Firm has settled 13 claims and paid customers of Thomas Alan Meier $2.5 million.
Electronic Transaction Clearing censured and will pay $80,000 penalty.
Industry leaders weigh in on the ruling that changed the fate of the Labor Department's fiduciary rule.
Stephen Woods allegedly settled customer complaint on his own.
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.
