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Tanya D. Urbach is a Bates Consulting Expert a leading provider of securities litigation support, regulatory and compliance consulting, and forensic accounting services to Fortune 500 Companies. Tanya uses her extensive background in the securities industry to provide expert witness testimony on state and federal regulation of securities and on regulatory compliance and supervisory issues related to broker-dealers and investment advisers.
Tanya is a litigator with an emphasis in financial institution defense and litigation. While in private practice, Tanya represented broker-dealers, investment advisers, registered representatives, and other securities professionals in civil disputes and regulatory matters, regarding violations of state and federal securities laws, violations of rules of regulatory and self-regulatory organizations, and financial fraud. She has also routinely provided compliance advice and counsel to broker-dealer and investment advisory firms, as well as representing banks and credit unions in banking and trust litigation, including defending consumer claims under fair debt collection statutes, the Truth-in-Lending Act, Consumer Protection Act, breach of contract, and common law fraud.
As the former Deputy Commissioner of Securities for Vermont, Tanya prosecuted regulatory investigations into securities fraud. Prosecutions included internet-based securities fraud, identity theft and Ponzi schemes, broker-dealer and investment adviser misconduct, including point of sale violations, market timing in mutual funds and variable annuities, market manipulation, and abusive short-selling. As Vermont’s securities regulator, Tanya was also responsible for investor education initiatives, registration of securities, licensing of securities firms and their representatives as well as overseeing the broker-dealer and investment adviser examination process. She proposed and prosecuted through the state legislature a New Uniform Securities Act, which Vermont ultimately enacted. During her time as a regulator, Tanya was also a member of the board of directors and on the broker-dealer section of the North American Securities Administrators Association.
Bates Group LLC, Consulting Expert, 2021 - Present
Markun Zusman Freniere & Compton LLP, Partner, 2019 – 2020
Paulson Investment Company, LLC, General Counsel, Executive Vice President, 2005 - 2019
Lane Powell PC, Shareholder, 2005 – 2015
Vermont Department of Banking, Insurance, Securities and Health Care Administration, Deputy Commissioner of Securities, 2004 – 2005
Timberhill Corporation, President, 2006 – Present
Lane Powell Spears Lubersky LLP, Partner, 2000-2004
Merrill O’Sullivan LLP, Litigation Associate, 1996-2000
Graduate, Northwest Institute for Trial Advocacy
Participant, Oregon Trial Advocacy College
Juris Doctorate (JD), Lewis & Clark Law School
Bachelor of Arts (BA), Chinese, graduated with honors, Thesis: “Sino-Foreign Equity Joint Ventures”, University of Oregon Robert D. Clark Honors College
Foreign Languages: Chinese (Working Knowledge); French (Working Knowledge)
Admitted to Practice: Oregon, U.S. District Court; District of Oregon; U.S. Bankruptcy Court, District of Oregon; Ninth Circuit Court of Appeals
Securities Licenses: Series 7, 2015; Series 66, 2015; Series 24, 2016; Series 79, 2016
