Stephen Woods allegedly settled customer complaint on his own.
Industry leaders weigh in on the ruling that changed the fate of the Labor Department's fiduciary rule.
FBI agents have interviewed some wealth-management employees.
Maryland-based Potomac Financial Consultants is led by Michelle Bender.
The former brokers bribed a pension fund manager to get trades that netted them millions in commissions.
Father-and-son Spiegelman Wealth Management is based in Lafayette, Calif.
Agency charges mutual fund manager with diverting money, faking statements.
A more diverse fund industry would have no effect on investor returns.
No-show at hearing on outside deals leads to action against repeat offender David Barber.
The Main Street Group in Glen Allen, Va., has a headcount of 22.
