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brokercheck.finra.org/Firm/30613

Get information about INVESTORS CAPITAL CORP. on Finra BrokerCheck. View employment history, certifications, licenses and any violations for brokers and ...

www.investmentnews.com/article/20161004/FREE/161009982/cetera-broker-dealer-hit-with-1-1-million-in-fines-and-restitution

Oct 4, 2016 ... Investors Capital Corp., a broker-dealer in the Cetera Financial Group network, will pay $1.1 million in fines and restitution over the sale of unit ...

advisorhub.com/cetera-to-shutter-another-broker-amid-broad-revamp

May 18, 2016 ... Brokers at Investors Capital Corp., which has around 500 brokers, expect to be rolled into another Cetera unit by yearend, but confusion reigns, ...

blog.rexsecuritieslaw.com/2016/06/17/investors-capital-plans-to-shut-down

Jun 17, 2016 ... UPDATE FEBRUARY 2017-As of 11/18/2016 Investors Capital Corp is no longer registered with FINRA or a national securities exchange.

www.stocklaw.com/Securities-Fraud-Blog/2016/October/Cetera-Financial-Groups-Investors-Capital-Corp-t.aspx

Oct 6, 2016 ... FINRA fined Investors Capital Corporation and ordered restitution for a total penalty of $1.1 million ($250,000 fine and $841,532.97 in ...

investors.tcpcapital.com

TCP Capital Corp. is an externally-managed non-diversified closed-end management investment company focused on middle-market lending. We have elected ...

www.securitieslawattorneys.net/2016/04/16/broker-complaints-investors-capital-corp-crd-30613

Apr 16, 2016 ... Investors Capital Corp. has a history of customer and regulatory complaints. Investors Capital Corp. is a licensed broker-dealer registered with ...

www.wealthmanagement.com/industry/cetera-out-bankruptcy

May 25, 2016 ... As part of the restructuring, Investors Capital Corp., one of Cetera's b/ds, will be merged with Cetera Advisors, and VSR Financial will merge ...

www.stopbrokerfraud.com/news/investors-capital-corporation

Oct 27, 2016 ... Massachusetts-based broker-dealer firm Investors Capital Corporation submitted a letter of Acceptance, Waiver and Consent to settle alleged ...

www.securitieslawattorneys.net/2016/11/28/investors-capital-corp

Nov 28, 2016 ... Massachusetts-based broker-dealer firm Investors Capital Corp. submitted a letter of Acceptance/Consent to settle allegations of misconduct.