Interactive Compliance Labs for BDs & IAs - Miami

Hank Sanchez
Henry “Hank” Sanchez, Jr. is a Bates Group Managing Director and a seasoned compliance and legal professional with over 35 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, compliance and due diligence. Before joining Bates, Mr. Sanchez served as Managing Director of a compliance consulting firm, similar to his role at Bates Group, 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, and as Counsel to Internal Audit. 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.

Liz Legacy
Elizabeth “Liz” Legacy currently serves as the Executive Director and Chief Compliance Officer (CCO) of CUSO Financial Services, LP and Sorrento Pacific Financial, LLC. Liz is responsible for the administration of the compliance program including day-to-day compliance matters for both firms. Liz has over 21 years’ experience in the securities industry, with a diverse background in supervision and compliance, in areas such as branch exams, AML, communications with the public, surveillance, regulatory affairs, risk, and compliance consulting. In addition, she currently holds the following FINRA licenses: Series 7, Series 24, Series 53, and the Series 66 as well as the following designations: CRCP® and CSCP®.

Jennifer Selliers
Jennifer Selliers brings over 20 years of successful experience, overseeing administration and compliance of diverse financial initiatives within small, medium and large organizations (private and public). Her areas of expertise include compliance program development, policies and procedures formation and risk and control assessments. 

Jennifer is a current, contributing member of the National Society of Compliance Professionals (NSCP) and an adjunct professor at Fordham Law, Program on Corporate Ethics and Compliance (PCEC). She has earned several professional designations, holds a Bachelor of Science in Business Finance from the University of Phoenix and a Master of Public Service Management from Cumberland University. Apart from her professional aspirations and accomplishments, Jennifer enjoys long-distance backpacking and hobby-farming in Tennessee with her husband and two sons.

Issa Hanna
Issa Hanna is a Partner at Eversheds Sutherland and has been with the firm for over 15 years. He assists his broker-dealer, investment adviser, investment fund, insurance company, and insurance distributor clients in navigating applicable regulatory requirements while also achieving their key business objectives. Issa has extensive experience guiding clients through registration and compliance issues and representing them before federal and state regulators and self-regulatory organizations.  He has particularly deep expertise relating to the advertising and marketing regulatory regimes for his investment adviser, broker-dealer and insurance distributor clients, as well as the standard of conduct regimes for such clients (including the Advisers Act fiduciary duty, Regulation Best Interest and state insurance annuity suitability/best interest regulations). He frequently helps clients develop and update policies, procedures, agreements, and disclosures to comply with applicable regulatory requirements, and counsels clients on regulatory issues related to transactions and new product and service offerings, including obtaining regulatory approvals and assessing risks.

At Eversheds Sutherland, Issa is actively involved in the firm's Pro Bono, Diversity Equity & Inclusion, and Professional Development Committees. He is a frequent speaker and published author on many regulatory issues of interest to his clients. Issa earned his Juris Doctor (JD), with honors, from the University of Florida, Fredric G. Levin College of Law and holds a bachelor’s degree in political science and history from Duke University.

Trish Flynn
Trish Flynn is a Vice President, Compliance at Prudential Financial Inc. and serves as the Chief Compliance Officer for PGIM Multi Asset Solutions and Prudential Select Strategies. She has over 25 years of compliance and regulatory experience and spent over 11 years with the SEC, initially as a securities compliance examiner and later as a branch chief and Assistant Regional Director for the Miami Regional Office. Trish is a Certified Public Accountant with a bachelor’s degree in accounting from the University of South Florida. Trish completed the NASD Institute-Wharton Certificate Program in 2002 and is a Certified Regulatory and Compliance Professional. She is a former board member of the National Society of Compliance Professionals, holds the CSCP designation and was the 2018 recipient of NSCP’s JH Compliance Excellence Award.