Henry “Hank” Sanchez, Jr. is a Bates Group Managing Director and a seasoned compliance and legal professional with over 30 years of securities industry experience working with a wide range of companies, from small financial firms to national clients. He has extensive expertise in risk management, investment advising, financial legal issues, risk assessment, and compliance and due diligence.
Before joining Bates, Mr. Sanchez served as Managing Director of a compliance consulting firm, where he was engaged to act as contract Chief Compliance Officer, analyze compliance programs, assess product due diligence, develop a Conflicts of Interest program, testify as an expert witness, act as Independent Consultant on regulatory matters, and consult on a wide variety of issues. Prior to that, he was with LPL Financial Corporation, where he held compliance leadership roles as Vice President of Surveillance/Governance, Sr. Vice President/Chief Compliance Officer.
For more than 10 years, Mr. Sanchez was a regulator with both the SEC and FINRA. While with the SEC, he was assigned to the SEC’s Division of Market Regulation, working in the Office of Trading Practices, and the Office of Inspections, Options Branch. At FINRA, he served as regional counsel in FINRA Regulation’s Enforcement Department. He is also a FINRA Arbitrator.
Mr. Sanchez received his B.A. in Criminal Justice from Richard Stockton State College, his J.D. from Rutgers University School of Law - Newark, and his LLM with a Securities Regulation concentration from Georgetown University Law Center. He has also received a Compliance and Regulatory Professional Certification from the NASD/Wharton Institute. Mr. Sanchez is a frequent speaker at securities industry conferences and is also an accomplished writer, whose work has appeared in securities industry-related publications throughout his career.
Hank is a consultant and subject matter expert in these Practice Areas and Services:
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Securities and Financial Services Litigation & Consulting
- Retail Securities
- Institutional Securities
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Regulatory & Internal Investigations
- U.S. & Global Regulatory Investigations
- Internal Investigations
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Compliance Solutions
- Broker-Dealers
- Registered Investment Advisers
- Cyber Security
- Compliance Testimony
Credentials
EXPERIENCE
Bates Group LLC, Managing Director, 2019 - Present
Oyster Consulting, LLC, New Orleans, LA, 2010 - 2019; Managing Director, 2015 - 2019; Associate Director, 2010 - 2014
LPL Financial, 2007 - 2009; Vice President, Surveillance/Governance, Risk & Compliance, 2009 - 2010; Senior Vice President/Chief Compliance Officer - Brokerage, 2007-2009
TIAA-CREF Individual & Institutional Services, Vice President/ Compliance Officer – Client Services, 2004 - 2005
High Mark Insurance and Financial Services, Vice President/General Counsel, 2003 - 2004
Reed Smith LLP, Of Counsel, 2001 - 2002
National Association of Securities Dealers, Inc., Counsel, Internal Review, 1999 - 2001
NASD Regulations, Inc., Regional Counsel, 1993 - 1999
Page & Bacek, Resident Partner, Concentration in Securities and Arbitration Litigation, 1991 - 1993
Bulter, Burnette & Pappas, Senior Associate, Director of Corporate and Securities Department, 1989 - 1991
Rudnick & Wolfe (Now DLA Piper), Associate, Corporate and Securities Department, 1987 - 1989
U.S. Securities and Exchange Commission, 1984 - 1987; Attorney-Advisor, Division of Market Regulation, Office of Inspections, Options Branch, 1986-1987; Attorney-Advisor, Division of Market Regulation, Office of Trading Practices, 1984-1986
First Investors Corporation, Law Clerk, 1982 - 1983
New Jersey State Police, New Jersey, State Trooper, 1977 - 1981
EDUCATION
Master of Laws (LLM), Securities Regulation, Georgetown University Law Center
Juris Doctor (JD), Rutgers University School of Law
Bachelor of Art (BA), Richard Stockton State College
PROFESSIONAL QUALIFICATIONS
- Compliance and Regulatory Professional Certification, NASD Institute/Wharton Program
- Securities Exams; Previously held Series 7, Series 24, Series 65, Series 66, Series 79, and Series 99, and Life, Health, and Variable Insurance License.
- North Carolina, South Carolina and Louisiana Real Estate Licensed
- Bar Memberships; New Jersey, Pennsylvania, Florida, District of Columbia, Inactive in PA and NJ.
- SIFMA Compliance and Legal Society, Member
- National Society of Compliance Professionals, Board of Directors, 2003 - 2006
- Florida Securites and Advisors Association, Member
PUBLICATIONS
Upon Request