Tina Tambiah

Tina Tambiah is Senior Director in the National Cause and Financial Crimes Detection Programs. In this role, she oversees FINRA’s centralized intake unit responsible for reviewing and investigating regulatory events, including investor complaints and regulatory tips. Prior to this role, Ms. Tambiah was an Investigations Director in the Retail Firm Grouping. She led a team managing large and complex investigations which included fraudulent activity and other serious misconduct.  Prior to 2019, Ms. Tambiah held management roles in the Firm Exam and Cause programs while in the Boston District Office where she was responsible for managing routine and specialized examinations of member broker-dealers and investigations of customer complaints, termination for cause, disclosure filings and regulatory tips against individual brokers. She has presented case findings and disciplinary action recommendations to the enforcement department for disciplinary action proceedings. Ms. Tambiah earned her Bachelor of Arts degree in Economics from Stony Brook University.