Steven Tanner
Senior Counsel at Finra
Based in New York, United States
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Seniority
Staff
Department
Legal
Location
New York
Industry
Financial Services
Company size
6.1K
Contact information
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s•••••••@finra.org
Phone
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Background
About Steven Tanner
Attorney in organization dedicated to maintaining investor protection and market integrity. Extensive investigation and litigation experience. Lead role in the investigation and prosecution of trading and business violations by member firms and associated persons on behalf of FINRA and client exchanges. Investigations include all aspects of fact gathering, taking on-the-record testimony, and analyzing securities accounts. Prepare legal documents, including investigative summaries, complaints, motions, and memoranda of law. Negotiate settlements, and prepare settlement documents. Prepare legal analysis on issues such as whether equities and options trading was potentially manipulative, and whether broker-dealers implemented and enforced adequate supervisory policies and procedures.
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