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Voya

April 24, 2019 Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures
September 14, 2021 SEC Cites 9 Brokerage Firms Over 12b-1 Fee Violations That Harmed Customers
September 19, 2020 Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean
May 29, 2018 James Edward Knee Barred, Arrested for Theft from Elderly Client
November 05, 2017 First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions
June 19, 2017 Jose J. Perez Sanctioned for Impersonating Client's Brother to Request Retirement Funds Transfer; Requests Transfer from Wrong Account
January 26, 2017 New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"
November 02, 2016 Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures