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Bob Lawson, Securities Expert & FINRA Arbitrator
3800 American Boulevard West, Suite 1110
Bloomington MN 55431-4460
USA
phone: 800-741-0704
fax: 952-835-1504
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Barrington Capital Management, Inc. provides customized financial solutions for unique financial challenges and objectives. Their expertise is in the development, implementation and ongoing management of a customized and diversified investment strategy. Barrington's mission is to assist in building, enhancing, and protecting personal wealth and maintaining financial security.

Robert Lawson Wealth Manager Expert PhotoPresident and Chief Executive Officer, Bob Lawson, has over 30 years of financial services experience as an Investment Advisory and Insurance Agency Executive, Securities Principal, and Options Principal. Bob proudly serves as an industry arbitrator for the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA), a Certified Fraud Examiner (CFE), ERISA (3)-21 Fiduciary, and an Accredited Investment Fiduciary.

In addition to teaching advanced investment strategies and Retirement Planning classes throughout the year, Bob is widely sought as a keynote speaker for current financial events, markets, and personal financial planning topics. Bob Lawson has special expertise in stock options and has presented the following Options Industry Council (OIC) seminars to retail and industry professionals throughout the United States:
  • Options Basics
  • Options Intermediate
  • Advanced Options
  • Covered Calls
  • Options Spreads
  • Option Volatility
  • View Bob Lawson's Expert Witness Profile.
    7/11/2017 · Securities
    In the securities brokerage industry, "selling-away" refers to the prohibited practice of an Associated Person effecting or soliciting the sale of securities or investment products not held or approved with whom the broker is affiliated without prior written consent. FINRA regulators have seen a steady flow of selling-away cases over the years involving registered representatives who are being targeted by issuers, promoters and marketing agents to sell their nontraditional investment products to their retail customers. In many instances, promoters of these products are marketing them as non-securities products that do not have to be sold through a broker-dealer by a registered person. In a significant number of cases, associated persons have sold these investments to their customers away from the broker-dealer and without firm approval as required by FINRA Rule 3270. Selling-away often occurs in an independent branch or a satellite office, where Associated Persons are removed from the day-to-day oversight and supervision of their brokerage firm's compliance department.

    9/23/2015 · Finance
    I receive phone calls throughout the year from attorneys who have taken on their first FINRA case and they frequently are unaware how the FINRA Dispute Resolution process differs from other venues. I thought it would be helpful to provide a quick overview for new participants and a refresher for those more experienced securities attorneys on how the FINRA Arbitration and Mediation process works.

    8/26/2015 · Finance
    In FINRA-related cases many attorneys see discovery requests objected to by opposing counsel. Typically, opposing counsel objects to discovery requests citing that items requested are either "overly broad, vague, or ambiguous", or "impermissible per FINRA's Code of Arbitration Procedure". However, despite opposing counsel's reasoning, many objections to discovery requests are irrelevant and do not hold up in regard to FINRA's Code of Arbitration Procedure. Attorneys should not be intimidated or discouraged by these objections, but rather should understand that FINRA's guidelines concerning arbitration allow for most applicable and reasonably obtainable discovery information to be delivered.

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    Charles Porten, CFA
    CFA, President
    9 Little Fox Lane
    Weston CT 06883
    USA
    phone: 203-454-4615
    fax: 203-227-2763
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    Charles Porten, CFA, is a Registered Investment Advisor, Chartered Financial Analyst, and investment expert with more than 30 years of experience in portfolio management of trust and advisory accounts, brokerage accounts, hedge funds and mutual funds, due diligence procedures, and compliance issues. His clients include attorneys, individuals, banks, investment advisors, broker-dealers, corporations, and the SEC.

    Background Experience - Mr. Porten has an extensive background within broker-dealer, investment advisor and bank trust environments and overseeing organizations staffed by as many as 100 personnel in managing asset bases as high as $20 billion. He has been an analyst, research director, portfolio manager, chief investment officer, business manager, and registered representative at four leading financial institutions. He has also been a guest lecturer at Harvard Law School and serves as a FINRA arbitrator.

    Litigation Support - Mr. Porten has testified over 75 times in court, depositions and arbitrations. He has been qualified to testify as an expert witness for both plaintiff and defendant on matters including:
    • Fiduciary Duty
    • Hedge Funds
    • Mutual Funds
    • Trusts and Estates
    • Variable Annuities
    • Investment Advisor
    • Brokerage Accounts
    • Portfolio Management
    • Due Diligence
    • Supervision
  • Standards of Care
  • SEC
  • Exchange Funds
  • ETF's
  • ERISA
  • IRA's
  • Securities Fraud
  • Acquisions
  • Suitability
  • Compliance Issues
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    Michael K. Smith, NFA, FINRA
    Bozeman MT USA
    phone: 630-531-1000
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    Michael K. Smith, NFA, FINRA is a highly experienced Financial Services Executive and Finance Professional with over 40 years dedicated to high-end client representation and large-scale regional management.

    As Managing Director and as Regional Manager since 1997, Mr. Smith was responsible for all aspects of the securities and banking activities within the Midwest region for three major firms: Lehman Brothers, Barclays Wealth and Citi Private Bank. He was responsible for supervising more than 50 registered representatives.

    From 1982 to 1997, Mr. Smith was a dedicated Top Producer accustomed to results-based rewards for services provided to Morgan Stanley’s ultra high net worth clients (UHNW). He specialized in developing and executing solutions to meet complex financial objectives. This period was highlighted by providing substantial agency, principal and fiduciary related transactional and investment management business for top-tier clients with $25MM - $10B net worth.

