Tag Archives: Voya Financial Advisors

Voya Financial Advisors Fined For Failure To Supervise Annuity Sales

November 18, 2016  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Voya Financial Advisors, a broker-dealer headquartered in Des Moines, Iowa, was censured and fined $2,750,000.00 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm failed to supervise its variable annuity sales. Letter of Acceptance, Waiver and Consent, No. 2014039172901 (Nov. 2, 2016). According to the AWC, the firm’s supervisory failures pertained to […]

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