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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Voya Financial
Ownership Structure: publicly traded (ticker symbol VOYA)
Headquartered in: New York
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$122,820,420
Number of records: 28
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$86,762,43414
employment-related offenses$23,671,9864
consumer-protection-related offenses$12,386,00010
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$86,762,43414
benefit plan administrator violation$23,650,0003
insurance violation$12,386,00010
wage and hour violation$21,9861
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
INGinvestor protection violation2006MULTI-AG$33,000,000
Voya Financial Advisors, Inc.investor protection violation2020SEC$22,919,155
ING Life Insurance & Annuity Co.benefit plan administrator violation2014private lawsuit-federal$14,950,000
ING Life Insurance and Annuity Companyinsurance violation2013MULTI-AG$10,700,000
ING America Insurance Holdings Inc.investor protection violation2006FINRA$7,000,000
ING Life Insurance and Annuity Co.benefit plan administrator violation2013EBSA$5,200,000
ING Financial Partners, Inc.investor protection violation2008IL-SEC$4,677,326
VOYA Financial Advisors Inc.investor protection violation2016FINRA$4,550,000
Voya Holdings Inc.investor protection violation2018SEC$3,600,000
ING Groep N.V.benefit plan administrator violation2013private lawsuit-federal$3,500,000
Voya Financial Advisors, Inc.investor protection violation2017SEC$3,095,953
ING Life Insurance and Annuity Companyinvestor protection violation2006NH-BSR$3,000,000
ING Funds Distributorinvestor protection violation2005FINRA$1,500,000
Voya Insurance and Annuity Co. et violation2014MN-FIN$1,250,000
ING Groep N.V.investor protection violation2013FINRA$1,200,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.investor protection violation2019CT-SEC$1,015,000
Voya Financial Advisors Inc.investor protection violation2018SEC$1,000,000
ING Life Insurance and Annuity Co. et violation2012MN-FIN$200,000
ING Financial Partners, Inc.investor protection violation2004FINRA$200,000
ReliaStar Life Insurance Company of New Yorkinsurance violation2020NY-DFS$169,000
ReliaStar Life Insurance violation2014MN-FIN$30,000
ING Americawage and hour violation2010WHD$21,986
ING Life Insurance and Annuity Companyinsurance violation2004OR-FIN$10,000
RELIASTAR LIFE INSURANCE COinsurance violation2001VA-INS$9,000
ING USA Annuity and Life Insurance violation2007CO-INS$5,000
ING Financial Partners, Inc.investor protection violation2012MN-FIN$5,000
ReliaStar Insurance violation2017MN-FIN$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.