Securities Lawyers Blog
A FINRA disciplinary action against a brokerage firm resolves the regulator’s case, not the customers’ losses. Investors who held accounts at Hancock Whitney Investment Services Inc. during the periods covered by the actions below may have claims of their own. The securities arbitration attorneys at Gana Weinstein LLP represent investors in FINRA arbitration against brokerage firms and can review your accounts, free of charge, to tell you whether the conduct FINRA described affected you.
Hancock Whitney Investment Services is the broker-dealer subsidiary of Hancock Whitney Corporation, providing investment brokerage services, annuity and life insurance products, and participation in select underwriting transactions, primarily for clients of Hancock Whitney Bank. Organized in Mississippi in 1995, the firm operates through the bank’s Gulf South footprint spanning Mississippi, Alabama, Louisiana, Florida and Texas, with its parent headquartered in Gulfport, Mississippi.
Hancock Whitney Investment Services Inc. – By the Numbers:
- CRD #: 40637
- Regulatory Events: 2
- Arbitration Events: 2
- Broker Employees: 8
Hancock Whitney Investment Services Inc. – Investment Advisors:
- SEC #: 68420
- Assets Under Management: $306,052,831
- ADV Form Employee: 49
Hancock Whitney Investment Services Inc. – In the News:
FINRA v. Hancock Whitney Investment Services Inc. (Case #2016049304801) – From October 2003 to September 2016, Respondent failed to preserve business-related emails in a manner that complied with applicable federal securities laws and with FINRA and NASD Rules, and until February 2012 failed to establish and maintain written supervisory procedures reasonably designed to ensure such compliance.
Elder financial abuse and exploitation of elderly investors are among the claims our firm pursues most vigorously. If you or a family member suffered investment losses because of a financial advisor at Hancock Whitney Investment Services Inc., the attorneys at Gana Weinstein LLP are available for a free consultation.