Oyster Consulting Managing Director Hank Sanchez will be attending the 2018 FINRA Annual Conference May 21-23 in Washington, DC.
Hank brings over 30 years of securities industry experience in the areas of Legal and Compliance to his role as Managing Director at Oyster. Hank has worked with multiple clients varying in size from national to smaller financial firms. His expertise has been 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. Immediately prior to joining Oyster, Hank was with LPL Financial Corporation, where he held Compliance leadership roles as Vice President of Surveillance, Sr. Vice President, and CCO of the nation’s largest independent brokerage firm. For more than 10 years, Hank 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. Hank spent several years in private practice concentrating in broker/dealer compliance matters. He is also a FINRA Arbitrator and frequently speaks at securities industry conferences.
For more information about how Oyster can help your firm, complete our contact form or call us at (804) 965-5400 and one of our Relationship Managers will contact you directly.