Mercer Hicks III (also known as Toby Hicks III) of Charlotte North Carolina a stockbroker formerly registered with Capital Investment Group and Southeast Investments NC Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Extended Hearing Panel Decision containing findings that Hicks made…
Mercer Hicks III (also known as Toby Hicks) of Pinehurst North Carolina a stockbroker formerly registered with Capital Investment Group Inc. has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that his advice to customers regarding non-traded business development companies and non-traded real estate investment trust products was…
Mercer Hicks III (also known as Toby Hicks) of Charlotte North Carolina a stockbroker currently registered with Southeast Investments N.C. Inc. is the subject of an investigation initiated by Financial Industry Regulatory Authority (FINRA) in which FINRA recommended that Department of Enforcement sanction or take disciplinary action against Hicks for making unsuitable investment recommendations or…