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Company: VOYA Financial Advisors Inc.
Current Parent Company:
Voya Financial
Parent at the Time of the Penalty Announcement:
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Penalty: $4,550,000
Year: 2016
Date: November 2, 2016
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: 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 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:
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Notes: FINRA is a securities industry self-regulatory body authorized by the federal government.
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
Update Log.