Investors Capital Corporation

08/14/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003801001 TO: Department of Enforcement NASD RE: Investors Capital Corporation, Respondent Broker-Dealer CRD No. 30613 Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC Is submitted on the condition that, if accepted, NASD will not bring any future actions against us alleging

Reference 2006003901001data-portal.finra.orgfinra.org

12/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050259601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Investors Capital Corporation, Respondent CRD No. 30613 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Investors Capital Corporation (“ICC” 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

Reference 2016050259601data-portal.finra.orgfinra.org

10/03/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035035901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'') RE: Investors Capital Corporation, Respondent BD No. 30613 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Investors Capital Corporation ("ICC" 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 2013035035901data-portal.finra.orgfinra.org