Ross P. Tulman

Employment

• Registered Investment Advisor. 1985 - Current.
• Managing Principal - Trade Investment Analysis Group, Columbus, Ohio. Managed fixed income, equity, partnership & venture capital investments. Litigation consulting on securities and investment disputes. Series 65 License (Current).
• AudiPac/North American Logistics, Inc. 1993 - 2003.  Columbus, Ohio. Portfolio Manager of fixed income & equity investments, Board of Directors.
• Registered Representative.   J. C. Bradford & Co. 1982 - 1985.  Columbus, Ohio. Series 7 and Series 63 Licensed.

Education

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) 1992 - Current; Chair qualified.
• Editorial Advisory Board - Securities Arbitration Commentator.
• NASD Discovery Rule Advisory Group; Assisted with the development of NASD NTM 99 - 90 (Now known as the FINRA Discovery Guide)
• Discovery List Project Task Force 2006; National Arbitration and Mediation Committee (Update to the orginal Discovery Guide).
• FINRA National Arbitration and Mediation Committee, 2024. Presentation to Discovery Subcommittee  concerrning presumptively discoverable documents in investment advisor disputes.
• FINRA (formerly NASD) Mediator; 1996 - Current.
• FINRA - Judge for 2022 Securities Dispute Resolution Triathlon - Mediation Round.
• Securities Experts Roundtable; Board of Directors 2005 - 2011; 2016 - 2019; President-Elect 2005 - 2006. President 2006 - 2007.
• President - Elect 2016 - 2017. President 2017 - 2018.
• Securities Experts Roundtable; Director Emeritus designation 2024.
• Ohio Division of Securities Enforcement Committee — 1998 - 99 Co-Chair.
• Consulted on in excess of 3,000 securities and investment management 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.
• Pro Bono Consultant to Fordham University School of Law, Securities Arbitration Clinic, 2024.
• 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 Roundtable, 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 Roundtable, 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.
• Program Moderator at Securities Experts Roundtable, Chicago, IL 2017.
• Speaker at AICPA Forensic Valuation Services Conference, Las Vegas, NV 2017 — topic: The Quantification of Damages in Litigation Involving Investment Advisers.
• Panel Moderator at Securities Experts Roundtable, Washington, D.C. 2018 - topic:  Damage Remedies in Employment, Contract and Fiduciary Cases.
• Panel Member at Practicing Law Institute; The Cutting Edge of Arbitration:  A Discussion with the Experts; New York, NY, 2019.
• Panel Member at the New York City Bar Association; Securities Arbitration and Mediation Hot Topics 2019; Investment Advisors + Registered Representatives +Broker Dealers: What Standards Apply? Fiduciary/Best Interest; Demonstratives and Technology that Help Persuade; New York, NY, 2019.
• Panel Member at Securities Experts Roundtable, St. Paul, MN 2019 - topic: Writing an Expert Report & Testifying Differences: Arbitration, Deposition, and Court.
• Panel Moderator at New York State Bar Association; Securities Arbitration 2020: Deep Dive; New York, NY, 2020 — topic: Remedies and Damages.
• Panel Moderator at Securities Experts Roundtable, Washington, D.C. 2021:  Claimant's or Respondent's Expert - How to Get Retained by Both.
• Panel Member at Securities Experts Roundtable, Boston, MA 2023 - Current Opportunities Related to Fiduciary & ERISA Issues.
• Panel Member at Ohio Department of Commerce, Division of Securities, Columbus, OH 2023: Regulation Best Interest Three Years In: The Story So Far and What the Future Holds.
• Speaker at PIABA, Colorado Springs, CO, 2023: Advanced Discovery.
• Panel Moderator at Securities Experts Roundtable Webinar, 2024: When and Why Does the Trier of Fact Hit the Off Switch?
• Panel Moderator at Securities Experts Roundtable, Washington, D.C. 2024; A Master Class on Testimony: The road to credibility - testifying skills required to succeed in different forums.

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 Advisers, 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).
• Publication: Discovery in Investment Advisor Disputes, PIABA 2023.