Violation Tracker Parent Company Summary

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: 
$85,305,279
Number of records: 
22
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$49,393,2798
employment-related offenses$23,650,0003
consumer-protection-related offenses$12,262,00011
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$49,393,2798
benefit plan administrator violation$23,650,0003
insurance violation$12,262,00011
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.

Associated Names: 

Voya Financial; Voya Financial Advisors Inc.; VOYA HOLDING

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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Company Primary Offense Type Year Agency Penalty Amountsort icon
ING investor protection violation 2006 MULTI-AG $33,000,000
ING Life Insurance & Annuity Co. benefit plan administrator violation 2014 private lawsuit-federal $14,950,000
ING Life Insurance and Annuity Company insurance violation 2013 MULTI-AG $10,700,000
ING Life Insurance and Annuity Co. benefit plan administrator violation 2013 EBSA $5,200,000
ING Financial Partners, Inc. investor protection violation 2008 IL-SEC $4,677,326
Voya Holdings Inc. investor protection violation 2018 SEC $3,600,000
ING Groep N.V. benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
Voya Financial Advisors, Inc. investor protection violation 2017 SEC $3,095,953
ING Life Insurance and Annuity Company investor protection violation 2006 NH-BSR $3,000,000
Voya Insurance and Annuity Co. et al. insurance violation 2014 MN-FIN $1,250,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. investor protection violation 2019 CT-SEC $1,015,000
Voya Financial Advisors Inc. investor protection violation 2018 SEC $1,000,000
ING Life Insurance and Annuity Co. et al. insurance violation 2012 MN-FIN $200,000
ReliaStar Life Insurance Co. insurance violation 2014 MN-FIN $30,000
Security Life of Denver Insurance Co. insurance violation 2016 FL-OFR $25,000
Security Life of Denver Insurance Company insurance violation 2008 PA-INS $20,000
ING Life Insurance and Annuity Company insurance violation 2004 OR-FIN $10,000
RELIASTAR LIFE INSURANCE CO insurance violation 2001 VA-INS $9,000
RELIASTAR LIFE INSURANCE CO. insurance violation 2007 VA-INS $8,000
ING USA Annuity and Life Insurance Co. insurance violation 2007 CO-INS $5,000
ING Financial Partners, Inc. investor protection violation 2012 MN-FIN $5,000
ReliaStar Insurance Co. insurance violation 2017 MN-FIN $5,000
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