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


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 investment trusts, according to a settlement with the Financial Industry Regulatory Authority Inc. Through certain advisers, Investors Capital recommended ...


Free Consultation - Call (800) 810-4262 - Gana LLP is dedicated to serving our clients with a range of legal services including Corporation Investment and Securities Fraud cases. Investors Capital Corporation - New York City Corporation Investment Lawyer.


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. In October 2016, Investors Capital was censured, fined $250,000 and required to pay restitution to customers in connection with the short term trading of unit investment ...


Learn about working at Investors Capital Corporation. Join LinkedIn today for free . See who you know at Investors Capital Corporation, leverage your professional network, and get hired.


May 18, 2016 ... However, several additional firms, including Investors Capital Corp, are expected to be closed or consolidated in coming months as Cetera Chief Executive Larry Roth seeks to cut costs and escape from the shadow of RCS Capital's reputation, multiple sources said. The roughly 250 brokers who contract ...


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 restitution payable to 472 customer accounts) after finding that the firm recommended unsuitable short- term unit investment trust (UIT) and steepener note transactions, ...


Welcome to Investors Capital Statements - your source for consolidated account information. Investors Capital Statements allow you to easily consolidate and organize your investment accounts and generate in-depth compliance ready reports to use in your practice. It is designed to increase your productivity while enriching ...


The Investor Relations website contains information about OFS Capital Corporation business for stockholders, potential investors, and financial analysts.