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.
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.
Fidelity claims Christopher Corcoran's conduct threatens approximately 200 Fidelity client households, representing more than $528 million in client assets.
