Hank Sanchez Jr., CRCP, JD, LLM

Henry “Hank” Sanchez, Jr. is a Managing Director at Bates Group
with over 40 years of experience in securities industry compliance,
risk management, and due diligence. He has worked with both
small firms and national clients. Hank has been consulting since
2010, acting in roles such as Chief Compliance Officer, expert
witness, and Independent Consultant on regulatory matters. He
also held senior compliance roles at several financial firms.
Mr. Sanchez spent over a decade as a regulator with the SEC and
FINRA, where he worked in market regulation, trading practices,
and enforcement. He holds a B.A. in Criminal Justice, a J.D. from
Rutgers University, an LLM from Georgetown, and a Compliance
Certification from NASD/Wharton. Hank is also a FINRA
Arbitrator, industry speaker, and published writer.