Steven Tanner
About Steven Tanner
Steven Tanner serves as Senior Counsel at FINRA, where he specializes in legal analysis related to equities and options trading. He has a strong background in regulatory compliance and litigation, with previous experience at NYSE Regulation, Inc.
Work at FINRA
Steven Tanner has served as Senior Counsel at the Financial Industry Regulatory Authority (FINRA) since 2010. In this role, he focuses on legal analysis related to equities and options trading, particularly assessing potential manipulative activities. He provides guidance to examination and investigative staff on regulatory violations, emphasizing risk management controls and market manipulation. His responsibilities also include litigating contested matters, conducting discovery, and performing direct and cross-examinations. Additionally, Tanner plays a significant role in settlement negotiations and drafting documents for presentation to disciplinary bodies.
Education and Expertise
Steven Tanner holds a Bachelor of Business Administration (BBA) in Accounting and Finance from The George Washington University, where he studied from 1975 to 1980. He furthered his education at Emory University School of Law, earning a Juris Doctor (JD) from 1980 to 1983. His educational background provides a strong foundation for his extensive legal expertise in financial regulations, particularly in the areas of equities and options trading.
Background
Before joining FINRA, Steven Tanner worked at NYSE Regulation, Inc. as Senior Trial Counsel from 1988 to 2010. During his 22 years at NYSE Regulation, he gained substantial experience in the legal aspects of trading and regulatory compliance. His background in both law and finance has equipped him with the skills necessary to navigate complex legal issues within the financial industry.
Achievements
Throughout his career, Steven Tanner has been involved in significant legal proceedings related to trading practices. His role in litigating contested matters includes conducting discovery and performing direct and cross-examinations. Tanner's contributions extend to conducting settlement negotiations and drafting essential documents for disciplinary bodies, showcasing his expertise in handling complex legal issues in the financial sector.