Search for: "Voya Investment Management"
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17 Apr 2024, 1:04 pm
Stacy Hughes, the chief information security officer of Voya, states that Voya drafted 10-K disclosures for its cybersecurity risk management program months ago, and has integrated the 8-K requirement into its preexisting incident-response plan. [read post]
26 Jan 2024, 1:40 pm
Voya operates under the following names: ING FINANCIAL PARTNERS, INC, WASHINGTON SQUARE SECURITIES, INC., VOYA FINANCIAL ADVISORS, INC., VARIABLE LIFE BROKERAGE DISTRIBUTORS, NWNL MANAGEMENT CORPORATION, ING FINANCIAL PARTNERS, INC., according to its CRD. [read post]
5 May 2023, 7:48 am
Richard Logalbo Cetera Investment Services LLC MML Investors Services, LLC Harold Ramsey Paulson Investment Company LLC Spartan Capital Securities, LLC Michael Rosalia SW Financial Worden Capital Management LLC Dana Vietor CFD Investments, Inc. [read post]
22 Sep 2022, 9:23 am
David Melilli Cambridge Investment Research, Inc. [read post]
23 Aug 2022, 2:15 am
“In fact, we’re investing more in hiring with additional recruitment tools, more recruiters, better materials to support hiring managers, upleveling the candidate experience, and getting our employer brand out there more than ever. [read post]
27 May 2022, 9:24 am
They asked the SEC to provide for disclosure of data on disability status in its rulemaking, and pointed to a recent letter signed by investors such as Bank of America, Voya Financial, the California State Teachers’ Retirement System, and New York State Comptroller that called on the companies in which they invest in to take steps to create an inclusive workplace for people with disabilities.Waters and Brown also asked the SEC to require companies to track and share supplier… [read post]
28 Dec 2020, 8:14 am
The SEC Sanctions Voya Financial Advisors Inc. for Alleged Breach of Fiduciary Duty Voya Financial Advisors, Inc., based in Des Moines, Iowa, is a dually registered investment adviser and broker-dealer with $15.9 billion under management. [read post]
3 Sep 2020, 7:51 am
Scott Mason Voya Financial Advisors, Inc. [read post]
29 Jul 2020, 12:30 pm
Scott Mason Voya Financial Advisors, Inc. [read post]
19 May 2020, 6:32 pm
Voya Financial Advisors, a dually-registered broker-dealer/investment adviser, agreed to pay $1 million to settle charges that it violated Regulation S-P (the Safeguards Rule) and Regulation S-ID (the Identity Theft Red Flags Rule). [read post]
8 May 2020, 9:47 am
Mary Frassetto Thrivent Investment Management Inc. [read post]
24 Apr 2020, 9:23 am
Voya Natural Resources Equity Income Fund is a closed-ended equity mutual fund launched by Voya Investment Management LLC and it invests in the public equity markets of North America. [read post]
10 Dec 2019, 4:51 am
The Statement of Claim alleges Voya Financial Advisors unsuitably invested his clients in the following business development companies and high risk non-traded REITs: Business Development Corporation of America (BDCA) FS Investment Corporation II North Star Real Estate Income Trust CION Investment Corporation The claim seeks damages between $100,000.00 and $500,000.00. [read post]
25 Nov 2019, 11:51 am
If you invested with Flynn Wealth Management, James Flynn, and/or Voya Financial Advisors, you may have a claim to recover your losses. [read post]
25 Nov 2019, 9:56 am
If you invested with Ashley Woodard, Flynn Wealth Management, James Flynn, and/or Voya Financial Advisors, you may have a claim to recover your losses. [read post]
20 Nov 2019, 6:21 am
This investment comes on the back of Active Navigation’s strong growth, adding some of the world’s best-known brands such as BAE Systems, the United States Marine Corps and Voya Financial to its customer portfolio. [read post]
1 Nov 2019, 1:44 pm
Flynn or Voya Financial Advisors If you invested with James Flynn and/or Voya Financial Advisors, you may have a claim to recover your losses. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital … [read post]
30 May 2019, 9:35 am
Regulation S-P requires investment advisers and broker-dealers to have policies and procedures in place reasonably designed to protect customer information, while Regulation S-ID protects against identity theft and applies to investment advisers, broker-dealers, and investment companies. [read post]
25 Apr 2019, 11:59 am
Equity Sales Company UBS Painewebber Inc Sercia, Anthony Traderfield Securities Inc Legend Securities Soto, Rani Prudential Investment Management AllianceBernstein Investments Stanley, Cornell Jr. [read post]
