SEC
Whistleblower
Attorneys

September 25, 2020

Hancock Whitney Investment Services, Inc.

Trading and Pricing

SANCTION AMOUNT: $2337792

Defendants: Hancock Whitney Investment Services, Inc.

Respondent investment adviser and broker-dealer agreed to settle charges that it failed to disclose conflicts of interest to clients in its mutual fund and money market share selection practices, pursuant to which Respondent obtained fees and revenue sharing payments that it otherwise would not have if it had invested clients in other, lower cost options that were available.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
Thank you for submitting some email to us.