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Recent Posts in Voya Category

Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures

FINRA sanctioned Voya Financial Advisors for failing to apply front-end sales charge discounts to eligible retirement plan and charitable organization customers who purchased Class A shares in certain ...
Continue reading "Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures" »

James Edward Knee Barred, Arrested for Theft from Elderly Client

Two months after his arrest for stealing from an elderly investor, FINRA barred former Ameriprise Financial Services and Voya Financial Advisors broker James "Jim" Edward Knee following an ...
Continue reading "James Edward Knee Barred, Arrested for Theft from Elderly Client" »

First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions

FINRA barred former First Allied Securities broker Masood "Mike" Husain Azad for allegedly failing to cooperate with an investigation into allegations he participated in unapproved ...
Continue reading "First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions" »

Jose J. Perez Sanctioned for Impersonating Client's Brother to Request Retirement Funds Transfer; Requests Transfer from Wrong Account

FINRA fined and suspended former Voya Financial Advisors and MetLife Securities representative Jose J Perez for directing his assistant to impersonate a customer in order to effect a transfer of ...
Continue reading "Jose J. Perez Sanctioned for Impersonating Client's Brother to Request Retirement Funds Transfer; Requests Transfer from Wrong Account" »

New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"

The complex product known as a variable annuity has become a little more complicated with the introduction of a new type of VA known as a buffer annuity. Buffers, like conventional VAs, are highly ...
Continue reading "New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"" »

Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures

FINRA fined eight firms a total of $6.2 million for failing to supervise sales of variable annuities (VAs). In addition to fining the firms, which include five broker-dealer subsidiaries of Cetera ...
Continue reading "Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures" »

Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges

FINRA sanctioned six broker-dealers a combined $740,900—which includes fines and restitution—for failing to apply discounts to eligible customer purchases of non-traded real estate ...
Continue reading "Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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