Voya

• Sep 13, 2021 SEC Cites 9 Brokerage Firms Over 12b-1 Fee Violations That Harmed Customers

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• Sep 19, 2020 Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean

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• Apr 24, 2019 Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures

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• May 29, 2018 James Edward Knee Barred, Arrested for Theft from Elderly Client

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• Nov 5, 2017 First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions

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• Jun 19, 2017 Jose J. Perez Sanctioned for Impersonating Client's Brother to Request Retirement Funds Transfer; Requests Transfer from Wrong Account

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• Jan 26, 2017 New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"

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• Nov 2, 2016 Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures

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• Oct 16, 2015 Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges

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