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Tag: Investors Capital Corp.

January 18, 2011

Top Independent Broker-Dealers According to Investment News

RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL Financial One Beacon St. Boston, MA 02108 joinlpl.com...

Blog, Securities Fraud Articles

October 29, 2010

FINRA Fines For Mutual Fund Sales Practices

In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then...

Blog, Securities Fraud Articles

May 28, 2010

Mahesh Pravin Jhala barred from FINRA.

Mahesh Pravin Jhala Barred from Securities FINRA recently announced that Mahesh Pravin Jhala, formerly of Investors Capital Corp. in...

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