    Mr. Smith offers substantive experience and expertise in the following:
    • Options
    • Futures
    • Commodities
    • Common Stock, Preferred Stock
    • Municipal Bonds
    • Corporate Bonds
  • Hedge Funds
  • Margin & Lending
  • Derivative Securities
  • Limited Partnerships
  • Mutual Funds & ETF's
  • Discretionary Managed Assets
  • Litigation Support - Michael Smith has distilled his 40 year career in Securities and Banking into a focused expert practice. His nationwide services are requested when a client is contemplating filing an arbitration claim or after an arbitration claim or suit has been filed. He acts as an expert witness for plaintiffs or defendants involved in the following claims:
    • Misrepresentation
    • Unsuitable Trading
    • Breach of Fiduciary Duties
    • Failure to Supervise
    • Omission of Facts
    • Negligence
    • Churning
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    W. Timothy Finn
    Managing Partner
    483 Emerald Hill Road
    Russell Springs KY 42642
    USA
    phone: 270-866-2566
    fax: 270-866-4624
    Financial Management Consulting Group is an affiliation of well-experienced consultants serving banking interests throughout the country. Our years of experience, as bankers, as bank consultants, and as regulators provide valuable insight into case matters.

    We can assist both from the industry perspective and from the regulatory perspective, offering a comprehensive assessment and well supported opinion. We have qualified as experts in numerous State and Federal jurisdictions, and on numerous banking related matters. We are dedicated to providing clients with quality, results-oriented service.
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    Patrick Chylinski, CVA, CFE
    515 South Flower Street 41st Floor
    Los Angeles CA 90071-2201
    USA
    phone: 213-330-4605
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    RSM US, LLP is the 5th largest Accounting and Consulting Firm in the country, with over 85 offices across the United States. Our litigation consulting and financial forensics practice focuses on assisting counsel and clients in the areas of business and commercial litigation matters, forensic and fraud investigations, contract compliance matters, and royalty inspections.

    Our professionals have extensive experience assessing and quantifying damages in a variety of matters including contract disputes, post-closing and post-acquisition disputes, breach of fiduciary duty matters, real estate disputes, fee disputes, partnership disputes, as well as conducting analysis in forensic and fraud matters.

    Industry experience includes, among others, technology, manufacturing, hospitality, government and public sector, banking, consumer products, real estate, financial services, and entertainment. Our team of consultants has qualifications, certifications, and educational experience that include Certified Public Account (CPA), Master Analyst in Financial Forensics (MAFF), Certified Fraud Examiner (CFE), Certified in Financial Forensics (CFF), Certified Valuation Analyst (CVA), MBA, and JD.

    Our professionals have experience testifying at deposition, arbitration, and trial and have experience working in the following types of matters:
    • Economic Damage Analysis
    • Fee Disputes
    • Billing Disputes
    • Breach of Contract Matters
    • Post-acquisition Disputes
    • Earn-out Disputes
    • Fraud Investigations
    • Forensic Investigations
    • Breach of Fiduciary Duty Matters
    • Business Interruption Matters
  • Construction Claims
  • Covenant Not To Compete Matters
  • Business Valuations
  • Contract Compliance / Royalty Investigations
  • Health Care Litigation Matters
  • Insurance Claims & Coverage Disputes
  • Intellectual Property Related Matters
  • Marital Dissolution Matters
  • Purchase and Sale Disputes
  • Securities Litigation Matters
  • Patrick Chylinski Economic Damages Expert PhotoPatrick Chylinski, MAFF, CVA, CFE is a principal and the West Region Practice Leader for RSM’s Litigation Consulting and Financial Forensics practice. He has extensive experience managing and directing engagements relating to complex commercial litigation, business disputes, investigations of fraud and financial misconduct, and business valuations. He has been designated as an expert in numerous cases, and has testified as an expert in litigation matters relating to contract and fee disputes. Mr. Chylinski has experience serving clients across various industries including healthcare, financial services, real estate, construction, insurance, gaming, entertainment, and technology.

    Past experience includes roles as a Director of the Litigation Consulting and Forensic Accounting Services practice group for a top-25 national accounting and consulting firm, as well as a leadership position at a top regional firm. Earlier in his career, Patrick worked in the Financial Advisory Services group at Deloitte & Touche, focusing on dispute consulting.

    In addition to his work experience in professional services, Patrick has extensive industry experience, having worked as a Vice President of Financial Planning and Analysis for what was one of the largest mortgage banking and financial services firms in the country. Patrick also worked in commercial real estate, performing financial analysis and mergers and acquisition due diligence at a commercial real estate investment firm. He also has experience in the securities industry, at one time holding NASD Series 7 and 63 licenses.

    Litigation and Dispute Services:
    • Contract Disputes
    • Fee Disputes
    • Damage Analysis
    • Lost Profit Analysis
    • Partnerships and Real Estate Disputes
    Forensic and Investigative Services:
    • Licensing and Royalty Disputes
    • Purchase Price / Earn-out Disputes
    • Forensic Analysis
    • Fraud Investigations
    • Contract Compliance
    8/20/2014 · Forgery & Fraud
    When many people think about fraud, their thoughts usually turn to banks, investment firms and large businesses. But don't be fooled. Not-for-profit organizations – including many charities, colleges, religious entities and trade groups – are often easy targets for sophisticated fraud schemes.

    Business acquisitions and dispositions are often highly complex transactions which can possess an increased potential for disagreements-disagreements that can eventually lead to contentious and costly litigation. Various types of disputes can arise from the purchase or sale of a business, and these post-closing or postacquisition disputes can delay or even derail what may otherwise appear as obvious "win-win" transactions.