Virginia-based Capitol Securities Management to move its business from Pershing next spring.
Arbitration panel says prospectus, fees may not have been sufficiently revealed beforehand
MAX platform offers access to products from BlackRock, Morningstar, Direxion and others.
Regulator says Journal's analysis makes improper comparison of returns.
New service will record and archive text messages in searchable format.
Judge says barred broker was supplied false statements by boss, who had 'ultimate authority' over them.
He succeeds Jeffrey P. Lagarce, a long-tenured Fidelity executive who will be transitioning to a senior adviser role.
SEC obtains default judgment on reckless trading of leveraged ETFs and ETNs, theft from unsophisticated investors.
Katy Knox named president, replacing Keith Banks, who will become vice chairman of the global wealth and investment management unit.
