Tag: Voya Financial advisors investigation
Voya Financial Advisors Censured & Fined $1 million
Voya Financial Advisors – SEC charges involve recent cybersecurity breach. According to the Securities and Exchange Commission...
FINRA Cracks Down on Eight Firms for Failure to Supervise
The Financial Industry Regulatory Authority Inc. has fined eight firms a total of $6.2 million and ordered five of them to pay another $6.3...