Trade Investment Analysis Group

Home | Sample Reports | Retainer - Expert | Retainer - Mediator
Ross Tulman
rpt@tiagroup.com
(614) 854-9950 Phone
(614) 854-9953 Fax

Employment

Registered Investment Advisor. 1985 - Current

Principal - Trade Investment Analysis Group (formerly Tulman Investment Advisory), Columbus, Ohio. Manage fixed income, equity, partnership & venture capital investments. Litigation consulting - securities and investment disputes. Series 65.

AudiPac/North American Logistics, Inc. 1993 - 2003.
Columbus, Ohio. Portfolio Manager of Fixed Income & Equity Investments, Board of Directors.

Investment Broker. J. C. Bradford & Co. 1982 - 1985.
Columbus, Ohio. Series 7 and Series 63 Licensed.

Education

Emory University
Atlanta, Georgia
BA, Major: English
 
Xavier University Williams College of Business
Cincinnati, Ohio
MBA, Concentration: Taxation; Major: Finance
 
Johns Hopkins University Carey Business School
Baltimore, Maryland
MS Finance
Expected 2018

Training

NASD Arbitrator Training, 1992.

NASD Chairperson Training, 1996.

NASD Employment Law Training, 1997.

CDR Associates, completed 40 hour Mediation Training Program; Boulder, Colorado, 1996.

NFA Arbitrator Training, 2001.

Comments

Member - FINRA (formerly NASD), NFA Board of Arbitrators.
 
Board of Editors - Securities Arbitration Comentator.
 
NASD Discovery Rule Advisory Group; Assisted with the development of NASD NTM 99-90.

Discovery List Project Task Force 2006; National Arbitration and Mediation Committee.

FINRA (formerly NASD) Mediator.

Securities Experts' Roundtable; Board of Directors 2005-2011; President-Elect 2005-2006. President 2006-2007.
 
Member - Securities Industry Association - Compliance & Legal Division.

Ohio Division of Securities Enforcement Committee - 1998-99 Co-Chair.

Consulted on in excess of 2,500 securities cases for claimants, respondents, plaintiffs and defendants.

Testified before NYSE, FINRA/NASD, AAA, CBOE, CPR, JAMS and Pacific Exchange arbitration panels as well as in state and federal court. 
 
Pro Bono Consultant to St. John's University School of Law (NY), Securities Arbitration Clinic, 2015-16.
 
Speaker at The Ohio Academy of Trial Lawyers Civil and Business Law Seminar, Columbus, 1990 - topic: Securities Fraud and Abuse: Working with Experts.

Speaker at PIABA, Palm Beach, 1994 - topic: Damages in Securities Arbitration.

Speaker at PIABA, Miami, 1996 - topic: Fixed Income Follies: Packaged Product Abuse.

Speaker at Practising Law Institute, New York, 1996 - topic: Damages in Securities Arbitration.

Speaker at Practising Law Institute, New York, 1997 - topic: Large and Complex Cases.

Speaker at New York City Bar Association, 1998 - topic: Experts in Mediation.

Speaker at Practising Law Institute, San Francisco, 1999 - topic: Technology in Securities Arbitration.

Speaker/Moderator at Practising Law Institute, New York, 2001 - topic: Securities Arbitration: How to Do It; How to Do It Better.

Speaker/Moderator at Practising Law Institute, New York, 2002 - topic: Securities Arbitration: Taking Control of the Process.

Speaker/Moderator at Practising Law Institute, New York, 2003 - topic: Securities Arbitration: Simplifying Complexity.

Speaker/Moderator at Practising Law Institute, New York, 2006 - topic: Taking Responsibility.

 
Speaker/Moderator at Practising Law Institute, New York, 2008 - topic: Securities Arbitration: Evolving and Improving.
 
Panel Chair at Securities Experts Rountable, Boston 2013 - topic:  Practice Management:  What You Need to Know to Become a Better Expert.
 
Faculty - American Arbitration Association, Webinar 2013- topic:  ADR and Emerging Technologies: the Future has Arrived.
 
Panel Chair at Securities Experts Roundtable, San Francisco 2014 - topic:  Rule 26 and Other Federal Practices.
 
Speaker at Securities Experts Roundatable, Washington, D.C. 2015 - topic:  Tutorial: Expert Testimony 101.
 
Podcast:  Investment Adviser Arbitration - What You Need to Know; Securities Arbitration Commentator 2015.
 
Panel Member American Bar Association Section of Dispute Resolution, New York, NY 2016 - topic:  The Contribution of Experts to Mediation.
 
Speaker at The New York State Bar Association program on Securities Arbitration and Mediation, New York, NY 2017 - topic:  Securities Industry Experts’ Perspective on Securities Arbitration.

Publications

Publication: The Nuts and Bolts of Case Processing, Securities Arbitration 1993, Practising Law Institute.

Publication: Structuring a Practical Remedy: Damages in Securities Arbitration, Securities Arbitration 1994, Practising Law Institute.

Publication: Case Preparation: The Efficient Use of Documents, Securities Arbitration 1996, Practising Law Institute.

Publication: The Use of Graphs and Charts in Arbitration, Securities Arbitration 1997, Practising Law Institute.

Publication: Technology in Arbitration: Oxymoron or Reality, Securities Arbitration 1999, Practising Law Institute.

Publication: The Calculation of Damages in Securities Arbitration, Securities Arbitration 2000, Practising Law Institute (co-authored).

Publication: The Calculation of Damages in Securities Arbitration, Securities Arbitration 2001, Practising Law Institute (co-authored).

Publication: The Suitability Obligations of Brokers and Investment Advisors, Securities Arbitration 2003, Practising Law Institute.

Publication: "So You Wanna Be A Rock 'N Roll Star......" Expert Problems and Solutions, Securities Arbitration 2006, Practising Law Institute.
 
Publication: The Genesis of a Troubled Product: Auction Rate Securities, Securities Arbitration 2008, Practising Law Institute (co-authored).