investors capital corp problem

  • Robert Rex, Esq.

Investors Capital Corp.-How to Recover Damages For Investment Losses
Investors Capital Corp.-How to Recover Damages For Investment Losses 150 150 Robert Rex, Esq.

November 2016- Lynnfield, MA Investors Capital Corp.  will be closing down and transferring some of its brokers and current clients to another firm within the Cetera network of broker dealers, according…

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  • Robert Rex, Esq.

Investors Capital Corporation Fined $250,000 by Securities Regulators
Investors Capital Corporation Fined $250,000 by Securities Regulators 150 150 Robert Rex, Esq.

October 2014 The FINRA records of  Investors Capital Corp.,  a  broker dealer headquartered in Lynnfield, MA,  that employs about 640 people in 313 branch offices nationwide, disclose a recent regulatory matter. The…

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  • Robert Rex, Esq.

Michael B. Inderlied-Former Wilbanks Securities Broker-Discloses Customer Disputes & Terminations
Michael B. Inderlied-Former Wilbanks Securities Broker-Discloses Customer Disputes & Terminations 150 150 Robert Rex, Esq.

August  2016-Frisco, Texas The FINRA records of Michael B. Inderlied ,  a  stock broker who is currently not licensed and who was last employed by Adirondack Trading Group   disclose  a prior regulatory event, 2 prior customer…

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  • Robert Rex, Esq.

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration
Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Robert Rex, Esq.

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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  • Robert Rex, Esq.

Stephen Dealy-Investors Capital Corp Stockbroker-Discloses Pending Oil & Gas Customer Complaint
Stephen Dealy-Investors Capital Corp Stockbroker-Discloses Pending Oil & Gas Customer Complaint 150 150 Robert Rex, Esq.

Port Orange, Florida According to FINRA records, Stephen Y. Dealy ,  a broker who was  registered  with Investors Capital Corp until 9/2014 , discloses a pending customer dispute and 9 finalized customer disputes. In addition,…

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  • Robert Rex, Esq.

Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute
Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

Lakeland, Florida According to FINRA records, Edgar A. Thomas ,  a broker who is currently registered  with Calton & Assoc. , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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