UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549-1004
FORM 8-K/A
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported) November 8, 2001
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INVESTORS CAPITAL HOLDINGS, LTD.
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(Exact name of registrant as specified in its charter)
MASSACHUSETTS 333-43664 04-3284631
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(State or other jurisdiction (Commission IRS Employer
of incorporation) File Number) Identification No.)
230 Broadway, Lynnfield, Massachusetts 01940
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(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code (781) 593-8565
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This form 8-K/A is being filed to amend the Form 8-K filed on September 21, 2001
to specifically state that our former certifying accountant was dismissed and
that during our two most recent fiscal years and any subsequent interim period
preceding dismissal there were no disagreements with the former accountants.
ITEM 4. CHANGES IN REGISTRANT'S CERTIFYING ACCOUNTANT.
On September 18, 2001, the registrant's certifying accountant, Cayer, Prescott,
Clune & Chatellier, LLP, was dismissed. From April 1, 1997 through any interim
period prior to September 18, 2001, their reports on our financial statements
did not contain an adverse opinion or a disclaimer of opinion, and were neither
qualified nor modified as to uncertainty, audit scope, or accounting principals.
During registrant's two most recent fiscal years and any interim period
preceding the dismissal, there were no disagreements with registrant's former
certifying accountant.
The decision to change certifying accountants was made by the registrant's audit
committee of the board of directors and the board of directors as a whole.
During the period of their engagement the registrant had no disagreements with
Cayer, Prescott, Clune & Chatellier, LLP on any matter of accounting principles
or practices, financial statement disclosure, or auditing scope or procedure.
The registrant will provide Cayer, Prescott, Clune & Chatellier, LLP with a copy
of the disclosures we are making herein prior to the time these disclosures are
filed with the Commission. The registrant will request that the former
certifying accountant furnish a letter addressed to the Commission stating
whether it agrees with the statements made herein and, if not, stating the
respects in which it does not agree. Said certifying accountant's letter will be
filed as an exhibit to this report.
ITEM 7. EXHIBITS
16. Letter Regarding Change in Certifying Accountant
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
INVESTORS CAPITAL HOLDINGS, LTD.
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(Registrant)
By: /s/ THEODORE E. CHARLES
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Theodore E. Charles,
Chief Executive Officer, President and Director
Date: November 8, 2001