Tag Archives: Mercer Hicks III

FINRA Brings Actiopn Against Stockbroker For Unsuitable REIT Sales

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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Southeast Stockbroker Investigated For Bad Advice

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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