Tag Archives: Alexander Jon James

Voya Stockbroker Sanctioned For Selling Away

April 18, 2020  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Voya Stockbroker Sanctioned For Selling Away

Alexander Jon James of Palm Beach Gardens Florida a stockbroker formerly registered with Voya Financial Advisors has been fined $10,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in undisclosed outside business activities and private securities transactions […]

Read More »