Tanya Durkee Urbach

Tanya Durkee Urbach

Tanya D. Urbach is an affiliate expert for the Bates Group, 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.


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Tanya Durkee Urbach

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Alternative Investments
      • Annuities
      • Asset Backed Securities (ABS)
      • Auction Rate Securities (ARS)
      • Bad Faith
      • Banking
      • Bankruptcy
      • Branch Management
      • Broker Dealer (B-D)
      • Broker Obligations
      • Capital Markets
      • Corporate Finance
      • Corporate Governance
      • Complex Products
      • D & O Liability
      • Employment Practices Liability
      • Equities
      • Elder Issues
      • Employment
      • Fiduciary Duties/Responsibilities
      • Fiduciary Investments
      • Financial Institution Sales
      • Fixed Income
      • Fraud
      • High Frequency Trading
      • Insider Trading
      • Introducing Firm/Clearing Firm Relationship
      • Industry Standards
      • Investment Advisory
      • Legal
      • Money Laundering
      • Mortgage Backed Securities (MBS)
      • Non-Publicly Traded Alternative Investments
      • Out-of-Pocket Losses Analysis
      • Oil and Gas
      • Outside Business Activity
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Registered Investment Advisers - RIAs
      • Selling Away
      • Sales Supervision
      • Sales Practice
      • Suitability
      • Supervision
      • TICS
      • Unauthorized Trading
      • Alternative Investments
      • Auction Rate Securities (ARS)
      • Asset Backed Securities (ABS)
      • Branch Management
      • Broker Obligations
      • Corporate Finance
      • Corporate Governance
      • Complex Products
      • Employment
      • Equities
      • Fiduciary Investments
      • Former Regulators
      • Fraud
      • High Frequency Trading
      • Industry Standards
      • Insider Trading
      • Introducing Firm/Clearing Firm
      • Market Manipulation
      • Money Laundering
      • Oil and Gas
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Selling Away
      • Sales Practice
      • Sales Supervision
      • Suitability
      • Supervision
      • Regulatory & Internal Investigations
      • Financial Crimes
      • Compliance Solutions
    • Institutional
      • Securities and Financial Services Litigation & Consulting
      • Alternative Investments
      • Annuities
      • Asset Backed Securities (ABS)
      • Auction Rate Securities (ARS)
      • Bad Faith
      • Banking
      • Bankruptcy
      • Branch Management
      • Broker Dealer (B-D)
      • Broker Obligations
      • Capital Markets
      • Corporate Finance
      • Corporate Governance
      • Complex Products
      • D & O Liability
      • Employment Practices Liability
      • Equities
      • Elder Issues
      • Employment
      • Fiduciary Duties/Responsibilities
      • Fiduciary Investments
      • Financial Institution Sales
      • Fixed Income
      • Fraud
      • High Frequency Trading
      • Insider Trading
      • Introducing Firm/Clearing Firm Relationship
      • Industry Standards
      • Investment Advisory
      • Legal
      • Money Laundering
      • Mortgage Backed Securities (MBS)
      • Non-Publicly Traded Alternative Investments
      • Out-of-Pocket Losses Analysis
      • Oil and Gas
      • Outside Business Activity
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Registered Investment Advisers - RIAs
      • Selling Away
      • Sales Supervision
      • Sales Practice
      • Suitability
      • Supervision
      • TICS
      • Unauthorized Trading
      • Alternative Investments
      • Auction Rate Securities (ARS)
      • Asset Backed Securities (ABS)
      • Branch Management
      • Broker Obligations
      • Corporate Finance
      • Corporate Governance
      • Complex Products
      • Employment
      • Equities
      • Fiduciary Investments
      • Former Regulators
      • Fraud
      • High Frequency Trading
      • Industry Standards
      • Insider Trading
      • Introducing Firm/Clearing Firm
      • Market Manipulation
      • Money Laundering
      • Oil and Gas
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Selling Away
      • Sales Practice
      • Sales Supervision
      • Suitability
      • Supervision
      • Regulatory & Internal Investigations
      • Financial Crimes
      • Compliance Solutions
  • Regulatory & Internal Investigations
  • Financial Crimes
    • Anti-Money Laundering
    • Internal Investigations
    • Fraud & Risk Management
  • Compliance Solutions
    • Broker-Dealers
    • Registered Investment Advisers

