Violation Tracker Individual Record
Company:VOYA Financial Advisors Inc.
Date:November 2, 2016
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
The Financial Industry Regulatory Authority fined eight firms for failing to supervise sales of variable annuities.
Level of Government:federal
Action Type:agency action
Agency:Financial Industry Regulatory Authority
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:New York
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
FINRA is a securities industry self-regulatory body authorized by the federal government.
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