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Securities: Stock Options Expert Witnesses

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Bob Lawson, CFE®, AIF®, RFC®, LUTCF®
Securities & Insurance Expert Witness | 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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Securities ExpertCertified Fraud ExaminerMr. Bob Lawson, AIF®, CFE®, RFC®, LUTCF, is a Securities & Insurance Expert Witness retained for FINRA arbitration, mediation, and federal/civil court litigation. Mr. Lawson possesses over 30 years of experience within the securities and insurance industries. In 1988, Mr. Lawson founded Barrington Capital Management, Inc., a Registered Investment Advisory firm and Insurance Agency, and currently serves as the President and Chief Compliance Officer.

AIF LogoIn addition, Mr. Lawson presides as a FINRA & NFA Dispute Resolution Arbitrator for disputes concerning public and private investors, financial services professionals, broker-dealers, and dually-registered investment advisers. Claims often arise regarding breach of fiduciary duties, employment disputes, conflicts of interest, churning, unsuitable investments, and failure to supervise, among others. Mr. Lawson also serves as a public mediator and is a Qualified Neutral under Minnesota Rule 114 of Standard Practice in Mediation and Arbitration.

His breadth of experience includes managing and supervising FINRA broker-dealer branch offices as a Registered Securities Principal, Options Principal, and Chief Compliance Officer. Mr. Lawson also has considerable experience with insurance products including variable annuities, fixed and indexed annuities, long term care, and life insurance. Mr. Lawson possesses numerous accolades and is certified as an Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Registered Financial Consultant (RFC®), and a Life Underwriter Training Council Fellow (LUTCF®).

Retaining Mr. Lawson as an Expert Witness and Litigation Consultant will clarify and address relevant issues pertaining to your case from an insider's point of view. Upon a thorough examination and analysis of the case material, Mr. Lawson’s conclusions and opinions are impartial, objective, and predicated upon years of industry expertise and experience. Expert testimony and reports are supported by thorough and detailed research through case-specific analysis.

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
Services:
  • Litigation Consulting
  • Unbiased Case Analysis
  • Discovery Review & Recommendations
  • Portfolio Risk Reports
  • Securities Fraud Investigation
  • Damage Calculations
  • Expert Testimony
View Bob Lawson's Consulting 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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John T. Foster
President & CEO
NJ USA
phone: 609-707-1071
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John T. Foster calls upon his deep and broad senior level experience, gained through a 35 year career in the broker-dealer industry, to provide uniquely relevant securities expert witness services. Uncommon in the “expert” field, Mr. Foster continues today to be actively engaged in the field as a specialized consultant for broker-dealer firms. He currently serves as the President and CEO of Bedford & Main Financial Consulting.

Mr. Foster worked for many years in a senior management role for a large, multi-national self-clearing firm. He also served as the President and CEO of an independent broker-dealer where he was responsible for ensuring compliance and regulatory requirements were properly implemented to support a retail-based business. He is very familiar with financial services expert witness issues related to fundamental FINRA compliance regulations such as: suitability, supervision, senior issues, churning, complex products and written supervisory procedures (WSPs). He is also proficient in matters related to client and firm interactions with financial advisors, which frequently are subjects of FINRA arbitrations.

Mr. Foster believes that in order to maintain ethical standards a high degree of selectivity is required when reviewing specific issues and determining his ability to provide a meaningful expert opinion. As such, he is happy to review a claim (“On my own time and expense of course!”) to determine if he has the proper background and agreement to support a case.

Areas of Expertise:
  • Senior Issues
  • Suitability
  • Supervision
  • Churning
  • Discount Web Brokers
  • Complex Products
  • SEC Direct Market Access (15c3-5)
  • Written Supervisory Procedures (WSPs)
  • Financial Advisor Supervision
  • FINRA Compliance
  • Private Security Transactions
  • Outside Business Activities
  • Certified Anti-Money Laundering Specialist
  • Master Accounts and Sub-accounts
  • Licenses and Memberships:
    • FINRA Series 3, 7, 24, 27 and 63
    • Certified FINRA Dispute Resolution Arbitrator
    • Member of the Securities Experts Roundtable
    • Certified Anti-Money Laundering Specialist (CAMS)
    View Bedford & Main's Consulting Profile.
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    Gontran de Quillacq
    Securities Consultant / Quantitative Portfolio Manager
    NY / NJ
    USA
    phone: 732-533-9066
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    Gontran de Quillacq has over 20 years of Securities experience specializing in Portfolio Management, Equity Derivatives Trading, Proprietary Trading and Investment Research. He has worked with top-tier banks and hedge funds in both London and New York. Background Experience - An institutional-level proprietary and derivatives trader, Mr. de Quillacq traded derivatives, from vanillas to exotics. As a portfolio manager, he researched and managed multiple investment strategies, notably initiating the distribution of investment strategies with derivatives, an activity now called 'portable alpha' and 'smart beta'. For five years, Mr. de Quillacq then ran due diligence on investments strategies and selected senior investment personnel for some of the world’s most famous and most demanding hedge funds and asset managers. In 2017, he co-founded a quantitative fund deploying the latest machine learning techniques in global long/short equities. Litigation Support - Mr. de Quillacq's investment experience and cross-sectional review of other professionals give him unique experience on what can be done, what should be done, what should not be done, and the grey areas in-between. During a personal case against HSBC, his legal team was so impressed by his wide and thorough knowledge in finance, his capacity to explain complicated ideas in simple terms, and his strong performance on the stand, that they strongly recommended he expand his litigation support services. Mr. de Quillacq's services are available to attorneys representing plaintiff and defendant and include written reports, deposition, arbitration, mediation, and trial testimony as needed. He is an IMS Elite Expert and a member of the Securities Expert Roundtable. Mr. de Quillacq also collaborates on cases with the Barrington Financial Consulting Group. Areas of Expertise:

    • Investments and Trading: Securities and derivatives (stock options, swaps, exotics...), structured products, complex financial instruments, benchmarks manipulation (Libor, FX, indices), liquidity management, statistical arbitrage and algorithmic trading, portfolio construction and risks, management fees, broker dealers, hedge funds
    • Recruitment and Employment: Front-office personnel, portfolio managers, traders, quants, analysts, broker-dealers, compensation, due diligence, U5
    • Supported Practice Areas: Financial fraud & litigation, commodities & securities manipulation, white-collar crime, broker-dealers, hedge funds, investigations, enforcement, whistleblowing, ADR, FINRA arbitrations

    Education / Training:

    • HEC Paris, MBA Finance, 1995
    • US Berkeley, visiting scholar, differential algebra, 1993
    • Ecole Superieure d'Electricite, doctoral degree (DEA), 1993
    • Stanford Research Institute, international fellow, atomic physics, 1992
    • Ecole Normale Superieure de Lyon, MS theoretical physics, 1992
    • Ecole d'Application du Train, lieutenant, 1990
    • Lycee Faidherbe, classes preparatoires, 1989
    4/11/2018 · Securities
    It's a no-brainer; the financial industry has changed a lot over the last decades. There are multiple causes. Among the structural factors, one can mention the rise of technology, the decimalization and electronification of exchanges, the introduction of ECNs for equity, the increases in volume and speed of those exchanges. There were also significant regulatory changes (MiFID, Basel, Dodd-Frank...). Derivatives trading has changed a lot too. But what happened to the VIX on February 5th, could be a wake-up call to the industry and generate another wave of deep changes.