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Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL

Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL 150 150 Rex Securities Law

June 2017-Delray Beach, FL The FINRA records of  Christopher R. Hickman ,  a  former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…

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Investors Capital Corp.-How to Recover Damages For Investment Losses

Investors Capital Corp.-How to Recover Damages For Investment Losses 150 150 Rex Securities Law

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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Investors Capital Corporation Fined $250,000 by Securities Regulators

Investors Capital Corporation Fined $250,000 by Securities Regulators 150 150 Rex Securities Law

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

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Rex Securities Law

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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