FINRA Files Complaint Against Toby Hicks and Southeast Investments Read More »
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https://alphabetastock.com/2019/12/24/finra-files-complaint-against-toby-hicks-and-southeast-investments/
Tuesday, December 24, 2019
FINRA Files Complaint Against Toby Hicks and Southeast Investments
The Financial Regulatory Authority (FINRA) Department of Enforcement filed a recent complaint against Mercer Hicks III (aka Toby Hicks) a broker in Charlotte, NC with Southeast Investments, N.C., Inc. alleging unsuitable recommendations to five senior customers. Non-traded Real Estate Investment Trust (REIT) and non-traded Business Development Companies (BDCs) are generally considered “high-risk” investments and recommendations …
from
https://alphabetastock.com/2019/12/24/finra-files-complaint-against-toby-hicks-and-southeast-investments/
from
https://alphabetastock.com/2019/12/24/finra-files-complaint-against-toby-hicks-and-southeast-investments/
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