The Lincoln, Neb.–based RIA failed to disclose that it would benefit from revenue-sharing payments when clients invested in certain mutual fund share classes, and it will pay $4.6 million in restitution and penalties.

Arizona-based advisor Richard Hoffman urged clients to invest with the "Michael Jordan of algorithmic cryptocurrency trading" but did not disclose the alleged Ponzi scheme agreed to give him up to $1.5 million in low-interest loans in return...

The Keystone State is the 19th to pass a rule on annuity sales based on the National Association of Insurance Commissioners’ 2020 model rule. Wisconsin, North Carolina and Nevada look to follow soon.

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