INVESTORS CAPITAL

• 

  12 Best & Worst Broker-Dealers: Q3 Earnings

  By Janet Levaux, AdvisorOne  |  November 15, 2012

  Earnings fell as much as 88%, but also jumped over 70% within the broker-dealer industry—AdvisorOne spotlights the six best and six worst performers.

• FINRA Smacks 18 Firms, Workers Tied to Private Placements

  By Janet Levaux, AdvisorOne  |  November 29, 2011

  FINRA said Tuesday that it sanctioned eight firms and 10 individuals and ordered restitution of more than $3.2 million for sales of private placements, including some issued by Provident Royalties and Medical Capital Holdings.

• Investors Capital Matching Advisors' FSI Contributions

  By Janet Levaux, AdvisorOne  |  August 15, 2011

  The broker-dealer's advisors have just pledged some $25,000 to the advocacy group, with matching contributions from Investors Capital CEO Tim Murphy and advisor Don Ingram.

• 

  LPL Flirted With Acquiring Investors Capital, Source Says

  By Janet Levaux, AdvisorOne  |  April 2, 2011

  Fresh off its IPO, LPL considered buying a majority stake in the fellow independent broker-dealer, but balked at integration issue.

• 

  Investors Cap Sale to Another Indie BD Appears Unlikely

  By Janet Levaux, AdvisorOne  |  March 15, 2011

  Chairman Ted Charles' filing is not the 'usual' route for the future sale of an independent broker-dealer, industry experts explain.

• 

  Broker-Dealer Stocks: Few Beat S&P in 2010

  By Janet Levaux, AdvisorOne  |  December 22, 2010

  Stellar performers to date this year include Ameriprise, Raymond James and Citigroup. LPL is up about 6% since its Nov. 18 IPO.

• 

  LPL Kicks Off Its IPO, in Much Anticipated Move

  By Janet Levaux, AdvisorOne, Jane Wollman Rusoff  |  November 18, 2010

  LPL's IPO successfully passed its first test, as its shares rose 7% in trading Thursday, closing at $32.15 with 8 million shares traded.

• LPL Financial's IPO: The Competitive Equation

  By James J. Green, AdvisorOne  |  July 1, 2010

  The parent company of the largest independent broker/dealer, LPL Financial, filed an S-1 statement with the SEC on June 4 to go public via an...

• Investors Cap Reports Net Profit for Fiscal Year

  By Janet Levaux, AdvisorOne  |  June 30, 2010

  Investors Capital posted annual net income of $320,000 for the fiscal year ended March 31, 2010, vs. a net loss of $1.83 million a year earlier. Adjusted earnings were

• Investors Cap Reports Net Profit for Fiscal '10

  By Janet Levaux, AdvisorOne  |  June 30, 2010

  The independent broker-dealer also says that newly recruited advisors have average 12-month trailing sale, or production, of $250,000.