Tag Archives: Nicholas Ippolito III

Voya Discharges Stockbroker For Unit Investment Trust Fraud

July 31, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Nicholas Ippolito III of East Brunswick New Jersey a stockbroker formerly registered with Voya Financial Advisors Inc. has been discharged by the firm on January 27, 2017 based upon allegations that Ippolito executed replacements of unit investment trusts for customers despite those investments failing to conform to customers’ investment horizons. Financial Industry Regulatory Authority (FINRA) […]

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