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 ...
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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 ...
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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, ...
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