Credentials

EXPERIENCE

Markun Zusman Freniere & Compton LLP, Partner, 2019 – 2020

Paulson Investment Company, LLC, General Counsel, Executive Vice President, 2015 - 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

EDUCATION

Graduate, Northwest Institute for Trial Advocacy

Participant, Oregon Trial Advocacy College

Juris Doctor (J.D.), Lewis & Clark Law School, Portland, OR

Bachelor of Arts (B.A.), Chinese, University of Oregon, Eugene, OR, Robert D. Clark Honors College, cum laude; Thesis: “Sino-Foreign Equity Joint Ventures”

PROFESSIONAL QUALIFICATION/LICENSING

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

TEACHING AND SPEAKING ENGAGEMENTS

Lewis & Clark Law School, Portland Oregon, Adjunct Professor – Securities Regulation, 2016, 2018

Columbia University Law School, Guest Lecturer in Securities Regulation Seminar, 2014, 2015, 2017, 2018

Willamette University Law School, Guest Lecturer in Securities Regulation Seminar, 2013 – 2014

Oregon State Bar Securities Regulation Section CLE, Speaker: “The Securities Litigation Uniform Standards Act: A Guided Tour in and Around SLUSA,” 2013

Willamette University Law School Securities Luncheon Series, Speaker: “The Securities Litigation Uniform Standards Act: A Guided Tour in and Around SLUSA,” 2013

33rd Annual Northwest Securities Institute, Speaker: “Private Securities Litigation,” 2013

American Bar Association 2013 Limited Liability Company Institute, Speaker: Limited Liability Company Interests and Securities Law, 2013

31st Annual Northwest Securities Institute, Planning Committee Member, Welcoming Remarks: “Outlook on the Securities Industry,” 2011

The 2009 Willamette Securities Regulation Conference, Speaker: “Developments in State and Provincial Securities Regulation,” 2009

The 2008 Willamette Securities Regulation Conference, Speaker: “Developments in State and Provincial Securities Regulation,” 2008

Lane Powell PC Client Seminar, Speaker: “The Oregon Identity Theft Protection Act: Implications for Oregon Businesses,” 2007

PUBLICATIONS

“Broker-dealers Could Be Given A Higher Fiduciary Standard,” Portland Business Journal, co-author, August 20, 2010

ABA Section of Antitrust Law, State Antitrust Practice and Statutes, 3rd ed. 2004, Washington and Oregon Chapters, 2004

Oregon Statutory Time Limitations, Oregon State Bar Professional Liability Fund, Contributing Author, May 2003

AWARDS

Named as one of The Best Lawyers in America®, Securities Litigation, 2015

Selected “Local Litigation Star” by Benchmark Litigation, Antitrust, Commercial Litigation, Securities, 2015

Awarded Third Degree Black Belt in Taekwondo by Kukkiwon World Taekwondo Headquarters, 2015

Named as one of The Best Lawyers in America®, Commercial Litigation, 2013 – 2015

Selected “Future Star” by Benchmark Litigation, 2009 – 2011

Nominated Fellow to the Litigation Counsel of America, 2009

AV PreeminentR in Martindale-HubbellR Peer Review Ratings™

PROFESSIONAL AND COMMUNITY ACTIVITIES

Oregon State Bar Securities Regulation Section; Executive Committee 2007 – 2015, 2019 – Present; President 2014

Musa Martial Arts Taekwondo Instructor, 2016 – 2019

Board of Directors, Young Audiences, 2015 – 2018

Board of Directors, Treasurer, Queen’s Bench, Oregon Women Lawyer’s Multnomah County Chapter, 2014 – 2017

Fellow in the Litigation Counsel of America, Trial Lawyer Honorary Society, 2009

President, Timberhill Corporation, 2006 – Present

Board of Directors, Northwest Securities Administrators Association, 2005

Member, North America Securities Administrators Association, Broker-Dealer Section, 2004 – 2005

Member, Owen M. Panner Inn of Court, 2000 – 2004

Board of Directors, Northwest China Counsel, 2000 – 2002

Board of Directors, Timberhill Corporation, 1997 – Present

Member, Hospice of Redmond and Sisters Ethics Committee, 1996 – 2000

Member, American Inns of Court and J.R. Campbell Inns of Court, 1997 – 2000