Investors Capital merger Archives

Robert Rex, Esq.
October 9, 2016

Investors Capital Corporation Fined $250,000 by Securities Regulators

Investors Capital Corporation Fined $250,000 by Securities Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 9, 2016 October 9, 2016

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…

Robert Rex, Esq.
June 17, 2016

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 17, 2016 June 17, 2016

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…