Robert Warren Lawson

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LAWSON FINANCIAL CORPORATION, (CRD No. 15261), ROBERT WARREN LAWSON, (CRD No. 501167), and PAMELA DENISE LAWSON, (CRD No. 1475253), Respondents. DISCIPLINARY PROCEEDING No. 2014043854401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From 2013 through 2015, Respondents Lawson Financial Corporation ("LFC") and Robert Lawson (President, Chief Executive Officer and Chief Compliance
01/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LAWSON FINANCIAL CORPORATION, (CRD No. 15261), ROBERT WARREN LAWSON, (CRD No. 501167), and PAMELA DENISE LAWSON, (CRD No. 1475253), Respondents. DISCIPLINARY PROCEEDING No. 2014043854401 Hearing Officer RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 31, 2017 INTRODUCTION Disciplinary Proceeding No. 2014043854401 was filed on May 16, 2016 by the Department of Enforcement of the Financial
Reference 2014043854401data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	501167

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