Andrew Braxton Ruckstaetter of Chicago Illinois a stockbroker formerly employed by Voya Financial Advisors Inc. has been fined $10,000.00 and removed of his securities registration in the State of Wisconsin based upon on a Decision issued by the Wisconsin Office of the Commissioner of Insurance containing findings that misrepresentations had been made by Ruckstaetter in connection with equity indexed annuity sales. Case No. 14-C40292 (July 28, 2015).
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on May 12, 2009, a customer initiated investment related complaint involving Ruckstaetter’s activities was resolved for $7,978.66 in damages founded on accusations of misrepresentation relating to the terms and conditions of a variable annuity purchased by the customer while Ruckstaetter was registered with MML Investors Services, Inc.
Ruckstaetter’s registration with Voya Financial Advisors has been terminated as of December 15, 2017.
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