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.
A more diverse fund industry would have no effect on investor returns.
Agency charges mutual fund manager with diverting money, faking statements.
The Main Street Group in Glen Allen, Va., has a headcount of 22.
No-show at hearing on outside deals leads to action against repeat offender David Barber.
Sal Cucchiara replaces Christopher Randazzo, who moves to Rockefeller Capital.
Fidelity claims Christopher Corcoran's conduct threatens approximately 200 Fidelity client households, representing more than $528 million in client assets.
New York RIA, which began as CPA firm, maintains tax orientation as a wealth manager.
