Mercer Hicks (Toby Hicks) – Financial Advisor/Broker Mercer Hicks (Toby Hicks) Under Investigation by FINRA

Mercer Hicks (Toby Hicks) – Financial Advisor/Broker Mercer Hicks (Toby Hicks) Under Investigation by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses

Mercer Hicks (Toby Hicks) CRD #245170

Mercer Hicks is a licensed financial advisor with Southeast Investments, N.C., Inc. Mercer Hicks was a previously licensed financial advisor with Capital Investment Group, Inc. According to Mercer Hicks’ BrokerCheck report, Mercer Hicks is under investigation by FINRA.

According to Mercer Hicks’ BrokerCheck Report:  On July 1, 2019, FINRA made a preliminary determination to recommend that disciplinary action be brought against Mercer Hicks, alleging that Mercer Hicks made potential violations, specifically: ·Violations of FINRA Rules 2111 and 2010 [Unsuitable Recommendations.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Mercer Hicks and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Bryce Jenney’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Mercer Hicks and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Some of the information in this blog post was obtained on 12/24/2019 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

Mercer Hicks, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, SEC, Mercer Hicks

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