Tanya S. Queen

Tanya Queen is a principal in the firm’s Financial Institutions practice group. She provides practical and business-focused regulatory, legal, and compliance counseling to broker-dealers, registered investment advisers, dual registrants, family offices, and other entities supporting wealth management industry participants. She also represents and defends industry participants before regulators and self-regulatory organizations, such as the SEC and FINRA, as well as in litigation and arbitration forums

Drawing on more than a decade of securities law experience spanning roles with regulators, in private practice, and as Senior Counsel at Goldman Sachs, Tanya serves as a trusted legal advisor to wealth management business partners and their legal and compliance teams in navigating complex regulatory frameworks, developing business growth through strategic initiatives, helping solve complicated remedial matters, and advising on industry developments. 

Clients rely on Tanya for her responsiveness, her practical and solutions-oriented approach to tackling issues, and her deep understanding of the operational and commercial realities associated with legal and regulatory compliance. She works closely with clients to develop thoughtful, risk-based solutions that support business objectives while addressing evolving regulatory expectations.

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Get to Know Tanya

When she’s not practicing, Tanya likes to get outside. Whether it’s playing a game of pickleball, tending to the yard, or participating in her husband’s fishing “hobby,” there is no wrong way to enjoy the Florida weather!