
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Making the Most of Med-Arb – 2017
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People Skills & Mediation: Improving Communications & Avoiding Chaos – 2017
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The Preliminary Hearing – 2017
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Recommendations from a Lifetime in Arbitration – 2017
Making the Most of Med-Arb – 2017
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FINRA Dispute Resolution
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Advertising Review: Conquering Challenges – 2021 Conference
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Identifying & Mitigating Risks of a Remote Workforce – 2021 Conference
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Compliance Solutions – 2021 Conference
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FINRA Examination and Risk Monitoring – 2021 Conference
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Fraud Detection and Prevention – 2021 Conference
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Remote Supervision – 2021 Conference – 2021 Conference
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Compliance & Legal Trends – 2021 Conference
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FINRA Regulation Best Interest – 2021 Conference
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Discovery, Abuses, & Sanctions – 2017
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Request to Amend a Brokers CRD – 2017
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Chairperson Training – 2009
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Direct Communication Rule – 2009
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Discovery: Abuses & Sanctions – 2009
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FINRA Dispute Resolution: Expungement – 2009
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Arbitration Basic Training – 2009
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Pre-hearing Stage – 2009
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Fi360, Inc. - Center for Fiduciary Studies ™
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Emerging Technologies and Strategies to Combat Identify Fraud – ACFE March 2024
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Future of Fraud: 2024 Expert Predictions – ACFE – December 2023
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Retirement Income Solution Practice and Selection Best Practices - 2023
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Gaining Control of your Discretionary Business and the Prudent Process Rules – 2023
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A Fiduciary Guide to SECURE Act 2.0
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State Mandated Retirement Programs – 2022
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Elevating the Financial Wellness Discussion – 2022
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PTE 2020-02, IRA Rollover and Beyond: How to Comply by December 20 Deadline
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The Covid Response, Implications for Retirees, & Exponential Innovation
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IRAs: Goldmine or Minefield - 2021
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Understanding Caused of 401k Litigation – 2021
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RIA Disclosures: Form CRS – 2020
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The SECs Regulation Best Interest for Investment Advisers - 2020
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The State of the Fiduciary – 2020
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How to Bullet Proof a 401k from Fiduciary Breaches – 2020
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Remedies & Damages - 2020
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Accredited Investment Fiduciary Training - 2014
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Fiduciary Standards of Care
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Global Fiduciary Precepts
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Defined Investment Process Substantiated by Law, Regulations, and Industry Best Practices
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ERISA Named Beneficiaries
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Fiduciary Responsibilities – Investment Advisers | Investment Stewards | Investment Managers
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CFA Institute
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25th Annual GIPS® Standards Virtual Conference - 2021
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Ethical and Professional Standards - 2021
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Quantitative Methods - 2021
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Outlook with Jim Paulsen - 2021
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SEAK, Inc.
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The Biggest Mistakes Experts Make and How to Avoid Them – April 2023 (Hon. William F. Sullivan)
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How to Effectively Use Demonstratives to Support Expert Testimony – April 2023
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Effective Expert Testimony – April 2023
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Expert Mistakes: Avoiding Self-Inflicted Wounds – April 2023
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How Attorneys Cross Examine Expert Witness at Trial: Strengths & Goals – April 2023
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How to Establish and Maintain a Standout Working Relationship with Retaining Counsel – April 2023
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How to Excel at Trial: Preparing and Testifying – April 2023
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How to Excel at your Expert Witness Deposition – April 2023
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How to Excel During Direct Examination – April 2023
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How to Excel at Zoom Depositions – April 2023
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Form Defensible Opinion; Avoid and Prevail in Daubert Challenges – April 2023
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How to Prepare a Superior Expert Report – April 2023
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Gratifying Guide to Expert Witness Report Formatting with Microsoft Word – April 2023
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The Benefits of Narrowing the Areas you Opine On – April 2023
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The Dark Side of a High-Profile Case – April 2023
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Expert Witness & Litigation Support Training & Seminars
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Direct Examination: What Lawyers Want from their Expert - 2012
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Effective Use of Demonstrative Evidence - 2012
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Expert Witness Preparation for Trial: Direct and Cross-Examination - 2012
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How and Why Expert Witnesses Get Disqualified - 2014
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How to Write an Exceptional Expert Witness Report - 2014
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Experts Going on the Offensive During Cross-Examination - 2016
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How to Survive and Thrive in Large & Complex Cases: Trials and Tribulations - 2016
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Credibility: Creating It; Keeping It Under Cross-Examination - 2016
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How to Excel at Your Expert Witness Deposition - 2017
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Effective and Persuasive Presentation of Expert Testimony - 2017
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Arbitrations, Mediations, and Bench Trials: Delivering Effective Testimony -2017
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Teaching and Persuading in Court: A Judge’s View on Practical Communication - 2017
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Writing and Defending Your Expert Report at Deposition and Trial -2017
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How to Deal with an Aggressive Attorney at Deposition and Trial 2017
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National Futures Association (NFA®)
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Arbitration Chair Examination – 2017
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Pre-Hearing Conference Call Examination – 2017
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The Briggs Forum on Financial Markets: Securities, Insurance, Litigation & Regulation – 2017
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Fiduciary Duty Rule: What Now?
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Focus on the Regulators: What Can We Expect in Financial Regulation?
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An Aging Population: Elderly Clients and Clients with Diminished Capacity
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SEAK Expert Witness Training - 2012 - 2017
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Securities Litigation and Enforcement Forum - Briggs & Morgan, PA
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Restorative Justice Training - CMRS, Inc. – 2015
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Upper Midwest Securities and Enforcement Forum - June 2011 & 2012
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FINRA District 4 Office Conference – 2011
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Business Ethics Summit: College of St. Thomas, St. Paul, MN
Professional References
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Available Upon Request