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 […]
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Tag Archives: Mercer Hicks III
FINRA Brings Actiopn Against Stockbroker For Unsuitable REIT Sales
January 10, 2020 | Posted by : Guiliano Law Group | Business Development Companies, Investment and Regulatory News, Non-traded REITs, Unsuitable Investment Recommendations | 0 Comments
Southeast Stockbroker Investigated For Bad Advice
November 01, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unsuitable Investment Recommendations | 0 Comments
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 […]
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