SEC
Whistleblower
Attorneys

March 08, 2018

Voya Investments, LLC, Directed Services LLC

Financial Fraud

SANCTION AMOUNT: 3647469.14

Defendants: Voya Investments, LLC, Directed Services LLC

Two investment adviser subsidiaries of Voya Holdings Inc. were charged with failing to disclose conflicts of interest and making misleading disclosures regarding their practice of recalling securities on loan so their affiliates could receive tax benefits. The advisers agreed to settle the charges.

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