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Deposition Designation Station

Arbitration FINRA Expert Witnesses

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Bob Lawson, Securities Expert & FINRA Arbitrator
Securities Fraud Investigator
3800 American Boulevard West
Suite 1110
Bloomington MN 55431-4460
phone: 800-741-0704
fax: 952-835-1504
Bob Lawson Wealth Manager Expert PhotoCertified Fraud Examiner LogoBob Lawson, AIF®, CFE®, RFC®, LUTCF is a Securities Expert Witness and Wealth Manager serving both claimants and respondents in FINRA arbitration, mediation and court settings. Bob Lawson has over 32 years of experience with securities, investments, insurance, and commodities as a financial adviser, supervisor, and managing principal. He has conducted over 500 presentations, classes, and workshops on financial matters for industry professionals, adult education, and retail investors. He is an articulate and persuasive presenter with a thorough understanding of FINRA and SEC Rules and Regulations. He proudly serves as an Accredited Investment Fiduciary, ERISA (3)-21 Investment Fiduciary, Certified Fraud Examiner and Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice. - Arbitration & Mediation.

Bob’s expertise lies in meticulously analyzing compliance manuals, correspondence, exchange rules, industry norms, and internal policies which are relevant to the particular case. He understands the ethical issues that frequently arise and will identify specific rules, laws, and regulations from Federal, State, and SRO’s where violations may have occurred.

Bob is uniquely positioned to to assist investment adviser and broker-dealer clients, as well as State and Federal Regulators, with matters throughout the litigation life cycle from a pre-litigation complaint, mediation, through testifying at a hearing.

Bob is focused on providing exceptional written reports, depositions, direct testimony, cross-examination, and litigation support. He has completed specialized expert witness and fraud training from prominent organizations and experts on relevant subject matter.

Firms that retain him will receive unbiased advice supported by extensive and detailed research and not subjective hypothetical theories.

Areas of Expertise:
  • FINRA & SEC Regulations
  • Breach of Fiduciary Duty
  • Promissory Notes
  • Securities Fraud Investigations
  • Ponzi Schemes
  • Options, Stocks & Bonds
  • Due Diligence
  • FINRA Arbitration
  • Professional Malpractice
  • Economic Damages & Losses
  • Employment Discrimination & Termination
  • Litigation Consulting
  • Unbiased Case Analysis
  • Discovery Review & Recommendations
  • Portfolio Risk Reports
  • Securities Fraud Investigation
  • Damage Calculations
  • Expert Testimony
View Bob Lawson's Consulting Profile.
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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Mark Johnson, JD, PhD
1450 Hughes Rd
Suite 120
Grapevine TX 76051
phone: 817-909-0778
fax: 817-788-1399
Mark Johnson, JD, PhD, is a Pension Expert and an ERISA Benefits consultant with over 30 years of experience. He is also a licensed attorney in Texas and is a Board Certified Labor and Employment Law Specialist, as designated by the Texas Board of Legal Specialization.

Dr. Johnson served as a former Plan Administrator, Fiduciary, ERISA Compliance Officer, and Managing Director of Benefits and Pensions for American Airlines, a unionized Fortune 500 company. During this time, he managed ERISA plans covering more than $14 billion in assets and over 100,000 participants, as well as welfare plans covering 350,000 employees and their dependents. Mr. Johnson understands the nuances of ERISA because he made decisions every day regarding pension, life, health, long term disability, and other qualified and non-qualified benefits.

Litigation Support - As an active ERISA litigation consultant, Dr. Johnson sees how disagreements ranging from individual benefit claims to class action fiduciary liability litigation are resolved in court. He serves as an expert witness for plaintiff or defense attorneys in litigation relating to:
  • 401(k) Fiduciary Liability
  • Cash Balance conversion
  • Company Stock Drop
  • Employee Stock Ownership Plans (ESOP)
  • FINRA Arbitration
  • Group Life & Health Plan Benefits
  • Health Plan Reimbursement Levels
  • Labor Union Pensions
  • Long Term Disability (LTD) benefits
  • Pension Benefits in Bankruptcy
  • Pension or 401(k) Plan Expenses
  • Retiree Medical Plans
  • Severance Benefits
  • Survivor Benefits
  • Third Party Administrator Disputes
  • View Dr. Johnson's Consulting Profile.