Search for: "Voya Investment Management"
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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]
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]
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]
29 Nov 2018, 1:04 pm
In the securities arbitration complaint, the Claimant alleges that she entrusted Flynn with a significant amount of money to manage while he was employed with Voya Financial Advisors and IFS Securities. [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]
18 Oct 2018, 8:57 am
Voya ran the portal for its investment advisers and registered representatives to to manage the accounts of their customers. [read post]
5 Jul 2018, 9:42 am
(IFS) and Voya Financial Advisors, Inc. [read post]
19 Aug 2015, 9:56 am
The investor chooses the investments made in the annuity and value of your variable annuity will vary depending on the performance of the investment options chosen. [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]
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]
18 Oct 2018, 12:10 pm
In addition, the SEC’s Division of Investment Management, which regulates investment advisers and investment companies, issued guidance in 2015 on measures to consider in addressing cybersecurity. [read post]
4 May 2017, 1:32 pm
What do the leaders of the wealth management industry, broker-dealers and advisors, think are the major issues in providing wealth management services in the current environment? [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]
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]
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]
22 Sep 2022, 9:23 am
David Melilli Cambridge Investment Research, Inc. [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]
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]
8 May 2020, 9:47 am
Mary Frassetto Thrivent Investment Management Inc. [read post]
