Posts Tagged ‘Voya Financial Advisors’
Update: Ex-Voya Financial Advisors Rep James Flynn Barred by FINRA
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that former South Carolina-based Voya Financial Advisors broker James Flynn has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is…
Read MoreUpdate: Ex-Voya Financial Advisors Rep James Flynn Barred by FINRA
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that former South Carolina-based Voya Financial Advisors broker James Flynn has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is…
Read MoreJames Flynn: Ex-Voya Financial Advisors Rep Suspended by FINRA
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that former South Carolina-based Voya Financial Advisors broker James Flynn, who has received several resolved or pending customer disputes, was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli…
Read MoreCustomer Dispute Against Larry Laio Regarding Variable Annuity Products
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that Illinois-based Voya Financial Advisors broker Larry Laio has been involved in several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Laio (CRD# 1742714). Larry Laio has spent 30 years…
Read MoreJonathan Wiley Was Terminated From His Former Employer Following Alleged Rule Violations
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that former New York-based Voya Financial Advisors broker Jonathan Wiley was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in…
Read MoreMichael Hogan Received a Complaint for Misrepresenting Material Facts
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 28, 2017 indicate that Minnesota-based Voya Financial Advisors broker/adviser Michael Hogan has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hogan (CRD# 1901482). Michael Hogan has spent 28 years in the…
Read MoreFrederick Monroe Permanently Barred from Securities Industry
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former New York-based Voya broker Frederick Monroe has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Monroe (CRD#…
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