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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
Xavier University Graduate School of Business.
Cincinnati, Ohio.
MBA 1981
Major: Finance
Concentration: Taxation
Emory University.
Atlanta, Georgia.
BA 1976
Major: English, 1976.
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.
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 2,000 securities cases for claimants, respondents, plaintiffs and defendants.
Testified before NYSE, FINRA/NASD, AAA, CBOE and Pacific Exchange arbitration panels as well as in state and federal
court.
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
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).
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