Bates Group Welcomes New Managing Director Hank Sanchez

Bates is proud to welcome Hank Sanchez, Esq. as a Managing Director. Mr. Sanchez is a seasoned compliance and legal professional with extensive securities industry experience in risk management, investment advising, financial legal issues, risk assessment, and compliance and due diligence. Prior to joining Bates, Mr. Sanchez served as Managing Director of a compliance consulting firm, where he acted as contract Chief Compliance Officer, testified as an expert witness, acted as an independent consultant on regulatory matters, and developed a Conflicts of Interest program. Previously, he held senior compliance leadership roles at LPL Financial Corporation.

Prior to this, for more than 10 years, Mr. Sanchez was a regulator with both the SEC and FINRA. He is also a FINRA Arbitrator, a frequent speaker at securities industry conferences, and an accomplished writer, whose work has appeared in securities industry-related publications throughout his career.

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