INVESTORS CAPITAL CORP.

02/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080147193-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Investors Capital Corp. Broker-Dealer CRD No. 30613 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Investors Capital Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2008014719301data-portal.finra.orgfinra.org

07/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011545201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Investors Capital Corp. CRD No. 30613 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Investors Capital Corp. ("Investors Capital" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2007011545201data-portal.finra.orgfinra.org

12/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050022463-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Investors Capital Corp., Respondent Broker-Dealer CRD No. 30613 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Investors Capital Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2005002246301data-portal.finra.orgfinra.org

11/28/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018609501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Investors Capital Corp. (BD No. 30613), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Investors Capital Corporation ("ICC" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2009018609501finra.orgdata-portal.finra.org

03/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025319501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Investors Capital Corp. (BD No. 30613), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Investors Capital Corp. ("ICC" or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2011025319501data-portal.finra.orgfinra.org

03/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1120040083 TO: Department of Enforcement Financial Industry Regulatory Authority {"FINRA") RE: Investors Capital Corp., Respondent Member Firm BD No. 30613 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Investors Capital Corp.("ICC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

Reference E112004008302data-portal.finra.orgfinra.org