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Violation Tracker Individual Record

Company: ING America Insurance Holdings Inc.
Current Parent Company: Voya Financial
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Recap of Ownership Changes:  subscribe to see this data field
Penalty: $7,000,000
Year: 2006
Date: August 9, 2006
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: NASD announced a total of $7 million in fines against four broker-dealers affiliated with ING America Insurance Holdings, Inc. (ING) in connection with the receipt of directed brokerage in exchange for preferential treatment for certain mutual fund companies.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Archived Source: (click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.